diff --git "a/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_base.json" "b/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_base.json" deleted file mode 100644--- "a/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_base.json" +++ /dev/null @@ -1,22210 +0,0 @@ -[ - { - "top_k": 10, - "mrr": 0.520021164021164, - "recall": 0.76, - "count_empty_strings": 10 - }, - [ - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "What does \"new account\" mean according to the international tax compliance from 2020 ?", - "target_page": 2, - "target_passage": "“new account” means a financial account maintained by a reporting financial institution opened on or after 13th May 2020", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2\n(a) “new account” means a financial account maintai ned by a reporting financial \ninstitution(a) opened on or after 13th May 2020; \n(b) “pre-existing account” means— \n (i) a financial account maintained by a reporting financial institution as of 12th \nMay 2020, or \n (ii) a financial account within Section VIII(C)(9) (b) of Annex 1 of the DAC( b), \nbut in the application of that provision the refere nces to “subparagraph \nC(9)(a)” are to be read as references to paragraph (i) of this sub-paragraph. \n(4) The accounts are— \n(a) non-registered pension arrangements where the a nnual contributions are limited to \n£50,000 and funds contributed cannot be accessed be fore the age of 55 except in \ncircumstances of serious ill health; \n(b) Premium Bonds issued by the UK National Savings and Investments; \n(c) Fixed Interest Savings Certificates issued by t he UK National Savings and \nInvestments; and \n(d) Index Linked Savings Certificates issued by the UK National Savings and \nInvestments.”. \n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9. \nTransitional provision \n3. —(1) For the purposes of the International Tax Comp liance Regulations 2015, in relation to an \naccount that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 \nis treated as beginning on 13th May 2020 and ending on 31st December 2020. \n(2) Where in consequence of paragraph (1) it is necessa ry to apportion an amount for the \ncalendar year 2020 to the period ending immediately before 13th May 2020 and the period \nbeginning with that date, it is to be apportioned— \n(a) on a time basis according to the respective length of the periods, or \n(b) if that method would produce a result that is unjus t or unreasonable, on a just and \nreasonable basis. \n \n David Rutley \n Maggie Throup \n20th April 2020 Two of the Lords Commissioners of H er Majesty’s Treasury \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThe Regulations amend the International Tax Complia nce Regulations 2015 (“the principal \nRegulations”) which give effect to agreements and a rrangements reached between the United \nKingdom and other jurisdictions to improve international tax compliance. \nRegulation 2(2) extends the application of the prin cipal Regulations to arrangements entered into \nby the United Kingdom for the exchange of financial account information with other jurisdictions \nup to 19th April 2020, the date before the Regulations are made. \nRegulation 2(5) omits various accounts from the cat egory of excluded accounts. Regulation \n2(4)(b) amends the definitions of “new account” and “pre-existing account” in relation to those \n \n(a) “Financial account” and “reporting financial inst itution” are defined in the table in regulation 24( 2) of the principal \nRegulations. \n(b) “The DAC” is defined in regulation 1(3)(a) of the principal Regulations.", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 438 \nTAXES \nThe International Tax Compliance (Amendment) Regulations \n2020 \nMade - - - - 20th April 2020 \nLaid before the House of Commons 21st April 2020 \nComing into force - - 13th May 2020 \nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013( a): \nCitation and commencement \n1. These Regulations may be cited as the Internationa l Tax Compliance (Amendment) \nRegulations 2020 and come into force on 13th May 2020. \nAmendments to the International Tax Compliance Regulations 2015 \n2. —(1) The International Tax Compliance Regulations 2 015( b) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” subst itute “19th April 2020”( c). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n(a) in the table in paragraph (2), in the column headed “the CRS”— \n(i) at the beginning of the entry for “new account” ins ert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing acc ount” insert “subject to regulation \n3(4A)(a) and paragraph (3)”, and \n(b) after paragraph (2) insert— \n“(3) In respect of the accounts listed in paragraph (4)— \n \n(a) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the am endments are not \nrelevant to these Regulations. \n(b) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending ins truments are S.I. \n2017/598, 2018/490 and 2019/881. \n(c) In accordance with the common reporting standard for automatic exchange of financial account informa tion developed by \nthe Organisation for Economic Co-operation and Deve lopment and adopted by the United Kingdom, the Unit ed Kingdom \nexchanges information received from financial insti tutions under the principal Regulations with a terr itory which is a \n“Reportable Jurisdiction” under the CRS and with wh ich the United Kingdom has entered into internation al exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at h ttps://www.gov.uk/hmrc-\ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is availab le for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "3\naccounts so that these terms are defined by referen ce to the date that those accounts ceased to be \nexcluded accounts. Regulation 2(3) and (4)(a) make consequential amendments. \nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts \nwhich were previously excluded accounts. \nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 \nwas published on 18th March 2015 and is available o n the HMRC website at \nhttps://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the-\nuks-automatic-exchange-of-information-agreements. I t remains an accurate summary of the \nimpacts that apply to this instrument. \n \n \n© Crown copyright 2020 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "receivable related to previous years.\nDeferred tax assets and liabilities arise from temporary differences\nbetween the carrying amounts of the assets and liabilities we record in\nour consolidated statements of financial position and their respective\ntax bases. We calculate deferred tax assets and liabilities using enacted\nor substantively enacted tax rates that will apply in the years the\ntemporary differences are expected to reverse.\nDeferred tax assets and liabilities are offset if there is a legally\nenforceable right to offset current tax liabilities and assets and they\nrelate to income taxes levied by the same authority on:\n the same taxable entity, or\n different tax entities where these entities intend to settle current tax\nliabilities and assets on a net basis or the tax assets and liabilities will\nbe realized simultaneously.\nWe recognize a deferred tax asset for unused losses, tax credits and\ndeductible temporary differences to the extent that it is probable that\nfuture taxable income will be available to use the asset. We use\njudgement to evaluate whether we can recover a deferred tax asset\nbased on our assessment on existing tax laws, estimates of future\nprofitability and tax planning strategies.\nWe rely on estimates and assumptions when determining the amount\nof current and deferred tax, and take into account the impact of\nuncertain tax positions and whether additional taxes and interest may\nbe due. If new information becomes available and changes our\njudgment on the adequacy of existing tax liabilities, these changes\nwould affect the income tax expense in the period that we make this\ndetermination.\nSee note 9 for more information about our income taxes.\nForeign Currency Translation\nWe translate amounts denominated in foreign currencies into Canadian\ndollars as follows:\n monetary assets and monetary liabilities – at the exchange rate in\neffect at the date of the consolidated statements of financial position\n non-monetary assets, non-monetary liabilities and related\ndepreciation and amortization expenses – at the historical exchange\nrates\n revenue and expenses other than depreciation and amortization – at\nthe average rate for the month when the transaction was recorded.\nFinancial Instruments\nRecognition\nWe initially recognize cash and cash equivalents, accounts receivables,\ndebt securities and accounts payable and accrued liabilities on the date\nthey originate, and apply the criteria noted below. All other financial\nassets and financial liabilities are initially recognized on the trade date\nwhen we become a party to the contractual provision of the\ninstrument.\n96 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 99, - "page_end": 99, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nretrospectively. We are assessing the impact of this amendment on\nour consolidated financial statements.\n IFRIC 21, Levies (IFRIC 21) – In May 2013, the IASB issued a new\naccounting guidance IFRIC 21, which provides guidance on when to\nrecognize a liability for a levy imposed by a government, both for\nlevies that are accounted for in accordance with IAS 37 Provisions,\nContingent Liabilities and Contingent Assets and those where the\ntiming and amount of the levy is certain. The Interpretation identifies\nthe obligating event for the recognition of a liability as the activity\nthat triggers the payment of the levy in accordance with the relevant\nlegislation. It provides the following guidance on recognition of a\nliability to pay levies (i) the liability is recognized progressively if the\nobligating event occurs over a period of time, and (ii) if an obligation\nis triggered on reaching a minimum threshold, the liability is\nrecognized when that minimum threshold is reached. The standard is\neffective for annual periods beginning on or after January 1, 2014,\nwith early adoption permitted. We are assessing the impact of this\nnew standard on our consolidated financial statements.\n IFRS 9, Financial Instruments (IFRS 9) – In October 2010, the IASB\nissued IFRS 9, which replaces IAS 39, Financial Instruments:\nRecognition and Measurement, establishes principles for the financial\nreporting of financial assets and financial liabilities that will present\nrelevant and useful information to users of financial statements for\ntheir assessment of the amounts, timing and uncertainty of an\nentity’s future cash flows. This new standard also includes a new\ngeneral hedge accounting standard which will align hedge\naccounting more closely with risk management. It does not\nfundamentally change the types of hedging relationships or the\nrequirement to measure and recognize ineffectiveness, however it\nwill provide more hedging strategies that are used for risk\nmanagement to qualify for hedge accounting and introduce more\njudgment to assess the effectiveness of a hedging relationship. The\nmandatory effective date of IFRS 9 has not yet been communicated\nby the IASB. We are assessing the impact of this new standard on its\nconsolidated financial statements.\nKEY PERFORMANCE INDICATORS\nWe measure the success of our strategy using a number of key\nperformance indicators, which are outlined below. We believe these key\nperformance indicators allow us to appropriately measure our\nperformance against our operating strategy as well as against the\nresults of our peers and competitors. The following key performance\nindicators are not measurements in accordance with IFRS and should\nnot be considered as an alternative to net income or any other measure\nof performance under IFRS.\nSubscriber Counts\nWe determine the number of subscribers to our services based on active\nsubscribers. When subscribers are deactivated, either voluntarily or\ninvoluntarily for non-payment, they are considered to be deactivations\nin the period the services are discontinued.\nWireless\n A wireless subscriber is represented by each identifiable telephone\nnumber.\n We report wireless subscribers in two categories: postpaid and\nprepaid. Postpaid and prepaid include voice-only subscribers, data-\nonly subscribers, and subscribers with service plans integrating both\nvoice and data.\n Wireless prepaid subscribers are considered active for a period of 180\ndays from the date of their last revenue-generating usage.\nCable\n Cable Television and Internet subscribers are represented by a\ndwelling unit, and cable Phone subscribers are represented by line\ncounts.\n When there is more than one unit in one dwelling, like an apartment\nbuilding, each tenant with cable service is counted as an individual\nsubscriber, whether the service is invoiced separately or included in\nthe tenant’s rent. Institutional units, like hospitals or hotels, are each\nconsidered to be one subscriber.", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \nNOT E 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued \n \nu) Adoption of New and Revised Accounting Standa rds \n \nDuring the current reporting period the Group adopted all of the new and revised Australian Accountin g Standards \nand Interpretations applicable to its operation s which became mandator y. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n \nAASB 2011-4 - Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel \nDisclosure \nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n \nAmendments to IAS 32 - Offsetting Financial Assets and Financial Liabilities \nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set -off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \nRecently issued acc ounting standards to b e applied in future reporting periods: \nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these ne w standards, amendments to standards, and \ninterpretations is set out below. \n \nAASB 9/IFRS 9 – Financial Instruments \nAASB 9/ IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. T he effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements. \n \n \n- 71 -", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "on or after January 1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, \ncontaining the effective date and transition provisions was amended to remove the mandatory effective date of IFRS 9. This was intended \nto provide sufficient time for preparers to make the transition to the new requirements. The Company may still choose to apply IFRS \nimmediately, but is not required to do so. In subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the \nfirst phase of IFRS will have an effect on the classification and measurement of the Company’s financial assets, but will not have an impact \non the classification measurements of financial liabilities. The Company is in the process of assessing the impact IFRS 9 may have on future \nfinancial statements.\nIFRIC Interpretation 21 ‑ Levies (“IFRIC 21”)\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant \nlegislation, occurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing \nthe impact IFRIC 21 may have on future financial statements.\nKillam ProPerties inc | 2013 77", - "page_start": 76, - "page_end": 76, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \n \nNOT E 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued \n \nExchange differences arising on the translation of non-monetary items are recognised directly in equity to the extent \nthat the gain or loss is directly recognised in equit y, otherwise the exchange di fference is recognised in the \nconsolidated statement of profit or loss and other comprehensive income. \n \nGroup Companies \nThe financial results and position of foreign subsidiaries whose functional currency is di fferent from the Group ’s \npresentation currency are translated as follows: \n \n- assets and liabilities are translated at year-end exchange rates prevailing at that reporting date; \n- income and expenses are translated at average exchange rates for the period; and \n- retained profits, issued capital and paid-in-capital are translated at the exchange rates prevailing at the \ndate of the transaction. \n \nExchange differences arising on translation of foreign operations are transferred directly to the Group ’s foreign \ncurrency translation reserve. These di fferences are recognised in the statement of profit or loss and other \ncomprehensive income upon disposal of the foreign operation. \n \nh) Employee Benefits \nA provision is made for the Group ’s liability for employee benefits arising from services rendered by employees to \nthe balance sheet date. Employee benefits that are expected to be settled within one year have been measured at \nthe amounts expected to be paid when the liability is settled, plus related on-costs. Employee benefits payable later \nthan one year have been measured at the present value of the estimated future cash outflows to be made for these \nbenefits. Those cash flows are discounted using market yields on national government bonds with terms to maturity \nthat match the expected timing of cash flows. \n \nEquity - Settled Compensation \nThe Group has an incentive compensation plan where employees may be issued shares and/or options. The fair \nvalue of the equity to which employees become entitled is measured at grant date and recognized as an expense \nover the vesting period with a correspo nding increase in equity. The fair value of shares issued is determined with \nreference to the latest ASX share price. Options are fair valued using an appropriate valuation technique which takes \ninto account the vesting conditions. \n \nRestricted Share Unit Plan \nThe group has a restricted share unit (“RSU”) plan to motivate management and employees to make decisions \nbenefiting long-term value creation, retain management and employees and reward the achievement of the Group’s \nlong-term goals. The target RSUs are based on goals established by the Remuneration and Nominations Committee \nand approved by the Board. The actual RSUs, awarded annually, are modified according to actual results and \ngenerally vest in four equal tranches beginning on the grant date and each of the first three subsequent \nanniversaries. \n \ni) Provisions \nProvisions are recognised when the group has a legal or constructive obligation, as a result of past events, for which \nit is probable that an outflow of economic benefits will result and that o utflow can be reliably measured. \n \n- 66 -", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "a) As described in Note 2(b), effective April 1, 2003, Nissan Motor Manufacturing (UK) Ltd., a consolidated subsidiary, implemente d early\nadoption of a new accounting standard for retirement benefits in the United Kingdom. The effect of this change was to decrease operating\nincome in the “Automobile” segment by ¥1,686 million for the year ended March 31, 2004 as compared with the corresponding amount which\nwould have been recorded if the previous method had been followed.\nb) As described in Note 2(c), effective April 1, 2003, the Company and its domestic consolidated subsidiaries changed their method of\naccounting for noncancelable lease transactions which transfer substantially all risks and rewards associated with the ownershi p of assets,\nfrom accounting for them as operating leases, to finance leases. The effect of this change was to decrease sales and operating expenses in\nthe “Automobile” segment by ¥237 million and ¥21,805 million respectively, to increase operating income, total assets, deprecia tion expense\nand capital expenditures in the “Automobile” segment by ¥21,568 million ¥136,522 million, ¥46,986 million and ¥55,581 million, respectively,\nto decrease sales and operating expenses and capital expenditures in the “Sales Financing” segment by ¥33,351 million, ¥33,374 million and\n¥29,716 million, respectively, to increase operating income, total assets and depreciation expense in the “Sales Financing” seg ment by ¥23\nmillion, ¥662 million and ¥292 million, respectively, and to increase sales and operating expenses in “Eliminations” by ¥15,645 million for the\nyear ended March 31, 2004 as compared with the corresponding amounts which would have been recorded if the previous method had been\nfollowed.\nFINANCIAL SECTION\nNissan Annual Report 2004 93\nFiscal year 2002 (For the year ended Mar. 31, 2003)\nSales\nAutomobile Financing Total EliminationsConsolidated\nMillions of yen\nI. Sales and operating income\nSales to third parties................................................................................... ¥6,444,460 ¥ 384,128 ¥6,828,588 ¥ — ¥6,828,588\nInter-segment sales and transfers................................................... 42,775 11,740 54,515 (54,515) —\nTotal sales............................................................................................................ 6,487,235 395,868 6,883,103 (54,515) 6,828,588\nOperating expenses.................................................................................... 5,818,023 335,986 6,154,009 (62,651) 6,091,358\nOperating income.......................................................................................... ¥ 669,212 ¥ 59,882 ¥ 729,094 ¥ 8,136 ¥ 737,230\nII. Assets, depreciation and capital expenditures\nTotal assets........................................................................................................ ¥5,607,323 ¥3,103,889 ¥8,711,212 ¥(1,362,029) ¥7,349,183\nDepreciation and amortization............................................................ ¥ 213,569 ¥ 157,556 ¥ 371,125 ¥ — ¥ 371,125\nCapital expenditures................................................................................... ¥ 410,003 ¥ 451,630 ¥ 861,633 ¥ — ¥ 861,633", - "page_start": 94, - "page_end": 94, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Other than the above items, we are not aware of events or circumstances that would\ncause us to review any material long-lived assets for impairment.\nIncome taxes\nWe are subject to income taxes in the United States, and in several states and \nforeign jurisdictions in which we operate. We account for income taxes according \nto Statement of Financial Accounting Standards No. 109, “Accounting for Income\nTaxes” (“SFAS 109”). SFAS 109 requires the recognition of deferred tax assets, net\nof applicable reserves, related to net operating loss carryforwards and certain \ntemporary differences. The standard requires recognition of a future tax benefit \nto the extent that realization of such benefit is more likely than not. Otherwise, \na valuation allowance is applied.", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Under which conditions can the funds of a non-registered pension arrengements be obtained before the age of 55 ?", - "target_page": 2, - "target_passage": "non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier\nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee.\nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues\nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 62", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNOTE 22: PENSIONS\nWe have contributory and non-contributory defined benefit pension\nplans that are made available to most of our employees. The plans\nprovide pensions based on years of service, years of contributions and\nearnings. We do not provide any non-pension post-retirement benefits.\nWe also provide unfunded supplemental pension benefits to certain\nexecutives.\nThe assets of the defined benefit pension plans are held in segregated\naccounts isolated from our assets. We administer the defined benefit\npension plans pursuant to applicable regulations, the Statement of\nInvestment Policies and Procedures and to the mandate of the Pension\nCommittee of the Board of Directors. The Pension Committee of the\nBoard of Directors oversees our administration of the defined benefits\npension plans, which includes the following principal areas:\n overseeing the funding, administration, communication and\ninvestment management of the plans\n selecting and monitoring the performance of all third parties\nperforming duties in respect of the plans, including audit, actuarial\nand investment management services\n proposing, considering and approving amendments to the defined\nbenefit pension plans\n proposing, considering and approving amendments of the Statement\nof Investment Policies and Procedures\n reviewing management and actuarial reports prepared in respect of\nthe administration of the defined benefit pension plans\n reviewing and approving the audited financial statements of the\ndefined benefit pension plan funds.\nThe assets of the defined benefit pension plans are invested and\nmanaged following all applicable regulations and the Statement of\nInvestment Policies and Procedures, and reflect the characteristics and\nasset mix of each defined benefit pension plan. Investment and market\nreturn risk is managed by:\n contracting professional investment managers to execute the\ninvestment strategy following the Statement of Investment Policies\nand Procedures and regulatory requirements\n specifying the kinds of investments that can be held in the plans and\nmonitoring compliance\n using asset allocation and diversification strategies, and\n purchasing annuities from time to time.\nThe funded pension plans are registered with the Office of the\nSuperintendent of Financial Institutions and are subject to the Federal\nPension Benefits Standards Act. The plans are also registered with the\nCanada Revenue Agency and are subject to the Canada Income Tax\nAct. The benefits provided under the plans and the contributions to the\nplans are funded and administered in accordance with all applicable\nlegislation and regulations.\nSignificant estimates are involved in determining pension related\nbalances. Actuarial estimates are based on projections of employees’\ncompensation levels at the time of retirement. Maximum retirement\nbenefits are primarily based on career average earnings, subject to\ncertain adjustments. The most recent actuarial valuations were\ncompleted as at January 1, 2013.\nThe table below sets out the estimated present value of accrued plan\nbenefits and the estimated market value of the net assets available to\nprovide these benefits for our funded plans at December 31, 2013 and\n2012.\n2013 2012\nPlan assets, at fair value $ 1,037 $ 833\nAccrued benefit obligations 1,209 1,167\nDeficiency of plan assets over accrued benefit obligations (172) (334)\nEffect of asset ceiling limit (9) –\nNet deferred pension liability $ (181) $ (334)\nConsists of:\nDeferred pension asset $8 $9\nDeferred pension liability (189) (343)\nNet deferred pension liability $ (181) $ (334)\nThe table below shows our pension fund assets for the years ended\n2013 and 2012.\n2013 2012\nPlan assets, January 1 $ 833 $ 684\nInterest income 40 40\nRemeasurements, return on plan assets recognized in other\ncomprehensive income and equity 65 37\nContributions by employees 26 22\nContributions by employer 101 85\nBenefits paid (26) (33)", - "page_start": 121, - "page_end": 121, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nPension Obligations\nOur retiree pension plans had a funding deficit of approximately $172\nmillion at December 31, 2013. We have been making special minimum\nmonthly payments in addition to our regular contributions to eliminate\nthe pension liability. During 2013, our funding deficit was reduced by\n$162 million.\nThe special payments, including contributions associated with benefits\npaid from the plans, were approximately $7 million in 2013. We expect\nour total estimated funding requirements to be $96 million in 2014 and\nto be adjusted annually thereafter, based on various market factors\nsuch as interest rates and expected returns and staffing assumptions.\nChanges in factors such as the discount rate, increase in compensation\nand the expected return on plan assets can affect the accrued benefit\nobligation, pension expense and the deficiency of plan assets over\naccrued obligations in the future. See Critical accounting estimatesfor\nmore information.\nPurchase of Annuities\nFrom time to time we have made additional lump-sum contributions to\nour pension plans, and the pension plans have purchased annuities\nfrom insurance companies to fund the pension benefit obligations for\ncertain groups of retired employees in the plans. Purchasing the\nannuities relieves us of our primary responsibility for that portion of\nthe accrued benefit obligations for the retired employees and eliminates\nthe significant risk associated with the obligations.\nWe did not make any additional lump-sum contributions to our pension\nplans in 2013 or 2012, and the pension plans did not purchase\nadditional annuities.\nFINANCIAL RISK MANAGEMENT\nWe normally use three categories of derivative instruments to manage risks related to our business activities:\nCategories The risk it manages Types of derivative instruments\nDebt Derivatives  Impact of fluctuations in foreign exchange rates on\nprincipal and interest payments for US denominated\nlong-term debt\n Cross-currency interest rate exchange agreements\n Forward foreign exchange agreements (from time\nto time, as applicable)\nExpenditure Derivatives  Impact of fluctuations in foreign exchange rates on\nforecasted US dollar denominated expenditures\n Forward foreign exchange agreements\nEquity Derivatives  Impact of fluctuations in share price on stock-based\ncompensation expense\n Total return swap agreements\nWe also manage our exposure to fluctuating interest rates and we have\nfixed the interest rate on 95.3 % of our debt including short-term\nborrowings at December 31, 2013 (2012 – 100%).\nDebt Derivatives\nWe use cross currency interest exchange agreements (Debt Derivatives),\nto hedge the foreign exchange risk on all of the principal and interest\nobligations of our US dollar denominated senior notes and debentures.\nAt December 31, 2013 we used Debt Derivatives to hedge the foreign\nexchange risk on 100% of the principal and interest obligations on all\nour US dollar denominated debt. We use Debt Derivatives for risk\nmanagement purposes only.\nDuring 2013, we completed Debt Derivatives transactions as follows:\n entered into new Debt Derivatives to hedge senior notes issued in\n2013\n terminated existing Debt Derivatives and entered into Debt\nDerivatives with different terms to hedge existing senior notes\n settled Debt Derivatives related to senior notes that matured during\nthe year.\nAll of our Debt Derivatives currently outstanding have been designated\nas effective hedges against foreign exchange risk for accounting\npurposes as described below and in note 20 to the consolidated\nfinancial statements.\nNew Debt Derivatives to Hedge Senior Notes Issued In 2013\nEffective date\nUS$ Principal/\nnotional amount\n(millions)\nUS$ Hedging effect\nMaturity\ndate\nCoupon\nrate\nFixed\nhedged Cdn.$\ninterest rate 1\nCdn$\nequivalent\n(millions)\nMarch 7, 2013 US$ 500 2023 3.00 % 3.60% $ 515\nMarch 7, 2013 US$ 500 2043 4.50 % 4.60% $ 515\nSubtotal US$ 1,000 $ 1,030\nOctober 2, 2013 US$ 850 2023 4.10 % 4.59% $ 877", - "page_start": 65, - "page_end": 65, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "2\n(a) “new account” means a financial account maintai ned by a reporting financial \ninstitution(a) opened on or after 13th May 2020; \n(b) “pre-existing account” means— \n (i) a financial account maintained by a reporting financial institution as of 12th \nMay 2020, or \n (ii) a financial account within Section VIII(C)(9) (b) of Annex 1 of the DAC( b), \nbut in the application of that provision the refere nces to “subparagraph \nC(9)(a)” are to be read as references to paragraph (i) of this sub-paragraph. \n(4) The accounts are— \n(a) non-registered pension arrangements where the a nnual contributions are limited to \n£50,000 and funds contributed cannot be accessed be fore the age of 55 except in \ncircumstances of serious ill health; \n(b) Premium Bonds issued by the UK National Savings and Investments; \n(c) Fixed Interest Savings Certificates issued by t he UK National Savings and \nInvestments; and \n(d) Index Linked Savings Certificates issued by the UK National Savings and \nInvestments.”. \n(5) In Schedule 2, omit paragraphs 2, 6, 8 and 9. \nTransitional provision \n3. —(1) For the purposes of the International Tax Comp liance Regulations 2015, in relation to an \naccount that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 \nis treated as beginning on 13th May 2020 and ending on 31st December 2020. \n(2) Where in consequence of paragraph (1) it is necessa ry to apportion an amount for the \ncalendar year 2020 to the period ending immediately before 13th May 2020 and the period \nbeginning with that date, it is to be apportioned— \n(a) on a time basis according to the respective length of the periods, or \n(b) if that method would produce a result that is unjus t or unreasonable, on a just and \nreasonable basis. \n \n David Rutley \n Maggie Throup \n20th April 2020 Two of the Lords Commissioners of H er Majesty’s Treasury \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThe Regulations amend the International Tax Complia nce Regulations 2015 (“the principal \nRegulations”) which give effect to agreements and a rrangements reached between the United \nKingdom and other jurisdictions to improve international tax compliance. \nRegulation 2(2) extends the application of the prin cipal Regulations to arrangements entered into \nby the United Kingdom for the exchange of financial account information with other jurisdictions \nup to 19th April 2020, the date before the Regulations are made. \nRegulation 2(5) omits various accounts from the cat egory of excluded accounts. Regulation \n2(4)(b) amends the definitions of “new account” and “pre-existing account” in relation to those \n \n(a) “Financial account” and “reporting financial inst itution” are defined in the table in regulation 24( 2) of the principal \nRegulations. \n(b) “The DAC” is defined in regulation 1(3)(a) of the principal Regulations.", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "(17) Valuation and Qualifying Accounts \nA d d i t i o n s\nB a l a n c e c h a rged to A m o u n t s Balance at\nat January 1 e x p e n s e written off December 31\n(in thousands)\n1 9 9 8\nAllowance for doubtful accounts $ — $ 2 9 1 $ — $ 2 9 1\n1 9 9 9\nAllowance for doubtful accounts $ 2 9 1 $ 9 0 $ — $ 3 8 1\n2 0 0 0\nAllowance for doubtful accounts $ 3 8 1 $ 4 0 8 $ 4 9 $ 7 4 0\n(18) Stock Plans \nThe Company has established a share compensation plan that provides certain employees options to purchase shares of its common stock.\nThe options vest over a period of five years from the date of grant. Options are exercisable during the term of employment or consulting\na rrangements with the Company and its subsidiaries. At December 31, 2000, the Company has authorized options for the purchase of\n6,463,991 shares of common shares, of which 4,584,508 have been awarded to employees and 2,441,928 remain unexercised. \nIn accordance with a shareholders’ agreement dated Febru a ry 15, 1996 and amended on October 14, 1996, Euronet r e s e rved 2,850,925\ncommon shares for the purpose of awarding common shares (“milestone awards”) to certain investors and options to acquire common share s\n(“milestone options”) to the founders, management and key employees. The Company granted 800,520 milestone awards at an exer c i s e\nprice of $0.02 per share and 2,050,405 milestone options at an exercise price of $2.14 per share. \nUpon the initial public offering of the Company on March 6, 1997, all milestone awards and milestone options granted under the milestone\na rrangement (with the exception of 49,819 options to certain key employees which vested equally over the two years following the initial\npublic offering) vested and all shares became immediately issuable to beneficiaries of milestone awards and options. At that time, 800,520\nmilestone awards and 232,078 milestone options were exercised. As of December 31, 2000 1,428,303 milestone options remain unexercised. \nS h a re option activity during the periods indicated is as follows:\nNumber of W e i g h t e d - Av e r a g e\nS h a res E x e rcise Price\nBalance at December 31, 1997 \n(1,984,365 shares exerc i s a b l e ) 2 , 7 9 8 , 2 06. $ 2 . 6 7\nG r a n t e d 9 4 1 , 3 96. 5 . 8 7\nGranted in Arksys acquisition 6 3 , 4 10. 4 . 4 4\nE x e rc i s e d ( 8 0 , 1 3 2 ) 2 . 1 3\nF o rf e i t e d ( 1 0 0 , 2 8 9 ) 6 . 2 3\nBalance at December 31, 1998 \n(2,174,412 shares exerc i s a b l e ) 3 , 6 2 2 , 5 91. $ 3 . 4 6\nG r a n t e d 1 , 1 4 0 , 8 30. 5 . 0 2\nE x e rc i s e d ( 2 2 8 , 5 0 3 ) 1 . 4 6\nF o rf e i t e d ( 2 3 3 , 1 9 4 ) 5 . 0 9\nBalance at December 31, 1999 \n(2,379,729 shares exerc i s a b l e ) 4 , 3 0 1 , 7 2 4. $ 3 . 8 7\nG r a n t e d 1 , 2 3 7 , 0 0 0. 7 . 2 4\nE x e rc i s e d ( 3 9 0 , 2 3 1 ) 2 . 4 3\nF o rf e i t e d ( 5 6 3 , 9 8 5 ) 6 . 0 0\nBalance at December 31, 2000 \n(2,441,928 shares exerc i s a b l e ) 4 , 5 8 4 , 5 0 8. $ 4 . 6 5\n3 9", - "page_start": 40, - "page_end": 40, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Copyright Government of Botswana \n (4) The deposit of any moneys forming part of the Consolidated Fund with a bank or with the Crown Agents for Overseas Governments and Administrations or the investment of any such moneys in securities in which, under the law for the time being in force in Botswana, trustees are authorized to invest, or the making of advances to such extent and in such circumstances as may be prescribed by Parliament, shall not be regarded as a withdrawal of those moneys from the Fund for the purposes of this section. 119. Authorization of expenditure (1) The Minister for the time being responsible for finance shall cause to be prepared and laid before the National Assembly, before or not later than 30 days after the commencement of each financial year, estimates of the revenues and expenditure of Botswana for that year. (2) The organisations of expenditure contained in the estimates for a financial year (other than expenditure charged upon the Consolidated Fund by this Constitution or any other law) shall be included in a Bill to be known as an Appropriation Bill which shall be introduced into the Assembly to provide for the issue from the Consolidated Fund of the sums necessary to meet that expenditure and the appropriation of those sums for the purposes specified in the said Bill. (3) If in any financial year it is found- (a) that the amount appropriated by the Appropriation Act for the purposes included in any organisation of expenditure is insufficient or that a need has arisen for expenditure for a purpose for which no amount has been appropriated by the Appropriation Act; or (b) that any moneys have been expended on any organisation of expenditure in excess of the amount appropriated for the purposes included in that organisation by the Appropriation Act or for a purpose for which no amount has been appropriated by the Appropriation Act, a supplementary estimate showing the sums required or spent shall be laid before the National Assembly and the organisations of expenditure shall be included in a supplementary Appropriation Bill, or in a motion or motions approving such expenditure, which shall be introduced or moved in the Assembly. (4) Where any supplementary expenditure has been approved in a financial year by a resolution of the National Assembly in accordance with the provisions of subsection (3) of this section, a supplementary Appropriation Bill shall be introduced in the National Assembly, not later than the end of the financial year next following, providing for the appropriation of the sums so approved. 120. Authorization of expenditure in advance of appropriation Parliament may make provision under which, if the Appropriation Act in respect of any financial year has not come into operation by the beginning of that financial year, the President may authorize the withdrawal of moneys from the Consolidated Fund for the purpose of meeting expenditure necessary to carry on the services of the Government until the expiration of four months from the beginning of that financial year or the coming into operation of the Appropriation Act, whichever is the earlier. 121. Contingencies Fund (1) Parliament may make provision for the establishment of a Contingencies Fund and for authorizing the President, if satisfied that there has arisen an urgent and unforeseen need for expenditure for which no other provision exists, to make advances from that Fund to meet that need. (2) Where any advance is made from the Contingencies Fund, a supplementary estimate shall be laid before the National Assembly as soon as possible for the purpose of replacing the amount so advanced.", - "page_start": 51, - "page_end": 51, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "into an ATM services agreement whereby the Company will provide ATM management and other related services to RBA for an initial term\nof 15 years. \n(27) Employee Benefit Plans \nE u ronet has established a Profit Sharing and 401(k) plan for all employees who have completed six months of service and are not otherw i s e\nc o v e red by a r e t i rement benefit plan (national or private) outside of the US. Each plan participant can contribute up to the maximum\namount allowed by the Internal Revenue Service to the Plan through payroll deductions. Eur o n e t ’s matching contribution to the plan is\nd i s c re t i o n a ry and is determined each year by the Board of Directors. The employee’s vested percentage re g a rding the employer’s contribution\nvaries according to years of service. Euro n e t ’s contribution accrual to the Plan for the years ended December 31, 2000, 1999 and 1998 was\n$213,000, $159,000 and $26,000 re s p e c t i v e l y. \nE u ronet maintains both a fully funded and self-funded health insurance programs, which cover all full-time employees and their families at\nno charge to the employees. In order to administer the self-funded program, Euronet has entered into a contractual agreement with a third\np a rty administrator by which Euronet pays a monthly service fee to the administrator based upon employee enrollment participating in the\nself-funded plan. Euronet has also purchased a stop/loss insurance policy to limit Euro n e t ’s self-funded liability to $25,000 per employee per\nyear and a total loss on all claims to approximately $31,000 per month. \n4 4", - "page_start": 45, - "page_end": 45, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Copyright Government of Botswana \nshe has attained the age of 70 years or such other age as may be prescribed for the purposes of section 101 of this Constitution; (ii) a person appointed under this subsection, who is not a judge of the Court of Appeal, may, notwithstanding the assumption or resumption of the functions of the office of President of the Court of Appeal by the holder of that office, continue to act as a judge of the Court of Appeal for so long thereafter and to such extent as may be necessary to enable him or her to deliver judgment or to do any other thing in relation to proceedings that were commenced before him or her previously thereto. (6) If the office of a Justice of Appeal is vacant or if any Justice of Appeal is appointed to act as Chief Justice or President of the Court of Appeal or is for any reason unable to perform the functions of his or her office, the President, acting in accordance with the advice of the Judicial Service Commission, may appoint a person qualified for appointment as a Justice of Appeal to act as a Justice of Appeal: Provided that a person may be so appointed notwithstanding that he or she has attained the age of 70 years or such other age as may be prescribed for the purposes of section 101 of this Constitution. (7) Any person appointed under subsection (6) of this section to act as a Justice of Appeal, shall subject to the provisions of section 101(4) and (5) of this Constitution, continue to act for the period of his or her appointment or, if no such period is specified, until his or her appointment is revoked by the President, acting in accordance with the advice of the Judicial Service Commission: Provided that the President, acting in accordance with the advice of the Judicial Service Commission, may permit a person whose appointment to act as a Justice of Appeal has expired or been revoked to continue to act as such a judge for such period as may be necessary to enable him or her to deliver judgment or to do any other thing in relation to proceedings that were commenced before him or her previously thereto. 101. Tenure of office of judges of Court of Appeal (1) Subject to the provisions of this section, a person holding the office of a judge of the Court of Appeal shall vacate that office on attaining the age of 70 years or such other age as may be prescribed by Parliament: Provided that- (i) the President, acting in accordance with the advice of the Judicial Service Commission, may permit a judge who has attained that age to continue in office for such period as may be necessary to enable him or her to deliver judgment or to do any other thing in relation to proceedings that were commenced before him or her before he or she attained that age; (ii) a person may be appointed as President of the Court of Appeal or as a Justice of Appeal for a fixed period of three years notwithstanding that he or she has attained the age referred to in this subsection or that he or she will before the expiry of his or her appointment have attained that age; and (iii) the appointment as President of the Court of Appeal or as Justice of Appeal serving for a fixed period under paragraph (ii) above shall not affect the date at which he or she is due to retire. (2) A judge of the Court of Appeal may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or from any other cause) or for misbehaviour, and shall not be so removed except in accordance with the provisions of this section. (3) If the President considers that the question of removing a judge of the Court of Appeal under this section ought to be investigated then- (a) he or she shall appoint a tribunal which shall consist of a Chairman and not less", - "page_start": 43, - "page_end": 43, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Notes to the Consolidated Financial Statements\nDollar amounts are in thousands of Canadian dollars (except share and per share amounts)\n17 Share‑Based Compensation (continued)\nRestricted Share Unit Plan\nThe Restricted Share Unit (“RSU”) Plan gives members of the senior executive team the right to receive a percentage of their annual bonus \nand non‑executive members of the board of directors the right to receive a percentage of their annual retainer, in the form of restricted \nshares in lieu of cash. The Compensation Committee has established the following parameters on the percentage of the annual bonus and \nannual retainer which may be allocated to Restricted Shares:\nminimum Maximum\nNon‑executive board members ‑ % 100%\nChief Executive Officer and Chief Financial Officer 50% 50%\nOther executives 25% 50%\nKillam will match the elected amount in the form of r estricted shares having a value equal to the volume weighted average price of all \ncommon shares traded on the TSX for the five trading days immediately preceding the date on which the compensation is payable. The \nRestricted Shares earn notional dividends based on the same dividends paid on the common shares, and such notional dividends are used \nto acquire additional Restricted Shares. The initial Restricted Shares and Restricted Shares acquired through notional dividend reinvestment \nare credited to each person’s account and are not issued to the employee or board member until they redeem such Restricted Shares.\nthe r estricted shares will be redeemed and paid out by December 31 of the year in which the r estricted shares have vested. the \nRestricted Shares shall vest with the following schedule; (a) 50% on the second anniversary of the grant date; and (b) 50% on the third \nanniversary of the grant date .\nThe details of the restricted share units issued under the RSU plan are shown below:\nFor the years ended December 31, 2013 2012\nNumber of \nShares\nWeighted \nAverage \nIssue Price\n number of \nshares\nWeighted \na verage \nissue Price\nOutstanding, beginning of year 100,209 $11.89 48,082 $10.96\nGranted 50,070 11.90 49,265 12.84\nr edeemed (50,090) 11.09 ‑ ‑\nForfeited (12,226) 11.78 ‑ ‑\nAdditional restricted share distributions 6,382 12.06 2,862 11.34\nOutstanding, end of year 94,345 $12.34 100,209 $11.89\n18. Home Sales\nFor the years ended December 31, 2013 2012\nHome sales revenues $2,598 $2,241\ncost of home sales (2,226) (1,789)\nnew home placement fees 17 98\nOperating expenses (66) (81)\nincome from home sales $323 $469\n19. Corporate Income\nFor the years ended December 31, 2013 2012\nProperty management fees $518 $363\ninterest and other revenue 228 599\n$746 $962\nKillam ProPerties inc | 2013 87", - "page_start": 86, - "page_end": 86, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n96\nwww.kingsgate.com.au\nSet out below are summaries of options under the plans.\nGrant date Expiry date\nExercise \nprice \n$\nBalance \nstart of year \nNumber\nGranted \nduring year \nNumber\nExpired \nduring year \nNumber\nBalance \nend of year \nNumber\nVested and \nexercisable at \nend of year \nNumber\nYear ended 30 June 2013 – Employees\n04 Apr 2008 03 Apr 2013 $6.00 481,000 – (481,000) – –\nTotal 481,000 – (481,000) – –\nWeighted average exercise price $6.00 – $6.00 – –\nYear ended 30 June 2012 – Employees\n07 Jul 2006 01 Jul 2011 $6.00 50,000 – (50,000) – –\n04 Apr 2008 03 Apr 2013 $4.68 58,535 – (58,535) – –\n04 Apr 2008 03 Apr 2013 $6.00 566,001 – (85,001) 481,000 481,000\nTotal 674,536 – (193,536) 481,000 481,000\nWeighted average exercise price $5.89 – $5.60 $6.00 $6.00\n \nThe fair value of shares issued on the exercise of options is the weighted average price at which the Company’s shares were traded on the Australian \nSecurities Exchange on the day prior to the exercise of the options.\nThe weighted average remaining contractual life of share options outstanding at the end of the period was 2.59 years (2012: 2.95 years).\nYear ended 30 June 2013 – Other\n04 Apr 2008 03 Apr 2013 $6.00 415,000 – (415,000) – –\n04 Apr 2008 03 Apr 2013 $7.0 0 500,000 – (500,000) – –\n26 Aug 2011 25 Aug 2014 $10.36 1,500,000 – – 1,500,000 1,500,000\n23 Sep 2011 22 Sep 2016 $10.50 3,333,334 – – 3,333,334 3,333,334\nTotal 5,748,334 – (915,000) 4,833,334 4,833,334\nWeighted average exercise price $9.83 $6.55 $10.46 $10.46\nYear ended 30 June 2012 – Other\n04 Apr 2008 03 Apr 2013 $6.00 415,000 – – 415,000 415,000\n04 Apr 2008 03 Apr 2013 $7.0 0 500,000 – – 500,000 500,000\n26 Aug 2011 25 Aug 2014 $10.36 – 1,500,000 – 1,500,000 1,500,000\n23 Sep 2011 22 Sep 2016 $10.50 – 3,333,334 – 3,333,334 3,333,334\nTotal 915,000 4,833,334 – 5,748,334 5,748,334\nWeighted average exercise price $6.55 $10.46 $9.83 $9.83\n \nExecutive Rights Plan\nOn 1 July 2012, the Company introduced an Executive Rights Plan which involves the grant of two types of rights being performance rights and deferred \nrights. Subject to the satisfaction of the performance condition at the end of a three year measurement period in respect of performance rights and the \nservice condition at the end of the three year vesting period in respect of deferred rights, the rights will vest. The first $1,000 of value per individual award is \nsettled by cash with the balance settled by shares. \n24. Employee benefits and share-based payments continued", - "page_start": 97, - "page_end": 97, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What metrics are good indicators of the coverage of gas molecules on carbon nanotubes ?", - "target_page": 1, - "target_passage": "the bind- ing energy and scattering resistance of the molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\nJ. M. Garc´ıa-Lastra1,2,∗D. J. Mowbray1,2, K. S. Thygesen 2, A. Rubio 1,3, and K. W. Jacobsen 2\n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,\nDpto. F ´ısica de Materiales, Universidad del Pa ´ıs Vasco,\nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti ´an, Spain\n2Center for Atomic-scale Materials Design, Department of Physics,\nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark\n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan-\notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components\nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal\natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis-\ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites\nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function\nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to\nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\nThe ability to detect small concentrations of specific chem-\nical species is fundamental for a variety of industrial and sci-\nentific processes as well as for medical applications and en-\nvironmental monitoring [1]. In general, nanostructured mate-\nrials should be well suited for sensor applications because of\ntheir large surface to volume ratio which makes them sensi-\ntive to molecular adsorption. Specifically, carbon nanotubes\n(CNT) [2] have been shown to work remarkably well as de-\ntectors of small gas molecules. This has been demonstrated\nboth for individual CNTs [3–8] as well as for CNT networks\n[9, 10].\nPristine CNTs are known to be chemically inert – a prop-\nerty closely related to their high stability. As a consequence,\nonly radicals bind strong enough to the CNT to notably affect\nits electrical properties [2, 5, 11–13]. To make CNTs attrac-\ntive for sensor applications thus requires some kind of func-\ntionalization, e.g. through doping or decoration of the CNT\nsidewall [13–21]. Ideally, this type of functionalization could\nbe used to control not only the reactivity of the CNT but also\nthe selectivity towards specific chemical species.\nIn this work we consider the possibility of using CNTs\ndoped by 3d transition metal atoms for chemical gas sens-\ning. We use computational screening to systematically iden-\ntify the most promising dopant candidates for detection of\nthree different target molecules (CO, NH 3, H2S) under typi-\ncal atmospheric conditions. The screening procedure is based\non the calculation of two microscopic descriptors: the bind-\ning energy and scattering resistance of the molecules when\nadsorbed on a doped CNT. These two quantities give a good\nindication of the gas coverage and impact on the resistance.\nFor the most promising candidates we then employ a simple\nthermodynamic model of the CNT sensor. In this model, the\nbinding energies are used to obtain the fractional coverage of\nthe metallic sites as a function of the target molecule concen-\ntration under ambient conditions. Under the assumption of\ntransport in the diffusive rather than localization regime, the\nchange in CNT resistivity may then be obtained from the cal-\nculated coverages and single impurity conductances.\nWe find that oxidation of the active metal site passivates\nthe sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "4\nall N impurities. At this point it suffices to see that the con-\nservative estimates obtained from Eq. (7) predict measurable\nsignals in response to small changes in concentration of the\ntarget molecules.\nTo our knowledge, controlled doping of CNTs with transi-\ntion metal atoms has so far not been achieved. It has, how-\never, been found that metal atoms incorporated into the CNT\nlattice during catalytic growth are afterwards very difficult to\nremove [30]. Furthermore, it has been shown that CNT vacan-\ncies, which are needed for the metallic doping, may be formed\nin a controlled way by irradiation by Ar ions [31]. This sug-\ngests that metallic doping of CNTs should be possible.\nIn summary, we have presented a general model of nanos-\ntructured chemical sensors which takes the adsorption en-\nergies of the relevant chemical species and their individual\nscattering resistances as the only input. On the basis of this\nmodel we have performed a computational screening of tran-\nsition metal doped CNTs, and found that Ni-doped CNTs are\npromising candidates for detecting CO in a background of air.\nThe model may be applied straightforwardly to other nanos-\ntructures than CNTs, other functionalizations than metal dop-\ning and other gas compositions than air.\nThe authors acknowledge financial support from Span-\nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados\nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF\nproject (Contract Number 211956), “Red Espa˜nola de Super-\ncomputaci´on”, NABIIT and the Danish Center for Scientific\nComputing. The Center for Atomic-scale Materials Design\n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L\nacknowledges funding from Spanish MICINN through Juan\nde la Cierva and Jos´e Castillejo programs.\n∗ Electronic address: juanmaria.garcia@ehu.es\n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999).\n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport\nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May\n2007), doi:10.1103/RevModPhys.79.677.\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng,\nK. Cho, and H. Dai, “Nanotube molecular wires as\nchemical sensors”, Science 287(5453), 622 (Jan. 2000),\ndoi:10.1126/science.287.5453.622.\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, “Ex-\ntreme oxygen sensitivity of electronic properties of car-\nbon nanotubes”, Science 287(5459), 1801 (Mar. 2000),\ndoi:10.1126/science.287.5459.1801.\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling,\nIntegration and Applications (Wiley-VCH, Weinheim, 2008).\n[6] F. Villalpando-P ´aez, A. H. Romero, E. Mu ˜noz-Sandoval,\nL. M. Mart ´ınez, H. Terrones, and M. Terrones, “Fabrica-\ntion of vapor and gas sensors using films of aligned CN x\nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004),\ndoi:10.1016/j.cplett.2004.01.052.\n[7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R.\nda Silva, “Designing real nanotube-based gas sen-\nsors”, Phys. Rev. Lett. 100(17), 176803 (May 2008),\ndoi:10.1103/PhysRevLett.100.176803.\n[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring\ngas sensing properties of carbon nanotubes”, J. Appl. Phys.\n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n[9] C. Morgan, Z. Alemipour, and M. Baxendale, “Variable\nrange hopping in oxygen-exposed single-wall carbon nanotube\nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008),\ndoi:10.1002/pssa.200778113.\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, “In-\nfluence of O 2 and N 2 on the conductivity of carbon nan-\notube networks”, Phys. Rev. B 79(19), 195431 (May 2009),\ndoi:10.1103/PhysRevB.79.195431.\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi,\nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of\ndefects on the gas sensing properties of carbon nanotubes thin\nfilms: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "the sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the\nmost promising candidate for CO detection. For this system\nthe change in resistance per active site is generally significant\n(>1 Ω) for small changes in CO concentration in the relevant\nrange of around 0.1–10 ppm. Our approach is quite general\nand is directly applicable to other nanostructures than CNTs,\nother functionalizations than metal doping, and other back-\ngrounds than atmospheric air.\nAll total energy calculations and structure optimizations\nhave been performed with the real-space density functional\ntheory (DFT) code GPAW [22] which is based on the projector\naugmented wave method. We use a grid spacing of 0.2 ˚A for\nrepresenting the density and wave functions and the PBE ex-\nchange correlation functional [23]. Transport calculations for\nthe optimized structures have been performed using the non-\nequilibrium Green’s function method [24] with an electronic\nHamiltonian obtained from the SIESTA code [25] in a dou-\nble zeta polarized (DZP) basis set. Spin polarization has been\ntaken into account in all calculations.\nMetallic doping of a (6,6) CNT has been modeled in a su-\npercell containing six repeated minimal unit cells along the\nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size\nof supercell a Γ-point sampling of the Brillouin zone was\nfound to be sufficient. The formation energy for creating a\nvacancy (VC) occupied by a transition metal atom (M) was\ncalculated using the relation\nEform[M@VC] = E[M@VC] + nE[C] −E[M@NT] (1)\nwhere E[M@VC] is the total energy of a transition metal\natom occupying a vacancy in the nanotube, n is the number\nof carbon atoms removed to form the vacancy,E[C] is the en-\nergy per carbon atom in a pristine nanotube, and E[M@NT]\narXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "films: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for\nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct.\n2009), doi:10.1103/PhysRevB.80.155447.\n[13] J. M. Garc ´ıa-Lastra, K. S. Thygesen, M. Strange, and\n´Angel Rubio, “Conductance of sidewall-functionalized\ncarbon nanotubes: Universal dependence on adsorption\nsites”, Phys. Rev. Lett. 101(23), 236806 (Dec. 2008),\ndoi:10.1103/PhysRevLett.101.236806.\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “ Ab\ninitio study of an iron atom interacting with single-wall car-\nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003),\ndoi:10.1103/PhysRevB.67.205414.\n[15] Y . Yagi, T. M. Briere, M. H. F. Sluiter, V . Kumar, A. A. Farajian,\nand Y . Kawazoe, “Stable geometries and magnetic properties of\nsingle-walled carbon nanotubes doped with 3d transition met-\nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb\n2004), doi:10.1103/PhysRevB.69.075414.\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y . Kim, S. I. Woo, and\nJ. K. Kang, “Interaction of a transition metal atom with intrinsic\ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B\n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles\nstudy of metal adatom adsorption on graphene”, Phys. Rev. B\n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n[18] C. S. Yeung, L. V . Liu, and Y . A. Wang, “Adsorption\nof small gas molecules onto Pt-doped single-walled carbon\nnanotubes”, J. Phys. Chem. C 112(19), 7401 (Apr. 2008),\ndoi:10.1021/jp0753981.\n[19] T. V o, Y .-D. Wu, R. Car, and M. Robert, “Structures, in-\nteractions, and ferromagnetism of Fe-carbon nanotube sys-\ntems”, J. Phys. Chem. C 112(22), 400 (May 2008),\ndoi:10.1021/jp0761968.\n[20] J. A. F ¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “ Ab\ninitio study of spin-dependent transport in carbon nanotubes\nwith iron and vanadium adatoms”, Phys. Rev. B78(19), 195405\n(Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n[21] A. V . Krasheninnikov, P. O. Lehtinen, A. S. Foster,\nP. Pyykk ¨o, and R. M. Nieminen, “Embedding transition-\nmetal atoms in graphene: Structure, bonding, and mag-\nnetism”, Phys. Rev. Lett. 102(12), 126807 (Mar. 2009),\ndoi:10.1103/PhysRevLett.102.126807.\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen,\n“Real-space grid implementation of the projector augmented\nwave method”, Phys. Rev. B 71(3), 035109 (Jan. 2005),\ndoi:10.1103/PhysRevB.71.035109.\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi-\nent approximation made simple”, Phys. Rev. Lett.77(18), 3865\n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "3\n10\n-3\n10\n-2\n10\n-1\n10\n0\n10\n-3\n10\n-2\n10\n-1\n10\n0\nFractional Coverage Θ of Ni Occupied Vacancies\n0.1 1 10 100\nCO Concentration [ppm]\n10\n-4\n10\n-3\n10\n-2\n10\n-1\n10\n0\nO 2\nCO\nCOClean\nO 2\nO 2\nClean\n(a) Monovacancy\n(b) Divacancy I\n(c) Divacancy II\n10\n2\n10\n3\n0.1 1 10 100\nCO Concentration [ppm]\n-10\n1\n0\n10\n1\nMonovacancy\nDivacancy I\nDivacancy II\nChange in Resistance ∆R [Ω / Ni Occupied Vacancy]\n(d)\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a)\nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in\nresistance ∆R per dopant site as a function of CO concentration in\na background of air at room temperature and 1 bar of pressure. The\nreference concentration of CO is taken to be C0 =0.1 ppm. Note the\nchange from linear to log scale on the y-axis at ∆R =10 Ω.\nFor a given background composition we may thus estimate\nthe fractional coverages for each available adsorbate for a\ngiven type of doping. As an example, Fig. 3(a)-(c) shows the\nfractional coverage of a Ni atom occupying a monovacancy,\ndivacancy I, and divacancy II, versus CO concentration in a\nbackground of air at room temperature and 1 bar of pressure.\nDue to the relatively small binding energy of N 2 and H2O as\ncompared to O 2 and CO, all Ni sites will be either empty or\noccupied by O 2 or CO. In particular, Ni in a monovacancy\n(top panel of Fig. 3) will be completely oxidized for all rel-\nevant CO concentrations. For the Ni occupied divacancy II\nstructures we find the coverage of CO changes significantly\naround toxic concentrations (∼10 ppm).\nTo estimate the effect of adsorbates on the electrical con-\nductance of doped CNTs, we first consider the change in con-\nductance when a single molecule is adsorbed on a metal site of\nan otherwise pristine CNT. In Fig. 2(b) we show the calculated\nchange in conductance relative to the metal site with no ad-\nsorbate. In contrast to the binding energies, there are no clear\ntrends in the conductances. The sensitivity of the conductance\nis perhaps most clearly demonstrated by the absence of cor-\nrelation between different types of vacancies, i.e. between the\nthree panels in Fig. 2(b). Close to the Fermi level, the conduc-\ntance of a perfect armchair CNT equals 2 G0. The presence\nof the metal dopant leads to several dips in the transmission\nfunction known as Fano antiresonances [20]. The position\nand shape of these dips depend on the d-levels of the transi-\ntion metal atom, the character of its bonding to the CNT, and\nis further affected by the presence of the adsorbate molecule.\nThe coupling of all these factors is very complex and makes\nit difficult to estimate or rationalize the value of the conduc-\ntance. For the spin polarized cases, we use the spin-averaged\nconductances, i.e. G = (G↑+ G↓)/2.\nNext, we estimate the resistance of a CNT containing sev-\neral impurities (a specific metal dopant with different molecu-\nlar adsorbates). Under the assumption that the electron phase-\ncoherence length, lφ, is smaller than the average distance be-\ntween the dopants, d, we may neglect quantum interference\nand obtain the total resistance by adding the scattering resis-\ntances due to each impurity separately. The scattering resis-\ntance due to a single impurity is given by\nRs(X) = 1/G(X) −1/(2G0), (6)\nwhere G(X) is the Landauer conductance of the pristine CNT\nwith a single metal dopant occupied by molecule X and\n1/(2G0) is the contact resistance of a (6,6) CNT.\nWe may now obtain the total resistance per dopant site rel-\native to the reference background signal as a function of the\ntarget molecule concentration\n∆R\nN ≈\n∑\nX\nRs(X)(Θ[X, C] −Θ[X, C0]), (7)\nwhere N is the number of dopants, Θ[X, C] is the fractional\ncoverage of species X at concentration C of the target and C0\nis the reference concentration. Notice that the contact resis-\ntance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "5\n[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja-\ncobsen, “Benchmark density functional theory calculations for\nnanoscale conductance”, J. Chem. Phys.128(11), 114714 (Mar.\n2008), doi:10.1063/1.2839275.\n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or-\ndej´on, and D. S´anchez-Portal, “The SIESTA method forab ini-\ntio order-n materials simulation”, J. Phys.: Condens. Matter\n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge\nUniversity Press, London, 1961).\n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford\nUniversity Press, London, 2006).\n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC-\nPress, 2006–2007).\n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-\ning theory put into practice: First-principles modeling of trans-\nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803\n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y . Sato, K. Tohji, F. Watari,\nW.-J. Chun, Y . Koike, and K. Asakura, “X-ray absorption fine\nstructure (XAFS) analyses of Ni species trapped in graphene\nsheet of carbon nanofibers”, Phys. Rev. B73(14), 144103 (Apr.\n2006), doi:10.1103/PhysRevB.73.144103.\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel,\nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con-\nductance of single-walled carbon nanotubes by ion irradiation\nin the Anderson localization regime”, Nature Materials 4, 534\n(Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "2\nTi V Cr Mn Fe Co Ni Cu Zn0\n2\n4\n6\n8Formation Energy E form [eV] Empty Monovacancy\nEmpty Divacancy II\nEmpty Divacancy I\n Monovacancy Divacancy I Divacancy II\nCarbon Nanotube Axis\nFIG. 1: Structural schematics and formation energy for a 3d tran-\nsition metal occupied monovacancy (black), divacancy I (gray), or\ndivacancy II (white) in a (6,6) carbon nanotube. Formation energies\nof the empty vacancies are indicated by dashed lines.\nis the total energy of the pristine nanotube with a physisorbed\ntransition metal atom. We have considered the monovacancy\nand two divacancies shown in Fig. 1. The energy required to\nform an empty vacancy is obtained from\nEform[VC] = E[VC] + nE[C] −E[NT], (2)\nwhere E[VC] is the total energy of the nanotube with a va-\ncancy of n atoms.\nThe calculated formation energies for the 3d transition met-\nals are shown in Fig. 1. From the horizontal lines we see that\nboth divacancies are more stable than the monovacancy. This\nmay be attributed to the presence of a two-fold coordinated C\natom in the monovacancy, while all C atoms remain three-fold\ncoordinated in the divacancies. When a transition metal atom\noccupies a vacancy, the strongest bonding to the C atoms is\nthrough its d orbitals [26]. For this reason, Cu and Zn, which\nboth have filled d-bands, are rather unstable in the CNT. For\nthe remaining metals, adsorption in the monovacancies leads\nto quite stable structures. This is because the three-fold coor-\ndination of the C atoms and the CNT’s hexagonal structure are\nrecovered when the metal atom is inserted. On the other hand,\nmetal adsorption in divacancies is slightly less stable because\nof the resulting pentagon defects, see upper panel in Fig. 1. A\nsimilar behaviour has been reported by Krasheninnikov et al.\nfor transition metal atoms in graphene [21].\nThe adsorption energies for N 2, O 2, H 2O, CO, NH 3, and\nH2S on the metallic site of the doped (6,6) CNTs are shown in\nFig. 2(a). The adsorption energy of a molecule X is defined\nby\nEads[X@M@VC] = E[X@M@VC] −E[X] −E[M@VC],\n(3)\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S MonovacancyDivacancy II Divacancy I\nDivacancy II Divacancy I Monovacancy\nCr Fe Co Ni Cu ZnMnTi V\n 0.0\n(a) Adsorption Energy [eV]\n−2.0 −1.5 −1.0 −0.5\nCr Fe Co Ni Cu ZnMnTi V\n0.0 +0.5 +1.0\n 0(b) Conductance Change [G ]\n−1.0 −0.5\nFIG. 2: Calculated (a) adsorption energyEads in eV and (b) change in\nconductance ∆G in units of G0 =2e2/h for N2, O2, H2O, CO, NH3,\nand H 2S on 3d transition metals occupying a monovacancy (top),\ndivacancy I (middle), and divacancy II (bottom) in a (6,6) carbon\nnanotube.\nwhere E[X@M@VC] is the total energy of molecule X on\na transition metal atom occupying a vacancy, and E[X] is the\ngas phase energy of the molecule.\nFrom the adsorption energies plotted in Fig. 2(a), we see\nthat the earlier transition metals tend to bind the adsorbates\nstronger than the late transition metals. The latest metals in\nthe series (Cu and Zn) bind adsorbates rather weakly in the\ndivacancy structures. We also note that O2 binds significantly\nstronger than any of the three target molecules on Ti, V , Cr,\nand Mn (except for Cr in divacancy I where H 2S is found to\ndissociate). Active sites containing these metals are therefore\nexpected to be completely passivated if oxygen is present in\nthe background. Further, we find H2O is rather weakly bound\nto most of the active sites. This ensures that these types of\nsensors are robust against changes in humidity.\nIn thermodynamic equilibrium [27], the coverage of the ac-\ntive sites follows from\nΘ[X] = K[X]C[X]\n1 + ∑\nY K[Y ]C[Y ], (4)\nwhere K = k+/k−is the ratio of forward and backward rate\nconstants for the adsorption reaction,\nK[X] = exp\n[\n−Eads[X] + TS [X]\nkBT\n]\n. (5)\nIn these expressions C[X] is the concentration of species X,\nS[X] is its gas phase entropy and T is the temperature. Ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "tance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-\npying the three types of vacancies. The background reference\nconcentration of CO is taken to be C0 = 0 .1 ppm. For the\nmonovacancy there is very little change in resistivity. This is\nbecause most active sites are blocked by O 2 at relevant CO\nconcentrations, as shown in the upper panel of Fig. 3. For Ni\nin the divacancies there is, however, a change in resistance on\nthe order of 1Ω per site. For concentrations above ∼1 ppm,\nthe CO coverage of Ni in the divacancy II increases dramati-\ncally and this leads to a significant increase in resistance.\nWe now return to the discussion of the validity of Eq. (7).\nAs mentioned, the series coupling of individual scatterers\nshould be valid when lφ < d. However, even for lφ > d\nand assuming that the Anderson localization length, lloc in\nthe system exceeds lφ, Eq. (7) remains valid if one replaces\nthe actual resistance R by the sample averaged resistance ⟨R⟩\n[29]. At room temperature under ambient conditions, interac-\ntions with external degrees of freedom such as internal CNT\nphonons and vibrational modes of the adsorbed molecules\nwould rapidly randomize the phase of the electrons. There-\nfore Eq. (7) should certainly be valid in the limit of low dop-\ning concentrations. On the other hand, the total number of\ndopants, N, should be large enough for the statistical treat-\nment of the coverage to hold. Finally, we stress that Eq. (7)\nrepresents a conservative estimate of the change in resistance.\nIn fact, in the regime where lφ > lloc, i.e. in the Anderson\nlocalization regime, the resistance would be highly sensitive\nto changes in the fractional coverage of active sites. Calcula-\ntion of the actual resistance of the CNT in this regime would,\nhowever, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three-\ndimensional models are also discussed in the literature [76, 77].\nB. Dynamical Density Functional theory\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle.\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid,\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to\ndistinguish between the influence of the short- and the long-range parts of the interactions with the\nsubstrate, as all such interactions are absorbed into the effective chemical potential.\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond\nto number densities as we use the lattice spacing σ= 1 as our unit of length.\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl,ρn], and\nsecondly, devise dynamical equations for both density fields that account for the conserved and the\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively.\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams)\napproximation for the free energy of the system [78, 84] which contains an entropic contribution\nand contributions from the interactions between the different species (nanoparticles and liquid).\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the\n14", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "(iii)\n(iv)\n(ii)\n(i)\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thicknesshand (right) the nanoparticle\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning,\n(iii) slow motion after depinning, and (iv) final evaporation from the center.\nshould also be investigated further in the simple case presented here.\nIV . CONCLUSION\nWe have discussed recent work on pattern formation processes in films and drops of evaporating\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics\non the mesoscale has been described as well as more microscopic models for the dynamics in the\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film\nmodel.\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-\n23", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the source of inaccuracy of the MSA3 model at high ionic concentrations ?", - "target_page": 3, - "target_passage": "At high concentration (about 1 mol l−1), the MSA3 overestimates the free energy", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "4\nr (Å)\n2\n4\n6\n8\n4 6 8\n0.5\n1\n1.5\n4 6 8\n0.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 11 (r)\n1.5 mol.L\n-1\ng 22 (r)\nFIG. 5: (Color online) RDF obtained from MC simulations\n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed)\nat two concentrations.\nThe RDF obtained within BIMSA3 are compared with\nthe MC and MSA-fit results in Fig.\n5. Our BIMSA3\nmodel accounts for the strong molecular peak of the CIP\nand provides the correct distances of minimal approach;\nwhereas the naive MSA-fit procedure ignores the former\nand gives poor estimates for the latter. At larger sep-\narations, the BIMSA3 results do not reproduce the os-\ncillations observed in the MC simulations, but the cor-\nresponding energy oscillations in the effective potentials\nare less thankBT . In addition, the perturbation term\nof the BIMSA3 appears to be negligible compared to the\nreference term for concentrations less than 1 mol l− 1. The\nperturbation can then be omitted to obtain a fully ana-\nlytical theory, determined by the hard sphere diameters\nand the pair fraction given by LPT; with the free energy\nand the RDF given in terms of the BIMSA and MSA so-\nlutions, as described above. While the procedure we have\nfollowed uses two different approximations for the refer-\nence and perturbation terms (MSA vs BIMSA), these are\nknown to be accurate for the systems under consideration\nand do not appear to be inconsistent with each other.\nTo conclude, we have combined MD simulations with\nLPT to construct simple models of electrolyte solutions\nwhich account for the molecular nature of the solvent.\nThe final result is fully analytical and it yields the ther-\nmodynamic and structural properties of the solution, in\nagreement with the original molecular description. The\nmethodology can in principle be adapted to any molecu-\nlar description of the system (MD simulations involving\ninteraction potentials accounting for polarization effects\nor Car-Parrinello MD simulations for example) as long\nas the ion-ion RDF are known. It can also be generalized\nto study interfaces. The method appears to be a promis-\ning approach toward the description of the specific effects\nof ions, especially for complex systems whose modeling\nrequires an analytic solution.\nThe authors are particularly grateful to Werner Kunz\nfor fruitful discussions.\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13,\n276 (1945).\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical\nChemistry of Electrolyte Solutions (Springer, 1998).\n[3] L. Blum, in Theoretical Chemistry: Advances and Per-\nspectives, edited by H. Eyring and D. Henderson (Aca-\ndemic Press, 1980), vol. 5, pp. 1–66.\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n[5] J.-F. Dufrˆ eche et al., J. Phys. Chem. B 109, 9873 (2005).\n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259\n(2006).\n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin.\nColloid Interface Sci.9, 1 (2004).\n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett.\n96, 147801 (2006).\n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507\n(2009).\n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110,\n10878 (2006)\n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52,\n3730 (1995).\n[12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104\n(2007).\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev.\nLett.100, 258105 (2008).\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq-\nuids (Academic Press, 1986).\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R.\nSoc. London, Ser. A359, 1545 (2001).\n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65,\n041202 (2002).\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo-\ndynamic and Transport Properties , vol. I-II (Coimbra Ed-\nitora, Lisbon, Portugal, 1984).\n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88,\n333 (1984).\n[20] J.-F. Dufrˆ eche, T. O. White, and J.-P. Hansen, Mol.\nPhys.101, 1741 (2003).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "3\nr (Å)\n0\n1\n2\n3\nβ V~\n12\nSR\n(r)\nβ V 12\nSR\n(r)\nβ V~\n33\nSR\n(r)\n4 6 8 10\n0\n1\n2\n3 β V~\n13\nSR\n(r)\n4 6 8 10\nβ V~\n23\nSR\n(r)\n(a)\n(b) (c)\n(d)\nFIG. 3: Effective pair potentials derived for MSA3 and\nBIMSA3. (a) Cation anion (dashed line: without taking the\npair into account), (b) pair cation, (c) pair anion, and (d) pair\npair. The internal potential of the pair β ˜Vint(r) is set equal\nto βV eff\nij (r) for distances less than 4 ˚\nA.\ntrapolating the original potential at the barrier separat-\ning pairs from free ions (as shown in Fig.\n3). We assume\nthat the interaction potential is averaged over the rota-\ntional degrees of freedom of the CIP and thus pairwise\nadditive. Hereafter, the quantities referring to such a\nthree-component model are written with a tilda symbol.\nThe short-range potentials involving the pair can be de-\nrived, in the infinite dilution limit, from an average of\nthe contributing ion interactions. In Fourier space,\n˜V SR\n3i (k) = ˜w(k/ 2)\n[\nV SR\n1i + V SR\n2i\n]\n(k), i = 1 , 2 (2a)\n˜V SR\n33 (k) = ˜w(k/ 2)2[\nV SR\n11 + V SR\n22 + 2V SR\n12\n]\n(k) (2b)\nwhere ˜w(r) is the pair probability distribution\n˜w(r) = K− 1\n0 e− β ˜Vint(r) (2c)\n˜Vint(r) is the internal part of the pair potential (see\nFig.\n3), and K0 is the association constant, defined as:\nK0 =\n∫ ∞\n0\ndr 4πr2e− β ˜Vint(r) = 0 . 43 L . mol− 1 (3)\nThe excess free-energy density of the original system\nβf ex\nv is that of the three component mixture β ˜fex\nv plus a\ncorrection term\nβf ex\nv = β ˜fex\nv − ˜ρ3 ln K0, (4)\nwhich is due to the change in standard chemical potential\nbetween the two component and three component mod-\nels. It should be noted that the fraction of pairs is now an\nadditional parameter in the minimization scheme, which\nserves to ensure chemical equilibrium. Within this rep-\nresentation, the pair can be modeled as a hard sphere\n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n-1.5\n-1\n-0.5\n0\nβ f v\nex\n (mol.L\n-1\n)\nMC\nMSA2\nMSA3\nBIMSA3\nDHLL\nExp\n0 0.5 1\n0.1\n0.2\nPair Fraction\nFIG. 4: (Color online) Excess free-energy density βf ex\nv as\na function of the square root of the concentration √ c. (dia-\nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3,\n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The\ninset gives the fraction of pairs (MSA3, BIMSA3) as a func-\ntion of√\nc.\nwe have no additional information, we consider only sym-\nmetric dumbbells. Furthermore, since analytic expres-\nsions for the RDF within BIMSA are not known, we ap-\nproximate the dumbbell as a hard sphere when comput-\ning the perturbation term (this is not necessary for the\nreference term, since an expression for the free energy\nis available). Let˜σc be the diameter of the cation (an-\nion) within the dumbbell, the diameter of the hard sphere\nrepresenting this dumbbell is taken to be˜σ3 = 4\n√\n2\nπ ˜σc[21].\nUsing these two reference systems, the three-\ncomponent MSA3 and BIMSA3, we obtain results in\nmuch better agreement with the MC simulations, as\nshown in Fig.\n4. The diameters obtained for species 1,\n2, and 3 are 3.65, 4.79, and 5.76 ˚\nA for MSA3 and 3.69,\n4.75 and 6.19 ˚\nA for BIMSA3. The free ion diameters are\nsimilar for MSA2, MSA3, and BIMSA3. The pair diam-\neter is smaller when modeled as a hard sphere (MSA3)\nthan when modeled as a dumbbell (BIMSA3). At high\nconcentration (about 1 mol l− 1), the MSA3 overestimates\nthe free energy, because the excluded volume repulsion\nbecomes too important for the pairs to be represented as\nhard spheres. The BIMSA3 model is the closest to the\nMC simulation results. It is worth noting that even at\nthe lowest concentration considered, the fraction of pairs\n(shown in the insert of Fig.\n4), although less then 5%,\nhas a non-negligible effect on the thermodynamics of the\nsystem.\nThis procedure also provides an accurate description of\nthe structure over the whole range of concentrations. A\ndevelopment similar to the one that leads to Eq. (\n2) de-\nrives the average unpaired RDF from the corresponding\npaired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "responds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-\nsure, much smaller values are obtained. These MSA-fit\nhydrated diameters, which are compared to the MSA2\ndiameters in the bottom part of Fig.\n2, are averages of\nthe CIP and the solvent-separated ion pair.\nTo overcome this difficulty, we have explicitly intro-\nduced the CIP in our model (species 3). Straightforward\ncalculations, based on a characteristic-function formal-\nism, allow us to define an equivalent model in which\nthe free ions and the CIP are explicitly taken into ac-\ncount [19, 20]. We apply this formalism by defining a\npair as an anion and a cation at a distance less than\n4˚\nA, which corresponds to the position of the effective\npotential maximum. The interaction between free, like\ncharges in this new system remains unchanged, and the\ncation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "arXiv:1001.2648v1 [physics.chem-ph] 15 Jan 2010\nModels of electrolyte solutions from molecular descriptions: The example of NaCl\nsolutions\nJohn Jairo Molina 1, 2, 3,∗ Jean-Fran¸ cois Dufrˆ eche1, 2, 3,† Mathieu\nSalanne1, 2, Olivier Bernard 1, 2, Marie Jardat 1, 2, and Pierre Turq 1, 2\n1 UPMC-Universit´ e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France\n3 Institut de Chimie S´ eparative de Marcoule (ICSM),\nUMR 5257 CEA–CNRS–Universit´ e Montpellier 2, Site de Marco ule,\nBˆ atiment 426, BP 17171, 30207 Bagnols-sur-C` eze Cedex, Fr ance\nWe present a method to derive implicit solvent models of elec trolyte solutions from all-atom\ndescriptions; providing analytical expressions of the the rmodynamic and structural properties of\nthe ions consistent with the underlying explicit solvent re presentation. Effective potentials between\nions in solution are calculated to perform perturbation the ory calculations, in order to derive the\nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions\nyields excellent agreement with the all-atom model, provid ed ion association is taken into account.\nSince the pioneering works of Debye, H¨ uckel, and\nOnsager, electrolyte solutions have been commonly\ndescribed by continuous solvent models, for which\nthe McMillan-Mayer theory [1] provides a rigorous\nstatistical-mechanical foundation. Within that level of\ndescription, simple phenomenological models such as the\nprimitive model (PM), for which the ions are assimi-\nlated to charged hard spheres [2], can lead to explicit\nformulas for the thermodynamic and structural proper-\nties (e.g., with the help of the mean spherical approxima-\ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These\nmodels are the most practical to use [5], since they allow\nfor a direct link between the experimental measurements\nand the microscopic parameters of the system. Never-\ntheless, they ignore the molecular structure of the sol-\nvent. Consequently, they cannot properly account for\nthe complex specific effects of the ions, which appear in\nnumerous biological, chemical, and physical interfacial\nphenomena [6, 7], without further developments.\nAn alternative procedure consists in carrying out\nmolecular simulations, where both the solvent and solute\nare treated explicitly. After a rigorous averaging over\nthe solvent configurations, a coarse-grained description\nof the ions, which still includes the effect of the solvent\nstructure, can be obtained [8–11]. However, this set of\nmethods is purely numeric; they do not provide any an-\nalytical expression for thermodynamic quantities. They\nare therefore restricted to simple geometries [12, 13] (bulk\nsolutions or planar interfaces). The description of com-\nplex systems, such as porous or electrochemical materi-\nals, is still based on continuous solvent models [14].\nIn this letter we present a method aimed at bridging\nthe gap between analytical and numerical approaches. It\nis based on the application of liquid perturbation theory\n(LPT) [15] to effective ion-ion potentials extracted from\n∗ Electronic address: john.molina@etu.upmc.fr\n† Electronic address: jean-francois.dufreche@upmc.fr\nmolecular dynamics (MD) results. Different approxima-\ntions of the PM are employed for the case of NaCl elec-\ntrolyte solutions: a two component model (MSA2), that\nonly takes free ions into account, and two different three\ncomponent models (MSA3 and BIMSA3), which include\na third species (the contact ion pair). As we proceed\nto show, LPT allows us to select the best simple model\nwhich accurately accounts for the thermodynamics and\nthe physical-chemistry of the system.\nThe first stage consists in calculating the McMillan-\nMayer effective ion-ion interaction potentials V eff\nij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "2\nr (Å)\n0\n1\n2\n3 β V 12\nSR\n(r)\n2\n4\n6\n8\ng 12\nMC\n(r)\ng 12\nMD\n(r)\n4 6 8\n0\n1\n2\n3 β V 11\nSR\n(r)\n4 6 8\n0\n1\n2\n3β V 22\nSR\n(r)\n(a)\n(b)\n(d)\n(c)\nFIG. 1: Effective McMillan-Mayer short-range pair potentia ls\nextracted from explicit solvent simulations using the HNC\nclosure. (a) Cation anion, (b) cation cation, (c) anion anion,\n(d) cation anion RDF obtained from explicit solvent MD and\nimplicit solvent MC simulations.\npute all ion thermodynamic properties through implicit\nsolvent MC simulations.\nThe second stage of our coarse-graining procedure con-\nsists in applying LPT, in order to deduce the best ana-\nlytical model of electrolyte solutions which reproduces\nthis molecular description. The principle of LPT is to\ndescribe the properties of a given system in terms of\nthose of a well known reference system, with the differ-\nence between them treated as a perturbation in the ref-\nerence potential. Assuming pairwise additive potentials,\nVij = V (0)\nij + ∆V ij , a first-order truncated expression for\nthe free energy density of the system βfv is obtained,\nβfv ≲ βf (0)\nv + 1\n2β\n∑\ni,j\nρiρj\n∫\ndr g(0)\nij (r)∆V ij (r) (1)\nwhich depends only on the free-energy density f(0)\nv and\nRDF g(0) of the reference fluid, with β = ( kBT )− 1 and\nρi the concentration of species i. The Gibbs-Bogoliubov\ninequality [15] ensures that the right-hand side of Eq. ( 1)\nis actually a strict upper bound. Once a reference system\nhas been chosen, the expression on the right-hand side of\nEq. (\n1) must be minimized with respect to the parameters\ndefining the reference. This procedure yields the best\nfirst-order approximation to the free energy of the system\nunder consideration.\nFor a system of charged particles in solution, the nat-\nural reference is the PM, defined in terms of the charge\nand diameter (σi) of each species. In this case, the per-\nturbing potentials are just the short-range effective po-\ntentials computed above (∆Vij = V SR\nij ). We use the\nMSA [3] solution to the PM, since it provides analyti-\ncal expressions for both the free energy and the RDF.\nThe perturbation term is evaluated using an exponential\napproximation to the RDF obtained within the MSA,\ng(r) = exp [ gMSA(r) − 1], which removes any unphysical\nnegative regions and improves the comparison with HNC\ncalculations.\n0.9\n1\n1.1\n1.2\n1.3Φ\nMC\nMSA2\nDHLL\nExp\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n3\n4\n5σ (Å)\nσ 1 (MSA-fit)\nσ 2 (MSA-fit)\nσ 1 (MSA2)\nσ 2 (MSA2)\n(a)\n(b)\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the\nMcMillan-Mayer frame of reference. (diamond) MC simula-\ntions, (dot dashed) MSA2, (dot) Debye H¨ uckel Limiting law\n(DHLL), (cross) experiments (Ref. [18] with the McMillan-\nMayer to Lewis Randall conversion). (b) Minimization diam-\neters. (dot dashed) MSA2 and (diamond) MSA-fit.\nWe first used LPT for a two-component system (Na +\nand Cl − free ions) within the MSA (model MSA2), for\nconcentrations ranging from 0.1 to 2 . 0 mol l− 1. The mini-\nmization leads to almost constant diameters on the whole\nrange of concentration:σ1 = 3 . 67 ˚\nA and σ2 = 4 . 78 ˚\nA.\nAs shown in Fig.\n2, these parameters yield osmotic co-\nefficients close to MC calculations only at very low con-\ncentration, i.e.,c ≤ 0. 1 mol l− 1 (experimental values are\ngiven for indicative purposes only, since a perfect model\nwill exactly match the MC results). For molar solutions,\nthe LPT results differ considerably from MC calculations.\nThis discrepancy can easily be understood by comparing\nthe diameters found within the MSA2 calculation with\nthe effective potentials given in Fig.\n1. The anion/cation\ncontact distance obtained within the MSA2 calculation\nis 4. 2 ˚\nA, which is in the region of the second minimum of\nthe effective potential and corresponds to the situation\nwhere there is a single layer of water molecules between\nthe ions. The first minimum of the potential, which cor-\nresponds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "ij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-\ning the same interaction potentials as in reference [16].\nThis setup corresponds to a concentration of 0. 64 mol l− 1.\nNPT ensemble sampling at standard pressure and tem-\nperature was enforced, with a time step of 1 fs and a\npressure bath coupling constant of 1 ps. An equilibration\nrun of 0.25 ns was followed by a production run of 0.6 ns\nfor five different initial configurations. The averages of\nthe resulting RDF were then used for the potential inver-\nsion via the HNC closure [15]. These effective potentials\nare assumed to be concentration independent and will be\nused for simulations at all concentrations.\nSubtracting the long-range Coulombic potential\nV LR\nij (r) (which depends on the dielectric constant of the\nsolvent) from V eff\nij (r), we obtain the short-range contri-\nbution V SR\nij (r) to the effective potentials. These are given\nin Fig.\n1 (species 1 and 2 refer to Na + and Cl − free ions,\nrespectively). All the short-range potentials exhibit os-\ncillations corresponding to the solvent layering between\nthe ions, but this effect is particularly important for the\ncation-anion interaction: a considerable potential barrier\n(≳ 2kBT ) separates the first two attractive wells. To\nserve as a reference, Monte Carlo (MC) simulations were\nperformed with these effective potentials; a comparison\nbetween MD and MC RDF is also provided in Fig.\n1. The\nexcellent agreement between both sets of RDF validates\nthe HNC inversion procedure [17], and allows us to com-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How-\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains\nthe free energy functional for a continuous system\nF[ρl,ρn] =\n∫\ndr\n[\nf(ρl,ρn) + εll\n2 (∇ρl)2 + εnn\n2 (∇ρn)2 + εnl(∇ρn) ·(∇ρl) −µρl\n]\n, (4)\nwhere\nf(ρl,ρn) = kT[ρl ln ρl + (1 −ρl) ln(1−ρl)]\n+ kT[ρn ln ρn + (1 −ρn) ln(1−ρn)]\n−2εllρ2\nl −2εnnρ2\nn −4εnlρnρl. (5)\nSince the liquid may evaporate from the surface into the vapour above the surface, µis the (true)\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a\ngradient expansion of the free energy functional of a continuous system [84]. However, here we\nhave made the mapping from the free energy of the lattice KMC system.\nThe chemical potential for the nanoparticles may be determined from the functional derivative\nµn = δF[ρn,ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary\nspatially in a non-equilibrium system, i.e., µn = µn(r,t). We assume that the dynamics of the\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the\nfollowing evolution equation for the nanoparticle density profile\n∂ρn\n∂t = ∇·\n[\nMnρn∇δF[ρn,ρl]\nδρn\n]\n. (6)\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl −\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a\nmobility coefficient αwhen ρl is high (wet substrate).\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may\n15", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three-\ndimensional models are also discussed in the literature [76, 77].\nB. Dynamical Density Functional theory\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle.\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid,\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to\ndistinguish between the influence of the short- and the long-range parts of the interactions with the\nsubstrate, as all such interactions are absorbed into the effective chemical potential.\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond\nto number densities as we use the lattice spacing σ= 1 as our unit of length.\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl,ρn], and\nsecondly, devise dynamical equations for both density fields that account for the conserved and the\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively.\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams)\napproximation for the free energy of the system [78, 84] which contains an entropic contribution\nand contributions from the interactions between the different species (nanoparticles and liquid).\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the\n14", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "3\n10\n-3\n10\n-2\n10\n-1\n10\n0\n10\n-3\n10\n-2\n10\n-1\n10\n0\nFractional Coverage Θ of Ni Occupied Vacancies\n0.1 1 10 100\nCO Concentration [ppm]\n10\n-4\n10\n-3\n10\n-2\n10\n-1\n10\n0\nO 2\nCO\nCOClean\nO 2\nO 2\nClean\n(a) Monovacancy\n(b) Divacancy I\n(c) Divacancy II\n10\n2\n10\n3\n0.1 1 10 100\nCO Concentration [ppm]\n-10\n1\n0\n10\n1\nMonovacancy\nDivacancy I\nDivacancy II\nChange in Resistance ∆R [Ω / Ni Occupied Vacancy]\n(d)\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a)\nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in\nresistance ∆R per dopant site as a function of CO concentration in\na background of air at room temperature and 1 bar of pressure. The\nreference concentration of CO is taken to be C0 =0.1 ppm. Note the\nchange from linear to log scale on the y-axis at ∆R =10 Ω.\nFor a given background composition we may thus estimate\nthe fractional coverages for each available adsorbate for a\ngiven type of doping. As an example, Fig. 3(a)-(c) shows the\nfractional coverage of a Ni atom occupying a monovacancy,\ndivacancy I, and divacancy II, versus CO concentration in a\nbackground of air at room temperature and 1 bar of pressure.\nDue to the relatively small binding energy of N 2 and H2O as\ncompared to O 2 and CO, all Ni sites will be either empty or\noccupied by O 2 or CO. In particular, Ni in a monovacancy\n(top panel of Fig. 3) will be completely oxidized for all rel-\nevant CO concentrations. For the Ni occupied divacancy II\nstructures we find the coverage of CO changes significantly\naround toxic concentrations (∼10 ppm).\nTo estimate the effect of adsorbates on the electrical con-\nductance of doped CNTs, we first consider the change in con-\nductance when a single molecule is adsorbed on a metal site of\nan otherwise pristine CNT. In Fig. 2(b) we show the calculated\nchange in conductance relative to the metal site with no ad-\nsorbate. In contrast to the binding energies, there are no clear\ntrends in the conductances. The sensitivity of the conductance\nis perhaps most clearly demonstrated by the absence of cor-\nrelation between different types of vacancies, i.e. between the\nthree panels in Fig. 2(b). Close to the Fermi level, the conduc-\ntance of a perfect armchair CNT equals 2 G0. The presence\nof the metal dopant leads to several dips in the transmission\nfunction known as Fano antiresonances [20]. The position\nand shape of these dips depend on the d-levels of the transi-\ntion metal atom, the character of its bonding to the CNT, and\nis further affected by the presence of the adsorbate molecule.\nThe coupling of all these factors is very complex and makes\nit difficult to estimate or rationalize the value of the conduc-\ntance. For the spin polarized cases, we use the spin-averaged\nconductances, i.e. G = (G↑+ G↓)/2.\nNext, we estimate the resistance of a CNT containing sev-\neral impurities (a specific metal dopant with different molecu-\nlar adsorbates). Under the assumption that the electron phase-\ncoherence length, lφ, is smaller than the average distance be-\ntween the dopants, d, we may neglect quantum interference\nand obtain the total resistance by adding the scattering resis-\ntances due to each impurity separately. The scattering resis-\ntance due to a single impurity is given by\nRs(X) = 1/G(X) −1/(2G0), (6)\nwhere G(X) is the Landauer conductance of the pristine CNT\nwith a single metal dopant occupied by molecule X and\n1/(2G0) is the contact resistance of a (6,6) CNT.\nWe may now obtain the total resistance per dopant site rel-\native to the reference background signal as a function of the\ntarget molecule concentration\n∆R\nN ≈\n∑\nX\nRs(X)(Θ[X, C] −Θ[X, C0]), (7)\nwhere N is the number of dopants, Θ[X, C] is the fractional\ncoverage of species X at concentration C of the target and C0\nis the reference concentration. Notice that the contact resis-\ntance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "In the health regulation regarding coronavirus, what is considered a \"device\" ?", - "target_page": 3, - "target_passage": "means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "3\nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(a). \nPART 1 \nIntroductory \nCitation, commencement, extent and application \n1. —(1) These Regulations may be cited as the Health P rotection (Coronavirus, International \nTravel and Operator Liability) (England) Regulations 2021. \n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \nInterpretation and introduction of Schedules 1 to 4 \n2. —(1) In these Regulations— \n“category 1 arrival” means person who has arrived i n England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n“category 1 country or territory” means a country o r territory, or part of a country or territory, \nspecified in Schedule 1(b); \n“category 2 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 2(c); \n“category 3 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 3(d); \n“child” means a person under the age of 18; \n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(e); \n“coronavirus” means severe acute respiratory syndro me coronavirus 2 (SARS-CoV-2); \n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n“designated port” means a port designated for the purposes of Schedule 11; \n“device” means an in vitro diagnostic medical devic e within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(f); \n“disability” has the meaning given in the Equality Act 2010(g) (see section 6 of, and Schedule \n1 to, that Act); \n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(h); \n“managed self-isolation package” has the meaning gi ven in paragraph 8 of Schedule 11; \n“operator” except in regulation 18, means an operat or of a relevant service; \n \n(a) 1984 c. 22. Part 2A was inserted by section 129 o f the Health and Social Care Act 2008 (c. 14). \n(b) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” co untries and territories. \n(c) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” co untries and territories. \n(d) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” coun tries and territories. \n(e) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the co mmon travel area”. \n(f) S.I. 2002/618. \n(g) 2010 c. 15. \n(h) Paragraph 1 was amended by paragraph 3 of Schedul e 3 to the Health Protection Agency Act 2004 (c. 17 ), and by S.I. \n1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "63 \n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation t o a standard where the person who is the \noperator of the laboratory complies with the requir ements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \nDay 8 tests: general test requirements \n8. —(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \nwhere— \n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n(i) in respect of— \n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n(2) A test complies with this sub-paragraph where— \n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n(b) it is, in relation to a Schedule 11 passenger— \n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n(c) the manufacturer of any device used for the purposes of the test states that the device— \n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95 % (with a 95% two-sided \nconfidence interval entirely above 90%), and \n(iii) has a limit of detection of less than or equal to 1 000 SARS-CoV-2 copies per \nmillilitre; and \n(d) any device used for the purposes of the test— \n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before th e test is administered or \nprovided to P. \n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \ngiven by paragraph 2(2) of Schedule 10. \nDay 8 tests: private provider requirements \n9. —(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \nparagraph where— \n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagn ostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "4\n(2) The coronavirus exception applies where it is n ot reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \nAmendment of the Special Educational Needs and Disability (Detained Persons) Regulations \n2015 \n18. The Special Educational Needs and Disability (Deta ined Persons) Regulations 2015( a) are \namended as follows. \n19. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n20. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(1) and (4) (needs assessments whi ch are not completed); \n(b) regulation 16(2), (3) and (4) (transfer of a ke pt EHC plan); \n(c) regulation 17(1) and (2) (restriction on disclo sure of EHC plans); \n(d) regulation 19 (requirement to consider mediatio n); \n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \npursue mediation); \n(f) regulation 21 (mediation); \n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n(h) regulation 27(3) (steps to be taken by a home a uthority); \n(i) regulation 29(2) and (6) (compliance with the o rders of the First-tier Tribunal); and \n(j) regulation 30(3) and (6) (unopposed appeals).”. \n21. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n22. In regulation 5(4) (decision whether or not to con duct a detained person’s EHC needs \nassessment)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“, or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n \n(a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "69 \n(iii) a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre, \nand \n(iv) uses an established molecular detection method; \n(c) any device used for the purposes of the test— \n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n2002, other than solely by virtue of regulation 39(2) of those Regulations, \n(ii) has been validated no more than 18 months before th e test is administered or \nprovided to P; \n(d) it is not a test provided or administered under the National Health Service Act 2006, the \nNational Health Service (Wales) Act 2006(a), the National Health Service (Scotland) Act \n1978(b), or the Health and Personal Social Services (Nort hern Ireland) Order 1972( c); \nand \n(e) the test provider complies with paragraph 3. \n(2) For the purposes of sub-paragraph (1), “validated”, in relation to a device, means confirmed \nas having the required sensitivity and specificity using at least 150 positive clinical samples and \n250 negative clinical samples against a laboratory- based RT-PCR test that is itself within the \nperformance specification of the target product profile published by the Medicines and Healthcare \nProducts Regulatory Agency for laboratory based SARS-CoV-2 PCR tests, by— \n(a) the Secretary of State; \n(b) a laboratory which is accredited to ISO standard 15 189 or ISO/IEC standard 17025( d) \nby— \n(i) the United Kingdom Accreditation Service( e) (“UKAS”), or \n(ii) an accreditation body that is a signatory to the International Laboratory Accreditation \nCooperation (“ILAC”) Mutual Recognition Arrangement ( f) or the European co-\noperation for Accreditation (“EA”) Multilateral Agr eement( g), \nother than a laboratory which processes tests provi ded by the test provider for the \npurposes of this Schedule or is owned by the test p rovider or the device manufacturer. \n(h); or \n(c) a laboratory which is accredited by UKAS to ISO sta ndard 15189 or ISO/IEC standard \n17025(i), other than a laboratory which processes tests pr ovided by the test provider for \nthe purposes of this Schedule or is owned by the test provider or the device manufacturer. \n \n(a) 2006 c. 42. \n(b) 1978 c. 29. \n(c) S.I. 1972/1265 (N.I. 14). \n(d) ISO standards are published in Geneva by the Inte rnational Organisation for Standardisation, and are available on their \nwebsite (www.iso.org) or at ISO Central Secretariat , International Organization for Standardization (I SO), 1 rue de \nVarembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of \ntesting and calibration laboratories was published in November 2017. \n(e) The United Kingdom Accreditation Service is a com pany limited by guarantee incorporated in England a nd Wales under \nnumber 3076190. \n(f) ILAC is an international organisation which coord inates the work of its signatory national accredita tion bodies which are \nthemselves involved in the accreditation of confor mity assessment bodies, testing laboratories, and m edical testing \nlaboratories. \n(g) EA is a regional organisation which coordinates t he work of its signatory national accreditation bodies. EA is recognised by \nand works closely with ILAC. \n(h) A body corporate established under section 232 of the Health and Social Care Act 2012 (c. 7). \n(i) ISO standards are published in Geneva by the Inte rnational Organisation for Standardisation, and are available on their \nwebsite (www.iso.org) or at ISO Central Secretariat , International Organization for Standardization (I SO), 1 rue de \nVarembé, Case postale 56, CH-1211, Geneva 20, Switzerland. ISO/IEC 17025 General requirements for the competence of \ntesting and calibration laboratories was published in November 2017. ISO 15189 Medical Laboratories re quirements for", - "page_start": 68, - "page_end": 68, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 582 \nPUBLIC HEALTH, ENGLAND \nThe Health Protection (Coronavirus, International Travel and \nOperator Liability) (England) Regulations 2021 \nMade - - - - at 10.32 a.m. on 14th May 2021 \nLaid before Parliament at 2.30 p.m. on 14th May 2021 \nComing into force - - at 4.00 a.m. on 17th May 2021 \nCONTENTS \nPART 1 \nIntroductory \n \n1. Citation, commencement, extent and application 3 \n2. Interpretation and introduction of Schedules 1 t o 4 3 \n \nPART 2 \nRequirements on persons arriving in England \n \n3. Requirement on passengers to provide information 5 \n4. Requirement to possess notification of negative test result 6 \n5. Requirements relating to tests 7 \n6. Requirement to book and undertake tests 9 \n7. Requirement to undertake workforce tests 10 \n8. Test requirements: offshore installation workers 12 \n9. Further requirements on arrivals from category 2 countries and territories 13 \n10. Further requirements on arrivals from category 3 countries or territories 17 \n \nPART 3 \nEnforcement \n \n11. Enforcement of requirement to self-isolate 17 \n12. Power of entry 19 \n \nPART 4 \nRequirements on operators \n \n13. Passenger information requirement 19 \n14. Required information and manner 20", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "91 \n18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued purs uant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations replace the Health Protection (Co ronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulat ions”), the Health Protection (Coronavirus, \nPublic Health Information for International Passeng ers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testi ng and Operator Liability) (England) \n(Amendment) Regulations 2021. \nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavir us or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "89 \n(3) In regulation 4ZA— \n(a) in the heading, for “the Health Protection (Coronav irus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n(b) in paragraph (1)(a), for “regulation 3B of the Heal th Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“ the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus , International Travel and Operator \nLiability) (England) Regulations 2021 (“the Interna tional Travel and Operator Liability \nRegulations”)”; \n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Sche dule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedul e 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n2. —(1) The Health Protection (Coronavirus, Restrictio ns) (Self-Isolation) (England) Regulations \n2020(a) are amended as follows. \n(2) In regulation 2D(1)(c), for “regulation 4 of the He alth Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “reg ulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n(3) In regulation 6(1)— \n(a) in the definitions of “designated place”, “isolatio n requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n(b) in the definition of “International Travel Regulati ons”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and O perator Liability) (England) \nRegulations 2021”. \n SCHEDULE 16 Regulation 26(3) \nTransitional provision \n1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n2. Confirmation given by the Foreign, Commonwealth an d Development Office that a person is \nnot required to comply with regulation 3B of the 20 20 Regulations is treated as confirmation that \nthe person is not required to comply with regulatio n 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n3. A designation by the Secretary of State of a perso n as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a design ation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021. \n \n(a) S.I. 2020/1045. Regulation 2D was inserted by S.I . 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "5\n23. In regulation 8(2) (duty to co-operate in a detain ed person’s EHC needs assessment), at the \nend of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n24. In regulation 10(4) (decision not to secure an EHC plan)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n25. In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n26. In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n(a) after paragraph (6) insert— \n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumsta nces referred to in regulation 10(4)(d) \napply.”. \n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d) ”. \n27. In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \nAmendment of the Special Educational Needs and Disa bility (First-tier Tribunal \nRecommendations Power) Regulations 2017 \n28. The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \nRegulations 2017(a) are amended as follows. \n29. In regulation 2 (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n30. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 6(3) and (6) (responding to health c are recommendations); and \n(b) regulation 7(1) and (4) (responding to social c are recommendations).”. \n \n \n Vicky Ford \n Parliamentary Under Secretary of State \n28th April 2020 Department for Education \n \n \n(a) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "2\ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(2) (transfer of EHC plans) (in re lation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n(c) regulation 20(9) and (10) (review where the chi ld or young person attends a school \nor other institution); \n(d) regulation 21(7), (8) and (9) (review of EHC pl an where the child or young person \ndoes not attend a school or other institution); \n(e) regulation 25(1) (notification of decision whet her it is necessary to re-assess \neducational, health care and social care provision); \n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n(g) regulation 33 (requirement to consider mediatio n); \n(h) regulation 34(1) and (2) (where a parent or you ng person does not wish to or fails \nto pursue mediation); \n(i) regulation 35(2), (3) and (4) (mediation – heal th care issues); \n(j) regulation 36(2) (mediation - no health care is sues); \n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n(m) regulation 44(2)(d), (e), (f) and (h) (complian ce with the orders of the First-tier \nTribunal); \n(n) regulation 45(4), (5) and (6A) (unopposed appea ls); \n(o) regulation 47 (disclosure of EHC plans in relat ion to higher education); and \n(p) regulation 56(3) (publication of comments on th e local offer).”. \n6. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n8. In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n9. In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 471 \nEDUCATION, ENGLAND \nThe Special Educational Needs and Disability (Coronavirus) \n(Amendment) Regulations 2020 \nMade - - - - 28th April 2020 \nLaid before Parliament 30th April 2020 \nComing into force - - 1st May 2020 \nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(a) and sections 29(3) and 569(4) of the \nEducation Act 1996( b). \nCitation and commencement \n1. These Regulations may be cited as the Special Educ ational Needs and Disability \n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \nReview and expiry \n2. —(1) The Secretary of State must review the effecti veness of these Regulations during the \nperiod for which they have effect. \n(2) These Regulations cease to have effect on 25th September 2020. \nAmendment of the Special Educational Needs and Disability Regulations 2014 \n3. The Special Educational Needs and Disability Regulations 2014( c) are amended as follows. \n4. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n5. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \n \n(a) 2014 c.6. Section 30(8) was amended by Schedule 2 , Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Stan dards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and se ction 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "Regarding the regulation of Enforcement of requirement to self-isolate concerning travel and coronavirus, who are considered an \"authorised persons\" ?", - "target_page": 19, - "target_passage": "For the purposes of this regulation, “authorised person” means— (a) a constable; (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or (c) a person designated by the Secretary of State for the purposes of this regulation.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "91 \n18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued purs uant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations replace the Health Protection (Co ronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulat ions”), the Health Protection (Coronavirus, \nPublic Health Information for International Passeng ers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testi ng and Operator Liability) (England) \n(Amendment) Regulations 2021. \nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavir us or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "89 \n(3) In regulation 4ZA— \n(a) in the heading, for “the Health Protection (Coronav irus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n(b) in paragraph (1)(a), for “regulation 3B of the Heal th Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“ the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus , International Travel and Operator \nLiability) (England) Regulations 2021 (“the Interna tional Travel and Operator Liability \nRegulations”)”; \n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Sche dule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedul e 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n2. —(1) The Health Protection (Coronavirus, Restrictio ns) (Self-Isolation) (England) Regulations \n2020(a) are amended as follows. \n(2) In regulation 2D(1)(c), for “regulation 4 of the He alth Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “reg ulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n(3) In regulation 6(1)— \n(a) in the definitions of “designated place”, “isolatio n requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n(b) in the definition of “International Travel Regulati ons”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and O perator Liability) (England) \nRegulations 2021”. \n SCHEDULE 16 Regulation 26(3) \nTransitional provision \n1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n2. Confirmation given by the Foreign, Commonwealth an d Development Office that a person is \nnot required to comply with regulation 3B of the 20 20 Regulations is treated as confirmation that \nthe person is not required to comply with regulatio n 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n3. A designation by the Secretary of State of a perso n as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a design ation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021. \n \n(a) S.I. 2020/1045. Regulation 2D was inserted by S.I . 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 582 \nPUBLIC HEALTH, ENGLAND \nThe Health Protection (Coronavirus, International Travel and \nOperator Liability) (England) Regulations 2021 \nMade - - - - at 10.32 a.m. on 14th May 2021 \nLaid before Parliament at 2.30 p.m. on 14th May 2021 \nComing into force - - at 4.00 a.m. on 17th May 2021 \nCONTENTS \nPART 1 \nIntroductory \n \n1. Citation, commencement, extent and application 3 \n2. Interpretation and introduction of Schedules 1 t o 4 3 \n \nPART 2 \nRequirements on persons arriving in England \n \n3. Requirement on passengers to provide information 5 \n4. Requirement to possess notification of negative test result 6 \n5. Requirements relating to tests 7 \n6. Requirement to book and undertake tests 9 \n7. Requirement to undertake workforce tests 10 \n8. Test requirements: offshore installation workers 12 \n9. Further requirements on arrivals from category 2 countries and territories 13 \n10. Further requirements on arrivals from category 3 countries or territories 17 \n \nPART 3 \nEnforcement \n \n11. Enforcement of requirement to self-isolate 17 \n12. Power of entry 19 \n \nPART 4 \nRequirements on operators \n \n13. Passenger information requirement 19 \n14. Required information and manner 20", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "4\n(2) The coronavirus exception applies where it is n ot reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \nAmendment of the Special Educational Needs and Disability (Detained Persons) Regulations \n2015 \n18. The Special Educational Needs and Disability (Deta ined Persons) Regulations 2015( a) are \namended as follows. \n19. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n20. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(1) and (4) (needs assessments whi ch are not completed); \n(b) regulation 16(2), (3) and (4) (transfer of a ke pt EHC plan); \n(c) regulation 17(1) and (2) (restriction on disclo sure of EHC plans); \n(d) regulation 19 (requirement to consider mediatio n); \n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \npursue mediation); \n(f) regulation 21 (mediation); \n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n(h) regulation 27(3) (steps to be taken by a home a uthority); \n(i) regulation 29(2) and (6) (compliance with the o rders of the First-tier Tribunal); and \n(j) regulation 30(3) and (6) (unopposed appeals).”. \n21. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n22. In regulation 5(4) (decision whether or not to con duct a detained person’s EHC needs \nassessment)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“, or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n \n(a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "3\nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(a). \nPART 1 \nIntroductory \nCitation, commencement, extent and application \n1. —(1) These Regulations may be cited as the Health P rotection (Coronavirus, International \nTravel and Operator Liability) (England) Regulations 2021. \n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \nInterpretation and introduction of Schedules 1 to 4 \n2. —(1) In these Regulations— \n“category 1 arrival” means person who has arrived i n England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n“category 1 country or territory” means a country o r territory, or part of a country or territory, \nspecified in Schedule 1(b); \n“category 2 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 2(c); \n“category 3 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 3(d); \n“child” means a person under the age of 18; \n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(e); \n“coronavirus” means severe acute respiratory syndro me coronavirus 2 (SARS-CoV-2); \n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n“designated port” means a port designated for the purposes of Schedule 11; \n“device” means an in vitro diagnostic medical devic e within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(f); \n“disability” has the meaning given in the Equality Act 2010(g) (see section 6 of, and Schedule \n1 to, that Act); \n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(h); \n“managed self-isolation package” has the meaning gi ven in paragraph 8 of Schedule 11; \n“operator” except in regulation 18, means an operat or of a relevant service; \n \n(a) 1984 c. 22. Part 2A was inserted by section 129 o f the Health and Social Care Act 2008 (c. 14). \n(b) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” co untries and territories. \n(c) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” co untries and territories. \n(d) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” coun tries and territories. \n(e) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the co mmon travel area”. \n(f) S.I. 2002/618. \n(g) 2010 c. 15. \n(h) Paragraph 1 was amended by paragraph 3 of Schedul e 3 to the Health Protection Agency Act 2004 (c. 17 ), and by S.I. \n1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "19 \n(11) For the purposes of this regulation, “authorised person” means— \n(a) a constable; \n(b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or \n(c) a person designated by the Secretary of State for the purposes of this regulation. \nPower of entry \n12. —(1) A constable may enter premises in order— \n(a) to search for a person who is suspected of committi ng an offence of contravening the \nrequirement in paragraph 10 (duty to self-isolate) of Schedule 11; \n(b) to remove a person of the description in sub-paragr aph (a) to accommodation designated \nby the Secretary of State for the purposes of Schedule 11. \n(2) The power in paragraph (1) is exercisable if the constable— \n(a) has reasonable grounds to believe that a person of the description in paragraph (1)(a) is in \nor on the premises; and \n(b) has a reasonable belief that it is necessary and pr oportionate to enter the premises for the \npurposes specified in paragraph (1)(b). \n(3) A constable exercising the power in paragraph (1)— \n(a) may use reasonable force if necessary; and \n(b) may be accompanied by a police community support officer. \n(4) A constable exercising the power in paragraph (1)— \n(a) if asked by a person on the premises, must show evi dence of the constable’s identity and \noutline the purpose for which the power is being exercised; and \n(b) if the premises are unoccupied or the occupier is t emporarily absent, must leave the \npremises as effectively secured against unauthorise d entry as when the constable found \nthem. \n(5) In this regulation, “premises” includes any buildin g or structure and any land. \nPART 4 \nRequirements on operators \nPassenger information requirement \n13. —(1) Subject to the following provisions of this re gulation, an operator must ensure that a \npassenger who arrives at a port in England on a rel evant service is provided with the information \nrequired by regulation 14 (“the passenger informati on requirement”) and in the manner required \nby that regulation at each of the times specified in paragraph (2). \n(2) The times are— \n(a) where prior to departure a booking was made for the passenger to travel on the relevant \nservice, before the booking was made (“the pre-booking information requirement”); \n(b) where, at least 48 hours prior to the scheduled dep arture time of the relevant service, a \nbooking was made for the passenger to travel on it, between 24 and 48 hours prior to the \nscheduled departure time of that service (“the pre-departure information requirement”); \n(c) where prior to departure the passenger was checked in to travel on the relevant service, at \nthe time of check-in (“the check-in information requirement”); and \n(d) while the passenger was on board the vessel, aircra ft or train (“the on-board information \nrequirement”).", - "page_start": 18, - "page_end": 18, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "83 \nand the Channel Islands. The British Overseas Territories are not  in  the  common  travel  area.  Public \nhealth requirements may vary depending upon in which nation of the UK you are staying. \n \nEngland: https://www.gov.uk/uk-border-control \nNorthern Ireland: https://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-\nadvice \nScotland: https://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \nWales: https://gov.wales/arriving-wales-overseas \n \nFailure to comply with these measures is a criminal offence and you could be fined. There are a \nlimited set of  exemptions  from these measures. Check the list of exemptions c arefully. You may \nbe fined if you fraudulently claim an exemption. \nPART 2 \nOnboard announcement \n \nThe following is a public health message on behalf of the UK’s public health agencies. \n \nIf you have been in or transited through an amber o r red country within the previous 10 days you \nmust quarantine for the first 10 days after you arrive. This is to protect yourself and others. \n \nThe symptoms of coronavirus are a new continuous co ugh, a high temperature or a loss of, or \nchange in, normal sense of taste or smell. If you experience any of these symptoms, however mild, \nyou are advised to make yourself known to the crew. \n \nSimple measures you can take to help protect yourself and family are: \nwash your hands \navoid touching your face with your hands \ncatch coughs and sneezes in a tissue and dispose of it immediately. \nPART 3 \nRelevant websites \n1. The following are “the relevant websites” for the purposes of regulation 14— \nhttps://www.gov.uk/government/publications/coronavirus-covid-19-travellers-exempt-from-uk-\nborder-rules/coronavirus-covid-19-travellers-exempt-from-uk-border-rules \nhttps://www.gov.uk/guidance/booking-and-staying-in-a-quarantine-hotel-when-you-arrive-in-\nengland \nhttps://www.gov.uk/guidance/coronavirus-covid-19-testing-for-people-travelling-to-england \nhttp://www.gov.uk/travel-quarantine-and-testing \nhttps://www.gov.uk/guidance/red-amber-and-green-list-rules-for-entering-england", - "page_start": 82, - "page_end": 82, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "63 \n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation t o a standard where the person who is the \noperator of the laboratory complies with the requir ements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \nDay 8 tests: general test requirements \n8. —(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \nwhere— \n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n(i) in respect of— \n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n(2) A test complies with this sub-paragraph where— \n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n(b) it is, in relation to a Schedule 11 passenger— \n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n(c) the manufacturer of any device used for the purposes of the test states that the device— \n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95 % (with a 95% two-sided \nconfidence interval entirely above 90%), and \n(iii) has a limit of detection of less than or equal to 1 000 SARS-CoV-2 copies per \nmillilitre; and \n(d) any device used for the purposes of the test— \n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before th e test is administered or \nprovided to P. \n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \ngiven by paragraph 2(2) of Schedule 10. \nDay 8 tests: private provider requirements \n9. —(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \nparagraph where— \n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagn ostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "84 \nhttps://www.gov.uk/provide-journey-contact-details-before-travel-uk \nhttps://www.gov.uk/uk-border-control \nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice \nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \nhttps://gov.wales/arriving-wales-overseas \n SCHEDULE 13 Regulation 18(3) \nProhibition on the arrival of aircraft and vessels into England \nInterpretation of this Schedule \n1. —(1) In this Schedule— \n“controller” means— \n(a) in relation to a commercially operated aircraft or vessel, the person who has management \ncontrol over the aircraft or vessel when it arrives in England, \n(b) in relation to any other aircraft or vessel, the pe rson who has physical control over the \naircraft or vessel when it arrives in England; \n“passenger” means a person carried in or on an airc raft or vessel other than a member of the \naircraft or vessel’s crew; \n“port” has the same meaning as in the Merchant Shipping Act 1995(a). \n(2) In the definition of “controller” in sub-paragraph (1) “arrives” means— \n(a) in relation to an aircraft, lands; \n(b) in relation to a vessel, moors at a port. \nProhibition on arrival of aircraft into England \n2. —(1) A controller must not cause or permit an aircr aft whose last point of departure was in a \ncountry or territory listed in paragraph 4 to land in England unless— \n(a) landing in England is reasonably necessary to secur e the safety of the aircraft or the \nhealth and safety of any person aboard it; \n(b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no \npassengers are permitted to board, or disembark from, the aircraft; or \n(c) the aircraft is an air ambulance and landing for th e purpose of transporting a person for \nmedical treatment. \n(2) This paragraph does not apply in relation to— \n(a) a commercially operated aircraft carrying no passengers; \n(b) an aircraft operated by or in support of Her Majest y’s Government in the United \nKingdom; \n(c) an aircraft operated by or in support of a foreign country or territory where, prior to its \narrival in England, a United Kingdom Government Dep artment has provided written \nconfirmation to the operator that the aircraft is c arrying passengers who are travelling to \nconduct official business with the United Kingdom. \n \n(a) 1995 c. 21.", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "66 \nyou have been traced as a contact of someone who tested positive \nFor advice on when you might need to self-isolate a nd what to do, go to \nwww.nhs.uk/conditions/coronavirus-covid-19 and read ‘Self-isolation and treating symptoms’. \nForm B: positive test result \nYour coronavirus test result is positive. You had the virus when the test was done. \nEven if you have not had symptoms of coronavirus, you must self-isolate for 10 days from the day \nafter your test date. Your test sample may be genom e sequenced to check whether you have a \nvirus variant of concern or variant under investigation. \nPeople you live with or have travelled with should also self-isolate for 10 days from the day after \nyou took a test. \nIf you received a positive test result for the test taken you do not need to take any further tests. \nPeople you are travelling with must still take a da y 8 test if they have travelled from an amber list \ncountry. \nYou may be contacted for contact tracing and to check that you, and those who you live or are \ntravelling with, are self-isolating. \nYou must not travel, including to leave the UK, during self-isolation. \nContact 111 if you need medical help. In an emergency dial 999. \nForm C: unclear test result \nYour coronavirus test result is unclear. It is not possible to say if you had the virus when the test \nwas done. \nYou must take another test or self-isolate for 10 days from the day after your test date. \nYou may be contacted to check that you are self-isolating. \n \n(4) Where— \n(a) regulation 4 or 4A of the Health Protection (Notifi cation) Regulations 2010 applies in \nrelation to the test provider; or \n(b) if the test provider arranges with another person ( “X”) for X to carry out any element of \nthe single end-to-end testing service on their beha lf, either of those regulations applies to \nX in the carrying out of that element, \nthe regulation applies as if it required the inform ation described in sub-paragraph (5) to be \nincluded in the notification to Public Health England. \n(5) The information mentioned in sub-paragraph (4) is— \n(a) the date on which P last departed from or transited through a category 2 country or \nterritory; \n(b) P’s coach number, flight number or vessel name (as appropriate); \n(c) the country or territory P was travelling from when P arrived in England, and any country \nor territory they transited through as part of that journey; \n(d) the date on which P undertook the appropriate test; \n(e) whether the test is— \n(i) a day 2 test for a category 1 arrival, \n(ii) a day 2 test for a person who is not a category 1 arrival, or \n(iii) a day 8 test.", - "page_start": 65, - "page_end": 65, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "What is the expiracy date of the regulation regarding travel during the coronavirus pandemic made in 2021 ?", - "target_page": 31, - "target_passage": "These Regulations expire at the end of 16th May 2022.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "91 \n18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued purs uant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations replace the Health Protection (Co ronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulat ions”), the Health Protection (Coronavirus, \nPublic Health Information for International Passeng ers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testi ng and Operator Liability) (England) \n(Amendment) Regulations 2021. \nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavir us or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 582 \nPUBLIC HEALTH, ENGLAND \nThe Health Protection (Coronavirus, International Travel and \nOperator Liability) (England) Regulations 2021 \nMade - - - - at 10.32 a.m. on 14th May 2021 \nLaid before Parliament at 2.30 p.m. on 14th May 2021 \nComing into force - - at 4.00 a.m. on 17th May 2021 \nCONTENTS \nPART 1 \nIntroductory \n \n1. Citation, commencement, extent and application 3 \n2. Interpretation and introduction of Schedules 1 t o 4 3 \n \nPART 2 \nRequirements on persons arriving in England \n \n3. Requirement on passengers to provide information 5 \n4. Requirement to possess notification of negative test result 6 \n5. Requirements relating to tests 7 \n6. Requirement to book and undertake tests 9 \n7. Requirement to undertake workforce tests 10 \n8. Test requirements: offshore installation workers 12 \n9. Further requirements on arrivals from category 2 countries and territories 13 \n10. Further requirements on arrivals from category 3 countries or territories 17 \n \nPART 3 \nEnforcement \n \n11. Enforcement of requirement to self-isolate 17 \n12. Power of entry 19 \n \nPART 4 \nRequirements on operators \n \n13. Passenger information requirement 19 \n14. Required information and manner 20", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "89 \n(3) In regulation 4ZA— \n(a) in the heading, for “the Health Protection (Coronav irus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n(b) in paragraph (1)(a), for “regulation 3B of the Heal th Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“ the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus , International Travel and Operator \nLiability) (England) Regulations 2021 (“the Interna tional Travel and Operator Liability \nRegulations”)”; \n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Sche dule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedul e 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n2. —(1) The Health Protection (Coronavirus, Restrictio ns) (Self-Isolation) (England) Regulations \n2020(a) are amended as follows. \n(2) In regulation 2D(1)(c), for “regulation 4 of the He alth Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “reg ulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n(3) In regulation 6(1)— \n(a) in the definitions of “designated place”, “isolatio n requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n(b) in the definition of “International Travel Regulati ons”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and O perator Liability) (England) \nRegulations 2021”. \n SCHEDULE 16 Regulation 26(3) \nTransitional provision \n1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n2. Confirmation given by the Foreign, Commonwealth an d Development Office that a person is \nnot required to comply with regulation 3B of the 20 20 Regulations is treated as confirmation that \nthe person is not required to comply with regulatio n 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n3. A designation by the Secretary of State of a perso n as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a design ation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021. \n \n(a) S.I. 2020/1045. Regulation 2D was inserted by S.I . 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "31 \nPART 6 \nFinal provisions \nReview of need for requirements \n24. The Secretary of State must review the need for th e requirements imposed by these \nRegulations by 14th June 2021 and at least once every 28 days thereafter. \nExpiry of Regulations \n25. These Regulations expire at the end of 16th May 2022. \nRevocations, transitional provision consequential amendments and savings \n26. —(1) The following Regulations are revoked— \n(a) the Health Protection (Coronavirus, Public Health I nformation for International \nPassengers) (England) Regulations 2020(a); \n(b) the Health Protection (Coronavirus, International T ravel) (England) Regulations 2020 \n(“the International Travel Regulations”)( b); and \n(c) the Health Protection (Coronavirus, Pre-Departure T esting and Operator Liability) \n(England) (Amendment) Regulations 2021(c). \n(2) Schedule 15 makes consequential amendments to other instruments specified in that \nSchedule. \n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the re gulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person). \n \n \nSigned by authority of the Secretary of State \n \n Robert Courts \n Parliamentary Under Secretary of State \nAt 10.32 a.m. on 14th May 2021 Department for Trans port \n \n(a) S.I. 2020/567. \n(b) S.I. 2020/568. \n(c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 471 \nEDUCATION, ENGLAND \nThe Special Educational Needs and Disability (Coronavirus) \n(Amendment) Regulations 2020 \nMade - - - - 28th April 2020 \nLaid before Parliament 30th April 2020 \nComing into force - - 1st May 2020 \nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(a) and sections 29(3) and 569(4) of the \nEducation Act 1996( b). \nCitation and commencement \n1. These Regulations may be cited as the Special Educ ational Needs and Disability \n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \nReview and expiry \n2. —(1) The Secretary of State must review the effecti veness of these Regulations during the \nperiod for which they have effect. \n(2) These Regulations cease to have effect on 25th September 2020. \nAmendment of the Special Educational Needs and Disability Regulations 2014 \n3. The Special Educational Needs and Disability Regulations 2014( c) are amended as follows. \n4. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n5. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \n \n(a) 2014 c.6. Section 30(8) was amended by Schedule 2 , Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Stan dards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and se ction 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "3\nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(a). \nPART 1 \nIntroductory \nCitation, commencement, extent and application \n1. —(1) These Regulations may be cited as the Health P rotection (Coronavirus, International \nTravel and Operator Liability) (England) Regulations 2021. \n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \nInterpretation and introduction of Schedules 1 to 4 \n2. —(1) In these Regulations— \n“category 1 arrival” means person who has arrived i n England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n“category 1 country or territory” means a country o r territory, or part of a country or territory, \nspecified in Schedule 1(b); \n“category 2 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 2(c); \n“category 3 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 3(d); \n“child” means a person under the age of 18; \n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(e); \n“coronavirus” means severe acute respiratory syndro me coronavirus 2 (SARS-CoV-2); \n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n“designated port” means a port designated for the purposes of Schedule 11; \n“device” means an in vitro diagnostic medical devic e within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(f); \n“disability” has the meaning given in the Equality Act 2010(g) (see section 6 of, and Schedule \n1 to, that Act); \n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(h); \n“managed self-isolation package” has the meaning gi ven in paragraph 8 of Schedule 11; \n“operator” except in regulation 18, means an operat or of a relevant service; \n \n(a) 1984 c. 22. Part 2A was inserted by section 129 o f the Health and Social Care Act 2008 (c. 14). \n(b) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” co untries and territories. \n(c) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” co untries and territories. \n(d) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” coun tries and territories. \n(e) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the co mmon travel area”. \n(f) S.I. 2002/618. \n(g) 2010 c. 15. \n(h) Paragraph 1 was amended by paragraph 3 of Schedul e 3 to the Health Protection Agency Act 2004 (c. 17 ), and by S.I. \n1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "84 \nhttps://www.gov.uk/provide-journey-contact-details-before-travel-uk \nhttps://www.gov.uk/uk-border-control \nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice \nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \nhttps://gov.wales/arriving-wales-overseas \n SCHEDULE 13 Regulation 18(3) \nProhibition on the arrival of aircraft and vessels into England \nInterpretation of this Schedule \n1. —(1) In this Schedule— \n“controller” means— \n(a) in relation to a commercially operated aircraft or vessel, the person who has management \ncontrol over the aircraft or vessel when it arrives in England, \n(b) in relation to any other aircraft or vessel, the pe rson who has physical control over the \naircraft or vessel when it arrives in England; \n“passenger” means a person carried in or on an airc raft or vessel other than a member of the \naircraft or vessel’s crew; \n“port” has the same meaning as in the Merchant Shipping Act 1995(a). \n(2) In the definition of “controller” in sub-paragraph (1) “arrives” means— \n(a) in relation to an aircraft, lands; \n(b) in relation to a vessel, moors at a port. \nProhibition on arrival of aircraft into England \n2. —(1) A controller must not cause or permit an aircr aft whose last point of departure was in a \ncountry or territory listed in paragraph 4 to land in England unless— \n(a) landing in England is reasonably necessary to secur e the safety of the aircraft or the \nhealth and safety of any person aboard it; \n(b) the landing is only for the purpose of refuelling, or aircraft maintenance, and no \npassengers are permitted to board, or disembark from, the aircraft; or \n(c) the aircraft is an air ambulance and landing for th e purpose of transporting a person for \nmedical treatment. \n(2) This paragraph does not apply in relation to— \n(a) a commercially operated aircraft carrying no passengers; \n(b) an aircraft operated by or in support of Her Majest y’s Government in the United \nKingdom; \n(c) an aircraft operated by or in support of a foreign country or territory where, prior to its \narrival in England, a United Kingdom Government Dep artment has provided written \nconfirmation to the operator that the aircraft is c arrying passengers who are travelling to \nconduct official business with the United Kingdom. \n \n(a) 1995 c. 21.", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "83 \nand the Channel Islands. The British Overseas Territories are not  in  the  common  travel  area.  Public \nhealth requirements may vary depending upon in which nation of the UK you are staying. \n \nEngland: https://www.gov.uk/uk-border-control \nNorthern Ireland: https://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-\nadvice \nScotland: https://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/ \nWales: https://gov.wales/arriving-wales-overseas \n \nFailure to comply with these measures is a criminal offence and you could be fined. There are a \nlimited set of  exemptions  from these measures. Check the list of exemptions c arefully. You may \nbe fined if you fraudulently claim an exemption. \nPART 2 \nOnboard announcement \n \nThe following is a public health message on behalf of the UK’s public health agencies. \n \nIf you have been in or transited through an amber o r red country within the previous 10 days you \nmust quarantine for the first 10 days after you arrive. This is to protect yourself and others. \n \nThe symptoms of coronavirus are a new continuous co ugh, a high temperature or a loss of, or \nchange in, normal sense of taste or smell. If you experience any of these symptoms, however mild, \nyou are advised to make yourself known to the crew. \n \nSimple measures you can take to help protect yourself and family are: \nwash your hands \navoid touching your face with your hands \ncatch coughs and sneezes in a tissue and dispose of it immediately. \nPART 3 \nRelevant websites \n1. The following are “the relevant websites” for the purposes of regulation 14— \nhttps://www.gov.uk/government/publications/coronavirus-covid-19-travellers-exempt-from-uk-\nborder-rules/coronavirus-covid-19-travellers-exempt-from-uk-border-rules \nhttps://www.gov.uk/guidance/booking-and-staying-in-a-quarantine-hotel-when-you-arrive-in-\nengland \nhttps://www.gov.uk/guidance/coronavirus-covid-19-testing-for-people-travelling-to-england \nhttp://www.gov.uk/travel-quarantine-and-testing \nhttps://www.gov.uk/guidance/red-amber-and-green-list-rules-for-entering-england", - "page_start": 82, - "page_end": 82, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "4\n(2) The coronavirus exception applies where it is n ot reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \nAmendment of the Special Educational Needs and Disability (Detained Persons) Regulations \n2015 \n18. The Special Educational Needs and Disability (Deta ined Persons) Regulations 2015( a) are \namended as follows. \n19. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n20. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(1) and (4) (needs assessments whi ch are not completed); \n(b) regulation 16(2), (3) and (4) (transfer of a ke pt EHC plan); \n(c) regulation 17(1) and (2) (restriction on disclo sure of EHC plans); \n(d) regulation 19 (requirement to consider mediatio n); \n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \npursue mediation); \n(f) regulation 21 (mediation); \n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n(h) regulation 27(3) (steps to be taken by a home a uthority); \n(i) regulation 29(2) and (6) (compliance with the o rders of the First-tier Tribunal); and \n(j) regulation 30(3) and (6) (unopposed appeals).”. \n21. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n22. In regulation 5(4) (decision whether or not to con duct a detained person’s EHC needs \nassessment)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“, or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n \n(a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "2\ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(2) (transfer of EHC plans) (in re lation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n(c) regulation 20(9) and (10) (review where the chi ld or young person attends a school \nor other institution); \n(d) regulation 21(7), (8) and (9) (review of EHC pl an where the child or young person \ndoes not attend a school or other institution); \n(e) regulation 25(1) (notification of decision whet her it is necessary to re-assess \neducational, health care and social care provision); \n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n(g) regulation 33 (requirement to consider mediatio n); \n(h) regulation 34(1) and (2) (where a parent or you ng person does not wish to or fails \nto pursue mediation); \n(i) regulation 35(2), (3) and (4) (mediation – heal th care issues); \n(j) regulation 36(2) (mediation - no health care is sues); \n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n(m) regulation 44(2)(d), (e), (f) and (h) (complian ce with the orders of the First-tier \nTribunal); \n(n) regulation 45(4), (5) and (6A) (unopposed appea ls); \n(o) regulation 47 (disclosure of EHC plans in relat ion to higher education); and \n(p) regulation 56(3) (publication of comments on th e local offer).”. \n6. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n8. In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n9. In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "Who first suggested the notions of \"hard\" and \"easy\" problems regarding consciousness ?", - "target_page": 1, - "target_passage": "The terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them\nto unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has\nsince been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene.[141]\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory\nthat only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a\npromising account of how information in the brain could become globally accessible, but argued that\n\"now the question arises in a different form: why should global accessibility give rise to conscious\nexperience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT\non the grounds that it provides, at best, an account of the cognitive function of consciousness, and fails to\nexplain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the\n'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so\nand provides important insights into the relation between consciousness and cognition.\"[143]\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia\nover and above the problem of explaining causal functions, because qualia are entailed by neural activity\nand themselves causal.[21] Dehaene, in his 2014 book Consciousness and the Brain, rejected the concept\nof qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20]\nHe further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually\nshifting as understanding evolves:[20]\nOnce our intuitions are educated by cognitive neuroscience and computer simulations,\nChalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental\nexperience, detached from any information-processing role, will be viewed as a peculiar idea\nof the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science\nof consciousness will keep eating away at the hard problem of consciousness until it\nvanishes.\nIn 2018, Chalmers highlighted what he calls the \"meta-problem of consciousness\", another problem\nrelated to the hard problem of consciousness:[76]\nThe meta-problem of consciousness is (to a first approximation) the problem of explaining\nwhy we think that there is a [hard] problem of consciousness.\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal\nreports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76]\nExplaining its significance, he says:[76]\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the\nhard problem. We can reasonably hope that a solution to the meta-problem will shed\nsignificant light on the hard problem. A particularly strong line holds that a solution to the\nMeta-problem", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Chalmers on stage for an Alan Turing Year\nevent at De La Salle University, Manila, 27\nMarch 2012\nHard problem of consciousness\nIn the philosophy of mind, the hard problem of consciousness is to explain why and how humans and\nother organisms have qualia, phenomenal consciousness, or subjective experience.[1][2] It is contrasted\nwith the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the\nability to discriminate, to integrate information, and to perform behavioral functions such as watching,\nlistening, speaking (including generating an utterance that appears to refer to personal behaviour or\nbelief), and so forth.[1] The easy problems are amenable to functional explanation—that is, explanations\nthat are mechanistic or behavioral—since each physical system can be explained (at least in principle)\npurely by reference to the \"structure and dynamics\" that underpin the phenomenon.[1][3]\nProponents of the hard problem argue that it is categorically different from the easy problems since no\nmechanistic or behavioral explanation could explain the character of an experience, not even in principle.\nEven after all the relevant functional facts are explicated, they argue, there will still remain a further\nquestion: \"why is the performance of these functions accompanied by experience?\"[1] To bolster their\ncase, proponents of the hard problem frequently turn to various philosophical thought experiments,\ninvolving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed\nineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such\nas the experience of being a bat.\nThe terms \"hard problem\" and \"easy problems\" were\ncoined by the philosopher David Chalmers in a 1994 talk\ngiven at The Science of Consciousness conference held in\nTucson, Arizona.[4] The following year, the main talking\npoints of Chalmers' talk were published in The Journal of\nConsciousness Studies.[1] The publication gained\nsignificant attention from consciousness researchers and\nbecame the subject of a special volume of the journal,[5][6]\nwhich was later published into a book.[7] In 1996,\nChalmers published The Conscious Mind, a book-length\ntreatment of the hard problem, in which he elaborated on\nhis core arguments and responded to counterarguments. His\nuse of the word easy is \"tongue-in-cheek\".[8] As the\ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer.\n\"That is, scientists more or less know what to look for, and with enough brainpower and funding, they\nwould probably crack it in this century.\"[9]\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as\nJoseph Levine,[10] Colin McGinn,[11] and Ned Block[12] and cognitive neuroscientists such as Francisco\nVarela,[13] Giulio Tononi,[14][15] and Christof Koch.[14][15] On the other hand, its existence is denied by\nother philosophers of mind, such as Daniel Dennett,[16] Massimo Pigliucci,[17] Thomas Metzinger,\nPatricia Churchland,[18] and Keith Frankish,[19] and by cognitive neuroscientists such as Stanislas\nDehaene,[20] Bernard Baars,[21] Anil Seth,[22] and Antonio Damasio.[23] Clinical neurologist and skeptic", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a\nmajority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine\nproblem, while 29.72% said that it does not exist.[25]\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned\nBlock believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different\nphysical and functional neurological systems potentially having phenomenal overlap.[12] Another\npotential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed\n\"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular\npersonal identity, as opposed to existing as someone else.[26]\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the\nproblem of consciousness\" (1995)[1] and expanded upon it in The Conscious Mind (1996). His works\nprovoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers\nfor his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still\nthink that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a\nmeaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether\nthe same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with\nseveral other philosophers that it may be futile to hope for a solution at all, precisely because it is a\nconceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia\nChurchland, among others, believe that the hard problem is best seen as a collection of easy problems that\nwill be solved through further analysis of the brain and behaviour.[29][30]\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of\nbeing awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what\nit is like to be something.\" Consciousness, in this sense, is synonymous with experience.[31][27]\n. . .even when we have explained the performance of all the cognitive and behavioral functions\nin the vicinity of experience—perceptual discrimination, categorization, internal access, verbal\nreport—there may still remain a further unanswered question: Why is the performance of these\nfunctions accompanied by experience?\n— David Chalmers, Facing up to the problem of consciousness\nThe problems of consciousness, Chalmers argues, are of two kinds: the easy problems and the hard\nproblem.\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts\nabout the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and\nstructure, or a hurricane being a logical consequence of the structures and functions of certain weather\nOverview\nChalmers' formulation\nEasy problems", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "34. Chalmers, David (2020). \"Is the hard problem of consciousness universal?\" (http://consc.ne\nt/papers/universal.pdf) (PDF). Journal of Consciousness Studies. 27 (5–6): 227–257.\nRetrieved 22 February 2022.\n35. Locke, John (1722). The works of John Locke: in three volumes. Vol. 1. London: Printed for\nA. Churchill, and A. Manship, and sold by W. Taylor in Pater-noster-Row. p. 293 (https://book\ns.google.com/books?id=0BfmAAAAMAAJ&pg=PA293).\n36. Leibniz, Monadology, 17, as quoted by Aranyosi, Istvan (2004). \"Chalmers's zombie\narguments\" (http://www.personal.ceu.hu/students/03/Istvan_Aranyosi/Chapter%20IV.pdf)\n(PDF) (draft ed.). Central European University Personal Pages.\n37. Mill, John Stuart. A System of Logic (1843), Book V, Chapter V, section 3\n38. Huxley, Thomas Henry; Youmans, William Jay (1868). The elements of physiology and\nhygiene: a text-book for educational institutions. New York: D. Appleton and company.\np. 178 (https://books.google.com/books?id=aVUAAAAAYAAJ&pg=PA178).\n39. Arnold, Dan (2021). \"Philosophy of Mind's \"Hard Problem\" in Light of Buddhist Idealism\". In\nEmmanuel, Steven M. (ed.). Philosophy's Big Questions: Comparing Buddhist and Western\nApproaches. New York: Columbia University Press. pp. 97–128. ISBN 978-0231174879.\n40. Bryan Van Norden, Buddhism Comes to China (https://www.youtube.com/watch?v=Q1xv3H\nmUddY), 17 March 2021, retrieved 2021-12-29\n41. Tiwald, Justin; Van Norden, Bryan W. eds. (2005), Readings in Later Chinese Philosophy, p.\n101. Hackett Publishing.\n42. Levine, J. 1983. “Materialism and qualia: the explanatory gap”. Pacific Philosophical\nQuarterly, 64: 354–361.\n43. Weisberg, Josh. \"The Hard Problem of Consciousness\" (https://www.iep.utm.edu/hard-con/).\nInternet Encyclopedia of Philosophy.\n44. Seager, William. \"Are Zombies Logically Possible?\" (https://www.utsc.utoronto.ca/~seager/z\nombie.html). www.utsc.utoronto.ca. Retrieved 2020-09-03.\n45. Kaszniak, Alfred W.; Scott, Andrew C. (2007). \"Zombie Killer\". Association of Scientific\nStudies of Consciousness. S2CID 14891432 (https://api.semanticscholar.org/CorpusID:148\n91432).\n46. Polger, Tom. \"Zombies: Entry\" (https://web.archive.org/web/20200615155145/http://host.unir\noma3.it/progetti/kant/field/zombies.htm). host.uniroma3.it. Archived from the original (https://\nhost.uniroma3.it/progetti/kant/field/zombies.htm) on 2020-06-15. Retrieved 2020-09-03.\n47. Kirk, Robert (2019), \"Zombies\" (https://plato.stanford.edu/archives/spr2019/entries/zombie\ns/), in Zalta, Edward N. (ed.), The Stanford Encyclopedia of Philosophy (Spring 2019 ed.),\nMetaphysics Research Lab, Stanford University, retrieved 2020-09-03\n48. David Chalmers (1996) The Conscious Mind: In Search of a Fundamental Theory, pp. 153–\n56. Oxford University Press, New York, ISBN 0-19-511789-1 (Pbk.)\n49. Dennett, Daniel (1999), \"The Zombie Hunch: Extinction of an Intuition?\" (https://www.nyu.ed\nu/gsas/dept/philo/courses/consciousness/papers/DD-zombie.html), Royal Institute of\nPhilosophy Millennial Lecture\n50. Martine Nida-Rümelin; Donnchadh O Conaill (2019). \"Qualia: The Knowledge Argument\" (htt\nps://plato.stanford.edu/archives/win2019/entries/qualia-knowledge/). In Edward N. Zalta\n(ed.). The Stanford Encyclopedia of Philosophy (Winter 2019 ed.). Metaphysics Research\nLab, Stanford University. Retrieved 2020-09-03.\n51. Bourget, David; Chalmers, David J. (2014). \"What Do Philosophers Believe?\" (https://philpa\npers.org/rec/BOUWDP). Philosophical Studies. 170 (3): 465–500. doi:10.1007/s11098-013-\n0259-7 (https://doi.org/10.1007%2Fs11098-013-0259-7). S2CID 254936498 (https://api.sem\nanticscholar.org/CorpusID:254936498).", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia2.pdf" - }, - { - "text": "17. Massimo Pigliucci (2013). \"What hard problem?\" (http://philpapers.org/archive/PIGWHP.pdf)\n(PDF). Philosophy Now (99).\n18. Churchland, Patricia (1996). \"The Hornswoggle Problem\" (http://joelvelasco.net/teaching/23\n00/hornswoggleprob.pdf) (PDF). Journal of Consciousness Studies. 3 (5–6): 402–408.\nRetrieved 10 January 2021.\n19. Frankish, Keith (2016). \"Illusionism as a Theory of Consciousness\" (https://nbviewer.jupyter.\norg/github/k0711/kf_articles/blob/master/Frankish_Illusionism%20as%20a%20theory%20o\nf%20consciousness_eprint.pdf) (PDF). Journal of Consciousness Studies. 23 (11–12): 11–\n39. Retrieved 20 December 2018.\n20. Dehaene, Stanislas (2014). Consciousness and the brain: deciphering how the brain codes\nour thoughts. Viking Adult. pp. 259–266 (https://books.google.com/books?id=CWw2AAAAQ\nBAJ&pg=PT197). ISBN 978-0670025435.\n21. Edelman, Gerald; Gally, Joseph; Baars, Bernard (2011). \"Biology of Consciousness\" (https://\nwww.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). Frontiers in Psychology. 2 (4): 4.\ndoi:10.3389/fpsyg.2011.00004 (https://doi.org/10.3389%2Ffpsyg.2011.00004).\nPMC 3111444 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). PMID 21713129\n(https://pubmed.ncbi.nlm.nih.gov/21713129).\n22. Seth, Anil (November 2016). \"The real problem\" (https://aeon.co/essays/the-hard-problem-of\n-consciousness-is-a-distraction-from-the-real-one). Aeon. Retrieved 22 April 2018.\n23. Sean Carroll (29 April 2019). \"Sean Carroll's Mindscape\" (https://www.preposterousunivers\ne.com/podcast/2019/04/29/episode-44-antonio-damasio-on-feelings-thoughts-and-the-evolu\ntion-of-humanity/). Preposterousuniverse.com (Podcast). Sean Carroll. Event occurs at\n1:04.46. \"I'm just saying that the idea of a hard problem that you cannot transpose, I think is\nwrong.\"\n24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog\ny.com/2022/11/19/hard-problem-of-consciousness-2/). arabpsychology.com. Retrieved\n2023-10-29.\n25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020\nPhilPapers Survey\" (https://survey2020.philpeople.org). Philosophers' Imprint.\n26. Roberts, Tim S. (September 2007). \"The Even Harder Problem of Consciousness by\nRoberts. Tim S.\" (https://www.researchgate.net/publication/228618472) NeuroQuantology. 5\n(2): 214–221. doi:10.14704/nq.2007.5.2.129 (https://doi.org/10.14704%2Fnq.2007.5.2.129).\n27. Chalmers, David (1996). The Conscious Mind. New York: Oxford University Press. pp. xii–\nxiii, 95–106, backcover.\n28. Pinker, Steven (2018). Enlightenment Now. Viking. p. 481. ISBN 9780525427575.\n29. Dennett, Daniel; commentary on T. Moody, O. Flanagan and T. Polger. \"The Unimagined\nPreposterous of Zombies (https://ase.tufts.edu/cogstud/dennett/papers/unzombie.htm)\",\nJournal of Consciousness Studies vol. 2, no. 4, 1995, pp. 322–326.\n30. Churchland, Patricia Smith (2005). \"A neurophilosophical slant on consciousness research\".\nCortical Function: A View from the Thalamus. Progress in Brain Research. Vol. 149.\npp. 285–293. doi:10.1016/S0079-6123(05)49020-2 (https://doi.org/10.1016%2FS0079-612\n3%2805%2949020-2). ISBN 9780444516794. PMID 16226591 (https://pubmed.ncbi.nlm.ni\nh.gov/16226591).\n31. Nagel, Thomas (October 1974). \"What is it like to be a bat?\". The Philosophical Review. 83\n(4): 435–450. doi:10.2307/2183914 (https://doi.org/10.2307%2F2183914). JSTOR 2183914\n(https://www.jstor.org/stable/2183914). S2CID 49125889 (https://api.semanticscholar.org/Co\nrpusID:49125889).\n32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/).\nInternet Encyclopedia of Philosophy. Retrieved 2024-10-09.\n33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http\ns://philpapers.org/rec/CHAMFO). Journal of Consciousness Studies. 4 (1): 3–46.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Today there is a strong tendency to simply equate consciousness with the qualia. Yet there is\nclearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of\npain\" are qualities we are conscious of. So philosophy of mind tends to treat consciousness as\nif it consisted simply of the contents of consciousness (the phenomenal qualities), while it\nreally is precisely consciousness of contents, the very givenness of whatever is subjectively\ngiven. And therefore the problem of consciousness does not pertain so much to some alleged\n\"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective\nsubject, but rather to the nature of \"seeing\" itself (and in today’s philosophy of mind\nastonishingly little is said about the latter).[129]\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be\nsolved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy\nproblems\", although a significant minority disagrees.[9][130]\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof\nKoch have made significant progress toward identifying which neurobiological events occur concurrently\nto the experience of subjective consciousness.[131] These postulated events are referred to as neural\ncorrelates of consciousness or NCCs. However, this research arguably addresses the question of which\nneurobiological mechanisms are linked to consciousness but not the question of why they should give rise\nto consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In\n\"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting\nthe principle that something such as what he terms \"global availability\" can be used as an indicator of\nconsciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated\nregarding their relationship to the hard problem of consciousness:\nOne can always ask why these processes of availability should give rise to consciousness in\nthe first place. As yet we cannot explain why they do so, and it may well be that full details\nabout the processes of availability will still fail to answer this question. Certainly, nothing in\nthe standard methodology I have outlined answers the question; that methodology assumes a\nrelation between availability and consciousness, and therefore does nothing to explain it. [...]\nSo the hard problem remains. But who knows: Somewhere along the line we may be led to\nthe relevant insights that show why the link is there, and the hard problem may then be\nsolved.[132]\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard\nproblem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133]\nKandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what\naccounts for the unity of experience—is solved, it will be possible to solve the hard problem\nempirically.[133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is\na distraction from what he calls the \"real problem\": understanding the neurobiology underlying\nRelationship to scientific frameworks\nNeural correlates of consciousness", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The philosophers Glenn Carruthers and Elizabeth Schier said in 2012 that the main arguments for the\nexistence of a hard problem—philosophical zombies, Mary's room, and Nagel's bats—are only persuasive\nif one already assumes that \"consciousness must be independent of the structure and function of mental\nstates, i.e. that there is a hard problem.\" Hence, the arguments beg the question. The authors suggest that\n\"instead of letting our conclusions on the thought experiments guide our theories of consciousness, we\nshould let our theories of consciousness guide our conclusions from the thought experiments.\"[64]\nThe philosopher Massimo Pigliucci argued in 2013 that the hard problem is misguided, resulting from a\n\"category mistake\".[17] He said: \"Of course an explanation isn't the same as an experience, but that's\nbecause the two are completely independent categories, like colors and triangles. It is obvious that I\ncannot experience what it is like to be you, but I can potentially have a complete explanation of how and\nwhy it is possible to be you.\"[17]\nIn 2017, the philosopher Marco Stango, in a paper on John Dewey's approach to the problem of\nconsciousness (which preceded Chalmers' formulation of the hard problem by over half a century), noted\nthat Dewey's approach would see the hard problem as the consequence of an unjustified assumption that\nfeelings and functional behaviors are not the same physical process: \"For the Deweyan philosopher, the\n'hard problem' of consciousness is a 'conceptual fact' only in the sense that it is a philosophical mistake:\nthe mistake of failing to see that the physical can be had as an episode of immediate sentiency.\"[65]\nThe philosopher Thomas Metzinger likens the hard problem of consciousness to vitalism, a formerly\nwidespread view in biology which was not so much solved as abandoned.[66] Brian Jonathan Garrett has\nalso argued that the hard problem suffers from flaws analogous to those of vitalism.[67]\nThe philosopher Peter Hacker argues that the hard problem is misguided in that it asks how consciousness\ncan emerge from matter, whereas in fact sentience emerges from the evolution of living organisms.[68] He\nstates: \"The hard problem isn’t a hard problem at all. The really hard problems are the problems the\nscientists are dealing with. [...] The philosophical problem, like all philosophical problems, is a confusion\nin the conceptual scheme.\"[68] Hacker's critique extends beyond Chalmers and the hard problem, being\ndirected against contemporary philosophy of mind and neuroscience more broadly. Along with the\nneuroscientist Max Bennett, he has argued that most of contemporary neuroscience remains implicitly\ndualistic in its conceptualizations and is predicated on the mereological fallacy of ascribing psychological\nconcepts to the brain that can properly be ascribed only to the person as a whole.[69] Hacker further states\nthat \"consciousness studies\", as it exists today, is \"literally a total waste of time\" and that \"the conception\nof consciousness which they have is incoherent\".[68]\nEliminative materialism or eliminativism is the view that many or all of the mental states used in folk\npsychology (i.e., common-sense ways of discussing the mind) do not, upon scientific examination,\ncorrespond to real brain mechanisms.[59] According the 2020 PhilPapers survey, 4.51% of philosophers\nsurveyed subscribe to eliminativism.[25]\nWhile Patricia Churchland and Paul Churchland have famously applied eliminative materialism to\npropositional attitudes, philosophers including Daniel Dennett, Georges Rey, and Keith Frankish have\napplied it to qualia or phenomenal consciousness (i.e., conscious experience).[59] On their view, it is\nmistaken not only to believe there is a hard problem of consciousness, but to believe phenomenal\nconsciousness exists at all.[19][61]\nEliminative materialism / Illusionism", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Weisberg, Josh. \"The hard problem of consciousness\" (http://www.iep.utm.edu/hard-con).\nInternet Encyclopedia of Philosophy.\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Hard_problem_of_consciousness&oldid=1261818884\"", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The mind–body problem is the problem of how the mind and the body relate. The mind-body problem is\nmore general than the hard problem of consciousness, since it is the problem of discovering how the mind\nand body relate in general, thereby implicating any theoretical framework that broaches the topic. The\nhard problem, in contrast, is often construed as a problem uniquely faced by physicalist or materialist\ntheories of mind.\nThe philosopher Thomas Nagel posited in his 1974 paper \"What Is It Like to Be a Bat?\" that experiences\nare essentially subjective (accessible only to the individual undergoing them—i.e., felt only by the one\nfeeling them), while physical states are essentially objective (accessible to multiple individuals). So he\nargued we have no idea what it could mean to claim that an essentially subjective state just is an\nessentially non-subjective state (i.e., that a felt state is nothing but a functional state). In other words, we\nhave no idea of what reductivism amounts to.[31] He believes \"every subjective phenomenon is\nessentially connected with a single point of view, and it seems inevitable that an objective, physical\ntheory will abandon that point of view.\"[31]\nIn 1983, the philosopher Joseph Levine proposed that there is an explanatory gap between our\nunderstanding of the physical world and our understanding of consciousness.[42]\nLevine's disputes that conscious states are reducible to neuronal or brain states. He uses the example of\npain (as an example of a conscious state) and its reduction to the firing of c-fibers (a kind of nerve cell).\nThe difficulty is as follows: even if consciousness is physical, it is not clear which physical states\ncorrespond to which conscious states. The bridges between the two levels of description will be\ncontingent, rather than necessary. This is significant because in most contexts, relating two scientific\nlevels of descriptions (such as physics and chemistry) is done with the assurance of necessary\nconnections between the two theories (for example, chemistry follows with necessity from physics).[43]\nLevine illustrates this with a thought experiment: Suppose that humanity were to encounter an alien\nspecies, and suppose it is known that the aliens do not have any c-fibers. Even if one knows this, it is not\nobvious that the aliens do not feel pain: that would remain an open question. This is because the fact that\naliens do not have c-fibers does not entail that they do not feel pain (in other words, feelings of pain do\nnot follow with logical necessity from the firing of c-fibers). Levine thinks such thought experiments\ndemonstrate an explanatory gap between consciousness and the physical world: even if consciousness is\nreducible to physical things, consciousness cannot be explained in terms of physical things, because the\nlink between physical things and consciousness is a contingent link.[43]\nLevine does not think that the explanatory gap means that consciousness is not physical; he is open to the\nidea that the explanatory gap is only an epistemological problem for physicalism.[43] In contrast,\nChalmers thinks that the hard problem of consciousness does show that consciousness is not physical.[27]\nPhilosophical zombies are a thought experiment commonly used in discussions of the hard\nproblem.[44][45] They are hypothetical beings physically identical to humans but that lack conscious\nexperience.[46] Philosophers such as Chalmers, Joseph Levine, and Francis Kripke take zombies as\n\"What Is It Like to Be a Bat?\"\nExplanatory gap\nPhilosophical zombies", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The hard problem is often illustrated by\nappealing to the logical possibility of inverted\nvisible spectra. If there is no logical\ncontradiction in supposing that one's colour\nvision could be inverted, it follows that\nmechanistic explanations of visual processing\ndo not determine facts about what it is like to\nsee colours.\nA swarm of birds showing high\norder structure emerging from\nsimpler physical constituents\nphysical constituents. For example, water is nothing\nmore than H2O molecules, and understanding everything\nabout H2O molecules is to understand everything there is\nto know about water. But consciousness is not like this.\nKnowing everything there is to know about the brain, or\nany physical system, is not to know everything there is to\nknow about consciousness. Consciousness, then, must\nnot be purely physical.[27]\nChalmers's idea contradicts physicalism, sometimes\nlabelled materialism. This is the view that everything that\nexists is a physical or material thing, so everything can\nbe reduced to microphysical things. For example, the\nrings of Saturn are a physical thing because they are\nnothing more than a complex arrangement of a large\nnumber of subatomic particles interacting in a certain way.\nAccording to physicalism, everything, including consciousness,\ncan be explained by appeal to its microphysical constituents.\nChalmers's hard problem presents a counterexample to this view\nand to other phenomena like swarms of birds, since it suggests that\nconsciousness, like swarms of birds, cannot be reductively\nexplained by appealing to their physical constituents. Thus, if the\nhard problem is a real problem then physicalism must be false, and\nif physicalism is true then the hard problem must not be a real\nproblem.\nThough Chalmers rejects physicalism, he is still a naturalist.[27]\nThe hard problem of consciousness has scholarly antecedents considerably earlier than Chalmers.\nChalmers himself notes that \"a number of thinkers in the recent and distant past\" have \"recognised the\nparticular difficulties of explaining consciousness.\"[33] He states that all his original 1996 paper\ncontributed to the discussion was \"a catchy name, a minor reformulation of philosophically familiar\npoints\".[33]\nAmong others, thinkers who have made arguments similar to Chalmers' formulation of the hard problem\ninclude Isaac Newton,[34] John Locke,[35] Gottfried Wilhelm Leibniz,[36][34] John Stuart Mill,[37] and\nThomas Henry Huxley.[38][34] Likewise, Asian philosophers like Dharmakirti and Guifeng Zongmi\ndiscussed the problem of how consciousness arises from unconscious matter.[34][39][40][41]\nImplications for physicalism\nHistorical precedents\nRelated concepts\nThe mind–body problem", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "What is David Chalmer's definition of \"consciousness\" ?", - "target_page": 2, - "target_passage": "Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what it is like to be something.\"", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Today there is a strong tendency to simply equate consciousness with the qualia. Yet there is\nclearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of\npain\" are qualities we are conscious of. So philosophy of mind tends to treat consciousness as\nif it consisted simply of the contents of consciousness (the phenomenal qualities), while it\nreally is precisely consciousness of contents, the very givenness of whatever is subjectively\ngiven. And therefore the problem of consciousness does not pertain so much to some alleged\n\"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective\nsubject, but rather to the nature of \"seeing\" itself (and in today’s philosophy of mind\nastonishingly little is said about the latter).[129]\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be\nsolved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy\nproblems\", although a significant minority disagrees.[9][130]\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof\nKoch have made significant progress toward identifying which neurobiological events occur concurrently\nto the experience of subjective consciousness.[131] These postulated events are referred to as neural\ncorrelates of consciousness or NCCs. However, this research arguably addresses the question of which\nneurobiological mechanisms are linked to consciousness but not the question of why they should give rise\nto consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In\n\"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting\nthe principle that something such as what he terms \"global availability\" can be used as an indicator of\nconsciousness, the neural correlates will be discovered \"in a century or two\".[132] Nevertheless, he stated\nregarding their relationship to the hard problem of consciousness:\nOne can always ask why these processes of availability should give rise to consciousness in\nthe first place. As yet we cannot explain why they do so, and it may well be that full details\nabout the processes of availability will still fail to answer this question. Certainly, nothing in\nthe standard methodology I have outlined answers the question; that methodology assumes a\nrelation between availability and consciousness, and therefore does nothing to explain it. [...]\nSo the hard problem remains. But who knows: Somewhere along the line we may be led to\nthe relevant insights that show why the link is there, and the hard problem may then be\nsolved.[132]\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard\nproblem, but rather one of the so-called easy problems to which the hard problem is contrasted.[133]\nKandel went on to note Crick and Koch's suggestion that once the binding problem—understanding what\naccounts for the unity of experience—is solved, it will be possible to solve the hard problem\nempirically.[133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is\na distraction from what he calls the \"real problem\": understanding the neurobiology underlying\nRelationship to scientific frameworks\nNeural correlates of consciousness", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\".[24] According to a 2020 PhilPapers survey, a\nmajority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine\nproblem, while 29.72% said that it does not exist.[25]\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned\nBlock believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different\nphysical and functional neurological systems potentially having phenomenal overlap.[12] Another\npotential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed\n\"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular\npersonal identity, as opposed to existing as someone else.[26]\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the\nproblem of consciousness\" (1995)[1] and expanded upon it in The Conscious Mind (1996). His works\nprovoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers\nfor his argumentative rigour and \"impeccable clarity\".[27] Pinker later said, in 2018, \"In the end I still\nthink that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a\nmeaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether\nthe same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with\nseveral other philosophers that it may be futile to hope for a solution at all, precisely because it is a\nconceptual problem, or, more accurately, a problem with our concepts.\"[28] Daniel Dennett and Patricia\nChurchland, among others, believe that the hard problem is best seen as a collection of easy problems that\nwill be solved through further analysis of the brain and behaviour.[29][30]\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of\nbeing awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what\nit is like to be something.\" Consciousness, in this sense, is synonymous with experience.[31][27]\n. . .even when we have explained the performance of all the cognitive and behavioral functions\nin the vicinity of experience—perceptual discrimination, categorization, internal access, verbal\nreport—there may still remain a further unanswered question: Why is the performance of these\nfunctions accompanied by experience?\n— David Chalmers, Facing up to the problem of consciousness\nThe problems of consciousness, Chalmers argues, are of two kinds: the easy problems and the hard\nproblem.\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts\nabout the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and\nstructure, or a hurricane being a logical consequence of the structures and functions of certain weather\nOverview\nChalmers' formulation\nEasy problems", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "52. Chalmers, David (2003). \"Consciousness and its Place in Nature\". In Stich, Stephen P.;\nWarfield, Ted A. (eds.). Blackwell Guide to the Philosophy of Mind. Malden, MA: Blackwell.\npp. 102–142. doi:10.1002/9780470998762.ch5 (https://doi.org/10.1002%2F978047099876\n2.ch5). ISBN 9780470998762.\n53. Boutel, Adrian (2013). \"How to be a Type-C Physicalist\" (https://philpapers.org/rec/BOUHT\nB). Philosophical Studies. 164 (2): 301–320. doi:10.1007/s11098-012-9854-2 (https://doi.or\ng/10.1007%2Fs11098-012-9854-2). S2CID 254941872 (https://api.semanticscholar.org/Cor\npusID:254941872).\n54. Majeed, Raamy (September 2016). \"The hard problem & its explanatory targets\". Ratio. 29\n(3): 298–311. doi:10.1111/rati.12103 (https://doi.org/10.1111%2Frati.12103).\n55. Levin, Janet (2008). \"Taking Type-B Materialism Seriously\" (https://philpapers.org/rec/LEVT\nTM). Mind and Language. 23 (4): 402–425. doi:10.1111/j.1468-0017.2008.00349.x (https://d\noi.org/10.1111%2Fj.1468-0017.2008.00349.x).\n56. Mandik, Pete; Weisberg, Josh (2008). Wrenn, Chase (ed.). Type-Q Materialism (https://philp\napers.org/rec/MANTM). Peter Lang Publishing Group.\n57. Pereira, Roberto Horácio Sá (2016). \"In Defence of Type-A Materialism\" (https://philpapers.o\nrg/rec/PERIDO-3). Diametros. 49 (49): 68–83. doi:10.13153/diam.49.2016.921 (https://doi.or\ng/10.13153%2Fdiam.49.2016.921).\n58. Yetter-Chappell, Helen (2017). \"Dissolving Type-B Physicalism\" (https://philpapers.org/rec/Y\nETDTP-2). Philosophical Perspectives. 31 (1): 469–498. doi:10.1111/phpe.12099 (https://do\ni.org/10.1111%2Fphpe.12099).\n59. Ramsey, William (2019). \"Eliminative Materialism\" (https://plato.stanford.edu/entries/material\nism-eliminative/). In Zalta, Edward N. (ed.). Stanford Encyclopedia of Philosophy. Retrieved\n1 April 2019.\n60. Frankish, K. (2016). \"Illusionism as a theory of consciousness\". Journal of Consciousness\nStudies. 23 (11–12): 11–39.\n61. Dennett, Daniel (2016). \"Illusionism as the Obvious Default Theory of Consciousness\" (http\ns://philpapers.org/rec/DENIAT-3). Journal of Consciousness Studies. 23 (11–12): 65–72.\n62. Carruthers, Peter (2016). \"Higher-order theories of consciousness\" (http://plato.stanford.ed\nu/entries/consciousness-higher/). Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University.\n63. Carruthers, Peter (2005). \"Phenomenal concepts and higher-order experiments\" (https://boo\nks.google.com/books?id=FKI4flNaGjUC&pg=PA79). Consciousness: essays from a higher-\norder perspective. Oxford University Press. pp. 79 ff. ISBN 978-0191535048.\n64. Carruthers, Glenn; Schier, Elizabeth (2012). \"Dissolving the hard problem of consciousness\"\n(http://consciousnessonline.files.wordpress.com/2012/01/disolvinghardproblem.pdf) (PDF).\nConsciousness Online fourth conference. Retrieved 7 July 2014.\n65. Stango, Marco (Summer 2017). \"A Deweyan assessment of three major tendencies in\nphilosophy of consciousness\" (http://muse.jhu.edu/article/680916). Transactions of the\nCharles S. Peirce Society. 53 (3): 466–490. doi:10.2979/trancharpeirsoc.53.3.06 (https://doi.\norg/10.2979%2Ftrancharpeirsoc.53.3.06). S2CID 148690536 (https://api.semanticscholar.or\ng/CorpusID:148690536).", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia2.pdf" - }, - { - "text": "66. Harris, Sam. \"Making Sense #96\" (https://samharris.org/subscriber-extras/96-nature-conscio\nusness/). SamHarris.org. Sam Harris. Retrieved 27 August 2020. \"(25.45) TM:I think it will\nnot be a mystery. Life is not a mystery anymore, but a hundred and fifty years ago many\npeople thought that this is an irreducible mystery. (25:57) Harris:So you're not a fan\nanymore, if you ever were, of the framing by David Chalmers of the Hard Problem of\nConsciousness? Metzinger: No, that's so boring. I mean, that's last century. I mean, you\nknow, we all respect Dave [Chalmers], and we know he is very smart and has got a very fast\nmind, no debate about that. But conceivability arguments are just very, very weak. If you\nhave an ill-defined folk psychological umbrella term like \"consciousness\", then you can pull\noff all kinds of scenarios and zombie thought experiments. It doesn't really… It helped to\nclarify some issues in the mid 90's, but the consciousness community has listened to this\nand just moved on. I mean nobody of the serious researchers in the field thinks about this\nanymore, but it has taken on like a folkloristic life of its own. A lot of people talk about the\nHard Problem who wouldn't be able to state what it consists in now.\"\n67. Garrett, Brian Jonathan (May 2006). \"What the History of Vitalism Teaches Us About\nConsciousness and the 'Hard Problem'\". Philosophy and Phenomenological Research. 72\n(3): 576–588. doi:10.1111/j.1933-1592.2006.tb00584.x (https://doi.org/10.1111%2Fj.1933-1\n592.2006.tb00584.x).\n68. Hacker, Peter (2010). \"Hacker's challenge\" (http://philpapers.org/rec/HACHC). The\nPhilosophers' Magazine. 51 (51): 23–32. doi:10.5840/tpm2010517 (https://doi.org/10.5840%\n2Ftpm2010517).\n69. Schaal, David W. (2005). \"Naming Our Concerns About Neuroscience: A Review of Bennett\nand Hacker's Philosophical Foundations of Neuroscience\" (https://www.ncbi.nlm.nih.gov/pm\nc/articles/PMC1389787). Journal of the Experimental Analysis of Behavior. 84 (3): 683–692.\ndoi:10.1901/jeab.2005.83-05 (https://doi.org/10.1901%2Fjeab.2005.83-05). PMC 1389787\n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC1389787). PMID 16596986 (https://pubmed.\nncbi.nlm.nih.gov/16596986).\n70. Dennett, Daniel C. (1979). \"On the Absence of Phenomenology\". In Gustafson, Donald F.;\nTapscott, Bangs L. (eds.). Body, Mind, and Method. Kluwer Academic Publishers. pp. 93–\n113.\n71. Dennett, Daniel C. (1991). Consciousness Explained. Penguin Books.\n72. Dennett, Daniel C. (2003). \"Explaining the 'magic' of consciousness\". Journal of Cultural and\nEvolutionary Psychology. 1 (1): 7–19. doi:10.1556/jcep.1.2003.1.2 (https://doi.org/10.1556%\n2Fjcep.1.2003.1.2). S2CID 144560246 (https://api.semanticscholar.org/CorpusID:14456024\n6).\n73. Dennett, Daniel C. (1991). Consciousness explained (https://archive.org/details/consciousne\nssexp00denn). Boston: Little, Brown and Company. ISBN 978-0316180658.\n74. Anthis, Jacy (2022). \"Consciousness Semanticism: A Precise Eliminativist Theory of\nConsciousness\" (https://philarchive.org/rec/ANTCSA). Biologically Inspired Cognitive\nArchitectures 2021. Studies in Computational Intelligence. Vol. 1032. pp. 20–41.\ndoi:10.1007/978-3-030-96993-6_3 (https://doi.org/10.1007%2F978-3-030-96993-6_3).\nISBN 978-3-030-96992-9. Retrieved 7 August 2022.\n75. Irvine, Elizabeth (2013). Consciousness as a scientific concept: a philosophy of science\nperspective. Studies in brain and mind. Vol. 5. Dordrecht; New York: Springer-Verlag. p. 167\n(https://books.google.com/books?id=jO4HNB7OoUgC&pg=PA167). ISBN 9789400751729.\n76. Chalmers, David (2018). \"The Meta-Problem of Consciousness\" (http://consc.net/papers/me\ntaproblem.pdf) (PDF). Journal of Consciousness Studies. 25 (9–10): 6–61. Retrieved\n6 February 2019.\n77. Graziano, Michael (2013). Consciousness and the social brain. Oxford; New York: Oxford\nUniversity Press. ISBN 978-0190263195.\n78. Michael Graziano (10 July 2015). \"Build-a-brain\" (https://aeon.co/essays/can-we-make-cons", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia2.pdf" - }, - { - "text": "consciousness, namely the neural correlates of various conscious processes.[22] This more modest goal is\nthe focus of most scientists working on consciousness.[133] Psychologist Susan Blackmore believes, by\ncontrast, that the search for the neural correlates of consciousness is futile and itself predicated on an\nerroneous belief in the hard problem of consciousness.[134]\nA functionalist view in cognitive science holds that the mind is an information processing system, and\nthat cognition and consciousness together are a form of computation. Cognition, distinct from\nconsciousness, is explained by neural computation in the computational theory of cognition. The\ncomputational theory of mind asserts that not only cognition, but also phenomenal consciousness or\nqualia, are computational. While the computation system is realized by neurons rather than electronics, in\ntheory it would be possible for artificial intelligence to be conscious.\nIntegrated information theory (IIT), developed by the neuroscientist and psychiatrist Giulio Tononi in\n2004 and more recently also advocated by Koch, is one of the most discussed models of consciousness in\nneuroscience and elsewhere.[135][136] The theory proposes an identity between consciousness and\nintegrated information, with the latter item (denoted as Φ) defined mathematically and thus in principle\nmeasurable.[136][137] The hard problem of consciousness, write Tononi and Koch, may indeed be\nintractable when working from matter to consciousness.[15] However, because IIT inverts this relationship\nand works from phenomenological axioms to matter, they say it could be able to solve the hard\nproblem.[15] In this vein, proponents have said the theory goes beyond identifying human neural\ncorrelates and can be extrapolated to all physical systems. Tononi wrote (along with two colleagues):\nWhile identifying the \"neural correlates of consciousness\" is undoubtedly important, it is\nhard to see how it could ever lead to a satisfactory explanation of what consciousness is and\nhow it comes about. As will be illustrated below, IIT offers a way to analyze systems of\nmechanisms to determine if they are properly structured to give rise to consciousness, how\nmuch of it, and of which kind.[138]\nAs part of a broader critique of IIT, Michael Cerullo suggested that the theory's proposed explanation is in\nfact for what he dubs (following Scott Aaronson) the \"Pretty Hard Problem\" of methodically inferring\nwhich physical systems are conscious—but would not solve Chalmers' hard problem.[136] \"Even if IIT is\ncorrect,\" he argues, \"it does not explain why integrated information generates (or is) consciousness.\"[136]\nChalmers agrees that IIT, if correct, would solve the \"Pretty Hard Problem\" rather than the hard\nproblem.[139]\nGlobal workspace theory (GWT) is a cognitive architecture and theory of consciousness proposed by the\ncognitive psychologist Bernard Baars in 1988.[140] Baars explains the theory with the metaphor of a\ntheater, with conscious processes represented by an illuminated stage.[140] This theater integrates inputs\nComputational cognition\nIntegrated information theory\nGlobal workspace theory", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia2.pdf" - }, - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them\nto unconscious networks (represented in the metaphor by a broad, unlit \"audience\").[140] The theory has\nsince been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene.[141]\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory\nthat only targets one of the \"easy problems\" of consciousness.[1] In particular, he said GWT provided a\npromising account of how information in the brain could become globally accessible, but argued that\n\"now the question arises in a different form: why should global accessibility give rise to conscious\nexperience? As always, this bridging question is unanswered.\"[1] J. W. Dalton similarly criticized GWT\non the grounds that it provides, at best, an account of the cognitive function of consciousness, and fails to\nexplain its experiential aspect.[142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the\n'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so\nand provides important insights into the relation between consciousness and cognition.\"[143]\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia\nover and above the problem of explaining causal functions, because qualia are entailed by neural activity\nand themselves causal.[21] Dehaene, in his 2014 book Consciousness and the Brain, rejected the concept\nof qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems.[20]\nHe further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually\nshifting as understanding evolves:[20]\nOnce our intuitions are educated by cognitive neuroscience and computer simulations,\nChalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental\nexperience, detached from any information-processing role, will be viewed as a peculiar idea\nof the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science\nof consciousness will keep eating away at the hard problem of consciousness until it\nvanishes.\nIn 2018, Chalmers highlighted what he calls the \"meta-problem of consciousness\", another problem\nrelated to the hard problem of consciousness:[76]\nThe meta-problem of consciousness is (to a first approximation) the problem of explaining\nwhy we think that there is a [hard] problem of consciousness.\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal\nreports\", and the behavior of expressing a belief that there is a hard problem of consciousness.[76]\nExplaining its significance, he says:[76]\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the\nhard problem. We can reasonably hope that a solution to the meta-problem will shed\nsignificant light on the hard problem. A particularly strong line holds that a solution to the\nMeta-problem", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia2.pdf" - }, - { - "text": "17. Massimo Pigliucci (2013). \"What hard problem?\" (http://philpapers.org/archive/PIGWHP.pdf)\n(PDF). Philosophy Now (99).\n18. Churchland, Patricia (1996). \"The Hornswoggle Problem\" (http://joelvelasco.net/teaching/23\n00/hornswoggleprob.pdf) (PDF). Journal of Consciousness Studies. 3 (5–6): 402–408.\nRetrieved 10 January 2021.\n19. Frankish, Keith (2016). \"Illusionism as a Theory of Consciousness\" (https://nbviewer.jupyter.\norg/github/k0711/kf_articles/blob/master/Frankish_Illusionism%20as%20a%20theory%20o\nf%20consciousness_eprint.pdf) (PDF). Journal of Consciousness Studies. 23 (11–12): 11–\n39. Retrieved 20 December 2018.\n20. Dehaene, Stanislas (2014). Consciousness and the brain: deciphering how the brain codes\nour thoughts. Viking Adult. pp. 259–266 (https://books.google.com/books?id=CWw2AAAAQ\nBAJ&pg=PT197). ISBN 978-0670025435.\n21. Edelman, Gerald; Gally, Joseph; Baars, Bernard (2011). \"Biology of Consciousness\" (https://\nwww.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). Frontiers in Psychology. 2 (4): 4.\ndoi:10.3389/fpsyg.2011.00004 (https://doi.org/10.3389%2Ffpsyg.2011.00004).\nPMC 3111444 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). PMID 21713129\n(https://pubmed.ncbi.nlm.nih.gov/21713129).\n22. Seth, Anil (November 2016). \"The real problem\" (https://aeon.co/essays/the-hard-problem-of\n-consciousness-is-a-distraction-from-the-real-one). Aeon. Retrieved 22 April 2018.\n23. Sean Carroll (29 April 2019). \"Sean Carroll's Mindscape\" (https://www.preposterousunivers\ne.com/podcast/2019/04/29/episode-44-antonio-damasio-on-feelings-thoughts-and-the-evolu\ntion-of-humanity/). Preposterousuniverse.com (Podcast). Sean Carroll. Event occurs at\n1:04.46. \"I'm just saying that the idea of a hard problem that you cannot transpose, I think is\nwrong.\"\n24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog\ny.com/2022/11/19/hard-problem-of-consciousness-2/). arabpsychology.com. Retrieved\n2023-10-29.\n25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020\nPhilPapers Survey\" (https://survey2020.philpeople.org). Philosophers' Imprint.\n26. Roberts, Tim S. (September 2007). \"The Even Harder Problem of Consciousness by\nRoberts. Tim S.\" (https://www.researchgate.net/publication/228618472) NeuroQuantology. 5\n(2): 214–221. doi:10.14704/nq.2007.5.2.129 (https://doi.org/10.14704%2Fnq.2007.5.2.129).\n27. Chalmers, David (1996). The Conscious Mind. New York: Oxford University Press. pp. xii–\nxiii, 95–106, backcover.\n28. Pinker, Steven (2018). Enlightenment Now. Viking. p. 481. ISBN 9780525427575.\n29. Dennett, Daniel; commentary on T. Moody, O. Flanagan and T. Polger. \"The Unimagined\nPreposterous of Zombies (https://ase.tufts.edu/cogstud/dennett/papers/unzombie.htm)\",\nJournal of Consciousness Studies vol. 2, no. 4, 1995, pp. 322–326.\n30. Churchland, Patricia Smith (2005). \"A neurophilosophical slant on consciousness research\".\nCortical Function: A View from the Thalamus. Progress in Brain Research. Vol. 149.\npp. 285–293. doi:10.1016/S0079-6123(05)49020-2 (https://doi.org/10.1016%2FS0079-612\n3%2805%2949020-2). ISBN 9780444516794. PMID 16226591 (https://pubmed.ncbi.nlm.ni\nh.gov/16226591).\n31. Nagel, Thomas (October 1974). \"What is it like to be a bat?\". The Philosophical Review. 83\n(4): 435–450. doi:10.2307/2183914 (https://doi.org/10.2307%2F2183914). JSTOR 2183914\n(https://www.jstor.org/stable/2183914). S2CID 49125889 (https://api.semanticscholar.org/Co\nrpusID:49125889).\n32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/).\nInternet Encyclopedia of Philosophy. Retrieved 2024-10-09.\n33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http\ns://philpapers.org/rec/CHAMFO). Journal of Consciousness Studies. 4 (1): 3–46.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://www.imprint.co.uk/\nchalmers.html). Journal of Consciousness Studies. 2 (3): 200–219.\nCiteSeerX 10.1.1.103.8362 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.103.\n8362). Archived (https://web.archive.org/web/20050308163649/http://www.imprint.co.uk/chal\nmers.html) from the original on 8 March 2005. Retrieved 11 October 2018.\nChalla, Subhash; Moreland, Mark R.; Mušicki, Darko; Evans, Robin J. (2011). Fundamentals of\nObject Tracking. Cambridge University Press. doi:10.1017/CBO9780511975837 (https://doi.\norg/10.1017%2FCBO9780511975837). ISBN 978-0-5218-7628-5.\nChristian, Brian (2020). The Alignment Problem: Machine learning and human values. W. W.\nNorton & Company. ISBN 978-0-3938-6833-3. OCLC 1233266753 (https://search.worldcat.o\nrg/oclc/1233266753).\nCiresan, D.; Meier, U.; Schmidhuber, J. (2012). \"Multi-column deep neural networks for image\nclassification\". 2012 IEEE Conference on Computer Vision and Pattern Recognition.\npp. 3642–3649. arXiv:1202.2745 (https://arxiv.org/abs/1202.2745).\ndoi:10.1109/cvpr.2012.6248110 (https://doi.org/10.1109%2Fcvpr.2012.6248110). ISBN 978-\n1-4673-1228-8. S2CID 2161592 (https://api.semanticscholar.org/CorpusID:2161592).\nClark, Jack (2015b). \"Why 2015 Was a Breakthrough Year in Artificial Intelligence\" (https://www.\nbloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artificial-int\nelligence). Bloomberg.com. Archived (https://web.archive.org/web/20161123053855/https://\nwww.bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artific\nial-intelligence) from the original on 23 November 2016. Retrieved 23 November 2016.\nCNA (12 January 2019). \"Commentary: Bad news. Artificial intelligence is biased\" (https://www.c\nhannelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loans-key-\nchallenge-11097374). CNA. Archived (https://web.archive.org/web/20190112104421/https://\nwww.channelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loan\ns-key-challenge-11097374) from the original on 12 January 2019. Retrieved 19 June 2020.\nCybenko, G. (1988). Continuous valued neural networks with two hidden layers are sufficient\n(Report). Department of Computer Science, Tufts University.\nDeng, L.; Yu, D. (2014). \"Deep Learning: Methods and Applications\" (http://research.microsoft.c\nom/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF). Foundations and\nTrends in Signal Processing. 7 (3–4): 197–387. doi:10.1561/2000000039 (https://doi.org/10.\n1561%2F2000000039). Archived (https://web.archive.org/web/20160314152112/http://resea\nrch.microsoft.com/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF)\nfrom the original on 14 March 2016. Retrieved 18 October 2014.\nDennett, Daniel (1991). Consciousness Explained. The Penguin Press. ISBN 978-0-7139-9037-\n9.\nDiFeliciantonio, Chase (3 April 2023). \"AI has already changed the world. This report shows\nhow\" (https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869\n558.php). San Francisco Chronicle. Archived (https://web.archive.org/web/2023061901530\n9/https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869558.\nphp) from the original on 19 June 2023. Retrieved 19 June 2023.\nDickson, Ben (2 May 2022). \"Machine learning: What is the transformer architecture?\" (https://b\ndtechtalks.com/2022/05/02/what-is-the-transformer). TechTalks. Archived (https://web.archiv\ne.org/web/20231122142948/https://bdtechtalks.com/2022/05/02/what-is-the-transformer/)\nfrom the original on 22 November 2023. Retrieved 22 November 2023.\nDockrill, Peter (27 June 2022), \"Robots With Flawed AI Make Sexist And Racist Decisions,\nExperiment Shows\" (https://web.archive.org/web/20220627225827/https://www.sciencealert.\ncom/robots-with-flawed-ai-make-sexist-racist-and-toxic-decisions-experiment-shows),", - "page_start": 54, - "page_end": 54, - "source_file": "wikipedia3.pdf" - }, - { - "text": "David Chalmers calls this form of idealism one of \"the handful of promising approaches to the mind–\nbody problem.\"[127]\nNew mysterianism, most significantly associated with the philosopher Colin McGinn, proposes that the\nhuman mind, in its current form, will not be able to explain consciousness.[128][11] McGinn draws on\nNoam Chomsky's distinction between problems, which are in principle solvable, and mysteries, which\nhuman cognitive faculties are unequipped to ever understand, and places the mind–body problem in the\nlatter category.[128] His position is that a naturalistic explanation does exist but that the human mind is\ncognitively closed to it due to its limited range of intellectual abilities.[128] He cites Jerry Fodor's concept\nof the modularity of mind in support of cognitive closure.[128]\nWhile in McGinn's strong form, new mysterianism states that the relationship between consciousness and\nthe material world can never be understood by the human mind, there are also weaker forms that argue it\ncannot be understood within existing paradigms but that advances in science or philosophy may open the\nway to other solutions (see above).[43] The ideas of Thomas Nagel and Joseph Levine fall into the second\ncategory.[43] Steven Pinker has also endorsed this weaker version of the view, summarizing it as\nfollows:[9]\nAnd then there is the theory put forward by philosopher Colin McGinn that our vertigo when\npondering the Hard Problem is itself a quirk of our brains. The brain is a product of\nevolution, and just as animal brains have their limitations, we have ours. Our brains can't\nhold a hundred numbers in memory, can't visualize seven-dimensional space and perhaps\ncan't intuitively grasp why neural information processing observed from the outside should\ngive rise to subjective experience on the inside. This is where I place my bet, though I admit\nthat the theory could be demolished when an unborn genius—a Darwin or Einstein of\nconsciousness—comes up with a flabbergasting new idea that suddenly makes it all clear to\nus.\nPhilosopher Raamy Majeed argued in 2016 that the hard problem is associated with two \"explanatory\ntargets\":[54]\n1. [PQ] Physical processing gives rise to experiences with a phenomenal character.\n2. [Q] Our phenomenal qualities are thus-and-so.\nThe first fact concerns the relationship between the physical and the phenomenal (i.e., how and why are\nsome physical states felt states), whereas the second concerns the very nature of the phenomenal itself\n(i.e., what does the felt state feel like?).\nWolfgang Fasching argues that the hard problem is not about qualia, but about the what-it-is-like-ness of\nexperience in Nagel's sense—about the givenness of phenomenal contents:\nNew mysterianism\nCommentary on the problem's explanatory targets", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia2.pdf" - }, - { - "text": "1. Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://consc.net/pape\nrs/facing.pdf) (PDF). Journal of Consciousness Studies. 2 (3): 200–219.\n2. Harnad, Stevan (1995). \"Why and how we are not zombies\" (http://cogprints.org/1601/6/har\nnad95.zombies.html). Journal of Consciousness Studies. 1: 164–167. See also Harnad,\nStevan (April 2000). \"How/why the mind–body problem is hard\" (http://cogprints.org/1617/1/\nharnad00.mind.humphrey.html). Journal of Consciousness Studies. 7 (4): 54–61.\n3. See Cooney's foreword to the reprint of Chalmers' paper: Brian Cooney, ed. (1999).\n\"Chapter 27: Facing up to the problem of consciousness\". The place of mind. Cengage\nLearning. pp. 382 ff. ISBN 978-0534528256.\n4. Problem of Consciousness (Tuscan 1994) (https://www.youtube.com/watch?v=_lWp-6hH_6\ng%7CHard)\n5. JCS vol. 4, pp. 3-46, 1997\n6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\". Journal of\nConsciousness Studies. 4 (1): 3–46.\n7. Shear, Jonathan (1997). Explaining Consciousness: The Hard Problem. MIT Press.\nISBN 978-0262692212.\n8. \"Episode 83, The David Chalmers Interview (Part I - Consciousness)\" (https://thepanpsycas\nt.com/panpsycast2/episode83-1). The Panpsycast Philosophy Podcast. 19 July 2020.\nRetrieved 2020-09-05.\n9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten\nt.time.com/time/magazine/article/0,9171,1580394-1,00.html). Time. Retrieved 19 December\n2018.\n10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi\new/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17). The\nOxford Handbook of Philosophy of Mind: 281–291.\ndoi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9\n780199262618.003.0017). ISBN 978-0199262618.\n11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman.\ncom/ideas/2012/02/consciousness-mind-brain). New Statesman. Retrieved 27 March 2012.\n12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO\nTHP). The Journal of Philosophy. 99 (8): 391–425. doi:10.2307/3655621 (https://doi.org/10.\n2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621).\nS2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062).\n13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard\nproblem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718).\nJournal of Consciousness Studies. 3 (4): 330–349.\n14. Tononi, Giulio; Boly, Melanie; Massimini, Marcello; Koch, Christof (July 2016). \"Integrated\ninformation theory: from consciousness to its physical substrate\". Nature Reviews\nNeuroscience. 17 (7): 450–461. doi:10.1038/nrn.2016.44 (https://doi.org/10.1038%2Fnrn.20\n16.44). PMID 27225071 (https://pubmed.ncbi.nlm.nih.gov/27225071). S2CID 21347087 (htt\nps://api.semanticscholar.org/CorpusID:21347087).\n15. Tononi, Giulio; Koch, Christof (March 2015). \"Consciousness: here, there and everywhere?\"\n(https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509). Philosophical Transactions of the\nRoyal Society B: Biological Sciences. 370 (1668): 20140167. doi:10.1098/rstb.2014.0167 (ht\ntps://doi.org/10.1098%2Frstb.2014.0167). PMC 4387509 (https://www.ncbi.nlm.nih.gov/pmc/\narticles/PMC4387509). PMID 25823865 (https://pubmed.ncbi.nlm.nih.gov/25823865).\n16. Dennett, Daniel C. (2013). \"The tuned deck\" (https://books.google.com/books?id=sicVcPjfPx\nUC&pg=RA3-PA59). Intuition pumps and other tools for thinking. W. W. Norton & Company.\npp. 310 ff. ISBN 978-0393240689. and also \"Commentary on Chalmers\": Dennett, Daniel C.\n(1996). \"Facing backwards on the problem of consciousness\" (http://ase.tufts.edu/cogstud/d\nennett/papers/chalmers.htm). Journal of Consciousness Studies. 3 (1): 4–6.", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "What is the role of the PhilPapers organization ?", - "target_page": 6, - "target_passage": " PhilPapers is an organization that archives academic philosophy papers and periodically surveys professional philosophers about their views.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Shermer, Michael (25 October 2022). Conspiracy: Why the Rational Believe the Irrational.\nJHU Press. ISBN 978-1-4214-4445-1.\nSider, Theodore (2010). Logic for Philosophy. Oxford University Press. ISBN 978-0-19-\n957558-9.\nSiegel, Harvey; Biro, John (1997). \"Epistemic Normativity, Argumentation, and Fallacies\" (htt\nps://philpapers.org/rec/SIEENA). Argumentation. 11 (3): 277–292.\ndoi:10.1023/A:1007799325361 (https://doi.org/10.1023%2FA%3A1007799325361).\nS2CID 126269789 (https://api.semanticscholar.org/CorpusID:126269789). Archived (https://\nweb.archive.org/web/20220228035651/https://philpapers.org/rec/SIEENA) from the original\non 28 February 2022. Retrieved 4 January 2022.\nSimpson, R. L. (2008). Essentials of Symbolic Logic (3rd ed.). Broadview Press. p. 14.\nISBN 978-1-77048-495-5.\nSmith, Robin (2022). \"Aristotle's Logic\" (https://plato.stanford.edu/entries/aristotle-logic/).\nThe Stanford Encyclopedia of Philosophy. Metaphysics Research Lab, Stanford University.\nRetrieved 11 March 2023.\nSpade, Paul Vincent; Panaccio, Claude (2019). \"William of Ockham\" (https://plato.stanford.e\ndu/entries/ockham/#SummLogi). The Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University.\nSpriggs, John (2012). GSN – The Goal Structuring Notation: A Structured Approach to\nPresenting Arguments. Springer Science & Business Media. pp. 20–22. ISBN 978-1-4471-\n2312-5.\nStairs, Allen (2017). A Thinker's Guide to the Philosophy of Religion. Routledge. p. 343.\nISBN 978-1-351-21981-5.\nSternberg, Robert J. \"Thought\" (https://www.britannica.com/topic/thought). Encyclopædia\nBritannica. Archived (https://web.archive.org/web/20211013145532/https://www.britannica.c\nom/topic/thought) from the original on 13 October 2021. Retrieved 14 October 2021.\nStolyar, Abram Aronovich (1 January 1984). Introduction to Elementary Mathematical Logic.\nCourier Corporation. ISBN 978-0-486-64561-2.\nStone, Mark A. (2012). \"Denying the Antecedent: Its Effective Use in Argumentation\" (https://\nphilpapers.org/rec/STODTA). Informal Logic. 32 (3): 327–356. doi:10.22329/il.v32i3.3681 (ht\ntps://doi.org/10.22329%2Fil.v32i3.3681). Archived (https://web.archive.org/web/2022022812\n3240/https://philpapers.org/rec/STODTA) from the original on 28 February 2022. 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Problems of Semantics: A Contribution to the Analysis of the Language\nScience. Springer Science & Business Media. p. 111. ISBN 978-94-009-8364-9.\nVelleman, Daniel J. (2006). How to Prove It: A Structured Approach. Cambridge University\nPress. p. 8, 103. ISBN 978-0-521-67599-4.\nVickers, John M. (2022). \"Inductive Reasoning\" (https://www.oxfordbibliographies.com/displ\nay/document/obo-9780195396577/obo-9780195396577-0171.xml). Oxford Bibliographies.\nOxford University Press. Retrieved 18 January 2023.", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Blair, J. Anthony; Johnson, Ralph H. (2000). \"Informal Logic: An Overview\" (https://philpaper\ns.org/rec/BLAILA-3). Informal Logic. 20 (2): 93–107. doi:10.22329/il.v20i2.2262 (https://doi.o\nrg/10.22329%2Fil.v20i2.2262). Archived (https://web.archive.org/web/20211209195317/http\ns://philpapers.org/rec/BLAILA-3) from the original on 9 December 2021. Retrieved\n29 December 2021.\nBlair, J. Anthony (20 October 2011). Groundwork in the Theory of Argumentation: Selected\nPapers of J. Anthony Blair. Springer Science & Business Media. p. 47. ISBN 978-94-007-\n2363-4.\nBobzien, Susanne (2020). \"Ancient Logic: 2. Aristotle\" (https://plato.stanford.edu/entries/logi\nc-ancient/#Ari). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University. Archived (https://web.archive.org/web/20180828102117/https://plato.sta\nnford.edu/entries/logic-ancient/#Ari) from the original on 28 August 2018. Retrieved\n3 January 2022.\nBorchert, Donald, ed. (2006a). \"Computability Theory\". Macmillan Encyclopedia of\nPhilosophy Volume 2 (https://philpapers.org/rec/BORMEO) (2nd ed.). Macmillan. pp. 372–\n390. ISBN 978-0-02-865782-0.\nBorchert, Donald (2006b). \"Induction\". Macmillan Encyclopedia of Philosophy Volume 4 (htt\nps://philpapers.org/rec/BORMEO) (2nd ed.). Macmillan. pp. 635–648. ISBN 978-0-02-\n865784-4. 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In Hameroff, Stuart; Kaszniak, Alfred; Scott, Alwyn (eds.).\nToward a Science of Consciousness II. Cambridge, MA: MIT Press. ISBN 9780262082624.\nRetrieved 17 April 2018.\n133. Kandel Eric R. (2007). In search of memory: The emergence of a new science of mind (http\ns://books.google.com/books?id=PFnRwWXzypgC). W. W. Norton & Company. pp. 380–382.\nISBN 978-0393329377.", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia2.pdf" - }, - { - "text": "of society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a \ncrucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such \nrecognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady \ndevelopment of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate \ncitizen, to make a positive contribution to society.citizen, to make a positive contribution to society.\n3.\nContributing to \nSocial Development\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of \ncompliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business \nactivities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and \ninspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral \nstandards in our business practices.standards in our business practices.\n5.Compliance\nSMFG CSR Values\nParticipation in global initiatives\nRecent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.Recent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.\nAs a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of \nthe following initiatives and organizations:the following initiatives and organizations:\nCSR activities and the PDCA cycle\nThe 10 principles advocated by \nthe United Nations in the areas of \nhuman rights, labor standards, the \nenvironment, and anti-corruption \nmeasures\nUnited Nations \nGlobal Compact\nThe global partnership between the UNEP and \nfinancial institutions who are signatories to the \nUNEP FI Statements seeks to identify, promote, and \nensure best environmental and sustainability prac-\ntice at all operational levels of financial institutions\nThe United Nations Environment \nProgramme Finance Initiative (UNEP FI)\nAn initiative to measure, manage \nand alleviate climate change by \nencouraging sustained dialog \nwith institutional investors and \nbusiness leaders on this issue\nCarbon Disclosure Project \n(CDP)\nA set of guiding principles for man-\naging social and environmental \nissues in project finance, based on \nthe guidelines of the International \nFinance Corporation (IFC)\nEquator Principles\n\u0012\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0012\u0013", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). 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Influence of convective transport on linear stability,” Phys. Fluids21, 062104 (2009).\n33", - "page_start": 32, - "page_end": 32, - "source_file": "1001.2669.pdf" - }, - { - "text": "(iii)\n(iv)\n(ii)\n(i)\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thicknesshand (right) the nanoparticle\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning,\n(iii) slow motion after depinning, and (iv) final evaporation from the center.\nshould also be investigated further in the simple case presented here.\nIV . CONCLUSION\nWe have discussed recent work on pattern formation processes in films and drops of evaporating\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics\non the mesoscale has been described as well as more microscopic models for the dynamics in the\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film\nmodel.\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-\n23", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "bulk behaviour, with the single planes ordering tempera-\nture coinciding with the helical phase transition one;ii)\nintermediate thickness, 6 ≤ n ≲ 15, where the tempera-\nture corresponding to the onset of in-plane order, TC (n),\nis still ≃ T Ho\nN , but where the helical/fan arrangement sta-\nbilizes only below a finite temperature TN (n) < T C (n);\niii) low thickness,1 ≤ n ≤ 5, where TC (n) ≲ T Ho\nN but no\nfan phase is present at any temperature.\nThe observed behaviour in region iii) can be reason-\nably attributed to the decreasing relevance of the con-\ntribution to the total energy of the system coming from\nthe competitive interactions among NNN planes as the\nfilm thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "[20] C. 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Zhu, “Study of the morphology of the three-phase contact\nline and its evolution by morphological examination after droplet evaporation of aqueous polymer\nsolutions,” Langmuir24, 7923–7930 (2008).\n[26] M. Mertig, U. Thiele, J. Bradt, G. Leibiger, W. Pompe, and H. Wendrock, “Scanning force mi-\ncroscopy and geometrical analysis of two-dimensional collagen network formation,” Surface and\nInterface Analysis 25, 514–521 (1997).\n[27] M. Mertig, U. Thiele, J. Bradt, D. Klemm, and W. Pompe, “Dewetting of thin collagenous precursor\nfilms,” Appl. Phys. A 66, S565–S568 (1998).\n[28] U. Thiele, M. Mertig, and W. Pompe, “Dewetting of an evaporating thin liquid film: Heterogeneous\nnucleation and surface instability,” Phys. Rev. Lett.80, 2869–2872 (1998).\n[29] H. Maeda, “An atomic force microscopy study of ordered molecular assemblies and concentric ring\npatterns from evaporating droplets of collagen solutions,” Langmuir15, 8505–8513 (1999).\n[30] I. I. Smalyukh, O. V . Zribi, J. C. Butler, O. D. Lavrentovich, and G. C. L. Wong, “Structure and\ndynamics of liquid crystalline pattern formation in drying droplets of DNA,” Phys. Rev. Lett. 96,\n177801 (2006).\n[31] L. Zhang, S. Maheshwari, H. C. Chang, and Y . X. Zhu, “Evaporative self-assembly from complex\nDNA-colloid suspensions,” Langmuir24, 3911–3917 (2008).\n[32] M. Maillard, L. Motte, A. T. Ngo, and M. P. Pileni, “Rings and hexagons made of nanocrystals: A\nMarangoni effect,” J. Phys. Chem. B104, 11871–11877 (2000).\n[33] G. L. Ge and L. Brus, “Evidence for spinodal phase separation in two-dimensional nanocrystal self-\nassembly,” J. Phys. Chem. B104, 9573–9575 (2000).\n27", - "page_start": 26, - "page_end": 26, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen\nfrom processes in similar ultrathin ‘postcursor’ films.\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how-\never, that at the moment there exists no explanation for its existence. A possible hypothesis is\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso-\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration\nsuspension from the higher concentration suspension on the surface of the substrate.\nIII. MODELLING APPROACHES\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro-\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness\nprofile h(x,y,t ). In the case of volatile liquids one finds [55–58, 64]\n∂th = ∇·\n[\nQc∇δF\nδh\n]\n−Qe\nδF\nδh, (1)\nwith the mobility functions Qc(h) = h3/3η ≥0 (assuming Poiseuille flow in the film and no slip\nat the substrate; η is the dynamic viscosity) and Qe ≥0 for the convective and evaporative part\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇= (∂x,∂y), and\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates.\nFocusing on the influence of capillarity and wettability only, the energy functional F[h] is given\nby\nF[h] =\n∫\ndx\n∫\ndy\n[γ\n2 (∇h)2 + f(h) −µh\n]\n(2)\n7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "[97] U. Thiele, M. G. Velarde, K. Neuffer, and Y . Pomeau, “Film rupture in the diffuse interface model\ncoupled to hydrodynamics,” Phys. Rev. E64, 031602 (2001).\n[98] J. Heier, J. Groenewold, F. A. Castro, F. Nueesch, and R. Hany, “Enlarged bilayer interfaces from\nliquid-liquid dewetting for photovoltaic applications,” P Soc Photo-Opt Instrum Eng 6999, J9991–\nJ9991 (2008).\n[99] M. D. Haw, M. Gillie, and W. C. K. 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C 111, 16255–16260 (2007).\n[62] C. Gigault, K. Dalnoki-Veress, and J. R. Dutcher, “Changes in the morphology of self-assembled\npolystyrene microsphere monolayers produced by annealing,” J. Colloid Interface Sci.243, 143–155\n(2001).\n[63] A. Oron, S. H. Davis, and S. G. Bankoff, “Long-scale evolution of thin liquid films,” Rev. Mod. Phys.\n69, 931–980 (1997).\n[64] U. Thiele, “Thin film evolution equations from (evaporating) dewetting liquid layers to epitaxial\ngrowth,” J. Phys.-Cond. Mat. (2010), (at press).\n29", - "page_start": 28, - "page_end": 28, - "source_file": "1001.2669.pdf" - }, - { - "text": "[5] F. Brochard-Wyart and J. Daillant, “Drying of solids wetted by thin liquid films,” Can. J. Phys. 68,\n1084–1088 (1989).\n[6] P. M ¨uller-Buschbaum, “Dewetting and pattern formation in thin polymer films as investigated in real\nand reciprocal space,” J. Phys.-Condes. Matter15, R1549–R1582 (2003).\n[7] R. Seemann, S. Herminghaus, C. Neto, S. Schlagowski, D. Podzimek, R. Konrad, H. Mantz, and\nK. Jacobs, “Dynamics and structure formation in thin polymer melt films,” J. Phys.-Condes. Matter\n17, S267–S290 (2005).\n[8] U. Thiele, “Structure formation in thin liquid films,” in S. Kalliadasis and U. Thiele, editors, “Thin\nfilms of Soft Matter,” pages 25–93, Springer, Wien (2007).\n[9] R. Xie, A. Karim, J. F. Douglas, C. C. Han, and R. A. Weiss, “Spinodal dewetting of thin polymer\nfilms,” Phys. Rev. Lett.81, 1251–1254 (1998).\n[10] R. Seemann, S. Herminghaus, and K. Jacobs, “Dewetting patterns and molecular forces: A reconcil-\niation,” Phys. Rev. Lett.86, 5534–5537 (2001).\n[11] U. Thiele, M. G. Velarde, and K. Neuffer, “Dewetting: Film rupture by nucleation in the spinodal\nregime,” Phys. Rev. Lett.87, 016104 (2001).\n[12] M. Bestehorn and K. Neuffer, “Surface patterns of laterally extended thin liquid films in three di-\nmensions,” Phys. Rev. Lett.87, 046101 (2001).\n[13] J. Becker, G. Gr ¨un, R. Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, “Complex\ndewetting scenarios captured by thin-film models,” Nat. Mater.2, 59–63 (2003).\n[14] C. Redon, F. Brochard-Wyart, and F. Rondelez, “Dynamics of dewetting,” Phys. Rev. Lett. 66, 715–\n718 (1991).\n[15] R. Seemann, S. Herminghaus, and K. Jacobs, “Shape of a liquid front upon dewetting,” Phys. Rev.\nLett. 87, 196101 (2001).\n[16] R. Fetzer, K. Jacobs, A. M ¨unch, B. Wagner, and T. P. Witelski, “New slip regimes and the shape of\ndewetting thin liquid films,” Phys. Rev. Lett.95, 127801 (2005).\n[17] F. Brochard-Wyart and C. Redon, “Dynamics of liquid rim instabilities,” Langmuir 8, 2324–2329\n(1992).\n[18] G. Reiter and A. Sharma, “Auto-optimization of dewetting rates by rim instabilities in slipping poly-\nmer films,” Phys. Rev. Lett.87, 166103 (2001).\n[19] A. M ¨unch and B. Wagner, “Contact-line instability of dewetting thin films,” Physica D209, 178–190\n(2005).\n26", - "page_start": 25, - "page_end": 25, - "source_file": "1001.2669.pdf" - }, - { - "text": "I. INTRODUCTION\nThe patterns formed in dewetting processes have attracted strong interest since Reiter analysed the\nprocess quantitatively in the early nineties. In these experiments, that proved to be a paradigm in\nour understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is\ndeposited on a flat silicon oxide substrate is brought above the glass transition temperature. The\nfilm ruptures in several places, forming holes which subsequently grow, competing for space. As a\nresult, a random polygonal network of liquid rims emerges. The rims may further decay into lines\nof small drops due to a Rayleigh-type instability [1–3]. The related problems of retracting contact\nlines on partially wetting substrates and the opening of single holes in rather thick films have also\nbeen studied [4, 5].\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple\nnon-volatile liquids and polymers (for reviews see Refs. [6–8]). All stages of the dewetting of a\nfilm are studied: the initial film rupture via nucleation or a surface instability (called spinodal\ndewetting) [1, 9–13], the growth process of individual holes [14–16], the evolution of the resulting\nhole pattern [3, 13], and the stability of the individual dewetting fronts [17–19]. We note in\npassing, that descriptions of dewetting patterns may also be found in historic papers, particularly\nfor the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40]\nconsidered turpentine on water and Marangoni [21, p. 352f] oil on water.\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. How-\never, these systems have not yet been investigated in any great depth. Such systems are compli-\ncated because their behaviour is determined by the interplay between the various solute (or colloid)\nand solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one\nhas to distinguish between ‘normal’ convective dewetting and evaporative dewetting. A number\nof experiments have been performed employing (colloidal) solutions of polymers [22–25], macro-\nmolecules like collagen and DNA [26–31] and nanoparticles [32–40]. The latter are sometimes\nreferred to as ‘nanofluids’. The initial focus of much of the research in the field has been on\ninvestigating the structures that are formed which are similar to the ones observed in the ‘classi-\ncal’ dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from\nspinodal dewetting and heterogeneous nucleation and growth, respectively. They are ‘decorated’\nwith the solute and therefore conserve the transient dewetting pattern as a dried-in structure when\nall the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may\n3", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid\non the substrate where the nanoparticles are.\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front.\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger\nnumber remains constant, although new branches are continuously created and old branches join\neach other. In general, the results on fingering agree well with results obtained using the KMC\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the\nKMC for investigations of the early instability stages: they are more easy to discern without the\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations\n(in analogy to the approach used in Refs. [19, 86, 87]).\nC. Thin film hydrodynamics\nThe previous two sections focused on two approaches to describe the experimentally observed\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet-\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface-\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of\nspreading particle solutions incorporating a structural disjoining pressure has also been considered\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the\n18", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "Where are located the magnetic ions in the lattice of the studied layers ?", - "target_page": 2, - "target_passage": "the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "3\nsamples15, the projected Mn 3 d magnetic moments are\nobtained as −1.4 µB and +0.8 µB per ion at remanence\nand 1000 Oe, respectively.\nThe difference between these values can be understood\nas being due to an interface layer which is strongly anti-\nferromagnetically coupled to the Fe layer. At zero field,\nboth the interfacial and bulk Mn are aligned antiparallel\nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As\nlayer away from the interface is re-oriented into the exter-\nnal field direction. However, the interfacial Mn remains\nantiparallel to the Fe layer and thus partially compen-\nsates the XMCD signal from the bulk of the (Ga,Mn)As.\nFrom the size of the remanent and 1000 Oe magnetic\nmoments, it can be estimated that around 25-30% of the\nTEY XMCD signal can be ascribed to the interfacial Mn\nwhich is strongly coupled to the Fe moments.\nThe interfacial Mn moments are ascribed to the prox-\nimity polarization of the (Ga,Mn)As interface by the Fe\nlayer, such as was shown previously by XMCD as well as\nab initiotheory7. Evidence for this can be observed from\nmeasurement of the Mn L2,3 XMCD signal at tempera-\ntures above the (Ga,Mn)As TC . Similar to the previous\nstudy7, we observe a small but not negligible signal at\nroom temperature (Fig. 3), with opposite sign to the Fe\nL2,3 XMCD. Its spectral shape is characteristic of a local-\nized electronic configuration close to d5, similar to bulk\n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic\nenvironments such as Mn xFe1−x7 or MnAs 16. A slight\nbroadening is observed on the low energy side of the Mn\nL3 peak, which may be due to the different screening in-\nduced by proximity to the Fe layer. Since the measured\nintensity is attenuated with distancez from the surface\nas I = I0 exp(−z/λ T EY), the thickness of the strongly\ncoupled interface layer is estimated to be ∼0.7 nm or 2-3\nmonolayers, assuming a uniform distribution of Mn ions\nand magnetic moments throughout the (Ga,Mn)As film.\nThis is around a factor of three thinner than in Ref.7,\nwhich could be due to the lower Mn concentration or the\ndifferent preparation method of the present samples.\nIn summary, we have demonstrated antiferromagnetic\ncoupling between Fe and (Ga,Mn)As layers in bilayer\nstructures. A markedly different coupling is observed for\nthe bulk of the (Ga,Mn)As layer and for Mn moments\nin the near-interface region. A thickness-dependent ex-\nchange bias field is observed to affect the whole of the\nbulk (Ga,Mn)As layer, which aligns antiparallel to the\nFe layer at low fields, and switches to parallel when the\nexternal field is large enough to overcome the bias field\nand the magnetocrystalline anisotropy fields. In contrast,\nthe interfacial Mn moments remain aligned antiparallel\nto the Fe layer even at 20 kOe, the largest field studied,\nand are polarized at temperatures well above theTC of\nthe bulk (Ga,Mn)As layer. The latter observation con-\nfirms the recently reported result of Ref. 7, in which\nthe Fe/(Ga,Mn)As bilayers were produced by a different\nmethod but showed qualitatively similar behavior of the\ninterfacial moments. Our results shed new light on the\nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which\nare of potential interest for room temperature spintron-\nics, and also offer a means of controlling the spin orien-\ntation in a FM semiconductor.\nWe acknowledge support from EU grants\nSemiSpinNet-215368 and NAMASTE-214499, and\nSTFC studentship grant CMPC07100. The Advanced\nLight Source is supported by the U.S. Department of\nEnergy under Contract No. DE-AC02-05CH11231.\nWe thank Leigh Shelford for help during the Diamond\nbeamtime.\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-\nDonald, Phys. Rev. B59, 9818 (1999); P. Sankowski and\nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D.\nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev.\nB78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys.\nRev. B 79, 214430 (2009).\n2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "2\nx\nz\ny\nJ J\nJ\n1 \n0\n2 \nFIG. 1: (colors online) (a): body-centered tetragonal (BCT)\nlattice with J0 in-plane coupling constant, and out-of-plane\nJ1, and J2 competing interactions.\nbe achieved with different number of interacting layers:\nnotably, nearest and next-nearest layers competitive in-\nteractions are enough to get a helical structure with a\nwhatever pitch wavevector. Such observation gives us a\npossible way to solve the conundrum previously emerged,\nas we have the possibility of varying the range of inter-\nactions without modifying the helical pitch, thus decou-\npling the two relevant length scales along the film growth\ndirection, and making accessible a range ofn of the or-\nder of, or smaller than, the helical pitch, but still large\nenough that a substantial number of layers can behave\nas “bulk” layers. Therefore, while in the previous papers\nwe have studied the properties of ultrathin magnetic films\nof Ho assuming a model with six interlayer exchange in-\nteractions, here we investigate by MC simulations the\nproperties of the same system by making use of the sim-\nplest model Hamiltonian able to describe the onset of a\nhelical magnetic order in Holmium, i.e. we consider only\ntwo inter-layer coupling constants, as previously done in\nRef. 11.\nThe paper is organized as follows: In Sec. II the model\nHamiltonian will be defined, and the MC techniques, and\nall the thermodynamic quantities relevant for this study,\nwill be introduced. In Sec. III the results obtained for\ndifferent thicknesses will be presented, both in the matter\nof the critical properties of the model and of the magnetic\nordered structures observed. Finally, in Sec. IV we shall\ndiscuss such results, drawing also some conclusions.\nII. MODEL HAMILTONIAN AND MONTE\nCARLO OBSER V ABLES\nThe model Hamiltonian we use in our simulations is the\nminimal one able to describe helimagnetic structures:\nH = −\n\nJ0\n∑\n⟨ij⟩\n⃗Si · ⃗Sj + J1\n∑\n⟨ik⟩\n⃗Si · ⃗Sk + J2\n∑\n⟨il⟩\n⃗Si · ⃗Sl\n\n.\n(1)\n⃗Si are classical planar unit vectors representing the di-\nrection of the total angular momentum of the magnetic\nions, whose magnitude\n√\nj(j + 1) ( j = 8 for Holmium\nions) is already encompassed within the definition of the\ninteraction constantsJ0, 1, 2. As sketched in Fig. 1, the\nmagnetic ions are located on the sites of a body-centered\ntetragonal (BCT) lattice; the first sum appearing in the\nHamiltonian describes the in-plane (xy) nearest neigh-\nbor (NN) interaction, which is taken ferromagnetic (FM),\nwith exchange strengthJ0 > 0; the second sum rep-\nresents the coupling, of exchange strength J1, between\nspins belonging to nearest neighbor (NN) planes along\nthez-direction (which we will assume to coincide with\nthe film growth direction); finally, the third sum takes\ninto account the interaction, of exchange strengthJ2, be-\ntween spins lying on next-nearest neighbor (NNN) planes\nalongz. In order to have frustration, giving rise to non-\ncollinear order along z in the bulk, NN interaction J1\ncan be taken both ferro- or antiferromagnetic, but NNN\ncouplingJ2 has necessarily to be antiferromagnetic, and\nthe condition |J2| > |J1|/4 must be fulfilled. Such simpli-\nfied Hamiltonian was already employed to simulate he-\nlical ordering in bulk systems by Diep1,17 and Loison 18.\nIn the bulk limit, the state of minimal energy of a sys-\ntem described by Eq.(1) corresponds to a helical arrange-\nment of spins. The ground state energy per spin is equal\ntoeg(Qz) = [ −4J0 − 2J1 (4 cos (Qzc′) + δ cos (2Qzc′))]\nwhere c′ is the distance between NN layers, δ = J2\nJ1\n,\nand Qzc′ = arccos\n(\n− 1\nδ\n)\nis the angle between spins ly-\ning on adjacent planes along the z-direction. The ob-\nserved helical arrangement in bulk holmium corresponds\ntoQzc′ ≃ 30.5◦10: such value can be obtained from\nthe formula above with the set of coupling constants\nJ0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke\net al.in Ref. 13 to interpret experimental data on\nHolmium films on the basis of a J1 − J2 model, after\na proper scaling by the numbers of NN and NNN on\nneighboring layers of a BCT lattice.\nIn the following we will denote with n the film thick-\nness, i.e. the number of spin layers along the z direction,\nand with L×L the number of spins in each layer (i.e., L\nis the lattice size along both the x and y directions). In\nour simulations thickness values from 1 to 24 were con-\nsidered, while the range of lateral sizeL was from 8 to\n64. Periodic boundary conditions were applied along x\nand y, while free boundaries were obviously taken along\nthe film growth direction z.\nThermal equilibrium was attained by the usual\nMetropolis algorithm 19, supplemented by the over-\nrelaxed technique 20 in order to speed-up the sampling\nof the spin configuration space: a typical “Monte Carlo\nstep” was composed by four Metropolis and four-five\nover-relaxed moves per particle. Such judicious mix of\nmoves is able both to get faster the thermal equilibrium\nand to minimize the correlation “time” between succes-\nsive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "6\n0 20 40 60 80 100 120 140\nT (K)\n0\n10\n20\n30\n ∆ϕ l,l+1 ( T ) (deg.)\nT N (16)T N (8)\nFIG. 7: (color online) ∆ ϕl(T ) vs. temperature for the surface\nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds),\nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed\nlines and open symbols: n = 16.\nfilm leads to an effective 2d-like trend. Region ii) looks\nhowever more intriguing, and requires a more accurate\ndiscussion, which can benefit from a careful comparison\nof the behaviour of a given quantity in regionsi) and ii).\nFor this purpose, we look at the temperature depen-\ndence of the rotation angle of the magnetization between\nNN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16\n(continuous and dashed lines, respectively), is plotted for\nthe outermost planes,l = 1 . . . 4. For both thicknesses, a\nmonotonic trend is observed for all l, but at variance with\nwhat happens for the highest thickness, for n = 8 we see,\nstarting from a temperature T ≲ TN (8), an abrupt drop\nof ∆ ϕ3 and ∆ ϕ4, which rapidly reach an almost con-\nstant value, only slightly larger than ∆ ϕ1. In the tem-\nperature range TN (8) ≲ T < T C (8) we thus substantially\nobserve the same small magnetic phase shifts between all\nNN layers, testifying an energetically stablequasi-FM\nconfiguration giving no contribution to the helical order\nparameters. The latter point can be made clearer by\nlooking at the the peak positionQz,max of the structure\nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is\nreported, again for n = 8 and for different lateral dimen-\nsions L26. As expected from the previous argument, we\nsee that Qz,max = 0 for TN (8) < T < T C (8), while it be-\ngins to shift to higher values as soon as the temperature\ndecreases belowTN (8), making apparent a progressive\nfan stabilization with Qz,max ̸= 0 and reaching a value\nof about 21 ◦ for T = 10 K.\nIn a previous study, where the magnetic properties of\nHo thin films were investigated by MC simulations of a\nHeisenberg model with easy-plane single-ion anisotropy\nand six out-of-plane coupling constants (as obtained by\nexperimental neutron scattering measurements16) on a\nHCP lattice14,15, it was found that for thicknesses compa-\nrable with the helical pitch the phase diagram landscape\nis quite different from what we find here. Indeed, for\nn= 9 − 16, three different magnetic phases could be sin-\n0 20 40 60 80 100\nT (K)\n0\n5\n10\n15\n20\n25\n30\nQ z, max (deg.)\nFIG. 8: (color online) Qz, position of the maximum of S(⃗ q),\nvs. temperature for thickness n = 8. Inset: magnetic vector\n(mx\nl, my\nl) profile for some temperatures for L = 64. Colors\nand symbols as in Fig. 2.\n0 1 2 3 4 5 6 7 8 9 10 11 12\nl\n0\n20\n40\n60\n80\n∆ϕ l (deg)\nT =100K\n 130K\n 135K\n 140K\n 145K\nFIG. 9: ∆ ϕl for a BCT lattice and n = 12, when the six\ncoupling constants set employed in Ref. 14,15 (see text) is\nused. The temperature range has been chosen aroundTC (n)\n(error bars lye within point size).\ngled out, with the high-temperature, paramagnetic phase\nseparated from the low-temperature, long-range ordered\none, by an intermediate-temperature block phase where\nouter ordered 4-layers blocks coexist with some inner dis-\nordered ones. Moreover, it was observed that the phase\ntransition of such inner layers turns out to have the sig-\nnatures of a Kosterlitz-Thouless one.\nThe absence of the block phase in the J1 − J2 model\nhere investigated has to be attributed to the different\nrange of interactions, rather than to the different lattice\nstructure. We came to this conclusion by doing some\nsimulations using the same set of interaction constants\nemployed in Refs. 14,15, but using a BCT lattice: the\nresults we obtained for ∆ϕl with n = 12 are reported in\nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15\nand clearly displays the footmarks of the block phase (see\ndown-triangle), with two external blocks of ordered layers\n(l =1. . . 5 and 8. . . 12 ), where ∆ ϕl is roughly 10 ◦, sep-\narated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "arXiv:1001.0510v1 [cond-mat.stat-mech] 4 Jan 2010\nInterplay among helical order, surface effects and range of i nteracting layers in\nultrathin films.\nF. Cinti (1, 2, 3), A. Rettori (2, 3), and A. Cuccoli (2)\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n(2)CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n(3)CNR-INFM S3 National Research Center, I-41100 Modena, Italy\n(Dated: June 8, 2022)\nThe properties of helical thin films have been thoroughly inv estigated by classical Monte Carlo\nsimulations. The employed model assumes classical planar s pins in a body-centered tetragonal\nlattice, where the helical arrangement along the film growth direction has been modeled by nearest\nneighbor and next-nearest neighbor competing interaction s, the minimal requirement to get helical\norder. We obtain that, while the in-plane transition temper atures remain essentially unchanged with\nrespect to the bulk ones, the helical/fan arrangement is sta bilized at more and more low temperature\nwhen the film thickness, n, decreases; in the ordered phase, increasing the temperatu re, a softening\nof the helix pitch wave-vector is also observed. Moreover, w e show also that the simulation data\naround both transition temperatures lead us to exclude the p resence of a first order transition for all\nanalyzed sizes. Finally, by comparing the results of the pre sent work with those obtained for other\nmodels previously adopted in literature, we can get a deeper insight about the entwined role played\nby the number (range) of interlayer interactions and surfac e effects in non-collinear thin films.\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\nI. INTRODUCTION\nThe study of low dimensional frustrated magnetic\nsystems1 still raises great interest, both in consequence\nof theoretical aspects, related to their peculiar criti-\ncal properties2, and in view of possible technological\napplications3. Indeed, beside conventional ferromagnetic\nor antiferromagnetic phase transitions, in many new ma-\nterials other nontrivial and unconventional forms of or-\ndering have been observed4,5. A quantity of particular\ninterest in this context is the spin chirality, an order pa-\nrameter which turned out to be extremely relevant in,\ne.g., magnetoelectric materials6, itinerant MnSi 7, binary\ncompounds as FeGe 8, glass transition of spins 9, and XY\nhelimagnets, as Holmium, Terbium or Dysprosium 10. In\nthe latter case, a new universality class was predicted be-\ncause aZ2 × SO(2) symmetry is spontaneously broken\nin the ordered phase 2: In fact, when dealing with such\nsystems, in addition to the SO(2) symmetry of the spin\ndegrees of freedom ⃗Si, one has to consider also the Z2\nsymmetry of the spin chirality κij ∝\n[\n⃗Si × ⃗Sj\n] z\n.\nFor these rare-earth elements, the development of new\nand sophisticated experimental methods 11 has allowed to\nobtain ultra-thin films where the non-collinear modula-\ntion is comparable with the film thickness. Under such\nconditions the lack of translational invariance due to the\npresence of surfaces results decisive in order to observe\na drastic change of the magnetic structures12. Recent\nexperimental data on ultra-thin Holmium films 13 have\nbeen lately interpreted and discussed 14,15 on the basis\nof detailed classical Monte Carlo (MC) simulations of a\nspin Hamiltonian, which is believed to give a realistic\nmodeling of bulk Holmium. Such Hamiltonian, proposed\nby Bohr et al.16, allows for competitive middle-range in-\nteractions by including six different exchange constants\nalong thec crystallographic axis, and gives a helix pitch\nwave-vector Qz such that Qzc′ ≃ 30◦, where c′ = c/2 is\nthe distance between nearest neighboring spin layers par-\nallel to theab crystallographic planes, henceforth denoted\nalso as x − y planes, while z will be taken parallel to c.\nFor n > 16, n being the number of spin layers in the film,\na correct bulk limit is reached, while for lower n the film", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "also as x − y planes, while z will be taken parallel to c.\nFor n > 16, n being the number of spin layers in the film,\na correct bulk limit is reached, while for lower n the film\nproperties are clearly affected by the strong competition\namong the helical pitch and the surface effects, which in-\nvolve the majority of the spin layers. In the thickness\nrangen = 9 − 16, i.e. right for thickness values com-\nparable with the helical pitch, three different magnetic\nphases emerged, with the high-temperature, disordered,\nparamagnetic phase and the low-temperature, long-range\nordered one separated by an intriguing, intermediate-\ntemperature block phase, where outer ordered layers co-\nexist with some inner disordered ones, the phase tran-\nsition of the latter eventually displaying the signatures\nof a Kosterlitz-Thouless one. Finally, forn ≤ 7 the film\ncollapses once and for all to a quasi-collinear order.\nThe complex phase diagram unveiled by such MC sim-\nulations awaken however a further intriguing question:\nto what extent the observed behavior may be considered\na simple consequence of the competition between helical\norder and surface effects? I.e., is it just a matter of hav-\ning such a competition or does the range of interactions\nalso play a relevant role? Indeed, when the range of the\ninteractions is large enough we have a greater number of\nplanes which can be thought of as ”surface planes”, i.e.\nfor which the number of interacting neighbors are sig-\nnificantly reduced with respect to the bulk layers; there-\nfore, we expect that the larger the interaction range, the\nstronger should be the surface effects. But, at the same\ntime, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "tained at the same thickness for the model with six cou-\npling constants along thez direction14,15. Indeed, for\nthe J1-J2 model here investigated, we observe that all\nlayers order at the same temperature, and we do not find\nany hint of the block-phase, with inner disordered planes\nintercalated to antiparallelquasi-FM four-layer blocks,\npreviously observed; sample MC runs we made using the\nsamehcp lattice employed in Refs. 14,15 shows that the\npresence or absence of the block phase is not related to\nthe lattice geometry, but it is a consequence of the inter-\naction range only.\nWe now move to describe and discuss MC simulation\ndata for thinner samples. A graphical synthesis of the\nresults obtained forn = 8 in reported in Fig. 4a-d. The\nspecific heat cv, shown in Figs. 4a, reveals very small\nfinite-size effects, which, however, cannot be unambigu-\nously detected for the largest lattice size (L = 64), as\nthey fall comfortably within the error range. Surpris-\ningly, the specific heat maximum is located close to the\nbulk transition temperature as found forn = 16, and", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0510.pdf" - }, - { - "text": "2\nmeasurements were performed on beamline I06 at the\nDiamond Light Source, and on beamline 4.0.2 at the Ad-\nvanced Light Source. Total-electron yield (TEY) and\nfluorescence yield (FY) were monitored simultaneously\nusing the sample drain current and the photocurrent of a\ndiode mounted at 90◦ to the incident beam, respectively.\nSQUID magnetometry measurements were\nfirst performed on control Fe/GaAs(001) and\n(Ga,Mn)As/GaAs(001) samples, grown under the\nsame conditions as the bilayers, to determine the\nmagnetic anisotropies of the individual layers and the\nCurie temperature of the (Ga,Mn)As layer. The Fe film\nhas a uniaxial magnetic anisotropy with easy axis along\nthe [110] orientation, similar to previous studies6. For\nthe (Ga,Mn)As control sample, there is a competition\nbetween cubic and uniaxial magnetic anisotropies, with\nthe former dominant at low temperatures and favoring\neasy axes along the in-plane⟨100⟩ orientations, and the\nlatter dominant close to TC (∼35 K) giving an easy axis\nalong the [1 ¯\n10] orientation. Figure 1 shows [110] magne-\ntization versus temperature curves and low temperature\nhysteresis loops for a bilayer film containing a 20 nm\nthick (Ga,Mn)As layer. The total remnant moment of\nthe bilayer film decreases on cooling under zero magnetic\nfield below theTC of the (Ga,Mn)As, indicating that\nthis layer aligns antiparallel to the Fe magnetization\nat zero field. The hysteresis curve shows a two-step\nmagnetization reversal, indicating different behavior of\nthe Fe and (Ga,Mn)As layers, with the smaller loop\nattributed to the dilute moment (Ga,Mn)As film. The\nminor hysteresis loop shown in Fig. 1 clearly shows a\nshift from zero field by a bias fieldHE , indicating that\nthe Fe layer induces an exchange bias in the magnetic\nsemiconductor. The shape and size of the minor loop\nis in agreement with the hysteresis loop for the control\n(Ga,Mn)As sample, also shown in Fig. 1. This strongly\nindicates that the exchange bias affects the whole of the\n(Ga,Mn)As layer in the bilayer sample.\nSimilar behavior is observed for bilayer samples con-\ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a\nbias field which is approximately inversely proportional\nto the thicknessd of the ferromagnetic semiconductor\nlayer (Fig. 1, inset). This 1/ d dependence of HE was\nfound previously for MnAs/(Ga,Mn)As bilayers 4, and\nis generally observed in exchanged-biased thin films 12.\nFrom this dependence it is possible to describe the ex-\nchange bias in terms of an interface energy per unit area,\n∆E = MF SHE d = 0 . 003 erg/cm 2. This value is rather\nsmall compared to typical exchange bias systems 12, re-\nflecting the low moment density MF S of the diluted\nFM semiconductor layer. However, the bias field for a\ngiven (Ga,Mn)As thickness is larger than is observed for\nMnO/(Ga,Mn)As structures13, while the reproducibility\nand flexibility of the present structures is much higher\ndue to the single-crystalline ferromagnetic nature of the\nFe layer.\nTo confirm the presence of AFM interlayer coupling,\nwe performed XMCD measurements at the Mn and Fe\nL2,3 absorption edges in order to determine the magnetic\nresponse of the individual elements. In L2,3 XMCD, elec-\ntrons are excited from a 2 p core level to the unoccupied\n3d valence states of the element of interest by circularly\npolarized x-rays at the resonance energies of the transi-\ntions. The difference in absorption for opposite polariza-\ntions gives a direct and element-specific measurement of\nthe projection of the 3d magnetic moment along the x-\nray polarization vector. The absorption cross-section is\nconventionally obtained by measuring the decay products\n– either fluorescent x-rays or electrons – of the photoex-\ncited core hole. The type of decay product measured\ndetermines the probing depth of the technique. For Mn\nL2,3 absorption, the probing depths for FY and TEY de-\ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "in a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and\nbulk-sensitive superconducting quantum interference de-\nvice (SQUID) magnetometry. As with previous studies\nof FM metal/FM semiconductor bilayers4,5 (and in con-\ntrast to AFM coupled FM metal/FM metal exchange bias\nstructures10,11) the layers are in direct contact without\na non-magnetic spacer in between. We distinguish in-\nterface and bulk (Ga,Mn)As layers that are respectively\nstrongly and weakly antiferromagnetically coupled to the\nFe overlayer. In agreement with Ref.7, the interface layer\nremains polarized at room temperature.\nThe Fe and (Ga,Mn)As layers of the present study\nwere both grown by molecular beam epitaxy in the same\nultra-high vacuum system, in order to ensure a clean in-\nterface between them. The (Ga,Mn)As layer of thickness\n10 to 50 nm was deposited on a GaAs(001) substrate\nat a temperature of 260◦C, using previously established\nmethods3,8. A low Mn concentration of x ≈ 0. 03 was\nchosen in order to avoid the formation of compensating\nMn interstitials. The substrate temperature was then\nreduced to∼0◦C, before depositing a 2 nm Fe layer,\nplus a 2 nm Al capping layer. In-situ reflection high\nenergy electron diffraction and ex-situ x-ray reflectivity\nand diffraction measurements confirmed that the layers\nare single-crystalline with sub-nm interface roughness.\nSQUID magnetometry measurements were performed us-\ning a Quantum Design Magnetic Property Measurement\nSystem. Mn and FeL2,3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "What is the minimum number of spin layers in a film before a correct bulk is reached ?", - "target_page": 1, - "target_passage": "For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "also as x − y planes, while z will be taken parallel to c.\nFor n > 16, n being the number of spin layers in the film,\na correct bulk limit is reached, while for lower n the film\nproperties are clearly affected by the strong competition\namong the helical pitch and the surface effects, which in-\nvolve the majority of the spin layers. In the thickness\nrangen = 9 − 16, i.e. right for thickness values com-\nparable with the helical pitch, three different magnetic\nphases emerged, with the high-temperature, disordered,\nparamagnetic phase and the low-temperature, long-range\nordered one separated by an intriguing, intermediate-\ntemperature block phase, where outer ordered layers co-\nexist with some inner disordered ones, the phase tran-\nsition of the latter eventually displaying the signatures\nof a Kosterlitz-Thouless one. Finally, forn ≤ 7 the film\ncollapses once and for all to a quasi-collinear order.\nThe complex phase diagram unveiled by such MC sim-\nulations awaken however a further intriguing question:\nto what extent the observed behavior may be considered\na simple consequence of the competition between helical\norder and surface effects? I.e., is it just a matter of hav-\ning such a competition or does the range of interactions\nalso play a relevant role? Indeed, when the range of the\ninteractions is large enough we have a greater number of\nplanes which can be thought of as ”surface planes”, i.e.\nfor which the number of interacting neighbors are sig-\nnificantly reduced with respect to the bulk layers; there-\nfore, we expect that the larger the interaction range, the\nstronger should be the surface effects. But, at the same\ntime, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke\net al.in Ref. 13 to interpret experimental data on\nHolmium films on the basis of a J1 − J2 model, after\na proper scaling by the numbers of NN and NNN on\nneighboring layers of a BCT lattice.\nIn the following we will denote with n the film thick-\nness, i.e. the number of spin layers along the z direction,\nand with L×L the number of spins in each layer (i.e., L\nis the lattice size along both the x and y directions). In\nour simulations thickness values from 1 to 24 were con-\nsidered, while the range of lateral sizeL was from 8 to\n64. Periodic boundary conditions were applied along x\nand y, while free boundaries were obviously taken along\nthe film growth direction z.\nThermal equilibrium was attained by the usual\nMetropolis algorithm 19, supplemented by the over-\nrelaxed technique 20 in order to speed-up the sampling\nof the spin configuration space: a typical “Monte Carlo\nstep” was composed by four Metropolis and four-five\nover-relaxed moves per particle. Such judicious mix of\nmoves is able both to get faster the thermal equilibrium\nand to minimize the correlation “time” between succes-\nsive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "3\nsamples15, the projected Mn 3 d magnetic moments are\nobtained as −1.4 µB and +0.8 µB per ion at remanence\nand 1000 Oe, respectively.\nThe difference between these values can be understood\nas being due to an interface layer which is strongly anti-\nferromagnetically coupled to the Fe layer. At zero field,\nboth the interfacial and bulk Mn are aligned antiparallel\nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As\nlayer away from the interface is re-oriented into the exter-\nnal field direction. However, the interfacial Mn remains\nantiparallel to the Fe layer and thus partially compen-\nsates the XMCD signal from the bulk of the (Ga,Mn)As.\nFrom the size of the remanent and 1000 Oe magnetic\nmoments, it can be estimated that around 25-30% of the\nTEY XMCD signal can be ascribed to the interfacial Mn\nwhich is strongly coupled to the Fe moments.\nThe interfacial Mn moments are ascribed to the prox-\nimity polarization of the (Ga,Mn)As interface by the Fe\nlayer, such as was shown previously by XMCD as well as\nab initiotheory7. Evidence for this can be observed from\nmeasurement of the Mn L2,3 XMCD signal at tempera-\ntures above the (Ga,Mn)As TC . Similar to the previous\nstudy7, we observe a small but not negligible signal at\nroom temperature (Fig. 3), with opposite sign to the Fe\nL2,3 XMCD. Its spectral shape is characteristic of a local-\nized electronic configuration close to d5, similar to bulk\n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic\nenvironments such as Mn xFe1−x7 or MnAs 16. A slight\nbroadening is observed on the low energy side of the Mn\nL3 peak, which may be due to the different screening in-\nduced by proximity to the Fe layer. Since the measured\nintensity is attenuated with distancez from the surface\nas I = I0 exp(−z/λ T EY), the thickness of the strongly\ncoupled interface layer is estimated to be ∼0.7 nm or 2-3\nmonolayers, assuming a uniform distribution of Mn ions\nand magnetic moments throughout the (Ga,Mn)As film.\nThis is around a factor of three thinner than in Ref.7,\nwhich could be due to the lower Mn concentration or the\ndifferent preparation method of the present samples.\nIn summary, we have demonstrated antiferromagnetic\ncoupling between Fe and (Ga,Mn)As layers in bilayer\nstructures. A markedly different coupling is observed for\nthe bulk of the (Ga,Mn)As layer and for Mn moments\nin the near-interface region. A thickness-dependent ex-\nchange bias field is observed to affect the whole of the\nbulk (Ga,Mn)As layer, which aligns antiparallel to the\nFe layer at low fields, and switches to parallel when the\nexternal field is large enough to overcome the bias field\nand the magnetocrystalline anisotropy fields. In contrast,\nthe interfacial Mn moments remain aligned antiparallel\nto the Fe layer even at 20 kOe, the largest field studied,\nand are polarized at temperatures well above theTC of\nthe bulk (Ga,Mn)As layer. The latter observation con-\nfirms the recently reported result of Ref. 7, in which\nthe Fe/(Ga,Mn)As bilayers were produced by a different\nmethod but showed qualitatively similar behavior of the\ninterfacial moments. Our results shed new light on the\nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which\nare of potential interest for room temperature spintron-\nics, and also offer a means of controlling the spin orien-\ntation in a FM semiconductor.\nWe acknowledge support from EU grants\nSemiSpinNet-215368 and NAMASTE-214499, and\nSTFC studentship grant CMPC07100. The Advanced\nLight Source is supported by the U.S. Department of\nEnergy under Contract No. DE-AC02-05CH11231.\nWe thank Leigh Shelford for help during the Diamond\nbeamtime.\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-\nDonald, Phys. Rev. B59, 9818 (1999); P. Sankowski and\nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D.\nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev.\nB78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys.\nRev. B 79, 214430 (2009).\n2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "in a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and\nbulk-sensitive superconducting quantum interference de-\nvice (SQUID) magnetometry. As with previous studies\nof FM metal/FM semiconductor bilayers4,5 (and in con-\ntrast to AFM coupled FM metal/FM metal exchange bias\nstructures10,11) the layers are in direct contact without\na non-magnetic spacer in between. We distinguish in-\nterface and bulk (Ga,Mn)As layers that are respectively\nstrongly and weakly antiferromagnetically coupled to the\nFe overlayer. In agreement with Ref.7, the interface layer\nremains polarized at room temperature.\nThe Fe and (Ga,Mn)As layers of the present study\nwere both grown by molecular beam epitaxy in the same\nultra-high vacuum system, in order to ensure a clean in-\nterface between them. The (Ga,Mn)As layer of thickness\n10 to 50 nm was deposited on a GaAs(001) substrate\nat a temperature of 260◦C, using previously established\nmethods3,8. A low Mn concentration of x ≈ 0. 03 was\nchosen in order to avoid the formation of compensating\nMn interstitials. The substrate temperature was then\nreduced to∼0◦C, before depositing a 2 nm Fe layer,\nplus a 2 nm Al capping layer. In-situ reflection high\nenergy electron diffraction and ex-situ x-ray reflectivity\nand diffraction measurements confirmed that the layers\nare single-crystalline with sub-nm interface roughness.\nSQUID magnetometry measurements were performed us-\ning a Quantum Design Magnetic Property Measurement\nSystem. Mn and FeL2,3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "2\nmeasurements were performed on beamline I06 at the\nDiamond Light Source, and on beamline 4.0.2 at the Ad-\nvanced Light Source. Total-electron yield (TEY) and\nfluorescence yield (FY) were monitored simultaneously\nusing the sample drain current and the photocurrent of a\ndiode mounted at 90◦ to the incident beam, respectively.\nSQUID magnetometry measurements were\nfirst performed on control Fe/GaAs(001) and\n(Ga,Mn)As/GaAs(001) samples, grown under the\nsame conditions as the bilayers, to determine the\nmagnetic anisotropies of the individual layers and the\nCurie temperature of the (Ga,Mn)As layer. The Fe film\nhas a uniaxial magnetic anisotropy with easy axis along\nthe [110] orientation, similar to previous studies6. For\nthe (Ga,Mn)As control sample, there is a competition\nbetween cubic and uniaxial magnetic anisotropies, with\nthe former dominant at low temperatures and favoring\neasy axes along the in-plane⟨100⟩ orientations, and the\nlatter dominant close to TC (∼35 K) giving an easy axis\nalong the [1 ¯\n10] orientation. Figure 1 shows [110] magne-\ntization versus temperature curves and low temperature\nhysteresis loops for a bilayer film containing a 20 nm\nthick (Ga,Mn)As layer. The total remnant moment of\nthe bilayer film decreases on cooling under zero magnetic\nfield below theTC of the (Ga,Mn)As, indicating that\nthis layer aligns antiparallel to the Fe magnetization\nat zero field. The hysteresis curve shows a two-step\nmagnetization reversal, indicating different behavior of\nthe Fe and (Ga,Mn)As layers, with the smaller loop\nattributed to the dilute moment (Ga,Mn)As film. The\nminor hysteresis loop shown in Fig. 1 clearly shows a\nshift from zero field by a bias fieldHE , indicating that\nthe Fe layer induces an exchange bias in the magnetic\nsemiconductor. The shape and size of the minor loop\nis in agreement with the hysteresis loop for the control\n(Ga,Mn)As sample, also shown in Fig. 1. This strongly\nindicates that the exchange bias affects the whole of the\n(Ga,Mn)As layer in the bilayer sample.\nSimilar behavior is observed for bilayer samples con-\ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a\nbias field which is approximately inversely proportional\nto the thicknessd of the ferromagnetic semiconductor\nlayer (Fig. 1, inset). This 1/ d dependence of HE was\nfound previously for MnAs/(Ga,Mn)As bilayers 4, and\nis generally observed in exchanged-biased thin films 12.\nFrom this dependence it is possible to describe the ex-\nchange bias in terms of an interface energy per unit area,\n∆E = MF SHE d = 0 . 003 erg/cm 2. This value is rather\nsmall compared to typical exchange bias systems 12, re-\nflecting the low moment density MF S of the diluted\nFM semiconductor layer. However, the bias field for a\ngiven (Ga,Mn)As thickness is larger than is observed for\nMnO/(Ga,Mn)As structures13, while the reproducibility\nand flexibility of the present structures is much higher\ndue to the single-crystalline ferromagnetic nature of the\nFe layer.\nTo confirm the presence of AFM interlayer coupling,\nwe performed XMCD measurements at the Mn and Fe\nL2,3 absorption edges in order to determine the magnetic\nresponse of the individual elements. In L2,3 XMCD, elec-\ntrons are excited from a 2 p core level to the unoccupied\n3d valence states of the element of interest by circularly\npolarized x-rays at the resonance energies of the transi-\ntions. The difference in absorption for opposite polariza-\ntions gives a direct and element-specific measurement of\nthe projection of the 3d magnetic moment along the x-\nray polarization vector. The absorption cross-section is\nconventionally obtained by measuring the decay products\n– either fluorescent x-rays or electrons – of the photoex-\ncited core hole. The type of decay product measured\ndetermines the probing depth of the technique. For Mn\nL2,3 absorption, the probing depths for FY and TEY de-\ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding\nexcess thiol one can also vary the properties of the solvent [40].\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin-\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo-\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin-\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold\ncores. For short chains (C 5 and C8) no formation of branched structures is observed. At similar\nconcentrations, well-developed branched structures are formed for longer chains (C 10 and C12).\nFor even longer chains (C 14), however, one again finds less branching. It also depends on the\namount of excess thiol in the solvent (for details see Ref. [40]).\nWhen following the evolution of the branched patterns in situ (see the complementary video\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate.\nThe macroscopic front can be transversely unstable resulting in large-scale ( > 100µm) strongly\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc-\ntures cover all the available substrate. However, when at a later stage the macroscopic front be-\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "0.5\n1\n1.5\n2\n2.5\nh\np\n0\n0.2 0.4 0.6 0.8 1 x/L\n0.5\n1\n1.5\n2\n2.5\n0\n0.2 0.4 0.6 0.8 1 0.5\n1\n1.5\n2\n2.5\na\nb\nc\nFIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles\nin a volatile solvent that partially wets the substrate for (a) high ( Ω = 10−3), (b) medium (Ω = 2 ×10−6)\nand (c) low (Ω = 0 .78 ×10−8) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length\nscale is ℓ =\n√\nγ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the\nvertical length scale is H =\n√\n2SLW /κd0. The remaining dimensionless parameters are the evaporation\nnumber Ω = Qeη0ℓ2/H3, the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical\npotential M = Hµ/κ = −0.0035. The system size is L= 19500ℓ. Film thickness and hp in the plots are\nscaled by the precursor film thickness.\ncircular throughout the dewetting and evaporation process. In this case one should interprete the\ncoordinate xas the distance from the centre of the circular film.\nWe start with a film of heighth0 of finite length sitting on a precursor film and assume that the film\ncontains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the\nfilm of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional\nholes can occur (even with noise the probability would be extremely low). Without evaporation the\nfilm dewets ‘classically’ by a retraction of the initially step-like front. After a short time, surface\ntension smoothes the profile of the receding front and a capillary rim forms that collects all the\n20", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "6\n0 20 40 60 80 100 120 140\nT (K)\n0\n10\n20\n30\n ∆ϕ l,l+1 ( T ) (deg.)\nT N (16)T N (8)\nFIG. 7: (color online) ∆ ϕl(T ) vs. temperature for the surface\nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds),\nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed\nlines and open symbols: n = 16.\nfilm leads to an effective 2d-like trend. Region ii) looks\nhowever more intriguing, and requires a more accurate\ndiscussion, which can benefit from a careful comparison\nof the behaviour of a given quantity in regionsi) and ii).\nFor this purpose, we look at the temperature depen-\ndence of the rotation angle of the magnetization between\nNN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16\n(continuous and dashed lines, respectively), is plotted for\nthe outermost planes,l = 1 . . . 4. For both thicknesses, a\nmonotonic trend is observed for all l, but at variance with\nwhat happens for the highest thickness, for n = 8 we see,\nstarting from a temperature T ≲ TN (8), an abrupt drop\nof ∆ ϕ3 and ∆ ϕ4, which rapidly reach an almost con-\nstant value, only slightly larger than ∆ ϕ1. In the tem-\nperature range TN (8) ≲ T < T C (8) we thus substantially\nobserve the same small magnetic phase shifts between all\nNN layers, testifying an energetically stablequasi-FM\nconfiguration giving no contribution to the helical order\nparameters. The latter point can be made clearer by\nlooking at the the peak positionQz,max of the structure\nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is\nreported, again for n = 8 and for di���erent lateral dimen-\nsions L26. As expected from the previous argument, we\nsee that Qz,max = 0 for TN (8) < T < T C (8), while it be-\ngins to shift to higher values as soon as the temperature\ndecreases belowTN (8), making apparent a progressive\nfan stabilization with Qz,max ̸= 0 and reaching a value\nof about 21 ◦ for T = 10 K.\nIn a previous study, where the magnetic properties of\nHo thin films were investigated by MC simulations of a\nHeisenberg model with easy-plane single-ion anisotropy\nand six out-of-plane coupling constants (as obtained by\nexperimental neutron scattering measurements16) on a\nHCP lattice14,15, it was found that for thicknesses compa-\nrable with the helical pitch the phase diagram landscape\nis quite different from what we find here. Indeed, for\nn= 9 − 16, three different magnetic phases could be sin-\n0 20 40 60 80 100\nT (K)\n0\n5\n10\n15\n20\n25\n30\nQ z, max (deg.)\nFIG. 8: (color online) Qz, position of the maximum of S(⃗ q),\nvs. temperature for thickness n = 8. Inset: magnetic vector\n(mx\nl, my\nl) profile for some temperatures for L = 64. Colors\nand symbols as in Fig. 2.\n0 1 2 3 4 5 6 7 8 9 10 11 12\nl\n0\n20\n40\n60\n80\n∆ϕ l (deg)\nT =100K\n 130K\n 135K\n 140K\n 145K\nFIG. 9: ∆ ϕl for a BCT lattice and n = 12, when the six\ncoupling constants set employed in Ref. 14,15 (see text) is\nused. The temperature range has been chosen aroundTC (n)\n(error bars lye within point size).\ngled out, with the high-temperature, paramagnetic phase\nseparated from the low-temperature, long-range ordered\none, by an intermediate-temperature block phase where\nouter ordered 4-layers blocks coexist with some inner dis-\nordered ones. Moreover, it was observed that the phase\ntransition of such inner layers turns out to have the sig-\nnatures of a Kosterlitz-Thouless one.\nThe absence of the block phase in the J1 − J2 model\nhere investigated has to be attributed to the different\nrange of interactions, rather than to the different lattice\nstructure. We came to this conclusion by doing some\nsimulations using the same set of interaction constants\nemployed in Refs. 14,15, but using a BCT lattice: the\nresults we obtained for ∆ϕl with n = 12 are reported in\nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15\nand clearly displays the footmarks of the block phase (see\ndown-triangle), with two external blocks of ordered layers\n(l =1. . . 5 and 8. . . 12 ), where ∆ ϕl is roughly 10 ◦, sep-\narated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "5\n0 2 4 6 8 10 12 14 16 18 20\n n\n0\n20\n40\n60\n80\n100\n120\n140\nT N (n) , T C (n) (K)\nT N (n)\nT C (n)\nT N\nbulk\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film\nthickness n.\nthe same is true for the crossing point of the Binder cu-\nmulant of the average magnetizationM (not reported in\nfigure), which is located at TC (8) = 133 .3(3) K. These\ndata give a first rough indication that also for n = 8 all\nthe planes of the sample are still ordering almost at the\nsame temperature; such property has been observed for\nall the investigated thicknessesn below 16, so that TC (n)\nresults quite n-independent (see also Fig. 5) .\nAlthough the layer subtraction does not seem to mod-\nify TC (n), the onset of helical arrangement is observed to\nshift at lower temperatures as n decreases. The chirality\nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the\ntemperature decreases, around T ∼ 80 K we can identify\na finite-size behaviour of κ which, at variance with the\nprevious one, can be easily recognized as typical of an\neffective phase transition. Such conclusion is confirmed\nby the analysis of the chiral susceptibilityχκ (Fig. 4c),\nwhich for the largest L has a maximum at T = 85 K. As-\nsuming that the order parameter (4) is the relevant one\nto single out the onset of the fan arrangement, we can\nget a more accurate estimate ofTN (8) by looking at the\nBinder cumulant u4(κ), reported in Fig. 4d. By making\nuse of the MH technique, we locate the crossing point at\nTN (8) = 92(2) K. Finally, it is worthwhile to observe as\nthe specific heat does not show any anomaly at TN (8),\nbeing the entropy substantially removed at TC (8).\nThe scenario just outlined for n = 8 results to be cor-\nrect in the thickness range 6 ≤ n ≲ 15, where a clear\nseparation between TN (n) and TC (n) can be easily fig-\nured out. In such temperature window, the strong sur-\nface effects produce aquasi-FM set-up of the magnetic\nfilm structure along the z-direction. While leaving to the\nnext Section a more detailed discussion of this regime, we\nreport in Fig. 5 a plot ofTN (n) and TC (n) vs. n for all\nthe simulated thicknesses. The separation between the\ntwo critical temperatures is maximum forn = 6, where\nTN (6) = 38(4), that is TN (6) ∼ 1\n3 TC (6). For films with\nless than six layers no fan order is observed, i.e. for n = 5\nand below the chirality does not display any typical fea-\nture of fan ordering at any temperature belowTC (n). As\na representative quantity we finally look at the rotation\n0 1 2 3 4 5 6\n0\n5\n10\n15\n20\n ∆ϕ l (deg.)\nT =10K\nT =20K\nT =30K\nT =40K\nT= 50K\n0 1 2 3 4 5\n l\n0\n1\n2\n3\n4\n5\n(a) n = 6\n(b) n = 5\nFIG. 6: Rotation angle ∆ ϕl between magnetic moments on\nNN layers ( l + 1 , l) at some low temperatures, for thickness\nn = 5 and n = 6, and lateral dimension L = 64.\nangle of the magnetization between nearest planes:\n∆ ϕl = ϕl+1 − ϕl = arccos\n[\nMx\nl Mx\nl+1 + My\nl My\nl+1\n]\n(10)\nwhere ( Mx\nl , M y\nl ) is the magnetic vector profile for each\nplane l. ∆ ϕl is displayed in Fig. 6a and Fig. 6b, for\nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear\nfan stabilization is observed when the temperature de-\ncreases, while in Fig. 6b, i.e. forn = 5, ∆ ϕl keeps an\nalmost temperature independent very small value; what’s\nmore, ∆ϕl seems to loose any temperature dependence\nas T = 0 is approached. We attribute the absence of fan\narrangement for n ≤ 5 as simply due to the lack of “bulk\nplanes” inside the film, so that we are left with only a 2d\ntrend atTC (n), i.e. at the temperature where the order\nparameters defined in Eqs. (2) and (3) show a critical\nbehaviour.\nIV. DISCUSSION AND CONCLUSION\nA possible framework to analyze the results presented\nin the previous Section is suggested by Fig. 5, where we\ncan easily distinguish three significant regions:i) high\nthickness, n ⩾ 16, where the films substantially display a\nbulk behaviour, with the single planes ordering tempera-\nture coinciding with the helical phase transition one;ii)\nintermediate thickness, 6 ≤ n ≲ 15, where the tempera-", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "What the rough sales amount of the nordstrom.com website ?", - "target_page": 3, - "target_passage": "$2 billion in nordstrom.com sales", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "18\nRetail Business Net Sales\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business:\nFiscal year 2014 2013 2012\nNet sales by channel:\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\nNet sales increase 7.8% 3.4% 12.1%\nComparable sales increase (decrease) by channel2:\nNordstrom full-line stores - U.S. (0.5%) (2.1%) 3.9%\nNordstrom.com 23.1% 29.5% 37.1%\nNordstrom 3.6% 2.3% 7.5%\nNordstrom Rack 3.8% 2.7% 7.4%\nNordstromrack.com and HauteLook 22.1% 27.3% —\nTotal company 4.0% 2.5% 7.3%\nSales per square foot3:\nTotal sales per square foot $493 $474 $470\n4-wall sales per square foot 413 408 417\nFull-line sales per square foot - U.S. 371 372 385\nNordstrom Rack sales per square foot 552 553 568\nPercentage of net sales by merchandise category:\nWomen’s Apparel 30% 31% 31%\nShoes 23% 23% 23%\nMen’s Apparel 16% 16% 16%\nWomen’s Accessories 14% 14% 13%\nCosmetics 11% 11% 11%\nKids’ Apparel 4% 3% 3%\nOther 2% 2% 3%\nTotal 100% 100% 100%\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 5\nCOMPETITIVE CONDITIONS\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry \nsimilar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific \ncompetitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer \nexperiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, \ntechnology, product fulfillment, personalization and appealing, relevant store environments in top locations.\nINVENTORY\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and \nreceipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and \nreceive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). \nBeginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of \nmerchandise from some of our full-line stores’ top brands in advance of the upcoming selling seasons to take advantage of favorable buying \nopportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. \nWe pay for our merchandise purchases under the terms established with our vendors.\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and \nforeign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We \nexpect our suppliers to meet our “Nordstrom Partnership Guidelines,” which address our corporate social responsibility standards for matters \nsuch as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\nEMPLOYEES\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, \nemployment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. \nWe believe our relationship with our employees is good.\nCAUTIONARY STATEMENT\nCertain statements in this Annual Report on Form 10-K contain or may suggest “forward-looking” information (as defined in the Private \nSecurities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the \nfiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new \nand international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current \nbeliefs and expectations of the company’s management and are subject to significant risks and uncertainties. Actual future results may differ \nmaterially from historical results or current expectations depending upon factors including, but not limited to:\n• successful execution of our customer strategy, including expansion into new markets, acquisitions, investments in our stores and \nonline, our ability to realize the anticipated benefits from growth initiatives, our ability to provide a seamless experience across all \nchannels, and the timely completion of construction associated with newly planned stores, relocations and remodels, all of which may \nbe impacted by the financial health of third parties,\n• our ability to manage the transformation of our business/financial model as we increase our investments in growth opportunities,", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 25\nNordstrom Rack net sales for the quarter increased $130, or 17%, reflecting 27 new Nordstrom Rack store openings since the fourth quarter \nof 2013, while comparable sales increased 3.2%. On a comparable basis, the average selling price of Nordstrom Rack merchandise \nincreased while the number of items sold was flat. Shoes and Accessories were the category highlights for Nordstrom Rack.\nGross Profit\nOur total company gross profit rate decreased 53 basis points compared with the same period in the prior year, primarily due to increased \nmarkdowns at Nordstrom Rack.\nRetail Selling, General, and Administrative Expenses\nOur Retail SG&A rate increased 80 basis points primarily due to expenses related to the acquisition of Trunk Club and ongoing technology \nand fulfillment expenses.\nCredit Expenses\nIn the fourth quarter, expenses for our Credit segment of $54 increased from $38 in the prior year. The increase was primarily driven by \nhigher operational expenses resulting from a 6% increase in credit volume during the fourth quarter of 2014. The fourth quarter of 2013 also \nincluded the impact of the conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes, which decreased operational expenses \nin the prior year.\nFor further information on our quarterly results in 2014 and 2013, refer to Note 17: Selected Quarterly Data in the Notes to Consolidated \nFinancial Statements in Item 8: Financial Statements and Supplementary Data.\n2015 Outlook\nOur expectations for 2015 are as follows:\nNet sales 7 percent to 9 percent increase\nComparable sales 2 percent to 4 percent increase\nEarnings per diluted share1 $3.65 to $3.80\n1 This outlook does not include the impact of any future share repurchases.\nCapital expenditures, net of property incentives, of approximately $1.2 billion are expected in 2015, an increase from $751 in 2014. The \nincrease relates to store expansion, including Canada and Manhattan, and ongoing investments to improve the customer experience through \nflagship store remodels and a third fulfillment center expected to open in the second half of the year. To date in 2015, we have opened our \nsecond full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional Nordstrom full-line stores in the U.S. and \nanother full-line store in Canada during 2015. Planned net store openings are expected to increase our retail square footage by \napproximately 6.1%.", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "16\nItem 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\nOVERVIEW\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers.\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%. \nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of \nNordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc.\nNotes to Consolidated Financial Statements\nDollar and share amounts in millions except per share, per option and per unit amounts\n64\nThe following table summarizes net sales within our reportable segments:\nFiscal year 2014 2013 2012\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\nThe following table summarizes net sales by merchandise category:\nFiscal year 2014 2013 2012\nNet sales % of total Net sales % of total Net sales % of total\nWomen’s Apparel $3,950 30% $3,733 31% $3,684 31%\nShoes 3,038 23% 2,828 23% 2,716 23%\nMen’s Apparel 2,129 16% 1,943 16% 1,866 16%\nWomen’s Accessories 1,801 14% 1,644 14% 1,574 13%\nCosmetics 1,400 11% 1,312 11% 1,255 11%\nKids’ Apparel 483 4% 413 3% 381 3%\nOther 309 2% 293 2% 286 3%\nTotal net sales $13,110 100% $12,166 100% $11,762 100%", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 19\nNet Sales (2014 vs. 2013)\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we \nopened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the \nacquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These \nadditions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014. \nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared \nwith 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number \nof items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics \nand Men’s Apparel. \nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The top-\nperforming geographic regions for full-line stores were the Southeast and Southwest. \nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales \nincreased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and \nongoing technology investments to enhance the customer experience.\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of \n27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories \nfor the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was \nflat. \nNet Sales (2013 vs. 2012)\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at \nNordstrom.com and Nordstrom Rack’s accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one \nNordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our \nsquare footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at \nNordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold \nincreased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men’s Shoes and Women’s Apparel. \nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales \ndecrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. \nNordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up \n30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology \ninvestments to enhance the customer experience.\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. \nComparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the \naverage selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\nRetail Business Gross Profit\nThe following table summarizes the Retail Business gross profit:\nFiscal year 2014 2013 2012\nRetail gross profit1 $4,709 $4,434 $4,335", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc.\nNotes to Consolidated Financial Statements\nDollar and share amounts in millions except per share, per option and per unit amounts\nNordstrom, Inc. and subsidiaries 65\nNOTE 17: SELECTED QUARTERLY DATA1 (UNAUDITED)\n1st Quarter 2nd Quarter 3rd Quarter 4th Quarter Total\nFiscal year 2014\nNet sales $2,837 $3,296 $3,040 $3,938 $13,110\nComparable sales increase2 3.9% 3.3% 3.9% 4.7% 4.0%\nCredit card revenues 94 96 100 105 396\nGross profit3 1,015 1,166 1,079 1,444 4,704\nSelling, general and administrative expenses (844) (931) (917) (1,084) (3,777)\nEarnings before income taxes 230 296 228 431 1,185\nNet earnings 140 183 142 255 720\nEarnings per basic share $0.74 $0.97 $0.74 $1.35 $3.79\nEarnings per diluted share $0.72 $0.95 $0.73 $1.32 $3.72\nFiscal year 2013\nNet sales $2,657 $3,104 $2,791 $3,614 $12,166\nComparable sales increase2 2.7% 4.4% 0.1% 2.6% 2.5%\nCredit card revenues 92 92 93 97 374\nGross profit3 984 1,100 1,000 1,345 4,429\nSelling, general and administrative expenses (801) (857) (840) (955) (3,453)\nEarnings before income taxes 236 298 218 437 1,189\nNet earnings 145 184 137 268 734\nEarnings per basic share $0.74 $0.94 $0.70 $1.39 $3.77\nEarnings per diluted share $0.73 $0.93 $0.69 $1.37 $3.71\n1 Quarterly totals may not foot across due to rounding.\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. \n3 Gross profit is calculated as net sales less cost of sales and related buying and occupancy costs (for all segments).", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc.\nNotes to Consolidated Financial Statements\nDollar and share amounts in millions except per share, per option and per unit amounts\nNordstrom, Inc. and subsidiaries 63\nThe following table sets forth information for our reportable segments:\nRetail \nCorporate/\nOther\nTotal Retail \nBusiness1 Credit Total\nFiscal year 2014\nNet sales $13,369 ($259) $13,110 $— $13,110\nCredit card revenues — — — 396 396\nEarnings (loss) before interest and income taxes 1,404 (283) 1,121 202 1,323\nInterest expense, net — (120) (120) (18) (138)\nEarnings (loss) before income taxes 1,404 (403) 1,001 184 1,185\nCapital expenditures 683 172 855 6 861\nDepreciation and amortization 393 112 505 3 508\nGoodwill 435 — 435 — 435\nAssets2 5,103 1,781 6,884 2,361 9,245\nFiscal year 2013\nNet sales $12,395 ($229) $12,166 $— $12,166\nCredit card revenues — — — 374 374\nEarnings (loss) before interest and income taxes 1,420 (258) 1,162 188 1,350\nInterest expense, net — (137) (137) (24) (161)\nEarnings (loss) before income taxes 1,420 (395) 1,025 164 1,189\nCapital expenditures 636 161 797 6 803\nDepreciation and amortization 364 88 452 2 454\nGoodwill 175 — 175 — 175\nAssets2 4,191 2,118 6,309 2,265 8,574\nFiscal year 2012\nNet sales $11,949 ($187) $11,762 $— $11,762\nCredit card revenues — — — 372 372\nEarnings (loss) before interest and income taxes 1,409 (246) 1,163 182 1,345\nInterest expense, net — (134) (134) (26) (160)\nEarnings (loss) before income taxes 1,409 (380) 1,029 156 1,185\nCapital expenditures 371 140 511 2 513\nDepreciation and amortization 357 70 427 2 429\nGoodwill 175 — 175 — 175\nAssets2 3,922 1,966 5,888 2,201 8,089\n1 Total Retail Business is not a reportable segment, but represents a subtotal of the Retail segment and Corporate/Other, and is consistent with our presentation in \nManagement’s Discussion and Analysis of Financial Condition and Results of Operations.\n2 Assets in Corporate/Other include unallocated assets in corporate headquarters, consisting primarily of cash, land, buildings and equipment and deferred tax assets.", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "22\nCredit Card Revenues\nThe following is a summary of our Credit card revenues:\nFiscal year 2014 2013 2012\nFinance charge revenue $253 $244 $246\nInterchange — third-party 89 86 84\nLate fees and other revenue 54 44 42\nTotal Credit card revenues $396 $374 $372\nCredit card revenues include finance charges, interchange fees, late fees and other revenue. Finance charges represent interest earned on \nunpaid balances while interchange fees are earned from the use of Nordstrom Visa credit cards at merchants outside of Nordstrom. Late \nfees are assessed when a credit card account becomes past due. We consider an account delinquent if the minimum payment is not \nreceived by the payment due date. Credit card revenues are recorded net of estimated uncollectible finance charges and fees. \nCredit Card Revenues (2014 vs. 2013)\nCredit card revenues increased $22 in 2014 compared with 2013 primarily due to an increase in the average accounts receivable balance, \nslightly decreased payment rates and a 6.5% increase in total volume during 2014.\nCredit Card Revenues (2013 vs. 2012)\nCredit card revenues were flat in 2013 compared with 2012. This was due to growth in total volume that was offset by continued \nimprovement in cardholder payment rates. \nCredit Expenses\nCredit expenses are summarized in the following table:\nFiscal year 2014 2013 2012\nOperational expenses $148 $129 $143\nBad debt expense 41 52 42\nOccupancy expenses 5 5 5\nTotal Credit expenses $194 $186 $190\nCredit Expenses (2014 vs. 2013)\nTotal Credit expenses increased $8 in 2014 compared with 2013, due to higher operational expenses resulting from increased volume in \n2014 and lower operational expenses in 2013 resulting from the conversion of our Nordstrom Rewards travel benefits into Nordstrom Notes \nduring that year. The increase in operational expenses was partially offset by a reduction in bad debt expense, which resulted in a reduction \nof our allowance for credit losses by $5 and recoveries from the sale of bad debt during 2014. We experienced continued improvement in our \nportfolio delinquencies and write-off results during 2014, which are further discussed below. \nCredit Expenses (2013 vs. 2012)\nTotal Credit expenses decreased $4 in 2013 compared with 2012, due to lower operational and marketing expenses resulting primarily from \nthe conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes during 2013. Bad debt expense was lower in 2012 due to the \n$30 reduction of our allowance for credit losses in 2012 compared with a $5 reduction in 2013. We experienced continued improvement in \nour portfolio delinquencies and write-off results during 2013.", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "1,350 1,3231,249\n1,118\n1,345\n’10 ’11 ’12 ’13 ’14\nEARNINGS \nBEFORE INTEREST AND \nINCOME TAXES /parenleft.caseEBIT/parenright.case /parenleft.case$/parenright.case \n493\n413\n372 394\n417\n470431\n397\n474\n408\n’10 ’11 ’12 ’13 ’14\nCOMPARABLE SALES PERCENTAGE INCREASE\n’10 ’11 ’12 ’13 ’14\n8.1 7.2 7.3 2.5 4.0\nSALES PER SQUARE FOOT \nAND 4/hyphen.caseWALL SALES \nPER SQUARE FOOT /parenleft.case$/parenright.case*\n4-Wall Sales Per Square Foot\nSales Per Square Foot\n1,220\n1,320\n1,1771,177 1,110\n’10 ’11 ’12 ’13 ’14\nCASH FLOW \nFROM OPERATIONS /parenleft.case$/parenright.case\n’10 ’11 ’12 ’13 ’14\n12.6\n8.1\n13.6\n8.7\n13.313.6\n8.6 8.7\n13.9\n8.9\nRETURN ON ASSETS \nAND RETURN ON INVESTED \nCAPITAL /parenleft.caseROIC/parenright.case /parenleft.case%/parenright.case***\nReturn on Assets \nReturn on Invested Capital\nFISCAL YEAR 2014 2013 % CHANGE\nNet sales $13,110 $12,166 7.8\nEarnings before interest and income taxes (EBIT) 1,323 1,350 (2.0)\nNet earnings 720 734 (1.9)\nEarnings per diluted share 3.72 3.71 0.3\nCash dividends paid per share 1.32 1.20 10.0\nSCORECARD A LOOK AT THE NUMBERS\n13,110\n11,762\n10,497\n9,310\n12,166\n’10 ’11 ’12 ’13 ’14\nNET SALES /parenleft.case$/parenright.case\n’10 ’11 ’12 ’13 ’14\nNET SALES PERCENTAGE INCREASE\n12.7 12.7 12.1 3.4 7.8\n4.67\n5.07\n5.565.56\n5.37\n’10 ’11 ’12 ’13 ’14\nINVENTORY TURN**\n*4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Jeffrey boutiques, \nour Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage. \n**Inventory Turn is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Our inventory turnover rate \ndecreased in 2012, 2013 and 2014 primarily due to increasing our investment in pack and hold inventory beginning in 2012, which helped fuel the growth of Nordstrom Rack.\n***See Return on Invested Capital (ROIC) Non-GAAP financial measure on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure.\nnordstrom.com/companyreview\nDollars in millions except per share and per square foot amounts.\n21008 /hyphen.case 037404A 2014 ANNUAL REPORT /hyphen.case pg IFC/hyphen.caseIBC\n8.375 X 10.875 /hyphen.case PDF X1A /hyphen.case KODAK", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many employees did Nordstrom count in 2014 ?", - "target_page": 17, - "target_passage": "During 2014, we employed approximately 67,000 employees on a full- or part-time basis.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Nordstrom, Inc. and subsidiaries 19\nNet Sales (2014 vs. 2013)\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we \nopened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the \nacquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These \nadditions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014. \nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared \nwith 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number \nof items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics \nand Men’s Apparel. \nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The top-\nperforming geographic regions for full-line stores were the Southeast and Southwest. \nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales \nincreased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and \nongoing technology investments to enhance the customer experience.\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of \n27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories \nfor the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was \nflat. \nNet Sales (2013 vs. 2012)\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at \nNordstrom.com and Nordstrom Rack’s accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one \nNordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our \nsquare footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at \nNordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold \nincreased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men’s Shoes and Women’s Apparel. \nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales \ndecrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. \nNordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up \n30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology \ninvestments to enhance the customer experience.\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. \nComparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the \naverage selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\nRetail Business Gross Profit\nThe following table summarizes the Retail Business gross profit:\nFiscal year 2014 2013 2012\nRetail gross profit1 $4,709 $4,434 $4,335", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 5\nCOMPETITIVE CONDITIONS\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry \nsimilar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific \ncompetitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer \nexperiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, \ntechnology, product fulfillment, personalization and appealing, relevant store environments in top locations.\nINVENTORY\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and \nreceipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and \nreceive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). \nBeginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of \nmerchandise from some of our full-line stores’ top brands in advance of the upcoming selling seasons to take advantage of favorable buying \nopportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. \nWe pay for our merchandise purchases under the terms established with our vendors.\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and \nforeign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We \nexpect our suppliers to meet our “Nordstrom Partnership Guidelines,” which address our corporate social responsibility standards for matters \nsuch as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\nEMPLOYEES\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, \nemployment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. \nWe believe our relationship with our employees is good.\nCAUTIONARY STATEMENT\nCertain statements in this Annual Report on Form 10-K contain or may suggest “forward-looking” information (as defined in the Private \nSecurities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the \nfiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new \nand international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current \nbeliefs and expectations of the company’s management and are subject to significant risks and uncertainties. Actual future results may differ \nmaterially from historical results or current expectations depending upon factors including, but not limited to:\n• successful execution of our customer strategy, including expansion into new markets, acquisitions, investments in our stores and \nonline, our ability to realize the anticipated benefits from growth initiatives, our ability to provide a seamless experience across all \nchannels, and the timely completion of construction associated with newly planned stores, relocations and remodels, all of which may \nbe impacted by the financial health of third parties,\n• our ability to manage the transformation of our business/financial model as we increase our investments in growth opportunities,", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc.\nNotes to Consolidated Financial Statements\nDollar and share amounts in millions except per share, per option and per unit amounts\n64\nThe following table summarizes net sales within our reportable segments:\nFiscal year 2014 2013 2012\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\nThe following table summarizes net sales by merchandise category:\nFiscal year 2014 2013 2012\nNet sales % of total Net sales % of total Net sales % of total\nWomen’s Apparel $3,950 30% $3,733 31% $3,684 31%\nShoes 3,038 23% 2,828 23% 2,716 23%\nMen’s Apparel 2,129 16% 1,943 16% 1,866 16%\nWomen’s Accessories 1,801 14% 1,644 14% 1,574 13%\nCosmetics 1,400 11% 1,312 11% 1,255 11%\nKids’ Apparel 483 4% 413 3% 381 3%\nOther 309 2% 293 2% 286 3%\nTotal net sales $13,110 100% $12,166 100% $11,762 100%", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "10\nItem 1B. Unresolved Staff Comments.\nNone.\nItem 2. Properties.\nThe following table summarizes the number of retail stores we own or lease, and the percentage of total store square footage represented by \neach listed category as of January 31, 2015:\nNumber of stores\n% of total store\nsquare footage\nLeased stores on leased land 195 38%\nOwned stores on leased land 61 40%\nOwned stores on owned land 35 21%\nPartly owned and partly leased store 1 1%\nTotal 292 100%\nThe following table summarizes our store activity during the last three years:\nFiscal year 2014 2013 2012\nNumber of stores, beginning of year 260 240 225\nStores opened 31 22 16\nStores acquired 4 — —\nStores closed (3) (2) (1)\nNumber of stores, end of year 292 260 240\nNordstrom full-line stores - U.S. 116 117 117\nNordstrom Rack 167 140 119\nOther1 9 3 4\n1 Other includes Jeffrey boutiques, Trunk Club showrooms, our Nordstrom Canada full-line store and Last Chance.\nIn 2014, we opened three Nordstrom full-line stores (The Woodlands, Texas; Calgary, Alberta; and Jacksonville, Florida) and 27 Nordstrom \nRack stores (Palm Desert, California; San Francisco, California; Chicago, Illinois; Riverside, California; Skokie, Illinois; Tulsa, Oklahoma; \nWauwatosa, Wisconsin; Brooklyn, New York; Columbus, Ohio; Houston, Texas; Manhassett, New York; Chicago, Illinois; Dayton, Ohio; \nHouston, Texas; Queens, New York; Brentwood, Tennessee; Greenville, South Carolina; Madison, Wisconsin; Tempe, Arizona; Brooklyn, \nNew York; Livingston, New Jersey; West Palm Beach, Florida; Brandon, Florida; Columbia, South Carolina; Des Moines, Iowa; Philadelphia, \nPennsylvania; and Summerlin, Nevada). As part of our purchase of Trunk Club in August 2014, we acquired four Trunk Club showrooms (Los \nAngeles, California; Chicago, Illinois; Dallas, Texas; and Washington D.C.) and opened one additional Trunk Club showroom (New York City, \nNew York) in December 2014. Additionally, in 2014, we closed three Nordstrom full-line stores (Orlando, Florida; Vancouver, Washington; and \nPortland, Oregon). \nTo date in 2015, we have opened one Nordstrom full-line store in Ottawa, Ontario. During the remainder of 2015, we have announced the \nopening of four additional Nordstrom full-line stores (San Juan, Puerto Rico; Vancouver, British Columbia; Minneapolis, Minnesota; and \nWauwatosa, Wisconsin) and the opening of 27 additional Nordstrom Rack stores (Bakersfield, California; Redlands, California; Reno, \nNevada; Princeton, New Jersey; Westwood, Massachusetts; Webster, Texas; Laguna Niguel, California; Miami, Florida; Springfield, Virginia; \nSt. Louis Park, Minnesota; Dublin, California; Albany, New York; Anchorage, Alaska; Baton Rouge, Louisiana; Buffalo, New York; Cerritos, \nCalifornia; Clearwater, Florida; Eatontown, New Jersey; Emeryville, California; Fort Collins, Colorado; Long Beach, California; Mount \nPleasant, South Carolina; Newark, Delaware; Rockaway, New Jersey; Syracuse, New York; Thousand Oaks, California; and Wayne, New \nJersey). \nWe also own six merchandise distribution centers (Portland, Oregon; Dubuque, Iowa; Ontario, California; Newark, California; Upper \nMarlboro, Maryland; and Gainesville, Florida) and we own one fulfillment center on leased land (Cedar Rapids, Iowa), all of which are utilized \nby our Retail segment. Trunk Club and HauteLook, which are included in our Retail segment, lease three administrative offices (Chicago, \nIllinois; Los Angeles, California and New York City, New York) and one fulfillment center (San Bernardino, California). We plan to open a third, \nowned fulfillment center (Elizabethtown, Pennsylvania) in the second half of 2015. We lease office buildings in Centennial, Colorado and \nScottsdale, Arizona, both for use by our Credit segment. Our administrative offices in Seattle, Washington are a combination of leased and \nowned space. We also lease a data center in Centennial, Colorado.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 15\nItem 6. Selected Financial Data.\nDollars in millions except per square foot and per share amounts\nThe following selected financial data are derived from the audited consolidated financial statements and should be read in conjunction with \nItem 1A: Risk Factors, Item 7: Management’s Discussion and Analysis of Financial Condition and Results of Operations and the consolidated \nfinancial statements and related notes included in Item 8: Financial Statements and Supplementary Data of this Annual Report on Form 10-K.\nFiscal year 2014 2013 2012 2011 2010\nEarnings Results\nNet sales $13,110 $12,166 $11,762 $10,497 $9,310\nCredit card revenues 396 374 372 363 365\nGross profit1 4,704 4,429 4,330 3,905 3,413\nSelling, general and administrative (“SG&A”) expenses (3,777) (3,453) (3,357) (3,019) (2,660)\nEarnings before interest and income taxes (“EBIT”) 1,323 1,350 1,345 1,249 1,118\nNet earnings 720 734 735 683 613\nBalance Sheet and Cash Flow Data\nCash and cash equivalents $827 $1,194 $1,285 $1,877 $1,506\nAccounts receivable, net 2,306 2,177 2,129 2,033 2,026\nMerchandise inventories 1,733 1,531 1,360 1,148 977\nCurrent assets 5,224 5,228 5,081 5,560 4,824\nLand, property and equipment, net 3,340 2,949 2,579 2,469 2,318\nTotal assets 9,245 8,574 8,089 8,491 7,462\nCurrent liabilities 2,800 2,541 2,226 2,575 1,879\nLong-term debt, including current portion 3,131 3,113 3,131 3,647 2,781\nShareholders’ equity 2,440 2,080 1,913 1,956 2,021\nCash flow from operations 1,220 1,320 1,110 1,177 1,177\nPerformance Metrics\nComparable sales increase2 4.0% 2.5% 7.3% 7.2% 8.1%\nGross profit % of net sales 35.9% 36.4% 36.8% 37.2% 36.7%\nTotal SG&A % of net sales 28.8% 28.4% 28.5% 28.8% 28.6%\nEBIT % of net sales 10.1% 11.1% 11.4% 11.9% 12.0%\nReturn on assets 8.1% 8.7% 8.9% 8.7% 8.6%\nReturn on invested capital (“ROIC”)3 12.6% 13.6% 13.9% 13.3% 13.6%\nSales per square foot4 $493 $474 $470 $431 $397\n4-wall sales per square foot4 $413 $408 $417 $394 $372\nEnding inventory per square foot5 $64.05 $58.84 $53.77 $46.41 $40.96\nInventory turnover rate6 4.67 5.07 5.37 5.56 5.56\nPer Share Information\nEarnings per diluted share $3.72 $3.71 $3.56 $3.14 $2.75\nDividends declared per share 1.32 1.20 1.08 0.92 0.76\nStore Information (at year-end)\nNordstrom full-line stores - U.S. 116 117 117 117 115\nNordstrom Rack and other stores7 176 143 123 108 89\nTotal square footage 27,061,000 26,017,000 25,290,000 24,745,000 23,838,000\n1 Gross profit is calculated as net sales less cost of sales and related buying and occupancy costs (for all segments).\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n3 See ROIC (Non-GAAP financial measure) on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure.\n4 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.5 Ending inventory includes pack and hold inventory of $222, $173, $125, $34 and $0 in 2014, 2013, 2012, 2011 and 2010, which represents strategic purchases of \nmerchandise for upcoming selling seasons.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "18\nRetail Business Net Sales\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business:\nFiscal year 2014 2013 2012\nNet sales by channel:\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\nNet sales increase 7.8% 3.4% 12.1%\nComparable sales increase (decrease) by channel2:\nNordstrom full-line stores - U.S. (0.5%) (2.1%) 3.9%\nNordstrom.com 23.1% 29.5% 37.1%\nNordstrom 3.6% 2.3% 7.5%\nNordstrom Rack 3.8% 2.7% 7.4%\nNordstromrack.com and HauteLook 22.1% 27.3% —\nTotal company 4.0% 2.5% 7.3%\nSales per square foot3:\nTotal sales per square foot $493 $474 $470\n4-wall sales per square foot 413 408 417\nFull-line sales per square foot - U.S. 371 372 385\nNordstrom Rack sales per square foot 552 553 568\nPercentage of net sales by merchandise category:\nWomen’s Apparel 30% 31% 31%\nShoes 23% 23% 23%\nMen’s Apparel 16% 16% 16%\nWomen’s Accessories 14% 14% 13%\nCosmetics 11% 11% 11%\nKids’ Apparel 4% 3% 3%\nOther 2% 2% 3%\nTotal 100% 100% 100%\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "16\nItem 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\nOVERVIEW\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers.\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%. \nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of \nNordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "80\nExecutive Officers\nTeri Bariquit, 49 Steven C. Mattics, 46 Robert B. Sari, 58\nExecutive Vice President, Executive Vice President; Executive Vice President,\nNordstrom Merchandising Group Chairman and Chief Executive Officer of General Counsel and Secretary\nNordstrom fsb,\nKirk Beardsley, 46 President of Nordstrom Credit, Inc. Michael Sato, 48\nExecutive Vice President, Executive Vice President,\nOnline Merchandising Scott A. Meden, 52 Supply Chain\nExecutive Vice President and\nTerence Boyle, 42 General Merchandise Manager, Tricia D. Smith, 43\nExecutive Vice President, Shoe Division Executive Vice President and\nNordstromrack.com|HauteLook General Merchandise Manager,\nRobert J. Middlemas, 58 Designer, Women’s and Kids’\nBrian K. Dennehy, 49 Executive Vice President and Apparel\nExecutive Vice President and Regional Manager,\nChief Marketing Officer Southern California Geevy S. K. Thomas, 50\nExecutive Vice President and\nJames A. Howell, 49 Margaret Myers, 68 President, Nordstrom Rack\nExecutive Vice President, Executive Vice President and\nFinance and Treasurer General Merchandise Manager, Paige L. Thomas, 43\nAccessories and Women’s Executive Vice President and\nMichael G. Koppel, 58 Specialized Divisions General Merchandise Manager,\nExecutive Vice President and Nordstrom Rack\nChief Financial Officer Blake W. Nordstrom, 54\nPresident Mark J. Tritton, 51\nGemma Lionello, 49 Executive Vice President and\nExecutive Vice President and Erik B. Nordstrom, 51 President, Nordstrom Product Group\nGeneral Merchandise Manager, Executive Vice President and\nCosmetics Division President, Nordstrom.com David M. Witman, 56\nExecutive Vice President and\nDaniel F. Little, 53 James F. Nordstrom, Jr., 42 General Merchandise Manager,\nExecutive Vice President and Executive Vice President and Men’s Apparel\nChief Information Officer President, Stores\nKenneth J. Worzel, 50\nLisa Luther, 46 Peter E. Nordstrom, 53 Executive Vice President,\nExecutive Vice President of Executive Vice President and Strategy and Development\nFinance and Operations, President, Merchandising\nNordstrom.com\nBrian Saltzman, 47\nExecutive Vice President,\nUser Experience and Optimization", - "page_start": 91, - "page_end": 91, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 37\nNordstrom, Inc.\nConsolidated Statements of Earnings\nIn millions except per share amounts\nFiscal year 2014 2013 2012\nNet sales $13,110 $12,166 $11,762\nCredit card revenues 396 374 372\nTotal revenues 13,506 12,540 12,134\nCost of sales and related buying and occupancy costs (8,406) (7,737) (7,432)\nSelling, general and administrative expenses (3,777) (3,453) (3,357)\nEarnings before interest and income taxes 1,323 1,350 1,345\nInterest expense, net (138) (161) (160)\nEarnings before income taxes 1,185 1,189 1,185\nIncome tax expense (465) (455) (450)\nNet earnings $720 $734 $735\nEarnings per share:\nBasic $3.79 $3.77 $3.62\nDiluted $3.72 $3.71 $3.56\nWeighted-average shares outstanding:\nBasic 190.0 194.5 203.0\nDiluted 193.6 197.7 206.7\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.\nNordstrom, Inc.\nConsolidated Statements of Comprehensive Earnings\nIn millions\nFiscal year 2014 2013 2012\nNet earnings $720 $734 $735\nPostretirement plan adjustments, net of tax of $7, ($6) and $1 (11) 10 (2)\nForeign currency translation adjustment (14) (2) —\nComprehensive net earnings $695 $742 $733\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 48, - "page_end": 48, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 25\nNordstrom Rack net sales for the quarter increased $130, or 17%, reflecting 27 new Nordstrom Rack store openings since the fourth quarter \nof 2013, while comparable sales increased 3.2%. On a comparable basis, the average selling price of Nordstrom Rack merchandise \nincreased while the number of items sold was flat. Shoes and Accessories were the category highlights for Nordstrom Rack.\nGross Profit\nOur total company gross profit rate decreased 53 basis points compared with the same period in the prior year, primarily due to increased \nmarkdowns at Nordstrom Rack.\nRetail Selling, General, and Administrative Expenses\nOur Retail SG&A rate increased 80 basis points primarily due to expenses related to the acquisition of Trunk Club and ongoing technology \nand fulfillment expenses.\nCredit Expenses\nIn the fourth quarter, expenses for our Credit segment of $54 increased from $38 in the prior year. The increase was primarily driven by \nhigher operational expenses resulting from a 6% increase in credit volume during the fourth quarter of 2014. The fourth quarter of 2013 also \nincluded the impact of the conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes, which decreased operational expenses \nin the prior year.\nFor further information on our quarterly results in 2014 and 2013, refer to Note 17: Selected Quarterly Data in the Notes to Consolidated \nFinancial Statements in Item 8: Financial Statements and Supplementary Data.\n2015 Outlook\nOur expectations for 2015 are as follows:\nNet sales 7 percent to 9 percent increase\nComparable sales 2 percent to 4 percent increase\nEarnings per diluted share1 $3.65 to $3.80\n1 This outlook does not include the impact of any future share repurchases.\nCapital expenditures, net of property incentives, of approximately $1.2 billion are expected in 2015, an increase from $751 in 2014. The \nincrease relates to store expansion, including Canada and Manhattan, and ongoing investments to improve the customer experience through \nflagship store remodels and a third fulfillment center expected to open in the second half of the year. To date in 2015, we have opened our \nsecond full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional Nordstrom full-line stores in the U.S. and \nanother full-line store in Canada during 2015. Planned net store openings are expected to increase our retail square footage by \napproximately 6.1%.", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many stores did Nordstrom posses at the end of 2014 ?", - "target_page": 22, - "target_passage": "Number of stores, end of year : 292", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "10\nItem 1B. Unresolved Staff Comments.\nNone.\nItem 2. Properties.\nThe following table summarizes the number of retail stores we own or lease, and the percentage of total store square footage represented by \neach listed category as of January 31, 2015:\nNumber of stores\n% of total store\nsquare footage\nLeased stores on leased land 195 38%\nOwned stores on leased land 61 40%\nOwned stores on owned land 35 21%\nPartly owned and partly leased store 1 1%\nTotal 292 100%\nThe following table summarizes our store activity during the last three years:\nFiscal year 2014 2013 2012\nNumber of stores, beginning of year 260 240 225\nStores opened 31 22 16\nStores acquired 4 — —\nStores closed (3) (2) (1)\nNumber of stores, end of year 292 260 240\nNordstrom full-line stores - U.S. 116 117 117\nNordstrom Rack 167 140 119\nOther1 9 3 4\n1 Other includes Jeffrey boutiques, Trunk Club showrooms, our Nordstrom Canada full-line store and Last Chance.\nIn 2014, we opened three Nordstrom full-line stores (The Woodlands, Texas; Calgary, Alberta; and Jacksonville, Florida) and 27 Nordstrom \nRack stores (Palm Desert, California; San Francisco, California; Chicago, Illinois; Riverside, California; Skokie, Illinois; Tulsa, Oklahoma; \nWauwatosa, Wisconsin; Brooklyn, New York; Columbus, Ohio; Houston, Texas; Manhassett, New York; Chicago, Illinois; Dayton, Ohio; \nHouston, Texas; Queens, New York; Brentwood, Tennessee; Greenville, South Carolina; Madison, Wisconsin; Tempe, Arizona; Brooklyn, \nNew York; Livingston, New Jersey; West Palm Beach, Florida; Brandon, Florida; Columbia, South Carolina; Des Moines, Iowa; Philadelphia, \nPennsylvania; and Summerlin, Nevada). As part of our purchase of Trunk Club in August 2014, we acquired four Trunk Club showrooms (Los \nAngeles, California; Chicago, Illinois; Dallas, Texas; and Washington D.C.) and opened one additional Trunk Club showroom (New York City, \nNew York) in December 2014. Additionally, in 2014, we closed three Nordstrom full-line stores (Orlando, Florida; Vancouver, Washington; and \nPortland, Oregon). \nTo date in 2015, we have opened one Nordstrom full-line store in Ottawa, Ontario. During the remainder of 2015, we have announced the \nopening of four additional Nordstrom full-line stores (San Juan, Puerto Rico; Vancouver, British Columbia; Minneapolis, Minnesota; and \nWauwatosa, Wisconsin) and the opening of 27 additional Nordstrom Rack stores (Bakersfield, California; Redlands, California; Reno, \nNevada; Princeton, New Jersey; Westwood, Massachusetts; Webster, Texas; Laguna Niguel, California; Miami, Florida; Springfield, Virginia; \nSt. Louis Park, Minnesota; Dublin, California; Albany, New York; Anchorage, Alaska; Baton Rouge, Louisiana; Buffalo, New York; Cerritos, \nCalifornia; Clearwater, Florida; Eatontown, New Jersey; Emeryville, California; Fort Collins, Colorado; Long Beach, California; Mount \nPleasant, South Carolina; Newark, Delaware; Rockaway, New Jersey; Syracuse, New York; Thousand Oaks, California; and Wayne, New \nJersey). \nWe also own six merchandise distribution centers (Portland, Oregon; Dubuque, Iowa; Ontario, California; Newark, California; Upper \nMarlboro, Maryland; and Gainesville, Florida) and we own one fulfillment center on leased land (Cedar Rapids, Iowa), all of which are utilized \nby our Retail segment. Trunk Club and HauteLook, which are included in our Retail segment, lease three administrative offices (Chicago, \nIllinois; Los Angeles, California and New York City, New York) and one fulfillment center (San Bernardino, California). We plan to open a third, \nowned fulfillment center (Elizabethtown, Pennsylvania) in the second half of 2015. We lease office buildings in Centennial, Colorado and \nScottsdale, Arizona, both for use by our Credit segment. Our administrative offices in Seattle, Washington are a combination of leased and \nowned space. We also lease a data center in Centennial, Colorado.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 11\nThe following table lists our U.S. and Canada retail store count and facility square footage by state/province as of January 31, 2015:\nRetail stores by channel\nNordstrom Full-Line Stores -\nU.S. Nordstrom Rack and Other1 Total\nState/Province Count\nSquare Footage\n(000’s) Count\nSquare Footage\n(000’s) Count\nSquare Footage\n(000’s)\nAlabama — — 1 35 1 35\nAlaska 1 97 — — 1 97\nAlberta — — 1 142 1 142\nArizona 2 384 7 262 9 646\nCalifornia2 32 5,489 38 1,473 70 6,962\nColorado 3 559 4 148 7 707\nConnecticut 1 189 1 36 2 225\nDelaware 1 127 — — 1 127\nFlorida2 9 1,389 12 414 21 1,803\nGeorgia 3 555 5 165 8 720\nHawaii 1 211 1 44 2 255\nIdaho — — 1 37 1 37\nIllinois 4 947 11 401 15 1,348\nIndiana 1 134 1 35 2 169\nIowa — — 1 35 1 35\nKansas 1 219 1 35 2 254\nKentucky — — 1 33 1 33\nMaine — — 1 30 1 30\nMaryland 4 765 4 156 8 921\nMassachusetts 4 595 5 193 9 788\nMichigan 3 552 4 145 7 697\nMinnesota 1 240 2 75 3 315\nMissouri 2 342 2 69 4 411\nNevada 1 207 2 70 3 277\nNew Jersey 5 991 3 102 8 1,093\nNew York 2 460 10 307 12 767\nNorth Carolina 2 300 2 74 4 374\nOhio 3 549 6 224 9 773\nOklahoma — — 2 67 2 67\nOregon 4 555 5 190 9 745\nPennsylvania 2 381 3 120 5 501\nRhode Island 1 206 1 38 2 244\nSouth Carolina — — 2 67 2 67\nTennessee 1 145 1 36 2 181\nTexas2 8 1,431 15 496 23 1,927\nUtah 2 277 3 101 5 378\nVirginia 5 894 5 201 10 1,095\nWashington 7 1,392 7 276 14 1,668\nWashington D.C. — — 3 80 3 80\nWisconsin — — 2 67 2 67\nTotal (38 states/1 province) 116 20,582 176 6,479 292 27,061\n1 Other includes one Nordstrom Canada full-line store, five Trunk Club showrooms, one Last Chance clearance store and two Jeffrey boutiques.\n2 California, Texas and Florida had the highest square footage, with a combined 10,692 square feet, representing 40% of the total company square footage.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Total, end of year 292 260 240 27.1 26.0 25.3\n1 Other stores include Jeffrey boutiques, Trunk Club showrooms, our Nordstrom Canada full-line store and Last Chance.\nWe had no store relocations in 2014, compared with one Nordstrom full-line store and two Nordstrom Rack relocations in 2013 and three \nNordstrom Rack relocations in 2012. Our 2014 new store openings increased our square footage by 5.5%.\nTo date in 2015, we have opened our second full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional \nNordstrom full-line stores in the U.S. and another full-line store in Canada during 2015. Planned net store openings are expected to increase \nour retail square footage by approximately 6.1%.", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 19\nNet Sales (2014 vs. 2013)\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we \nopened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the \nacquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These \nadditions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014. \nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared \nwith 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number \nof items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics \nand Men’s Apparel. \nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The top-\nperforming geographic regions for full-line stores were the Southeast and Southwest. \nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales \nincreased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and \nongoing technology investments to enhance the customer experience.\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of \n27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories \nfor the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was \nflat. \nNet Sales (2013 vs. 2012)\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at \nNordstrom.com and Nordstrom Rack’s accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one \nNordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our \nsquare footage by 2.9%. The 53rd week in 2012 contributed approximately $162 in additional net sales.\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at \nNordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold \nincreased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men’s Shoes and Women’s Apparel. \nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales \ndecrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. \nNordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up \n30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology \ninvestments to enhance the customer experience.\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. \nComparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the \naverage selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\nRetail Business Gross Profit\nThe following table summarizes the Retail Business gross profit:\nFiscal year 2014 2013 2012\nRetail gross profit1 $4,709 $4,434 $4,335", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "16\nItem 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations.\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\nOVERVIEW\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer \nan extensive selection of high-quality brand-name and private label merchandise through our various channels: “Nordstrom” branded full-line \nstores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including \nTrunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name “Last Chance.” As \nof January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our \ncustomers a Nordstrom Rewards™ loyalty program along with a variety of payment products and services, including credit and debit cards.\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making \nprogress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. \nBecause the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer \nexperience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there \nare significant synergies across channels to create a unique customer experience to gain market share. \nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom \nRack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected \ncontinued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales \ngrowth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position \nremains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations. \nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with \nplans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another \nway to provide sought-after brands that appeal to new and existing customers.\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique \nchallenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers’ response in this \nmarket. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our \npresence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto \nRico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 \nNordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack’s total sales growth of 17%. \nOur online businesses continue to be our fastest-growing channels. In the spring of 2014, we expanded our capabilities through the launch of \nNordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "4\nPART I\nItem 1. Business.\nDESCRIPTION OF BUSINESS\nFounded in 1901 as a retail shoe business in Seattle, Nordstrom later incorporated in Washington state in 1946 and went on to become one \nof the leading fashion specialty retailers based in the U.S. As of March 16, 2015, we operate 290 U.S. stores located in 38 states as well as a \nrobust ecommerce business through Nordstrom.com, Nordstromrack.com and HauteLook and TrunkClub.com. We also operate two \nNordstrom full-line stores in Canada. The west and east coasts of the U.S. are the areas in which we have the largest presence. We have \ntwo reportable segments: Retail and Credit.\nAs of March 16, 2015, the Retail segment includes our 115 “Nordstrom” branded full-line stores in the U.S. and Nordstrom.com, 167 off-price \nNordstrom Rack stores, two Canada full-line stores, Nordstromrack.com and HauteLook, and other retail channels including five Trunk Club \nshowrooms and TrunkClub.com, our two Jeffrey boutiques and one clearance store that operates under the name “Last Chance.” Through \nthese multiple retail channels, we strive to deliver the best customer experience possible. We offer an extensive selection of high-quality \nbrand-name and private label merchandise focused on apparel, shoes, cosmetics and accessories. Our integrated Nordstrom full-line stores \nand online store allow us to provide our customers with a seamless shopping experience. In-store purchases are primarily fulfilled from that \nstore’s inventory, but when inventory is unavailable at that store it may also be shipped to our customers from our fulfillment center in Cedar \nRapids, Iowa, or from other Nordstrom full-line stores. Online purchases are primarily shipped to our customers from our Cedar Rapids \nfulfillment center, but may also be shipped from our Nordstrom full-line stores. Our customers can also pick up online orders in our Nordstrom \nfull-line stores if inventory is available at one of our locations. These capabilities allow us to better serve customers across various channels \nand improve sales. Nordstrom Rack stores purchase high-quality brand-name merchandise primarily from the same vendors carried in \nNordstrom full-line stores and also serve as outlets for clearance merchandise from our Nordstrom stores and other retail channels. During \nthe year, we launched Nordstromrack.com and the associated mobile app. Nordstromrack.com combines the technology expertise of \nHauteLook with the merchant expertise of Nordstrom Rack. Nordstromrack.com and HauteLook offer limited-time sale events on fashion and \nlifestyle brands as well as a persistent selection of off-price, high-quality brand-name merchandise and are integrated with a single customer \nlog-in, shared shopping cart and streamlined checkout process. Furthermore, we can accommodate returns from these sites by mail or at \nany Nordstrom Rack location. \nOur Credit segment includes our wholly owned federal savings bank, Nordstrom fsb, through which we provide a private label credit card, \ntwo Nordstrom Visa credit cards and a debit card. The credit and debit cards feature a loyalty program designed to increase customer visits \nand spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also \ngenerate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment \nwould incur if our customers used third-party cards.\nFor more information about our business and our reportable segments, see Item 7: Management’s Discussion and Analysis of Financial \nCondition and Results of Operations and Note 16: Segment Reporting in Item 8: Financial Statements and Supplementary Data.\nFISCAL YEAR\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31st. References to 2014 and all years within this \ndocument are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\nTRADEMARKS", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "18\nRetail Business Net Sales\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our \nchannels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience \nand view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by \nchannel, we present the following summary of our Retail Business:\nFiscal year 2014 2013 2012\nNet sales by channel:\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\nNet sales increase 7.8% 3.4% 12.1%\nComparable sales increase (decrease) by channel2:\nNordstrom full-line stores - U.S. (0.5%) (2.1%) 3.9%\nNordstrom.com 23.1% 29.5% 37.1%\nNordstrom 3.6% 2.3% 7.5%\nNordstrom Rack 3.8% 2.7% 7.4%\nNordstromrack.com and HauteLook 22.1% 27.3% —\nTotal company 4.0% 2.5% 7.3%\nSales per square foot3:\nTotal sales per square foot $493 $474 $470\n4-wall sales per square foot 413 408 417\nFull-line sales per square foot - U.S. 371 372 385\nNordstrom Rack sales per square foot 552 553 568\nPercentage of net sales by merchandise category:\nWomen’s Apparel 30% 31% 31%\nShoes 23% 23% 23%\nMen’s Apparel 16% 16% 16%\nWomen’s Accessories 14% 14% 13%\nCosmetics 11% 11% 11%\nKids’ Apparel 4% 3% 3%\nOther 2% 2% 3%\nTotal 100% 100% 100%\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\n2 Comparable sales include sales from stores that have been open at least one full year at the beginning of the year. We also include sales from our online channels \n(Nordstrom.com, Nordstromrack.com and HauteLook) in comparable sales because of the integration with our stores. Fiscal year 2012 includes an extra week (the 53rd week) \nas a result of our 4-5-4 retail reporting calendar. The 53rd week is not included in comparable sales calculations.\n3 Sales per square foot is calculated as net sales divided by weighted-average square footage. Weighted-average square footage includes a percentage of year-end square \nfootage for new stores equal to the percentage of the year during which they were open. 4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, \nNordstrom Rack stores, Jeffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc.\nNotes to Consolidated Financial Statements\nDollar and share amounts in millions except per share, per option and per unit amounts\n64\nThe following table summarizes net sales within our reportable segments:\nFiscal year 2014 2013 2012\nNordstrom full-line stores - U.S. $7,682 $7,705 $7,964\nNordstrom.com 1,996 1,622 1,269\nNordstrom 9,678 9,327 9,233\nNordstrom Rack 3,215 2,738 2,445\nNordstromrack.com and HauteLook 360 295 236\nOther retail1 116 35 35\nTotal Retail segment 13,369 12,395 11,949\nCorporate/Other (259) (229) (187)\nTotal net sales $13,110 $12,166 $11,762\n1 Other retail includes our Jeffrey boutiques, Trunk Club and our Nordstrom Canada full-line store.\nThe following table summarizes net sales by merchandise category:\nFiscal year 2014 2013 2012\nNet sales % of total Net sales % of total Net sales % of total\nWomen’s Apparel $3,950 30% $3,733 31% $3,684 31%\nShoes 3,038 23% 2,828 23% 2,716 23%\nMen’s Apparel 2,129 16% 1,943 16% 1,866 16%\nWomen’s Accessories 1,801 14% 1,644 14% 1,574 13%\nCosmetics 1,400 11% 1,312 11% 1,255 11%\nKids’ Apparel 483 4% 413 3% 381 3%\nOther 309 2% 293 2% 286 3%\nTotal net sales $13,110 100% $12,166 100% $11,762 100%", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 5\nCOMPETITIVE CONDITIONS\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry \nsimilar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific \ncompetitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer \nexperiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, \ntechnology, product fulfillment, personalization and appealing, relevant store environments in top locations.\nINVENTORY\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and \nreceipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and \nreceive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). \nBeginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of \nmerchandise from some of our full-line stores’ top brands in advance of the upcoming selling seasons to take advantage of favorable buying \nopportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. \nWe pay for our merchandise purchases under the terms established with our vendors.\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and \nforeign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We \nexpect our suppliers to meet our “Nordstrom Partnership Guidelines,” which address our corporate social responsibility standards for matters \nsuch as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\nEMPLOYEES\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, \nemployment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. \nWe believe our relationship with our employees is good.\nCAUTIONARY STATEMENT\nCertain statements in this Annual Report on Form 10-K contain or may suggest “forward-looking” information (as defined in the Private \nSecurities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the \nfiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new \nand international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current \nbeliefs and expectations of the company’s management and are subject to significant risks and uncertainties. Actual future results may differ \nmaterially from historical results or current expectations depending upon factors including, but not limited to:\n• successful execution of our customer strategy, including expansion into new markets, acquisitions, investments in our stores and \nonline, our ability to realize the anticipated benefits from growth initiatives, our ability to provide a seamless experience across all \nchannels, and the timely completion of construction associated with newly planned stores, relocations and remodels, all of which may \nbe impacted by the financial health of third parties,\n• our ability to manage the transformation of our business/financial model as we increase our investments in growth opportunities,", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstromrack.com, providing a seamless integration with HauteLook. We more than doubled our merchandise selection, which accelerated \ngrowth in this channel in the second half of 2014. Demonstrating synergies across our businesses, we enabled customers to return \npurchases from HauteLook and Nordstromrack.com to any of our Nordstrom Rack stores, which drove nearly one million incremental trips to \nNordstrom Rack stores. \nNordstrom.com finished its fifth consecutive year of approximately 20% or more comparable sales growth, with a key driver being increased \nmerchandise selection. In 2015, we plan to open our third fulfillment center, located in Pennsylvania, which will enhance the customer \nexperience through faster delivery. Furthermore, we have extended our full-price offering with our acquisition of Trunk Club, a high-growth \nbusiness offering a new approach to personalized service. \nOur credit business, through our Nordstrom Rewards program, continues to play an important role in attracting new customers and \ndeepening our engagement with existing customers. The program contributes to our overall results, with members shopping more frequently \nand spending more on average than non-members. For the third consecutive year, we opened over one million new accounts. With over four \nmillion active members, 2014 sales from members represented approximately 40% of our sales.\nWe are confident in our ability to execute our customer strategy as we evolve with customers and continue to leverage capabilities across all \nchannels to serve customers on their terms. To enhance the customer experience, we continue to make investments in our stores in new \nmarkets such as Canada, Puerto Rico and Manhattan, in our ecommerce and fulfillment capabilities and in technology to support growth \nacross all channels. We believe these investments in our customer strategy will help us achieve long-term top-quartile shareholder returns \nthrough high single-digit total sales growth and mid-teens Return on Invested Capital.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What type of nanostructured material works notably well to build gas nanosensors ?", - "target_page": 1, - "target_passage": "carbon nanotubes (CNT) [2] have been shown to work remarkably well as de- tectors of small gas molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\nJ. M. Garc´ıa-Lastra1,2,∗D. J. Mowbray1,2, K. S. Thygesen 2, A. Rubio 1,3, and K. W. Jacobsen 2\n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,\nDpto. F ´ısica de Materiales, Universidad del Pa ´ıs Vasco,\nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti ´an, Spain\n2Center for Atomic-scale Materials Design, Department of Physics,\nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark\n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan-\notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components\nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal\natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis-\ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites\nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function\nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to\nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\nThe ability to detect small concentrations of specific chem-\nical species is fundamental for a variety of industrial and sci-\nentific processes as well as for medical applications and en-\nvironmental monitoring [1]. In general, nanostructured mate-\nrials should be well suited for sensor applications because of\ntheir large surface to volume ratio which makes them sensi-\ntive to molecular adsorption. Specifically, carbon nanotubes\n(CNT) [2] have been shown to work remarkably well as de-\ntectors of small gas molecules. This has been demonstrated\nboth for individual CNTs [3–8] as well as for CNT networks\n[9, 10].\nPristine CNTs are known to be chemically inert – a prop-\nerty closely related to their high stability. As a consequence,\nonly radicals bind strong enough to the CNT to notably affect\nits electrical properties [2, 5, 11–13]. To make CNTs attrac-\ntive for sensor applications thus requires some kind of func-\ntionalization, e.g. through doping or decoration of the CNT\nsidewall [13–21]. Ideally, this type of functionalization could\nbe used to control not only the reactivity of the CNT but also\nthe selectivity towards specific chemical species.\nIn this work we consider the possibility of using CNTs\ndoped by 3d transition metal atoms for chemical gas sens-\ning. We use computational screening to systematically iden-\ntify the most promising dopant candidates for detection of\nthree different target molecules (CO, NH 3, H2S) under typi-\ncal atmospheric conditions. The screening procedure is based\non the calculation of two microscopic descriptors: the bind-\ning energy and scattering resistance of the molecules when\nadsorbed on a doped CNT. These two quantities give a good\nindication of the gas coverage and impact on the resistance.\nFor the most promising candidates we then employ a simple\nthermodynamic model of the CNT sensor. In this model, the\nbinding energies are used to obtain the fractional coverage of\nthe metallic sites as a function of the target molecule concen-\ntration under ambient conditions. Under the assumption of\ntransport in the diffusive rather than localization regime, the\nchange in CNT resistivity may then be obtained from the cal-\nculated coverages and single impurity conductances.\nWe find that oxidation of the active metal site passivates\nthe sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "4\nall N impurities. At this point it suffices to see that the con-\nservative estimates obtained from Eq. (7) predict measurable\nsignals in response to small changes in concentration of the\ntarget molecules.\nTo our knowledge, controlled doping of CNTs with transi-\ntion metal atoms has so far not been achieved. It has, how-\never, been found that metal atoms incorporated into the CNT\nlattice during catalytic growth are afterwards very difficult to\nremove [30]. Furthermore, it has been shown that CNT vacan-\ncies, which are needed for the metallic doping, may be formed\nin a controlled way by irradiation by Ar ions [31]. This sug-\ngests that metallic doping of CNTs should be possible.\nIn summary, we have presented a general model of nanos-\ntructured chemical sensors which takes the adsorption en-\nergies of the relevant chemical species and their individual\nscattering resistances as the only input. On the basis of this\nmodel we have performed a computational screening of tran-\nsition metal doped CNTs, and found that Ni-doped CNTs are\npromising candidates for detecting CO in a background of air.\nThe model may be applied straightforwardly to other nanos-\ntructures than CNTs, other functionalizations than metal dop-\ning and other gas compositions than air.\nThe authors acknowledge financial support from Span-\nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados\nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF\nproject (Contract Number 211956), “Red Espa˜nola de Super-\ncomputaci´on”, NABIIT and the Danish Center for Scientific\nComputing. The Center for Atomic-scale Materials Design\n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L\nacknowledges funding from Spanish MICINN through Juan\nde la Cierva and Jos´e Castillejo programs.\n∗ Electronic address: juanmaria.garcia@ehu.es\n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999).\n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport\nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May\n2007), doi:10.1103/RevModPhys.79.677.\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng,\nK. Cho, and H. Dai, “Nanotube molecular wires as\nchemical sensors”, Science 287(5453), 622 (Jan. 2000),\ndoi:10.1126/science.287.5453.622.\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, “Ex-\ntreme oxygen sensitivity of electronic properties of car-\nbon nanotubes”, Science 287(5459), 1801 (Mar. 2000),\ndoi:10.1126/science.287.5459.1801.\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling,\nIntegration and Applications (Wiley-VCH, Weinheim, 2008).\n[6] F. Villalpando-P ´aez, A. H. Romero, E. Mu ˜noz-Sandoval,\nL. M. Mart ´ınez, H. Terrones, and M. Terrones, “Fabrica-\ntion of vapor and gas sensors using films of aligned CN x\nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004),\ndoi:10.1016/j.cplett.2004.01.052.\n[7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R.\nda Silva, “Designing real nanotube-based gas sen-\nsors”, Phys. Rev. Lett. 100(17), 176803 (May 2008),\ndoi:10.1103/PhysRevLett.100.176803.\n[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring\ngas sensing properties of carbon nanotubes”, J. Appl. Phys.\n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n[9] C. Morgan, Z. Alemipour, and M. Baxendale, “Variable\nrange hopping in oxygen-exposed single-wall carbon nanotube\nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008),\ndoi:10.1002/pssa.200778113.\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, “In-\nfluence of O 2 and N 2 on the conductivity of carbon nan-\notube networks”, Phys. Rev. B 79(19), 195431 (May 2009),\ndoi:10.1103/PhysRevB.79.195431.\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi,\nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of\ndefects on the gas sensing properties of carbon nanotubes thin\nfilms: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "the sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the\nmost promising candidate for CO detection. For this system\nthe change in resistance per active site is generally significant\n(>1 Ω) for small changes in CO concentration in the relevant\nrange of around 0.1–10 ppm. Our approach is quite general\nand is directly applicable to other nanostructures than CNTs,\nother functionalizations than metal doping, and other back-\ngrounds than atmospheric air.\nAll total energy calculations and structure optimizations\nhave been performed with the real-space density functional\ntheory (DFT) code GPAW [22] which is based on the projector\naugmented wave method. We use a grid spacing of 0.2 ˚A for\nrepresenting the density and wave functions and the PBE ex-\nchange correlation functional [23]. Transport calculations for\nthe optimized structures have been performed using the non-\nequilibrium Green’s function method [24] with an electronic\nHamiltonian obtained from the SIESTA code [25] in a dou-\nble zeta polarized (DZP) basis set. Spin polarization has been\ntaken into account in all calculations.\nMetallic doping of a (6,6) CNT has been modeled in a su-\npercell containing six repeated minimal unit cells along the\nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size\nof supercell a Γ-point sampling of the Brillouin zone was\nfound to be sufficient. The formation energy for creating a\nvacancy (VC) occupied by a transition metal atom (M) was\ncalculated using the relation\nEform[M@VC] = E[M@VC] + nE[C] −E[M@NT] (1)\nwhere E[M@VC] is the total energy of a transition metal\natom occupying a vacancy in the nanotube, n is the number\nof carbon atoms removed to form the vacancy,E[C] is the en-\nergy per carbon atom in a pristine nanotube, and E[M@NT]\narXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "tance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-\npying the three types of vacancies. The background reference\nconcentration of CO is taken to be C0 = 0 .1 ppm. For the\nmonovacancy there is very little change in resistivity. This is\nbecause most active sites are blocked by O 2 at relevant CO\nconcentrations, as shown in the upper panel of Fig. 3. For Ni\nin the divacancies there is, however, a change in resistance on\nthe order of 1Ω per site. For concentrations above ∼1 ppm,\nthe CO coverage of Ni in the divacancy II increases dramati-\ncally and this leads to a significant increase in resistance.\nWe now return to the discussion of the validity of Eq. (7).\nAs mentioned, the series coupling of individual scatterers\nshould be valid when lφ < d. However, even for lφ > d\nand assuming that the Anderson localization length, lloc in\nthe system exceeds lφ, Eq. (7) remains valid if one replaces\nthe actual resistance R by the sample averaged resistance ⟨R⟩\n[29]. At room temperature under ambient conditions, interac-\ntions with external degrees of freedom such as internal CNT\nphonons and vibrational modes of the adsorbed molecules\nwould rapidly randomize the phase of the electrons. There-\nfore Eq. (7) should certainly be valid in the limit of low dop-\ning concentrations. On the other hand, the total number of\ndopants, N, should be large enough for the statistical treat-\nment of the coverage to hold. Finally, we stress that Eq. (7)\nrepresents a conservative estimate of the change in resistance.\nIn fact, in the regime where lφ > lloc, i.e. in the Anderson\nlocalization regime, the resistance would be highly sensitive\nto changes in the fractional coverage of active sites. Calcula-\ntion of the actual resistance of the CNT in this regime would,\nhowever, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "films: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for\nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct.\n2009), doi:10.1103/PhysRevB.80.155447.\n[13] J. M. Garc ´ıa-Lastra, K. S. Thygesen, M. Strange, and\n´Angel Rubio, “Conductance of sidewall-functionalized\ncarbon nanotubes: Universal dependence on adsorption\nsites”, Phys. Rev. Lett. 101(23), 236806 (Dec. 2008),\ndoi:10.1103/PhysRevLett.101.236806.\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “ Ab\ninitio study of an iron atom interacting with single-wall car-\nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003),\ndoi:10.1103/PhysRevB.67.205414.\n[15] Y . Yagi, T. M. Briere, M. H. F. Sluiter, V . Kumar, A. A. Farajian,\nand Y . Kawazoe, “Stable geometries and magnetic properties of\nsingle-walled carbon nanotubes doped with 3d transition met-\nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb\n2004), doi:10.1103/PhysRevB.69.075414.\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y . Kim, S. I. Woo, and\nJ. K. Kang, “Interaction of a transition metal atom with intrinsic\ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B\n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles\nstudy of metal adatom adsorption on graphene”, Phys. Rev. B\n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n[18] C. S. Yeung, L. V . Liu, and Y . A. Wang, “Adsorption\nof small gas molecules onto Pt-doped single-walled carbon\nnanotubes”, J. Phys. Chem. C 112(19), 7401 (Apr. 2008),\ndoi:10.1021/jp0753981.\n[19] T. V o, Y .-D. Wu, R. Car, and M. Robert, “Structures, in-\nteractions, and ferromagnetism of Fe-carbon nanotube sys-\ntems”, J. Phys. Chem. C 112(22), 400 (May 2008),\ndoi:10.1021/jp0761968.\n[20] J. A. F ¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “ Ab\ninitio study of spin-dependent transport in carbon nanotubes\nwith iron and vanadium adatoms”, Phys. Rev. B78(19), 195405\n(Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n[21] A. V . Krasheninnikov, P. O. Lehtinen, A. S. Foster,\nP. Pyykk ¨o, and R. M. Nieminen, “Embedding transition-\nmetal atoms in graphene: Structure, bonding, and mag-\nnetism”, Phys. Rev. Lett. 102(12), 126807 (Mar. 2009),\ndoi:10.1103/PhysRevLett.102.126807.\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen,\n“Real-space grid implementation of the projector augmented\nwave method”, Phys. Rev. B 71(3), 035109 (Jan. 2005),\ndoi:10.1103/PhysRevB.71.035109.\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi-\nent approximation made simple”, Phys. Rev. Lett.77(18), 3865\n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "2\nTi V Cr Mn Fe Co Ni Cu Zn0\n2\n4\n6\n8Formation Energy E form [eV] Empty Monovacancy\nEmpty Divacancy II\nEmpty Divacancy I\n Monovacancy Divacancy I Divacancy II\nCarbon Nanotube Axis\nFIG. 1: Structural schematics and formation energy for a 3d tran-\nsition metal occupied monovacancy (black), divacancy I (gray), or\ndivacancy II (white) in a (6,6) carbon nanotube. Formation energies\nof the empty vacancies are indicated by dashed lines.\nis the total energy of the pristine nanotube with a physisorbed\ntransition metal atom. We have considered the monovacancy\nand two divacancies shown in Fig. 1. The energy required to\nform an empty vacancy is obtained from\nEform[VC] = E[VC] + nE[C] −E[NT], (2)\nwhere E[VC] is the total energy of the nanotube with a va-\ncancy of n atoms.\nThe calculated formation energies for the 3d transition met-\nals are shown in Fig. 1. From the horizontal lines we see that\nboth divacancies are more stable than the monovacancy. This\nmay be attributed to the presence of a two-fold coordinated C\natom in the monovacancy, while all C atoms remain three-fold\ncoordinated in the divacancies. When a transition metal atom\noccupies a vacancy, the strongest bonding to the C atoms is\nthrough its d orbitals [26]. For this reason, Cu and Zn, which\nboth have filled d-bands, are rather unstable in the CNT. For\nthe remaining metals, adsorption in the monovacancies leads\nto quite stable structures. This is because the three-fold coor-\ndination of the C atoms and the CNT’s hexagonal structure are\nrecovered when the metal atom is inserted. On the other hand,\nmetal adsorption in divacancies is slightly less stable because\nof the resulting pentagon defects, see upper panel in Fig. 1. A\nsimilar behaviour has been reported by Krasheninnikov et al.\nfor transition metal atoms in graphene [21].\nThe adsorption energies for N 2, O 2, H 2O, CO, NH 3, and\nH2S on the metallic site of the doped (6,6) CNTs are shown in\nFig. 2(a). The adsorption energy of a molecule X is defined\nby\nEads[X@M@VC] = E[X@M@VC] −E[X] −E[M@VC],\n(3)\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S MonovacancyDivacancy II Divacancy I\nDivacancy II Divacancy I Monovacancy\nCr Fe Co Ni Cu ZnMnTi V\n 0.0\n(a) Adsorption Energy [eV]\n−2.0 −1.5 −1.0 −0.5\nCr Fe Co Ni Cu ZnMnTi V\n0.0 +0.5 +1.0\n 0(b) Conductance Change [G ]\n−1.0 −0.5\nFIG. 2: Calculated (a) adsorption energyEads in eV and (b) change in\nconductance ∆G in units of G0 =2e2/h for N2, O2, H2O, CO, NH3,\nand H 2S on 3d transition metals occupying a monovacancy (top),\ndivacancy I (middle), and divacancy II (bottom) in a (6,6) carbon\nnanotube.\nwhere E[X@M@VC] is the total energy of molecule X on\na transition metal atom occupying a vacancy, and E[X] is the\ngas phase energy of the molecule.\nFrom the adsorption energies plotted in Fig. 2(a), we see\nthat the earlier transition metals tend to bind the adsorbates\nstronger than the late transition metals. The latest metals in\nthe series (Cu and Zn) bind adsorbates rather weakly in the\ndivacancy structures. We also note that O2 binds significantly\nstronger than any of the three target molecules on Ti, V , Cr,\nand Mn (except for Cr in divacancy I where H 2S is found to\ndissociate). Active sites containing these metals are therefore\nexpected to be completely passivated if oxygen is present in\nthe background. Further, we find H2O is rather weakly bound\nto most of the active sites. This ensures that these types of\nsensors are robust against changes in humidity.\nIn thermodynamic equilibrium [27], the coverage of the ac-\ntive sites follows from\nΘ[X] = K[X]C[X]\n1 + ∑\nY K[Y ]C[Y ], (4)\nwhere K = k+/k−is the ratio of forward and backward rate\nconstants for the adsorption reaction,\nK[X] = exp\n[\n−Eads[X] + TS [X]\nkBT\n]\n. (5)\nIn these expressions C[X] is the concentration of species X,\nS[X] is its gas phase entropy and T is the temperature. Ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "5\n[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja-\ncobsen, “Benchmark density functional theory calculations for\nnanoscale conductance”, J. Chem. Phys.128(11), 114714 (Mar.\n2008), doi:10.1063/1.2839275.\n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or-\ndej´on, and D. S´anchez-Portal, “The SIESTA method forab ini-\ntio order-n materials simulation”, J. Phys.: Condens. Matter\n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge\nUniversity Press, London, 1961).\n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford\nUniversity Press, London, 2006).\n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC-\nPress, 2006–2007).\n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-\ning theory put into practice: First-principles modeling of trans-\nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803\n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y . Sato, K. Tohji, F. Watari,\nW.-J. Chun, Y . Koike, and K. Asakura, “X-ray absorption fine\nstructure (XAFS) analyses of Ni species trapped in graphene\nsheet of carbon nanofibers”, Phys. Rev. B73(14), 144103 (Apr.\n2006), doi:10.1103/PhysRevB.73.144103.\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel,\nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con-\nductance of single-walled carbon nanotubes by ion irradiation\nin the Anderson localization regime”, Nature Materials 4, 534\n(Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding\nexcess thiol one can also vary the properties of the solvent [40].\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin-\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo-\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin-\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold\ncores. For short chains (C 5 and C8) no formation of branched structures is observed. At similar\nconcentrations, well-developed branched structures are formed for longer chains (C 10 and C12).\nFor even longer chains (C 14), however, one again finds less branching. It also depends on the\namount of excess thiol in the solvent (for details see Ref. [40]).\nWhen following the evolution of the branched patterns in situ (see the complementary video\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate.\nThe macroscopic front can be transversely unstable resulting in large-scale ( > 100µm) strongly\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc-\ntures cover all the available substrate. However, when at a later stage the macroscopic front be-\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "3\n10\n-3\n10\n-2\n10\n-1\n10\n0\n10\n-3\n10\n-2\n10\n-1\n10\n0\nFractional Coverage Θ of Ni Occupied Vacancies\n0.1 1 10 100\nCO Concentration [ppm]\n10\n-4\n10\n-3\n10\n-2\n10\n-1\n10\n0\nO 2\nCO\nCOClean\nO 2\nO 2\nClean\n(a) Monovacancy\n(b) Divacancy I\n(c) Divacancy II\n10\n2\n10\n3\n0.1 1 10 100\nCO Concentration [ppm]\n-10\n1\n0\n10\n1\nMonovacancy\nDivacancy I\nDivacancy II\nChange in Resistance ∆R [Ω / Ni Occupied Vacancy]\n(d)\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a)\nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in\nresistance ∆R per dopant site as a function of CO concentration in\na background of air at room temperature and 1 bar of pressure. The\nreference concentration of CO is taken to be C0 =0.1 ppm. Note the\nchange from linear to log scale on the y-axis at ∆R =10 Ω.\nFor a given background composition we may thus estimate\nthe fractional coverages for each available adsorbate for a\ngiven type of doping. As an example, Fig. 3(a)-(c) shows the\nfractional coverage of a Ni atom occupying a monovacancy,\ndivacancy I, and divacancy II, versus CO concentration in a\nbackground of air at room temperature and 1 bar of pressure.\nDue to the relatively small binding energy of N 2 and H2O as\ncompared to O 2 and CO, all Ni sites will be either empty or\noccupied by O 2 or CO. In particular, Ni in a monovacancy\n(top panel of Fig. 3) will be completely oxidized for all rel-\nevant CO concentrations. For the Ni occupied divacancy II\nstructures we find the coverage of CO changes significantly\naround toxic concentrations (∼10 ppm).\nTo estimate the effect of adsorbates on the electrical con-\nductance of doped CNTs, we first consider the change in con-\nductance when a single molecule is adsorbed on a metal site of\nan otherwise pristine CNT. In Fig. 2(b) we show the calculated\nchange in conductance relative to the metal site with no ad-\nsorbate. In contrast to the binding energies, there are no clear\ntrends in the conductances. The sensitivity of the conductance\nis perhaps most clearly demonstrated by the absence of cor-\nrelation between different types of vacancies, i.e. between the\nthree panels in Fig. 2(b). Close to the Fermi level, the conduc-\ntance of a perfect armchair CNT equals 2 G0. The presence\nof the metal dopant leads to several dips in the transmission\nfunction known as Fano antiresonances [20]. The position\nand shape of these dips depend on the d-levels of the transi-\ntion metal atom, the character of its bonding to the CNT, and\nis further affected by the presence of the adsorbate molecule.\nThe coupling of all these factors is very complex and makes\nit difficult to estimate or rationalize the value of the conduc-\ntance. For the spin polarized cases, we use the spin-averaged\nconductances, i.e. G = (G↑+ G↓)/2.\nNext, we estimate the resistance of a CNT containing sev-\neral impurities (a specific metal dopant with different molecu-\nlar adsorbates). Under the assumption that the electron phase-\ncoherence length, lφ, is smaller than the average distance be-\ntween the dopants, d, we may neglect quantum interference\nand obtain the total resistance by adding the scattering resis-\ntances due to each impurity separately. The scattering resis-\ntance due to a single impurity is given by\nRs(X) = 1/G(X) −1/(2G0), (6)\nwhere G(X) is the Landauer conductance of the pristine CNT\nwith a single metal dopant occupied by molecule X and\n1/(2G0) is the contact resistance of a (6,6) CNT.\nWe may now obtain the total resistance per dopant site rel-\native to the reference background signal as a function of the\ntarget molecule concentration\n∆R\nN ≈\n∑\nX\nRs(X)(Θ[X, C] −Θ[X, C0]), (7)\nwhere N is the number of dopants, Θ[X, C] is the fractional\ncoverage of species X at concentration C of the target and C0\nis the reference concentration. Notice that the contact resis-\ntance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "[34] P. Moriarty, M. D. R. Taylor, and M. Brust, “Nanostructured cellular networks,” Phys. Rev. Lett.89,\n248303 (2002).\n[35] E. Rabani, D. R. Reichman, P. L. Geissler, and L. E. Brus, “Drying-mediated self-assembly of\nnanoparticles,” Nature426, 271–274 (2003).\n[36] L. V . Govor, G. Reiter, J. Parisi, and G. H. Bauer, “Self-assembled nanoparticle deposits formed at\nthe contact line of evaporating micrometer-size droplets,” Phys. Rev. E69, 061609 (2004).\n[37] C. P. Martin, M. O. Blunt, and P. Moriarty, “Nanoparticle networks on silicon: Self-organized or\ndisorganized?” Nano Lett. 4, 2389–2392 (2004).\n[38] C. P. Martin, M. O. Blunt, E. Pauliac-Vaujour, A. Stannard, P. Moriarty, I. Vancea, and U. Thiele,\n“Controlling pattern formation in nanoparticle assemblies via directed solvent dewetting,” Phys. Rev.\nLett. 99, 116103 (2007).\n[39] A. Stannard, C. P. Martin, E. Pauliac-Vaujour, P. Moriarty, and U. Thiele, “Dual-scale pattern forma-\ntion in nanoparticle assemblies,” J. Chem. Phys. C112, 15195–15203 (2008).\n[40] E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, I. Notingher, P. J. Moriarty, I. Vancea,\nand U. Thiele, “Fingering instabilities in dewetting nanofluids,” Phys. Rev. Lett.100, 176102 (2008).\n[41] I. Vancea, U. Thiele, E. Pauliac-Vaujour, A. Stannard, C. P. Martin, M. O. Blunt, and P. J. Moriarty,\n“Front instabilities in evaporatively dewetting nanofluids,” Phys. Rev. E78, 041601 (2008).\n[42] U. Thiele, Entnetzung von Kollagenfilmen, Ph.D. thesis, Technische Universit¨at Dresden (1998).\n[43] H. Yabu and M. Shimomura, “Preparation of self-organized mesoscale polymer patterns on a solid\nsubstrate: Continuous pattern formation from a receding meniscus,” Adv. Funct. Mater.15, 575–581\n(2005).\n[44] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, “Capillary flow as\nthe cause of ring stains from dried liquid drops,” Nature389, 827–829 (1997).\n[45] E. Adachi, A. S. Dimitrov, and K. Nagayama, “Stripe patterns formed on a glass-surface during\ndroplet evaporation,” Langmuir11, 1057–1060 (1995).\n[46] R. D. Deegan, “Pattern formation in drying drops,” Phys. Rev. E 61, 475–485 (2000).\n[47] R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R. Nagel, and T. A. Witten, “Contact line\ndeposits in an evaporating drop,” Phys. Rev. E62, 756–765 (2000).\n[48] L. Shmuylovich, A. Q. Shen, and H. A. Stone, “Surface morphology of drying latex films: Multiple\nring formation,” Langmuir18, 3441–3445 (2002).\n[49] V . X. Nguyen and K. J. Stebe, “Patterning of small particles by a surfactant-enhanced Marangoni-\n28", - "page_start": 27, - "page_end": 27, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What seems to be a great technique to ensure vacancies are formed in carbon nanotubes (CNT) ?", - "target_page": 4, - "target_passage": "Furthermore, it has been shown that CNT vacan- cies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ion", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "2\nTi V Cr Mn Fe Co Ni Cu Zn0\n2\n4\n6\n8Formation Energy E form [eV] Empty Monovacancy\nEmpty Divacancy II\nEmpty Divacancy I\n Monovacancy Divacancy I Divacancy II\nCarbon Nanotube Axis\nFIG. 1: Structural schematics and formation energy for a 3d tran-\nsition metal occupied monovacancy (black), divacancy I (gray), or\ndivacancy II (white) in a (6,6) carbon nanotube. Formation energies\nof the empty vacancies are indicated by dashed lines.\nis the total energy of the pristine nanotube with a physisorbed\ntransition metal atom. We have considered the monovacancy\nand two divacancies shown in Fig. 1. The energy required to\nform an empty vacancy is obtained from\nEform[VC] = E[VC] + nE[C] −E[NT], (2)\nwhere E[VC] is the total energy of the nanotube with a va-\ncancy of n atoms.\nThe calculated formation energies for the 3d transition met-\nals are shown in Fig. 1. From the horizontal lines we see that\nboth divacancies are more stable than the monovacancy. This\nmay be attributed to the presence of a two-fold coordinated C\natom in the monovacancy, while all C atoms remain three-fold\ncoordinated in the divacancies. When a transition metal atom\noccupies a vacancy, the strongest bonding to the C atoms is\nthrough its d orbitals [26]. For this reason, Cu and Zn, which\nboth have filled d-bands, are rather unstable in the CNT. For\nthe remaining metals, adsorption in the monovacancies leads\nto quite stable structures. This is because the three-fold coor-\ndination of the C atoms and the CNT’s hexagonal structure are\nrecovered when the metal atom is inserted. On the other hand,\nmetal adsorption in divacancies is slightly less stable because\nof the resulting pentagon defects, see upper panel in Fig. 1. A\nsimilar behaviour has been reported by Krasheninnikov et al.\nfor transition metal atoms in graphene [21].\nThe adsorption energies for N 2, O 2, H 2O, CO, NH 3, and\nH2S on the metallic site of the doped (6,6) CNTs are shown in\nFig. 2(a). The adsorption energy of a molecule X is defined\nby\nEads[X@M@VC] = E[X@M@VC] −E[X] −E[M@VC],\n(3)\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S\nN 2\nO 2\nN 2\nO 2\nN 2\nO 2\nCO\n2H O\n3NH\n2H S\nCO\nCO\n2H O\n3NH\n2H S\n2H O\n3NH\n2H S MonovacancyDivacancy II Divacancy I\nDivacancy II Divacancy I Monovacancy\nCr Fe Co Ni Cu ZnMnTi V\n 0.0\n(a) Adsorption Energy [eV]\n−2.0 −1.5 −1.0 −0.5\nCr Fe Co Ni Cu ZnMnTi V\n0.0 +0.5 +1.0\n 0(b) Conductance Change [G ]\n−1.0 −0.5\nFIG. 2: Calculated (a) adsorption energyEads in eV and (b) change in\nconductance ∆G in units of G0 =2e2/h for N2, O2, H2O, CO, NH3,\nand H 2S on 3d transition metals occupying a monovacancy (top),\ndivacancy I (middle), and divacancy II (bottom) in a (6,6) carbon\nnanotube.\nwhere E[X@M@VC] is the total energy of molecule X on\na transition metal atom occupying a vacancy, and E[X] is the\ngas phase energy of the molecule.\nFrom the adsorption energies plotted in Fig. 2(a), we see\nthat the earlier transition metals tend to bind the adsorbates\nstronger than the late transition metals. The latest metals in\nthe series (Cu and Zn) bind adsorbates rather weakly in the\ndivacancy structures. We also note that O2 binds significantly\nstronger than any of the three target molecules on Ti, V , Cr,\nand Mn (except for Cr in divacancy I where H 2S is found to\ndissociate). Active sites containing these metals are therefore\nexpected to be completely passivated if oxygen is present in\nthe background. Further, we find H2O is rather weakly bound\nto most of the active sites. This ensures that these types of\nsensors are robust against changes in humidity.\nIn thermodynamic equilibrium [27], the coverage of the ac-\ntive sites follows from\nΘ[X] = K[X]C[X]\n1 + ∑\nY K[Y ]C[Y ], (4)\nwhere K = k+/k−is the ratio of forward and backward rate\nconstants for the adsorption reaction,\nK[X] = exp\n[\n−Eads[X] + TS [X]\nkBT\n]\n. (5)\nIn these expressions C[X] is the concentration of species X,\nS[X] is its gas phase entropy and T is the temperature. Ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "4\nall N impurities. At this point it suffices to see that the con-\nservative estimates obtained from Eq. (7) predict measurable\nsignals in response to small changes in concentration of the\ntarget molecules.\nTo our knowledge, controlled doping of CNTs with transi-\ntion metal atoms has so far not been achieved. It has, how-\never, been found that metal atoms incorporated into the CNT\nlattice during catalytic growth are afterwards very difficult to\nremove [30]. Furthermore, it has been shown that CNT vacan-\ncies, which are needed for the metallic doping, may be formed\nin a controlled way by irradiation by Ar ions [31]. This sug-\ngests that metallic doping of CNTs should be possible.\nIn summary, we have presented a general model of nanos-\ntructured chemical sensors which takes the adsorption en-\nergies of the relevant chemical species and their individual\nscattering resistances as the only input. On the basis of this\nmodel we have performed a computational screening of tran-\nsition metal doped CNTs, and found that Ni-doped CNTs are\npromising candidates for detecting CO in a background of air.\nThe model may be applied straightforwardly to other nanos-\ntructures than CNTs, other functionalizations than metal dop-\ning and other gas compositions than air.\nThe authors acknowledge financial support from Span-\nish MEC (FIS2007-65702-C02-01), “Grupos Consolidados\nUPV/EHU del Gobierno Vasco” (IT-319-07), e-I3 ETSF\nproject (Contract Number 211956), “Red Espa˜nola de Super-\ncomputaci´on”, NABIIT and the Danish Center for Scientific\nComputing. The Center for Atomic-scale Materials Design\n(CAMD) is sponsored by the Lundbeck Foundation. JMG-L\nacknowledges funding from Spanish MICINN through Juan\nde la Cierva and Jos´e Castillejo programs.\n∗ Electronic address: juanmaria.garcia@ehu.es\n[1] Gas Sensing Materials, MRS Bull., vol. 24 (1999).\n[2] J. C. Chalier, X. Blase, and S. Roche, “Electronic and transport\nproperties of nanotubes”, Rev. Mod. Phys. 79(2), 677 (May\n2007), doi:10.1103/RevModPhys.79.677.\n[3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng,\nK. Cho, and H. Dai, “Nanotube molecular wires as\nchemical sensors”, Science 287(5453), 622 (Jan. 2000),\ndoi:10.1126/science.287.5453.622.\n[4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, “Ex-\ntreme oxygen sensitivity of electronic properties of car-\nbon nanotubes”, Science 287(5459), 1801 (Mar. 2000),\ndoi:10.1126/science.287.5459.1801.\n[5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling,\nIntegration and Applications (Wiley-VCH, Weinheim, 2008).\n[6] F. Villalpando-P ´aez, A. H. Romero, E. Mu ˜noz-Sandoval,\nL. M. Mart ´ınez, H. Terrones, and M. Terrones, “Fabrica-\ntion of vapor and gas sensors using films of aligned CN x\nnanotubes”, Chem. Phys. Lett. 386(1-3), 137 (Mar. 2004),\ndoi:10.1016/j.cplett.2004.01.052.\n[7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R.\nda Silva, “Designing real nanotube-based gas sen-\nsors”, Phys. Rev. Lett. 100(17), 176803 (May 2008),\ndoi:10.1103/PhysRevLett.100.176803.\n[8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, “Tailoring\ngas sensing properties of carbon nanotubes”, J. Appl. Phys.\n104(2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n[9] C. Morgan, Z. Alemipour, and M. Baxendale, “Variable\nrange hopping in oxygen-exposed single-wall carbon nanotube\nnetworks”, Phys. Stat. Solidi A 205(6), 1394 (May 2008),\ndoi:10.1002/pssa.200778113.\n[10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, “In-\nfluence of O 2 and N 2 on the conductivity of carbon nan-\notube networks”, Phys. Rev. B 79(19), 195431 (May 2009),\ndoi:10.1103/PhysRevB.79.195431.\n[11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi,\nL. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, “Role of\ndefects on the gas sensing properties of carbon nanotubes thin\nfilms: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "the sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the\nmost promising candidate for CO detection. For this system\nthe change in resistance per active site is generally significant\n(>1 Ω) for small changes in CO concentration in the relevant\nrange of around 0.1–10 ppm. Our approach is quite general\nand is directly applicable to other nanostructures than CNTs,\nother functionalizations than metal doping, and other back-\ngrounds than atmospheric air.\nAll total energy calculations and structure optimizations\nhave been performed with the real-space density functional\ntheory (DFT) code GPAW [22] which is based on the projector\naugmented wave method. We use a grid spacing of 0.2 ˚A for\nrepresenting the density and wave functions and the PBE ex-\nchange correlation functional [23]. Transport calculations for\nthe optimized structures have been performed using the non-\nequilibrium Green’s function method [24] with an electronic\nHamiltonian obtained from the SIESTA code [25] in a dou-\nble zeta polarized (DZP) basis set. Spin polarization has been\ntaken into account in all calculations.\nMetallic doping of a (6,6) CNT has been modeled in a su-\npercell containing six repeated minimal unit cells along the\nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size\nof supercell a Γ-point sampling of the Brillouin zone was\nfound to be sufficient. The formation energy for creating a\nvacancy (VC) occupied by a transition metal atom (M) was\ncalculated using the relation\nEform[M@VC] = E[M@VC] + nE[C] −E[M@NT] (1)\nwhere E[M@VC] is the total energy of a transition metal\natom occupying a vacancy in the nanotube, n is the number\nof carbon atoms removed to form the vacancy,E[C] is the en-\nergy per carbon atom in a pristine nanotube, and E[M@NT]\narXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "films: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for\nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct.\n2009), doi:10.1103/PhysRevB.80.155447.\n[13] J. M. Garc ´ıa-Lastra, K. S. Thygesen, M. Strange, and\n´Angel Rubio, “Conductance of sidewall-functionalized\ncarbon nanotubes: Universal dependence on adsorption\nsites”, Phys. Rev. Lett. 101(23), 236806 (Dec. 2008),\ndoi:10.1103/PhysRevLett.101.236806.\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “ Ab\ninitio study of an iron atom interacting with single-wall car-\nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003),\ndoi:10.1103/PhysRevB.67.205414.\n[15] Y . Yagi, T. M. Briere, M. H. F. Sluiter, V . Kumar, A. A. Farajian,\nand Y . Kawazoe, “Stable geometries and magnetic properties of\nsingle-walled carbon nanotubes doped with 3d transition met-\nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb\n2004), doi:10.1103/PhysRevB.69.075414.\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y . Kim, S. I. Woo, and\nJ. K. Kang, “Interaction of a transition metal atom with intrinsic\ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B\n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles\nstudy of metal adatom adsorption on graphene”, Phys. Rev. B\n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n[18] C. S. Yeung, L. V . Liu, and Y . A. Wang, “Adsorption\nof small gas molecules onto Pt-doped single-walled carbon\nnanotubes”, J. Phys. Chem. C 112(19), 7401 (Apr. 2008),\ndoi:10.1021/jp0753981.\n[19] T. V o, Y .-D. Wu, R. Car, and M. Robert, “Structures, in-\nteractions, and ferromagnetism of Fe-carbon nanotube sys-\ntems”, J. Phys. Chem. C 112(22), 400 (May 2008),\ndoi:10.1021/jp0761968.\n[20] J. A. F ¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “ Ab\ninitio study of spin-dependent transport in carbon nanotubes\nwith iron and vanadium adatoms”, Phys. Rev. B78(19), 195405\n(Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n[21] A. V . Krasheninnikov, P. O. Lehtinen, A. S. Foster,\nP. Pyykk ¨o, and R. M. Nieminen, “Embedding transition-\nmetal atoms in graphene: Structure, bonding, and mag-\nnetism”, Phys. Rev. Lett. 102(12), 126807 (Mar. 2009),\ndoi:10.1103/PhysRevLett.102.126807.\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen,\n“Real-space grid implementation of the projector augmented\nwave method”, Phys. Rev. B 71(3), 035109 (Jan. 2005),\ndoi:10.1103/PhysRevB.71.035109.\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi-\nent approximation made simple”, Phys. Rev. Lett.77(18), 3865\n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\nJ. M. Garc´ıa-Lastra1,2,∗D. J. Mowbray1,2, K. S. Thygesen 2, A. Rubio 1,3, and K. W. Jacobsen 2\n1Nano-Bio Spectroscopy group and ETSF Scientific Development Centre,\nDpto. F ´ısica de Materiales, Universidad del Pa ´ıs Vasco,\nCentro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti ´an, Spain\n2Center for Atomic-scale Materials Design, Department of Physics,\nTechnical University of Denmark, DK-2800 Kgs. Lyngby, Denmark\n3Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\nWe use computational screening to systematically investigate the use of transition metal doped carbon nan-\notubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components\nof air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal\natom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promis-\ning dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites\nin thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function\nof the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to\nNi-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\nPACS numbers: 73.63.–b, 68.43.–h, 73.50.Lw\nThe ability to detect small concentrations of specific chem-\nical species is fundamental for a variety of industrial and sci-\nentific processes as well as for medical applications and en-\nvironmental monitoring [1]. In general, nanostructured mate-\nrials should be well suited for sensor applications because of\ntheir large surface to volume ratio which makes them sensi-\ntive to molecular adsorption. Specifically, carbon nanotubes\n(CNT) [2] have been shown to work remarkably well as de-\ntectors of small gas molecules. This has been demonstrated\nboth for individual CNTs [3–8] as well as for CNT networks\n[9, 10].\nPristine CNTs are known to be chemically inert – a prop-\nerty closely related to their high stability. As a consequence,\nonly radicals bind strong enough to the CNT to notably affect\nits electrical properties [2, 5, 11–13]. To make CNTs attrac-\ntive for sensor applications thus requires some kind of func-\ntionalization, e.g. through doping or decoration of the CNT\nsidewall [13–21]. Ideally, this type of functionalization could\nbe used to control not only the reactivity of the CNT but also\nthe selectivity towards specific chemical species.\nIn this work we consider the possibility of using CNTs\ndoped by 3d transition metal atoms for chemical gas sens-\ning. We use computational screening to systematically iden-\ntify the most promising dopant candidates for detection of\nthree different target molecules (CO, NH 3, H2S) under typi-\ncal atmospheric conditions. The screening procedure is based\non the calculation of two microscopic descriptors: the bind-\ning energy and scattering resistance of the molecules when\nadsorbed on a doped CNT. These two quantities give a good\nindication of the gas coverage and impact on the resistance.\nFor the most promising candidates we then employ a simple\nthermodynamic model of the CNT sensor. In this model, the\nbinding energies are used to obtain the fractional coverage of\nthe metallic sites as a function of the target molecule concen-\ntration under ambient conditions. Under the assumption of\ntransport in the diffusive rather than localization regime, the\nchange in CNT resistivity may then be obtained from the cal-\nculated coverages and single impurity conductances.\nWe find that oxidation of the active metal site passivates\nthe sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "tance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-\npying the three types of vacancies. The background reference\nconcentration of CO is taken to be C0 = 0 .1 ppm. For the\nmonovacancy there is very little change in resistivity. This is\nbecause most active sites are blocked by O 2 at relevant CO\nconcentrations, as shown in the upper panel of Fig. 3. For Ni\nin the divacancies there is, however, a change in resistance on\nthe order of 1Ω per site. For concentrations above ∼1 ppm,\nthe CO coverage of Ni in the divacancy II increases dramati-\ncally and this leads to a significant increase in resistance.\nWe now return to the discussion of the validity of Eq. (7).\nAs mentioned, the series coupling of individual scatterers\nshould be valid when lφ < d. However, even for lφ > d\nand assuming that the Anderson localization length, lloc in\nthe system exceeds lφ, Eq. (7) remains valid if one replaces\nthe actual resistance R by the sample averaged resistance ⟨R⟩\n[29]. At room temperature under ambient conditions, interac-\ntions with external degrees of freedom such as internal CNT\nphonons and vibrational modes of the adsorbed molecules\nwould rapidly randomize the phase of the electrons. There-\nfore Eq. (7) should certainly be valid in the limit of low dop-\ning concentrations. On the other hand, the total number of\ndopants, N, should be large enough for the statistical treat-\nment of the coverage to hold. Finally, we stress that Eq. (7)\nrepresents a conservative estimate of the change in resistance.\nIn fact, in the regime where lφ > lloc, i.e. in the Anderson\nlocalization regime, the resistance would be highly sensitive\nto changes in the fractional coverage of active sites. Calcula-\ntion of the actual resistance of the CNT in this regime would,\nhowever, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "3\n10\n-3\n10\n-2\n10\n-1\n10\n0\n10\n-3\n10\n-2\n10\n-1\n10\n0\nFractional Coverage Θ of Ni Occupied Vacancies\n0.1 1 10 100\nCO Concentration [ppm]\n10\n-4\n10\n-3\n10\n-2\n10\n-1\n10\n0\nO 2\nCO\nCOClean\nO 2\nO 2\nClean\n(a) Monovacancy\n(b) Divacancy I\n(c) Divacancy II\n10\n2\n10\n3\n0.1 1 10 100\nCO Concentration [ppm]\n-10\n1\n0\n10\n1\nMonovacancy\nDivacancy I\nDivacancy II\nChange in Resistance ∆R [Ω / Ni Occupied Vacancy]\n(d)\nFIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a)\nmonovacancy, (b) divacancy I, (c) divacancy II and (d) change in\nresistance ∆R per dopant site as a function of CO concentration in\na background of air at room temperature and 1 bar of pressure. The\nreference concentration of CO is taken to be C0 =0.1 ppm. Note the\nchange from linear to log scale on the y-axis at ∆R =10 Ω.\nFor a given background composition we may thus estimate\nthe fractional coverages for each available adsorbate for a\ngiven type of doping. As an example, Fig. 3(a)-(c) shows the\nfractional coverage of a Ni atom occupying a monovacancy,\ndivacancy I, and divacancy II, versus CO concentration in a\nbackground of air at room temperature and 1 bar of pressure.\nDue to the relatively small binding energy of N 2 and H2O as\ncompared to O 2 and CO, all Ni sites will be either empty or\noccupied by O 2 or CO. In particular, Ni in a monovacancy\n(top panel of Fig. 3) will be completely oxidized for all rel-\nevant CO concentrations. For the Ni occupied divacancy II\nstructures we find the coverage of CO changes significantly\naround toxic concentrations (∼10 ppm).\nTo estimate the effect of adsorbates on the electrical con-\nductance of doped CNTs, we first consider the change in con-\nductance when a single molecule is adsorbed on a metal site of\nan otherwise pristine CNT. In Fig. 2(b) we show the calculated\nchange in conductance relative to the metal site with no ad-\nsorbate. In contrast to the binding energies, there are no clear\ntrends in the conductances. The sensitivity of the conductance\nis perhaps most clearly demonstrated by the absence of cor-\nrelation between different types of vacancies, i.e. between the\nthree panels in Fig. 2(b). Close to the Fermi level, the conduc-\ntance of a perfect armchair CNT equals 2 G0. The presence\nof the metal dopant leads to several dips in the transmission\nfunction known as Fano antiresonances [20]. The position\nand shape of these dips depend on the d-levels of the transi-\ntion metal atom, the character of its bonding to the CNT, and\nis further affected by the presence of the adsorbate molecule.\nThe coupling of all these factors is very complex and makes\nit difficult to estimate or rationalize the value of the conduc-\ntance. For the spin polarized cases, we use the spin-averaged\nconductances, i.e. G = (G↑+ G↓)/2.\nNext, we estimate the resistance of a CNT containing sev-\neral impurities (a specific metal dopant with different molecu-\nlar adsorbates). Under the assumption that the electron phase-\ncoherence length, lφ, is smaller than the average distance be-\ntween the dopants, d, we may neglect quantum interference\nand obtain the total resistance by adding the scattering resis-\ntances due to each impurity separately. The scattering resis-\ntance due to a single impurity is given by\nRs(X) = 1/G(X) −1/(2G0), (6)\nwhere G(X) is the Landauer conductance of the pristine CNT\nwith a single metal dopant occupied by molecule X and\n1/(2G0) is the contact resistance of a (6,6) CNT.\nWe may now obtain the total resistance per dopant site rel-\native to the reference background signal as a function of the\ntarget molecule concentration\n∆R\nN ≈\n∑\nX\nRs(X)(Θ[X, C] −Θ[X, C0]), (7)\nwhere N is the number of dopants, Θ[X, C] is the fractional\ncoverage of species X at concentration C of the target and C0\nis the reference concentration. Notice that the contact resis-\ntance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding\nexcess thiol one can also vary the properties of the solvent [40].\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin-\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo-\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin-\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold\ncores. For short chains (C 5 and C8) no formation of branched structures is observed. At similar\nconcentrations, well-developed branched structures are formed for longer chains (C 10 and C12).\nFor even longer chains (C 14), however, one again finds less branching. It also depends on the\namount of excess thiol in the solvent (for details see Ref. [40]).\nWhen following the evolution of the branched patterns in situ (see the complementary video\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate.\nThe macroscopic front can be transversely unstable resulting in large-scale ( > 100µm) strongly\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc-\ntures cover all the available substrate. However, when at a later stage the macroscopic front be-\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "5\n[24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Ja-\ncobsen, “Benchmark density functional theory calculations for\nnanoscale conductance”, J. Chem. Phys.128(11), 114714 (Mar.\n2008), doi:10.1063/1.2839275.\n[25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Or-\ndej´on, and D. S´anchez-Portal, “The SIESTA method forab ini-\ntio order-n materials simulation”, J. Phys.: Condens. Matter\n14(11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n[26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge\nUniversity Press, London, 1961).\n[27] P. Atkins and J. de Paula, Physical Chemistry, 8th ed. (Oxford\nUniversity Press, London, 2006).\n[28] D. Lide, Handbook of Chemistry and Physics, 87th ed. (CRC-\nPress, 2006–2007).\n[29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, “Scal-\ning theory put into practice: First-principles modeling of trans-\nport in doped silicon wires”, Phys. Rev. Lett. 99(7), 076803\n(Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n[30] M. Ushiro, K. Uno, T. Fujikawa, Y . Sato, K. Tohji, F. Watari,\nW.-J. Chun, Y . Koike, and K. Asakura, “X-ray absorption fine\nstructure (XAFS) analyses of Ni species trapped in graphene\nsheet of carbon nanofibers”, Phys. Rev. B73(14), 144103 (Apr.\n2006), doi:10.1103/PhysRevB.73.144103.\n[31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel,\nF. J. Garcia-Vidal, A. Rubio, and F. Flores, “Tuning the con-\nductance of single-walled carbon nanotubes by ion irradiation\nin the Anderson localization regime”, Nature Materials 4, 534\n(Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "a\nd\nb\nc\nFIG. 2: Typical KMC results for the final dried-in nanoparticle structures resulting from the evaporative\ndewetting processes of nanoparticle solutions (nanofluids) in the case of (a) a spinodal-like process at µ=\n−2.55, (b) nucleation and growth of holes at µ = −2.3, (c) unstable fronts at µ = −2.3 and low mobility\nM = 5, and (d) unstable fronts at µ= −2.3 and medium mobility M = 10. The starting configuration in\n(a) and (b) is a homogeneous liquid film with uniformly distributed particles whereas in (c) and (d) a hole\nat the center is nucleated ‘by hand’. The remaining parameters are (a,b) M = 50, ϵnl = 2.0, ϵnn = 1.5,\nρav\nn = 0.2, kT = 0.3, MC steps= 500, domain size 1200 ×1200; (c,d) εnn = 2.0, ϵnl = 1.5, ρav\nn = 0.2,\nkT = 0.2, MC steps = 3000, domain size 1200 ×1200. Lattice sites occupied by particles are coloured\nblack, and the empty sites are coloured white.\n11", - "page_start": 10, - "page_end": 10, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How many employees did HON Industries count in 2003 ?", - "target_page": 15, - "target_passage": "Members (employees) at year-end : 8,926", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "42 43\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nNature of Operations\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a \nprovider of office furniture and hearth products. Both industries are \nreportable segments; however, the Company’s office furniture business \nis its principal line of business. Refer to the Operating Segment \nInformation note for further information. Office furniture products are \nsold through a national system of dealers, wholesalers, mass merchan-\ndisers, warehouse clubs, retail superstores, end-user customers, and to \nfederal and state governments. Dealer, wholesaler, and retail super -\nstores are the major channels based on sales. Hearth products include \nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire -\nplace inserts, stoves, and gas logs. These products are sold through a \nnational system of dealers, wholesalers, large regional contractors, and \nCompany-owned retail outlets. The Company’s products are marketed \npredominantly in the United States and Canada. The Company exports \nselect products to a limited number of markets outside North America, \nprincipally Latin America and the Caribbean, through its export subsid-\niary; however, based on sales, these activities are not significant.\nSummary of Significant Accounting Policies\nPRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\nThe consolidated financial statements include the accounts and trans-\nactions of the Company and its subsidiaries. Intercompany accounts \nand transactions have been eliminated in consolidation.\nThe Company follows a 52/53-week fiscal year which ends \non the Saturday nearest December 31. Fiscal year 2003 ended on \nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \non December 29, 2001. The financial statements for fiscal year 2003 \nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n52-week basis.\nC A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S\nCash and cash equivalents generally consist of cash, money market \naccounts, and debt securities. These securities have original maturity \ndates not exceeding three months from date of purchase. The Company \nhas short-term investments with maturities of less than one year \nand also has investments with maturities greater than one year that \nare included in Other Assets on the consolidated balance sheet. \nManagement classifies investments in marketable securities at the time \nof purchase and reevaluates such classification at each balance sheet \ndate. Equity securities are classified as available-for-sale and are stated \nat current market value with unrealized gains and losses included as a \nseparate component of equity, net of any related tax effect. Debt securi-\nties are classified as held-to-maturity and are stated at amortized cost. \nThe specific identification method is used to determine realized gains \nand losses on the trade date. Short-term investments include municipal \nbonds, money market preferred stock, and U.S. treasury notes. Long-\nterm investments include U.S. government securities, municipal bonds, \ncertificates of deposit, and asset- and mortgage-backed securities.\nAt January 3, 2004, and December 28, 2002, cash, cash \nequivalents and investments consisted of the following (cost approxi -\nmates market value):\n Cash and Short- Long- \n cash term term\n(In thousands) equivalents investments investments\nY E A R - E N D 2 0 0 3\nHeld-to-maturity securities \nMunicipal bonds $ 31,000 $ – $ 2,396\nU.S. government securities – – –\nCertificates of deposit – – 400\nAvailable-for-sale securities \nU.S. treasury notes – 4,259 –\nMoney market preferred stock – – –\nAsset- and mortgage-backed securities – 60,949 12,835\nCash and money market accounts 107,982 – –\n Total $ 138,982 $ 65,208 $ 15,631 \nY E A R - E N D 2 0 0 2\nHeld-to-maturity securities \nMunicipal bonds $ 82,300 $ 1,900 $ 5,396\nU.S. government securities – – 11,995", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "13\nH O N I N D U S T R I E S 2 0 0 3\nAs we celebrate our 60th year, HON INDUSTRIES has seen \nmuch change. The industry has changed. The world has \nchanged. Our business has changed. What has not changed \nare the culture and values on which we were founded: integ -\nrity, fairness, and respect — in the treatment of others, \ncontinuous improvement, and responsiveness to those who \nbuy our products and services. In our unique and powerful \nmember-owner culture, throughout our history, every member \nhas had an opportunity to participate in making the business \nbetter. We did so again in 2003.\n We outperformed our peers. We grew our sales and \nprofits. We gained market share by providing strong brands, \ninnovative products and services, and greater value to our end-\nusers. We continued to increase our gross margins, a direct \nresult of our ongoing commitment to lean initiatives. We used \nour strong, positive cash flow to invest in our business for the \nlong term and returned profits to shareholders. We accom -\nplished all of this in a very challenging economy and market.\n Although we are proud of what we achieved, our phi-\nlosophy of constructive discontent drives us to continue to \nchallenge ourselves to do better. We believe to succeed in a \nbusiness environment of ongoing change and continuous trans-\nformation we also must continue to change. Today, we are \nleaner, more focused, and have more clearly defined brands \nthan ever before. Our challenge is to grow, aggressively and \nprofitably, through market-driven solutions while maintain-\ning focus on what we do best — operational excellence. Our \ntransformation continues:\nB U I L D I N G B R A N D M A R K E T P O W E R \nWe are investing significantly in our brands and increasing our \nunderstanding of our diverse range of end-users and the solu -\ntions they want. We are building market power through several \ninitiatives: focused selling models; clear brand identity; tar -\ngeted advertising; expanded channel presence; and aggressive \nproducts and solutions development. We are strengthening our \nability to be the “perfect match” with end-users in every seg -\nment we serve.\nA C H I E V I N G B E S T T O T A L C O S T A N D \nL E A N E N T E R P R I S E \n“Best total cost” means more than being a low-cost manufac -\nturer. It requires us to think about the entire value stream — \nwhere and how to manufacture, ship, install, outsource, \nassemble, service, procure, and sell — all to provide the best \ntotal value to our end-users. We implemented lean initiatives, \nL E F T : Stan A. Askren, P R E S I D E N T\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\nT O O U R S H A R E H O L D E R S :", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "61\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nDear Shareholders:\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years.\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \nHON INDUSTRIES governance practices were already in accord with the spirit of the rules.\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man-\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\nSincerely,\nThe HON INDUSTRIES Board of Directors\nA M E S S A G E F R O M T H E B O A R D O F D I R E C T O R S\nStan A. Askren\nGary M. Christensen\nCheryl A. Francis\nRobert L. Katz\nDennis J. Martin\nJack D. Michaels\nJoseph Scalzo\nAbbie J. Smith\nRichard H. Stanley\nBrian E. Stern\nRonald V. Waters, III", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "afkljdf aojvoaipddddS E E K I N G\nI N V E S T O R S\nF O R A P E R F E C T\nM A T C H\nJoin us in the dynamic, aggressive, profitable \ngrowth of HON INDUSTRIES. \nT H E B E S T I S Y E T T O C O M E !\nManagement’s Discussion and Analysis … 32\nConsolidated Financial Statements and Notes … 39\nEleven-Year Summary … 56\nReports of Independent Auditors … 58\nA Message from the Board of Directors … 61\nBoard of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "O U R V I S I O N\nWe, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to \nexceeding our customers’ expectations, and to making our company a great place to work. We will always treat each \nother, as well as customers, suppliers, shareholders, and our communities, with fairness and respect.\nOur success depends upon business simplification, rapid continuous improvement, and innovation in every-\nthing we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs:\nW E W I L L B E P R O F I T A B L E .\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an ade-\nquate profit can the other elements of this Vision be realized.\nW E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and \npursuing profitable growth opportunities. We will safeguard our shareholders’ equity by maintaining a strong balance \nsheet to allow flexibility in responding to a continuously changing market and business environment.\nW E W I L L P U R S U E P R O F I T A B L E G R O W T H .\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and finan-\ncial success for all stakeholders.\nW E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services \nexceed our customers’ expectations and enable our distributors and our company to make a fair profit.\nW E W I L L B E A G R E A T P L A C E T O W O R K .\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active \ninvolvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that \nattracts and retains the most capable people who work safely, are motivated, and are devoted to making our company \nand our members successful.\nW E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which \nwe live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and \nprovides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, \nand governmental affairs of our society.\n T O O U R S T A K E H O L D E R S :\nWhen our company is appreciated by its members, favored by its customers, supported by its suppliers, respected by \nthe public, and admired by its shareholders, this Vision is fulfilled.\nH O N I N D U S T R I E S I n c . ( H N I )\n414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071\nwww.honi.com", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "58 59\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nR E P O R T O F I N D E P E N D E N T A U D I T O R S\nTo the Board of Directors and Shareholders, HON INDUSTRIES Inc.:\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera-\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \nIntangible Assets, on December 30, 2001.\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo-\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n2001 financial statements taken as a whole.\nPricewaterhouseCoopers LLP\nChicago, Illinois\nFebruary 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n63\nD E S I G N : S E Q U E L S T U D I O , N E W Y O R K\nS C H E D U L E O F Q U A R T E R L Y \nR E S U L T S\nThe Company operates on a fiscal year ending \non the Saturday nearest December 31. Quar-\nterly results are typically announced within 25 \ndays after the end of each quarter, and audited \nresults are typically announced within 40 days \nafter year-end.\nF I S C A L 2 0 0 4 \nQ U A R T E R - E N D D A T E S\n1st Quarter: Saturday, April 3\n2nd Quarter: Saturday, July 3\n3rd Quarter: Saturday, October 2\n4th Quarter: Saturday, January 1\nA N N U A L M E E T I N G\nThe Company’s annual shareholders’ meeting \nwill be held at 10:30 a.m. on May 4, 2004, at \nthe Holiday Inn, Highways 61 & 38 North, \nMuscatine, Iowa. Shareholders and other \ninterested investors are encouraged to attend \nthe meeting.\nI N V E S T O R R E L A T I O N S\nSend inquiries to:\nInvestor Relations\nHON INDUSTRIES Inc.\n414 East Third Street\nMuscatine, IA 52761\nTelephone: 563.264.7400\nFax: 563.264.7655\nE-mail: investorrelations@honi.com\nC O R P O R A T E H E A D Q U A R T E R S\nHON INDUSTRIES Inc.\n414 East Third Street\nP.O. Box 1109\nMuscatine, IA 52761-0071\nTelephone: 563.264.7400\nFax: 563.264.7217\nWebsite: www.honi.com\nI N D E P E N D E N T P U B L I C \nA C C O U N T A N T S\nPricewaterhouseCoopers LLP\nOne North Wacker Drive\nChicago, IL 60606\nC O M M O N S T O C K\nHON INDUSTRIES common stock trades \non the New York Stock Exchange under the \nsymbol: HNI. Stock price quotations can be \nfound in major daily newspapers and The \nWall Street Journal .\nT R A N S F E R A G E N T\nShareholders may report a change of address \nor make inquiries by writing or calling:\nComputershare Investor Services, LLC\n2 North LaSalle Street\nChicago, IL 60602\nTelephone: 312.588.4991\nI N V E S T O R I N F O R M A T I O N\nStatements in this report that are not strictly historical, including statements as to \nplans, objectives, and future financial performance, are “forward-looking” state-\nments that are made pursuant to the safe harbor provisions of the Private Securities \nLitigation Reform Act of 1995. Forward-looking statements involve known and \nunknown risks, which may cause the Company’s actual results in the future to dif-\nfer materially from expected results. These risks include, among others: \n• competition within the office furniture and fireplace industries, including \ncompetition from imported products and competitive pricing; \n• increases in the cost of raw materials, including steel, which is the Company’s \nlargest raw material category;\n• increases in the cost of health care benefits provided by the Company;\n• reduced demand for the Company’s storage products caused by changes in \noffice technology; including the change from paper record storage to electronic \nrecord storage; \n• the effects of economic conditions, on demand for office furniture, customer \ninsolvencies and related bad debts and claims against the Company that it \nreceived preferential payments; \n• changes in demand and order patterns from the Company’s customers, par -\nticularly its top ten customers, which represented approximately 36% of net sales \nin 2003; \n• issues associated with acquisitions and integration of acquisitions; \n• the ability of the Company to realize cost savings and productivity improve -\nments from its cost containment and business simplification initiatives;\n• the ability of the Company to realize financial benefits from investments in new \nproducts; \n• the ability of the Company’s distributors and dealers to successfully market \nand sell the Company’s products; \n• the availability and cost of capital to finance planned growth; and\n• other risks, uncertainties, and factors described from time to time in the \nCompany’s filings with the Securities and Exchange Commission. \nWe caution the reader that the above list of factors may not be exhaustive. The", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n62\nB O A R D O F D I R E C T O R S\nStan A. Askren\nPresident, HON INDUSTRIES Inc.\nGary M. Christensen\nRetired President and\nChief Executive Officer, \nPella Corporation\nCheryl A. Francis\nAdvisor/Consultant\nFormer Executive Vice President and\nChief Financial Officer,\nRR Donnelley & Sons\nRobert L. Katz\nPresident,\nRobert L. Katz and Associates\nDennis J. Martin\nChairman, President and \nChief Executive Officer,\nGeneral Binding Corporation\nJack D. Michaels\nChairman and Chief Executive Officer,\nHON INDUSTRIES Inc.\nJoseph Scalzo\nVice President and President,\nPersonal Care Products,\nThe Gillette Company\nAbbie J. Smith\nChaired Professor,\nThe University of Chicago\nGraduate School of Business\nRichard H. Stanley\nVice Chairman, HON INDUSTRIES Inc.\nChairman, SC Companies, Inc.\nChairman, Stanley Consultants, Inc.\nBrian E. Stern\nPresident,\nXerox Supplies Technology Enterprises\nXerox Corporation\nRonald V. Waters, III\nChief Operating Officer,\nWm. Wrigley Jr. Company\nC O M M I T T E E S O F T H E B O A R D\nA U D I T\nCheryl A. Francis, Chairperson\nDennis J. Martin\nRonald V. Waters, III\nH U M A N R E S O U R C E S A N D \nC O M P E N S A T I O N\nGary M. Christensen, Chairperson\nRobert L. Katz\nAbbie J. Smith\nP U B L I C P O L I C Y A N D \nC O R P O R A T E G O V E R N A N C E\nRichard H. Stanley, Chairperson\nJoseph Scalzo\nBrian E. Stern\nH O N I N D U S T R I E S I N C . \nO F F I C E R S \nJack D. Michaels\nChairman and Chief Executive Officer\nStan A. Askren\nPresident\nPeter R. Atherton\nVice President and Chief Technology Officer\nJerald K. Dittmer\nVice President and Chief Financial Officer\nRobert J. Driessnack\nVice President, Controller\nMelinda C. Ellsworth\nVice President, Treasurer and \nInvestor Relations\nJeffrey D. Fick\nVice President, Member and \nCommunity Relations\nMalcolm C. Fields\nVice President and Chief Information Officer\nJames I. Johnson\nVice President, General Counsel and Secretary\nTimothy R. Summers\nVice President, Lean Enterprise\nS U B S I D I A R I E S\nDavid C. Burdakin\nExecutive Vice President, HON INDUSTRIES, Inc.\nPresident, The HON Company\nBrad D. Determan\nPresident, \nHearth and Home Technologies Inc.\nThomas D. Head\nVice President,\nGeneral Manager, Holga Inc.\nEric K. Jungbluth\nPresident, Allsteel Inc.\nDonald T. Mead\nPresident, The Gunlocke Company L.L.C.\nMarco V. Molinari\nPresident, International and Business \nDevelopment\nJean M. Reynolds\nPresident, Maxon Furniture Inc.\nThomas A. Tolone\nPresident, Paoli Inc.\nB O A R D O F D I R E C T O R S A N D O F F I C E R S", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "29\nH O N I N D U S T R I E S 2 0 0 3\nO F F I C E F U R N I T U R E A T - A - G L A N C E\nHolga Inc. provides filing and storage solu -\ntions to contract, commercial, and institutional \nmarkets. Signature products include high-den-\nsity shelving and mobile storage systems \ndesigned for efficient space utilization. Holga \nalso offer a broad range of traditional metal \nfiling and storage products.\nH I G H L I G H T S / A W A R D S :\n• Introduced 8000 Series Stackable Storage \nunits, which provide a wide array of customiz-\nable storage options within a standard plat -\nform. The Series complements our new 8000 \nSeries Pedestals, which offer a unique inter -\nlocking system and end tab filing capabilities.\nW W W . H O L G A . C O M\nHON International Inc. is responsible for HON \nINDUSTRIES’ sales and business develop-\nment outside the United States and Canada. \nOur members in local countries market the \nHON INDUSTRIES’ brands through a global \ndistribution network. With an extensive prod-\nuct selection, HON International is able to \nprovide dealers and customers with the widest \ncollection of “compelling value” office furni -\nture in the world. The international team is \ndedicated to providing customers with world-\nclass service, from initial inquiry to com -\nplete-and-on-time installation. Extensive \ninternational experience helps to ensure cus -\ntomers are provided with solutions for even \ntheir most challenging international needs \nand opportunities. \nH I G H L I G H T S / A W A R D S :\n• A lead exhibitor in the first-ever Office \nFurniture Expo in Mexico City.\n• Successfully completed projects for key \nmultinational accounts in Ireland, Barbados, \nJamaica, Egypt, and Hong Kong, among others. \n• Opened the first HON INDUSTRIES’ show-\nroom outside the United States in Monterrey, \nMexico.\nW W W . H O N I N T E R N A T I O N A L . C O M\nMaxon Furniture Inc. targets small to mid-\nsized businesses seeking “planned” offices fea-\nturing workstations and compatible storage \nand seating. Maxon’s customers appreciate \noffice furniture that efficiently organizes space \nand creates a positive working environment.\nH I G H L I G H T S / A W A R D S :\n• Gave the Empower ® product line a com -\nplete makeover; including a new trim design, \nsegmented panels, and redesigned storage \ncabinets. \nW W W . M A X O N F U R N I T U R E . C O M\nPaoli Inc. is a leading provider of wood case \ngoods, modular desking, conference pro-\nducts, and seating through its well-known \nbrands Paoli ® and Whitehall ®. Founded in \n1926, it is the newest member of the HON \nINDUSTRIES family, acquired in January \n2004. Outstanding product design at a great \nvalue makes Paoli a highly sought after solu -\ntion in the market for wood private offices. \nPaoli’s production capability and resources \nallow the company to respond quickly to \nchanging market needs. Paoli’s strong, inde -\npendent representative sales and dealer net -\nworks support its broad product offering in the \nmid-market and contract furniture segments. \nH I G H L I G H T S / A W A R D S :\n• Introduced the Reflect TM product line of \nmodular, traditional case goods in 2003.\n• Created CAPTM — a comprehensive family of \nlibrary products designed to effectively fur -\nnish today’s diverse learning environments \nand sports stadium suites.\nW W W . P A O L I . C O M", - "page_start": 28, - "page_end": 28, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "58 59\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nR E P O R T O F I N D E P E N D E N T A U D I T O R S\nPredecessor Auditor (Arthur Andersen LLP) Opinion\nThe following report is a copy of a report previously issued by Arthur Andersen LLP and has not been reissued by Arthur Andersen LLP. In 2002, \nthe corporation adopted the provisions of Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets (SFAS \nNo. 142). As discussed in the Goodwill and Intangible Assets note, the Company has presented the transitional disclosures for 2001 required by \nSFAS No. 142. The Arthur Andersen LLP report does not extend to these changes to the 2001 consolidated financial statements. The adjustments \nto the 2001 consolidated financial statements were reported on by PricewaterhouseCoopers LLP as stated in their report appearing herein. \nTo the Board of Directors and Shareholders of HON INDUSTRIES Inc. \nWe have audited the accompanying consolidated balance sheets of HON INDUSTRIES Inc. and Subsidiaries as of December 29, 2001, \nDecember 30, 2000*, and January 1, 2000*, and the related consolidated statements of income, shareholders equity, and cash flows for each of \nthe fiscal years then ended. These financial statements are the responsibility of the Company’s management. Our responsibility is to express an \nopinion on these financial statements based on our audits. \nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that \nwe plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit \nincludes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing \nthe accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. \nWe believe that our audits provide a reasonable basis for our opinion. \nIn our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of \nHON INDUSTRIES Inc. and Subsidiaries as of December 29, 2001, December 30, 2000* , and January 1, 2000* , and the results of its operations \nand its cash flows for each of the three fiscal years then ended in conformity with accounting principles generally accepted in the United States. \nArthur Andersen LLP \nChicago, Illinois\nFebruary 1, 2002 \n*The December 30, 2000, and January 1, 2000, consolidated financial statements are not required to be presented in the 2003 annual report.", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "Did automating the writing of EM-to-IP handoffs notes using LLM lead to life-threatening outputs ?", - "target_page": 8, - "target_passage": "none of the incorrect output text elements reached life-threatening risk", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "Original Investigation| Emergency Medicine\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine\nHandoff Notes\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA;\nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\nAbstract\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model\n(LLM) has the potential to reduce physician documentation burden without compromising the safety\nof EM-to-inpatient (IP) handoffs.\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and\nsafety compared with physician-written notes.\nDESIGN, SETTING, AND PARTICIPANTSThis cohort study used EM patient medical records with\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE])\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written\nnotes were compared. Data were analyzed from October 2023 to March 2024.\nEXPOSURE LLM-generated EM handoff notes.\nMAIN OUTCOMES AND MEASURESLLM-generated handoff notes were evaluated for (1) lexical\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness,\nusefulness, and implications for patient safety using a novel framework.\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456),\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD)\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written).\nNone of the LLM-generated summaries were classified as a critical patient safety risk.\nCONCLUSIONS AND RELEVANCEIn this cohort study of 1600 EM patient medical records,\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness\n(continued)\nKey Points\nQuestion Can a large language model\n(LLM) generate emergency medicine\n(EM)-to-inpatient (IP) handoff notes\nthat are useful and safe for EM care?\nFindings In this cohort study of 1600\nEM patient medical records using a\nnovel evaluation framework, the\nLLM-generated EM-to-IP handoff notes\nhad a mean usefulness of 4.04 out of 5\n(compared with 4.36 for\nphysician-written) and a mean patient\nsafety of 4.06 out of 5 (compared with\n4.50 for physician-written) with no\ncritical patient safety risks.\nMeaning These findings suggest the\nvalue of a manual, patient safety–\nfocused clinical evaluation of LLM\nmodels and the potential of\nLLM-generated handoff notes to create\na new standard of care in EM.\n+ Invited Commentary\n+ Supplemental content\nAuthor affiliations and article information are\nlisted at the end of this article.\nOpen Access.This is an open access article distributed under the terms of the CC-BY License.\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3\nboard certified emergency medicine physician leaders with experience in formal quality and patient\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race\nbias; therefore, the model was trained to generate text without race-based assumptions. Although\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown\nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of\nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter\noptimization of the LLMs.\nModels\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred\nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter\nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and\ntechnology specifications is provided in detail in eAppendix 1 inSupplement 1.\nData Processing\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both\nshorten the input size while maintaining content salience. First, we adopted a number of heuristic\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2)\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP\nhandoff notes.\nModel Training and Inference\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional\ninformation about the model training and inference process is provided in eAppendix 1 in\nSupplement 1.\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of\nheuristic rules, our summarization system produced ED handoff notes with various sections for\ndownstream clinical tasks. The inference process is shown in theFigure.\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda\nType of data Description\nDescriptive Date of birth, medical record number, encounter number, and total time of stay in ED\nEncounter ED arrival date and time, IP admit date and time\nLaboratory tests\n(all results available)\nExamples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium,\npotassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate,\nurinalysis, ketone, blood, nitrite, leucocytes, and red blood cells\nLaboratory tests\n(only if abnormal)\nExamples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level,\nsalicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate\nNotes (in order of\nhierarchy)\nEM clinician notes, consultation notes, EM progress notes, and EM procedure notes\nVitals Height, weight, temperature, heart rate, blood pressure, and peripheral capillary\noxygen saturation\nOrders Medications, consults, and radiology results\nAbbreviations: EM, emergency medicine; IP, inpatient.\na Automated EM handoff notes are generated from\nthe curation of the data through both rule-based and\nlarge language model–summarization approaches.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "Abstract (continued)\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in-\nloop implementation design for this model and demonstrates an effective strategy to measure\npreimplementation patient safety of LLM models.\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\nIntroduction\nHandoffs, where patient information is exchanged between health professionals during a transfer of\nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint\nCommission, the Accreditation Council for Graduate Medical Education, and the Association of\nAmerican Medical Colleges have all recommended the development of high-quality and standardized\nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing\nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality\nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by\nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The\nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff\nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with\nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most\ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated\nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal\nmedicine leadership of the study site collaboratively developed and launched a mandatory,\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real-\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of\nthe handoff notes.\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks\nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical\nnotes using natural language processing (NLP) have been overall shown to improve note completion\nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements\nin health care with the discovery of the transformer model architecture, the building block of large\nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology\nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels\nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large\nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is\ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with\nthe original source content.31 Much work has been done in health care to reduce hallucinations\nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine-\ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability\nby citing inferred content back to the reference source notes.34 For short-context length notes, using\nfew-shot prompt engineering approaches with large language models like GPT-4 can produce\nsummaries that outperform standard physician documentation in completeness and error\nfrequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However,while the manual clinical evaluation demonstrated the majority of\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on\naverage, inferior to the clinician-written notes.\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst-\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance\nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk.\nHowever,incompleteness and faulty logic identified in the automated summaries were not always\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to\ncreate significant patient safety risk compared with the physician-written summaries. These critical\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see\neAppendix 1 inSupplement 1). This physician-in-the-loop process has also been identified as critical\nin other recent work implementing LLMs into clinical workflows.29,53\nWhile the automated methods of SCALE and MPNet-based sentence transformers\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation\nprovided the nuanced context of the true factuality of our system on a word by word level. When\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source\nnotes, while physician-written summaries are often composed with additional knowledge that\ncannot be found from the source notes.\nThe divergence of the automated and clinical evaluation results of an LLM intended for\nintegration into a critical clinical workflow is an important finding. First, this observed finding\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to\ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to\nmeasure conventional model output quality categories (such as incorrectness domains and other\nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate\nanticipated patient safety implications for each individual category deficiency.\nLimitations\nThere were several limitations to the study that were primarily driven from constraints of\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location,\nthe data were required to remain on premise at all times and the infrastructure that was provided\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable\ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study\nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at\norganizations that are less open to integrating third-party LLMs.\nWhile the dataset was smaller, we made significant efforts to reduce model variance and", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "REROUTING LLM R OUTERS\nA PREPRINT\nAvital Shafran\nThe Hebrew University\nof Jerusalem\nRoei Schuster\nWild Moose\nThomas Ristenpart\nCornell Tech\nVitaly Shmatikov\nCornell Tech\nABSTRACT\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to\na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what\nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we\ninvestigate routers’ adversarial robustness.\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in-\nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query-\nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM\nrouters to send the query to a strong LLM.\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings\nagainst a variety of open-source and commercial routers, and that confounding queries do not affect\nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining\nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating\nalternative defenses.\n1 Introduction\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and\nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller,\nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a\npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want\nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each\nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of\nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10,\no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a\ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality\nanswer.\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul-\ntiple LLMs at different price-performance points. Recently proposed LLM routingsystems [5, 12, 27, 47, 53] orchestrate\ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of\nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one.\nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1\nif Ms is required. The system then routes q accordingly.\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple\nLLMs to process inputs, as further described in Section 2.\nOur contributions. First, we introduce LLM control plane integrityas a novel problem in AI safety. Recently proposed\nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially\nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial\nrobustness of the underlying LLMs.\narXiv:2501.01818v1 [cs.CR] 3 Jan 2025", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to\nbuild larger models at a fixed compute budget—not all parameters are used at the same time.\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus\ncontrol plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore\nthis connection further.\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users’ prompts. We expect\nthat side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing\nof responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n10 Conclusion\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an\nexample of a broader, emerging class of systems we call “LLM control planes” that aim to achieve various quality,\nefficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could\nhave on patient safety.38-41\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the\ncorrectness of model generations and customized the summaries in a structured format designed\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies.\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient\nsafety-focused clinical evaluation framework and automated benchmark-driven methods. We used\nthe physician-written EM-to-IP handoff notes as the active control and used the scores from both\nevaluation frameworks for the margin of inferiority of the intervention.\nMethods\nData Collection\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600\nindividual EM patient encounters leading to acute hospital admission were randomly selected from\nvisits occurring between April and September of 2023. We limited our analysis to EM patient\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time.\nEncounters before this date used an earlier version of the EM-handoff note that would have provided\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants),\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of\nObservational Studies in Epidemiology (STROBE) reporting guidelines.\nEM-to-IP Handoff Note Template\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff\nnote structure used at the study site. The generated EM handoff note consists of components\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult\norders, and radiology impressions) and components generated by the trained abstractive\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans,\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the\ntotal time of patient’s stay in the ED.\nData Curation for Automated ED Note Generation\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule-\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail\nin eAppendix 1 inSupplement 1. The rule-based framework was designed by the 3 board certified EM\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an\nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not\nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query-\nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the\nquery to the adversary-chosen LLM.\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that\nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against\nthese attacks and indicated directions for future research.\nAcknowledgments\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda-\ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however\nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council.\nNeither the European Union nor the granting authority can be held responsible for them.\n18", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality\nof responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user work-\nloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The\nrouter can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user’s\nqueries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For\nexample, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent\nfraction of queries being routed to the strong model.\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there\nis sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be\ncircumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit,\neach query.\n9 Related Work\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25,\n43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of\nmulti-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our\nresults compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity\nattacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates\nthe prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adver-\nsarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely\nexplored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as “do\nnot output expletives” [23, 42, 54, 66, 72, 73].\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for\nexample, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection\nattacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into third-\nparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its\nusers. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate\ntheir integrity by exploiting the weaknesses of the underlying LLM [19, 55].\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the\ncontrol plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks\nthat, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming control-\nplane-confounding queries.\nAttacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a\ngiven query with a lower computational cost by including an inner routing mechanism that in every layer routes different\ntokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM,\nrather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "How did automating the writing of EM-to-IP handoffs notes using LLM affect the usefulness of these notes ?", - "target_page": 1, - "target_passage": "LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "Original Investigation| Emergency Medicine\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine\nHandoff Notes\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA;\nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\nAbstract\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model\n(LLM) has the potential to reduce physician documentation burden without compromising the safety\nof EM-to-inpatient (IP) handoffs.\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and\nsafety compared with physician-written notes.\nDESIGN, SETTING, AND PARTICIPANTSThis cohort study used EM patient medical records with\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE])\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written\nnotes were compared. Data were analyzed from October 2023 to March 2024.\nEXPOSURE LLM-generated EM handoff notes.\nMAIN OUTCOMES AND MEASURESLLM-generated handoff notes were evaluated for (1) lexical\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness,\nusefulness, and implications for patient safety using a novel framework.\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456),\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD)\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written).\nNone of the LLM-generated summaries were classified as a critical patient safety risk.\nCONCLUSIONS AND RELEVANCEIn this cohort study of 1600 EM patient medical records,\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness\n(continued)\nKey Points\nQuestion Can a large language model\n(LLM) generate emergency medicine\n(EM)-to-inpatient (IP) handoff notes\nthat are useful and safe for EM care?\nFindings In this cohort study of 1600\nEM patient medical records using a\nnovel evaluation framework, the\nLLM-generated EM-to-IP handoff notes\nhad a mean usefulness of 4.04 out of 5\n(compared with 4.36 for\nphysician-written) and a mean patient\nsafety of 4.06 out of 5 (compared with\n4.50 for physician-written) with no\ncritical patient safety risks.\nMeaning These findings suggest the\nvalue of a manual, patient safety–\nfocused clinical evaluation of LLM\nmodels and the potential of\nLLM-generated handoff notes to create\na new standard of care in EM.\n+ Invited Commentary\n+ Supplemental content\nAuthor affiliations and article information are\nlisted at the end of this article.\nOpen Access.This is an open access article distributed under the terms of the CC-BY License.\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to\nbuild larger models at a fixed compute budget—not all parameters are used at the same time.\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus\ncontrol plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore\nthis connection further.\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users’ prompts. We expect\nthat side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing\nof responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n10 Conclusion\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an\nexample of a broader, emerging class of systems we call “LLM control planes” that aim to achieve various quality,\nefficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3\nboard certified emergency medicine physician leaders with experience in formal quality and patient\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race\nbias; therefore, the model was trained to generate text without race-based assumptions. Although\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown\nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of\nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter\noptimization of the LLMs.\nModels\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred\nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter\nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and\ntechnology specifications is provided in detail in eAppendix 1 inSupplement 1.\nData Processing\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both\nshorten the input size while maintaining content salience. First, we adopted a number of heuristic\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2)\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP\nhandoff notes.\nModel Training and Inference\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional\ninformation about the model training and inference process is provided in eAppendix 1 in\nSupplement 1.\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of\nheuristic rules, our summarization system produced ED handoff notes with various sections for\ndownstream clinical tasks. The inference process is shown in theFigure.\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda\nType of data Description\nDescriptive Date of birth, medical record number, encounter number, and total time of stay in ED\nEncounter ED arrival date and time, IP admit date and time\nLaboratory tests\n(all results available)\nExamples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium,\npotassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate,\nurinalysis, ketone, blood, nitrite, leucocytes, and red blood cells\nLaboratory tests\n(only if abnormal)\nExamples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level,\nsalicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate\nNotes (in order of\nhierarchy)\nEM clinician notes, consultation notes, EM progress notes, and EM procedure notes\nVitals Height, weight, temperature, heart rate, blood pressure, and peripheral capillary\noxygen saturation\nOrders Medications, consults, and radiology results\nAbbreviations: EM, emergency medicine; IP, inpatient.\na Automated EM handoff notes are generated from\nthe curation of the data through both rule-based and\nlarge language model–summarization approaches.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "REROUTING LLM R OUTERS\nA PREPRINT\nAvital Shafran\nThe Hebrew University\nof Jerusalem\nRoei Schuster\nWild Moose\nThomas Ristenpart\nCornell Tech\nVitaly Shmatikov\nCornell Tech\nABSTRACT\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to\na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what\nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we\ninvestigate routers’ adversarial robustness.\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in-\nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query-\nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM\nrouters to send the query to a strong LLM.\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings\nagainst a variety of open-source and commercial routers, and that confounding queries do not affect\nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining\nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating\nalternative defenses.\n1 Introduction\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and\nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller,\nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a\npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want\nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each\nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of\nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10,\no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a\ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality\nanswer.\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul-\ntiple LLMs at different price-performance points. Recently proposed LLM routingsystems [5, 12, 27, 47, 53] orchestrate\ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of\nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one.\nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1\nif Ms is required. The system then routes q accordingly.\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple\nLLMs to process inputs, as further described in Section 2.\nOur contributions. First, we introduce LLM control plane integrityas a novel problem in AI safety. Recently proposed\nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially\nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial\nrobustness of the underlying LLMs.\narXiv:2501.01818v1 [cs.CR] 3 Jan 2025", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "superior performance. However,while the manual clinical evaluation demonstrated the majority of\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on\naverage, inferior to the clinician-written notes.\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst-\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance\nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk.\nHowever,incompleteness and faulty logic identified in the automated summaries were not always\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to\ncreate significant patient safety risk compared with the physician-written summaries. These critical\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see\neAppendix 1 inSupplement 1). This physician-in-the-loop process has also been identified as critical\nin other recent work implementing LLMs into clinical workflows.29,53\nWhile the automated methods of SCALE and MPNet-based sentence transformers\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation\nprovided the nuanced context of the true factuality of our system on a word by word level. When\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source\nnotes, while physician-written summaries are often composed with additional knowledge that\ncannot be found from the source notes.\nThe divergence of the automated and clinical evaluation results of an LLM intended for\nintegration into a critical clinical workflow is an important finding. First, this observed finding\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to\ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to\nmeasure conventional model output quality categories (such as incorrectness domains and other\nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate\nanticipated patient safety implications for each individual category deficiency.\nLimitations\nThere were several limitations to the study that were primarily driven from constraints of\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location,\nthe data were required to remain on premise at all times and the infrastructure that was provided\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable\ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study\nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at\norganizations that are less open to integrating third-party LLMs.\nWhile the dataset was smaller, we made significant efforts to reduce model variance and", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "Abstract (continued)\nand safety via a novel evaluation framework. This study suggests the importance of a physician-in-\nloop implementation design for this model and demonstrates an effective strategy to measure\npreimplementation patient safety of LLM models.\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\nIntroduction\nHandoffs, where patient information is exchanged between health professionals during a transfer of\nclinical responsibility, have been identified as a critical source of medical errors.1,2 The Joint\nCommission, the Accreditation Council for Graduate Medical Education, and the Association of\nAmerican Medical Colleges have all recommended the development of high-quality and standardized\nhandoff processes to address the substantial patient risk of this ubiquitous event.3,4 Implementing\nhandoff tools has previously demonstrated significant reductions in medical errors.5,6 High-quality\nhandoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by\nmedical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints.7-10 The\nEM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly\nadhered to in emergency departments (EDs), including in medical centers with formalized handoff\nsystems.11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with\nadverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high\nrisk, and an electronic health record (EHR)-based technology is commonly mentioned as the most\ndesired assistive tool in improving ED transitions of care.15-18 Limited work to date has demonstrated\nEM electronic handoff tools as feasible, efficient, and effective.19-21 In April 2023, EM and internal\nmedicine leadership of the study site collaboratively developed and launched a mandatory,\nEHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for real-\ntime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal\nevaluation of new EM-to-IP handoff notes through random medical record review and unstructured\nclinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of\nthe handoff notes.\nIn recent years there has been an accelerated interest in using LLMs to automate clinical tasks\nin an effort to unburden physicians and reduce burnout.22 Computer-generated text within clinical\nnotes using natural language processing (NLP) have been overall shown to improve note completion\nrates, physician satisfaction, and patient outcomes.23 Since 2018, NLP has made rapid advancements\nin health care with the discovery of the transformer model architecture, the building block of large\nlanguage models (LLMs). LLMs can automate workflows such as discharge summaries,24 radiology\nreports,25 patient messaging,26 after-visit summaries,27 and ambient dictation28 with various levels\nof perceived quality in each workflow.29 LLMs are particularly effective at summarizing large\nunstructured clinical datasets, such as ED patient medical records.30 A common concern of LLMs is\ntheir ability to hallucinate data, or LLMs generating output text that is not factually consistent with\nthe original source content.31 Much work has been done in health care to reduce hallucinations\nthrough building larger-parameter models trained on trillions of datasets, and then instruction fine-\ntuning the LLM on smaller, well-curated datasets.32,33 LLMs can also be designed with explainability\nby citing inferred content back to the reference source notes.34 For short-context length notes, using\nfew-shot prompt engineering approaches with large language models like GPT-4 can produce\nsummaries that outperform standard physician documentation in completeness and error\nfrequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "RSW RMF RCLS RLLM\nOrig. Conf. Orig. Conf. Orig. Conf. Orig. Conf.\nLLM pair 2\nMT-Bench 8.5 8 .3 ± 0.0 8.4 8 .3 ± 0.1 8.4 8 .4 ± 0.1 8.4 8 .3 ± 0.1\nMMLU 55 64 ± 1 63 64 ± 0 58 66 ± 1 62 66 ± 0\nGSM8K 46 64 ± 1 51 67 ± 1 49 63 ± 1 38 63 ± 2\nLLM pair 3\nMT-Bench 8.4 8 .3 ± 0.0 8.1 8 .3 ± 0.1 8.3 8 .4 ± 0.1 8.1 8 .2 ± 0.1\nMMLU 51 64 ± 1 57 63 ± 1 52 66 ± 1 59 66 ± 1\nGSM8K 40 64 ± 1 44 67 ± 1 45 63 ± 1 37 64 ± 1\nTable 4: Average benchmark-specific scores of responses to the original and confounded queries with Mistral-7B-Instruct-\nv0.3 (LLM pair 2) or Llama-2-7B-chat-hf (LLM pair 3) as the weak model, in the white-box setting. Results further\nemphasize that the rerouting attack improves quality of responses when there is a significant gap between the weak and\nstrong LLMs.\nSurrogate ˆRSW ˆRMF ˆRCLS ˆRLLM\nTarget RMF RCLS RLLM RSW RCLS RLLM RSW SFM RLLM RSW RMF RCLS\nMT-Bench 99±1 88 ±5 45 ±5 100±0 96 ±2 39 ±3 100±0 79 ±9 51 ±5 100±0 83 ±5 85 ±7\nMMLU 66±5 44 ±11 81 ±3 82±4 56 ±7 74 ±2 64±6 16 ±7 80 ±5 53±4 20 ±5 46 ±11\nGSM8K 99±1 72 ±11 63 ±4 92±2 88 ±3 62 ±4 76±6 60 ±9 65 ±8 60±8 70 ±7 73 ±10\nTable 5: Average upgrade rates for our attack in the black-box setting. This is the average percentage of queries rerouted\nfrom the weak to strong model under the target router due to a confounder gadget generated using the surrogate. The\naverage downgrade rate (i.e., strong-to-weak rerouting) is 1.2% across all routers. Upgrade rates are lower than in the\nwhite-box setting but still high, indicating that the attack transfers.\nabnormal about the query. Intuitively, this reflects the fact that while LLMs are built to be robust to noisy inputs, the\nrouter itself is not.\nIn summary, the attack is highly successful at rerouting queries from the weak to the strong model. Overall, quality\nimproves if there is a significant gap between the strong and weak LLMs used by the router. Either way, confounding has\nno negative impact on the quality of responses.\nBlack-box attack results. Next, we consider the black-box attack, where the attacker does not know the algorithm\nused by the target router. We assume that the attacker has access to another, surrogate router that it can use to generate\nconfounder gadgets. In effect, we evaluate transferability of the attack from a known, white-box router to unknown,\nblack-box routers.\nTable 5 shows the results for all combinations of surrogate (denoted by ˆR) and target routers. For conciseness we focus\non the upgrade and downgrade rates for the remainder of this work. Upgrade rates are lower than in the white-box setting\nbut still high, indicating that the attack transfers. The LLM-based routing algorithm RLLM has the lowest rates, perhaps\nbecause it is the most complex of the four. The downgrade rate is 0 in most cases and is 1.2% on average.\nTable 6 shows that the black-box attack does not increase the average perplexity of responses as generated by LLM\npair 1. Table 7 shows that the attack does not decrease benchmark-specific scores, other than some small decrease in\nsome cases for the MMLU benchmark. For GSM8K, similar to the behaviour observed in the white-box setting, we see\nan improvement with our attack due to the performance difference between the strong and weak models for this task. This\nindicates that confounding affects only the routing, not the quality of responses. When the weak model is significantly\nweaker than the strong model, i.e., LLM pairs 2 and 3, the attack can improve the quality of responses significantly.\nQuery-specific gadgets. By default, our gadget generation method is query-independent and the same gadget can be used\nto reroute any query. An adversary with more resources may instead generate a dedicated gadget for each query (using\nthe same algorithm).\nTable 8 and Table 9 show the results for the white-box and black-box settings, respectively. (Here, percentage numbers\nare not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "RSW RMF RCLS RLLM\nMT-Bench Prefix 100 ± 0 100 ± 0 100 ± 0 73 ± 5\nSuffix 100 ± 0 100 ± 0 100 ± 0 84 ± 4\nMMLU Prefix 90 ± 1 78 ± 4 100 ± 0 95 ± 1\nSuffix 82 ± 2 63 ± 3 93 ± 1 93 ± 1\nGSM8K Prefix 98 ± 0 100 ± 0 100 ± 0 100 ± 0\nSuffix 94 ± 1 100 ± 0 100 ± 0 94 ± 3\nTable 12: Average upgrade rates for different ways of adding the gadget to queries, in the white-box setting. Results are\nsimilar in both methods, with a slight preference to the prefix approach.\nRSW RMF RCLS RLLM\nMT-Bench Uniform 100 ± 0 100 ± 0 100 ± 0 73 ± 5\nNatural Prob. 100 ± 0 97 ± 2 100 ± 0 70 ± 5\nMMLU Uniform 90 ± 1 78 ± 4 100 ± 0 95 ± 1\nNatural Prob. 77 ± 2 41 ± 3 96 ± 2 87 ± 4\nGSM8K Uniform 98 ± 0 100 ± 0 100 ± 0 94 ± 3\nNatural Prob. 88 ± 2 92 ± 3 100 ± 0 83 ± 9\nTable 13: Average upgrade rates for different ways of sampling candidate tokens during gadget generation, in the white-\nbox setting. Uniformly sampling the tokens yields better upgrade rates in most cases.\nAs mentioned in Section 5, to encourage the LLMs to follow the specific format in their responses (so they can be\nparsed and compared with the ground-truth answers), we add a short prefix to the MMLU and GSM8K queries that\ninstructs the model how to respond. We phrase this instruction as follows: “ Answer the question using the format:\n“Answer: [A/B/C/D]. Explanation: [EXPLANATION]” ” for the multi-choice queries of the MMLU benchmark, and a\nsimilar version for GSM8K. We add this instruction after modifying the queries with the confounder gadget, i.e. the\ninstruction is prepended to the gadget.\nAn alternative to insert the instruction after the gadget but before the query, however we observed this to slighly underper-\nform its counterpart. In the white-box setting we observe a slight decrease in the average (across all four routers) upgrade\nrate from 91% to 89% for the MMLU benchmark, and from 98% to 91% for the GSM8K benchmark. In the black-box\nsetting, the average upgrade rate on MMLU reduces from 57% to 49% and on GSM8K from 73% to 64%.\nToken sampling method. When generating the confounder gadget (see Section 4), we iteratively replace tokens with the\ngoal of maximizing the routing algorithm’s score for the gadget. Candidate replacement tokens are chosen uniformly at\nrandom. An alternative is to choose candidates based on their probability of appearing in natural text. To evaluate this\nmethod, we compute token probabilities by parsing and tokenizing the wikitext-103-raw-v1 dataset [44].\nTable 13 shows that in most cases uniform sampling of replacement tokens yields better upgrade rates. We conjecture that\nuniform sampling produces more unnatural text, confusing the router. For example, for the RSW routing algorithm, uni-\nform sampling produces the following gadget: “legationbelongs967reglo’hui(DictionaryizedNameantal bidi.numberOf”,\nwhereas sampling according to natural probabilities produces “ total occurred According number Letar final Bab named\nremainder”.\nNumber of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the\neffect of using less ( n = 5) or more ( n = 20 or n = 50) tokens. We observed that 5 tokens were insufficient to make\nchanges to the routing algorithm’s score and thus we were not able to optimize the gadget in this setting. As for 20 tokens,\nwe observe a a small improvement in the white-box setting, increase the average upgrade rate from 93.9% to 95.8%, and\na bigger improvement in the black-box setting, increase the average upgrade rate from 70.2% to 81.3%. Using 50 tokens\nfurther increases the upgrade rates, to 98.2% in the white-box setting and 84.2% in the black box setting. The average\nconvergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall\nthis evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv1.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could\nhave on patient safety.38-41\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the\ncorrectness of model generations and customized the summaries in a structured format designed\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies.\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient\nsafety-focused clinical evaluation framework and automated benchmark-driven methods. We used\nthe physician-written EM-to-IP handoff notes as the active control and used the scores from both\nevaluation frameworks for the margin of inferiority of the intervention.\nMethods\nData Collection\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600\nindividual EM patient encounters leading to acute hospital admission were randomly selected from\nvisits occurring between April and September of 2023. We limited our analysis to EM patient\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time.\nEncounters before this date used an earlier version of the EM-handoff note that would have provided\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants),\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of\nObservational Studies in Epidemiology (STROBE) reporting guidelines.\nEM-to-IP Handoff Note Template\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff\nnote structure used at the study site. The generated EM handoff note consists of components\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult\norders, and radiology impressions) and components generated by the trained abstractive\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans,\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the\ntotal time of patient’s stay in the ED.\nData Curation for Automated ED Note Generation\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule-\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail\nin eAppendix 1 inSupplement 1. The rule-based framework was designed by the 3 board certified EM\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What company released MegatronLM ?", - "target_page": 2, - "target_passage": "NVIDIA released the MegatronLM", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Toews, Rob (3 September 2023). \"Transformers Revolutionized AI. What Will Replace Them?\"\n(https://www.forbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will-\nreplace-them). Forbes. Archived (https://web.archive.org/web/20231208232145/https://www.\nforbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will-replace-the\nm/) from the original on 8 December 2023. Retrieved 8 December 2023.", - "page_start": 63, - "page_end": 63, - "source_file": "wikipedia3.pdf" - }, - { - "text": "To allow our evaluation to scale, we use as the strong model Ms the open-sourced Llama-3.1-8B [3] and as Mw the\n4-bit quantized version of Mixtral 8x7B (for efficiency reasons). This reduced the cost of our experiments by avoiding\nexpensive GPT API calls and lowering the computational costs of Mixtral. Unless mentioned otherwise, all of our results\n7", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - }, - { - "text": "Redbooks\nFront cover\nImplementing the IBM Storwize \nV7000 with IBM Spectrum \nVirtualize V8.2.1\nJon Tate\nJack Armstrong\nTiago Bastos\nPawel Brodacki\nFrank Enders\nSergey Kubin\nDanilo Miyasiro\nRodrigo Suzuki", - "page_start": 0, - "page_end": 0, - "source_file": "sg247938.pdf" - }, - { - "text": "Nissan Annual Report 2004 9\nPERFORMANCE\nEurope\n350Z Roadster\nMurano\nPathfinder\nNavara\nMicra C+C\nJapan\nSerena\nOtti\nCompact wagon\nM-class sedan\nMinicar\nGOM*/Mexico\nQuest\nPathfinder\nNavara\nInfiniti M\nTiida hatchback\nTiida sedan\nLafesta\nInterstar\nXterra\n*General Overseas Markets\nUS/Canada\nNew Models for Fiscal Year 2005\n’01 ’02 ’03 ’04 ’05\nForecast\n2,597\n2,771\n3,057\n3,388\n3,618\n+6.8%\n816\n837\n848\n933\n+10%\n’02’03’04 ’05\nForecast\n726\n859\n1,013\n1,047\n+3.3%\n’02’03’04 ’05\nForecast\n474\n542\n544\n550\n+1.1%\n’02’03’04 ’05\nForecast\n755\n822\n983\n1,088\n+10.7%\n’02’03’04 ’05\nForecast\nGlobal Retail Sales Volume\n(Units: 1000s)\nRetail Sales by Region\n(Units: 1000s)\nJapan U.S. Europe GOM*\n*Including Mexico \nand Canada", - "page_start": 10, - "page_end": 10, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Berlin-Brandenburg Model Y ActiveGigafactory Texas Model Y ActiveCybertruck ActiveGigafactory Nevada Tesla Semi Pilot productionV arious Next Generation Platform In developmentTBD Roadster In development26", - "page_start": 31, - "page_end": 31, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "2004 HIGHLIGHTS\n• Significant progress on new field developments:\n> Bayu-Undan and Minerva commenced production\n> John Brookes and Casino sanctioned\n> Mutineer-Exeter ahead of schedule and Bayu-Undan \nLNG construction on track\n> Oyong and Maleo progressed to imminent sanction.\n• Seven of sixteen exploration wells discovered hydrocarbons,\nincluding Jeruk.\n• Reserve replacement exceeded production for the third\nsuccessive year.\n• Indonesia established as a core area.\n• New country entry to Egypt.\n• Improved safety performance and first Sustainability \nReview released. \n2005 AND BEYOND\n• New production to commence:\n> Mutineer-Exeter, John Brookes and Oyong in 2005\n> Bayu-Undan LNG, Casino and Maleo in 2006.\n• Continuing high impact exploration program.\n• Follow-up on recent exploration success:\n> Jeruk early production potential\n> Hiu Aman, Hurricane and Martha appraisal.\n• Continued commercialisation of static gas resources.\nAnnual Report 2004 3\n2004 2003\nSales ($million) 1,500.9 1,465.0\nOperating profit before tax ($million) 540.8 430.9\nCash flow from operations ($million) 605.0 897.3\nEarnings per share (cents) 58.6 52.1\nOrdinary dividends per share (cents) 33 30\nCash flow per share (cents) 103.4 153.8\nTotal shareholders’ funds ($million) 3,498.3 3,087.9\nReturn on average ordinary equity (%) 13.1 12.3\nReturn on average capital employed (%) 9.4 8.8\nNet debt/(net debt plus equity) (%) 24.4 22.5\nNet interest cover (times) 9.2 8.5\n0\n10\n20\n30\n40\n50\n60\n70\nEARNINGS AND DIVIDENDS\nPER SHARE\ncents\n’02 ’03 ’04\n52 52\n59\n30 30 33\nEarnings per share Ordinary dividend\n0\n200\n400\n600\n800\n1,000\nOPERATING CASH FLOW\n$million\n’02 ’03 ’04\n821\n897\n605\n0\n100\n200\n300\n400\nNET PROFIT AFTER TAX\n$million\n’02 ’03 ’04\n322 327\n380\n0\n10\n20\n30\n40\n50\n60\n70\nRETURN ON ORDINARY EQUITY\n%\n’02 ’03 ’04\n52\n13.1% 12.3%\n52\n59\n13.1%\n0\n5\n10\n15\n20\n25\ncents per share\nEarnings per share\nReturn on average ordinary shares\n0.0\n10.0\n20.0\n30.0\n40.0\n50.0\n60.0\n70.0\nPRODUCTION BY PRODUCT\nmmboe\n’02 ’03 ’04\n57.3\n54.2\n47.1\nSales gas & ethane\nCondensate\nCrude oil\nLPG\n0\n200\n400\n600\n800\n1,000\n1,200\n1,400\n1,600\nSALES REVENUE\n$million\n’02 ’03 ’04\n1,478 1,465 1,501\nSales gas & ethane\nCondensate\nCrude oil\nLPG\n0\n200\n400\n600\n800\n1,000\n1,200\n1,400\nFINANCIAL STRENGTH\n$million\n’02 ’03 ’04\n1,163\n28.9%\n22.5%\n898\n1,131\n24.4%\n0\n5%\n10%\n15%\n20%\n25%\n30%\n35%\n40%\n45%\nGearing Net debt\n0\n2\n4\n6\n8\n10\nSAFETY PERFORMANCE\nTRCFR (per million hours worked)\n’02 ’03 ’04\n9.0\n7.2\n6.4\nSAN165 WWW Text 30/3/05 12:06 PM Page 3", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "teristics and performance?\nIn section 3.2, we undertook the substantial task of\ngathering the characteristics of all evaluated mod-\nels. The goal here will be to analyze their impact\non performance and draw conclusions about, for\nexample, the relationship between embedding di-\nmension and model ranking on the benchmark.\nQ3: Do monolingual models have multilingual ca-\npabilities?\nWe interrogate the ability of a model trained exclu-\nsively in one language to perform well in another\nlanguage.\nQ4: Are there any correlations between datasets\n10https://huggingface.co./models\n5", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "aggressive goals for both sales and profit growth for 2003. The\ntime is right for these businesses to lead the way to our return\nto profitability — particularly our liquid-crystal display, envi-\nronmental and semiconductor optics businesses. These are\nstrong businesses which continue to set the standard for their\nmarkets and have plenty of growth potential. If the industries\nin which we participate expand as we expect, we have every\nconfidence these businesses will be able to meet their goals.\nWe are also well on our way toward getting our optical fiber\nand cable operations back to profitability as we reduce our\nfixed cost structure. In October, we announced plans to\nclose several of our fiber plants and to streamline our cable\n2001\nWORLDWIDE REVENUES\nC ORNING T ELECOMMUNICA TIONS 74%\nC ORNING T ECHNOLOGIES 26%\n2", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "514 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nFor more information about Volume Mirroring, see Chapter 11, “Advanced Copy Services” on \npage 435.\n11.6 Remote Copy services\nThis section describes the Remote Copy services, which are a synchronous remote copy \ncalled Metro Mirror (MM), asynchronous remote copy called Global Mirror (GM), and Global \nMirror with Change Volumes. Remote Copy in an IBM Spectrum Virtualize system is similar to \nRemote Copy in the IBM System Storage DS8000 family at a functional level, but the \nimplementation differs.\nIBM Spectrum Virtualize provides a single point of control when remote copy is enabled in \nyour network (regardless of the disk subsystems that are used) if those disk subsystems are \nsupported by the system.\nThe general application of remote copy services is to maintain two real-time synchronized \ncopies of a volume. Often, the two copies are geographically dispersed between two IBM \nSpectrum Virtualize systems. However, it is possible to use MM or GM within a single system \n(within an I/O Group). If the master copy fails, you can enable an auxiliary copy for I/O \noperations.\nA typical application of this function is to set up a dual-site solution that uses two Storwize \nV7000 or IBM SAN Volume Controller systems. The first site is considered the primary site or \nproduction site, and the second site is considered the backup site or failover site. The failover \nsite is activated when a failure at the first site is detected.\n11.6.1 IBM Storwize family and SAN Volume Controller system layers\nAn IBM Storwize family system can be in one of the two layers: the replication layer or the \nstorage layer. The system layer affects how the system interacts with IBM SAN Volume \nController and other external Storwize family systems. The IBM SAN Volume Controller is \nalways set to replication layer. This parameter cannot be changed.\nIn the storage layer, a Storwize family system has the following characteristics and \nrequirements:\n/SM590000The system can perform MM and GM replication with other storage-layer systems.\n/SM590000The system can provide external storage for replication-layer systems.\n/SM590000The system cannot use a storage-layer system as external storage.\nIn the replication layer, an SAN Volume Controller or a Storwize system has the following \ncharacteristics and requirements:\n/SM590000The system can perform MM and GM replication with other replication-layer systems.\n/SM590000The system cannot provide external storage for a replication-layer system.\n/SM590000The system can use a storage-layer system as external storage.\nTips: Intracluster MM/GM uses more resources within the system when compared to an \nintercluster MM/GM relationship, where resource allocation is shared between the \nsystems. Use intercluster MM/GM when possible. For mirroring Volumes in the same \nsystem, it is better to use Volume Mirroring or the FlashCopy feature.", - "page_start": 535, - "page_end": 535, - "source_file": "sg247938.pdf" - }, - { - "text": "Table of ContentsEnergy Generation and Storage Demand, Production and DeploymentThe long-term success of this business is dependent upon incremental volume growth. We continue to increase theproduction and capabilities of our energy storage products to meet high levels of demand, including the introduction ofPowerwall 3 in 2024, the construction of a new Megafactory in Shanghai and the ongoing ramp at our Megafactory in Lathrop,California. For Megapack, energy storage deployments can vary meaningfully quarter to quarter depending on the timing ofspecific project milestones and logistics. As these product lines grow, we will have to maintain adequate battery cell supply forour energy storage products. At the same time, changes in government and economic incentives or tariffs may also impact oursales, cost structure and the competitive landscape.Cash Flow and Capital Expenditure TrendsOur capital expenditures are typically difficult to project beyond the short-term given the number and breadth of ourcore projects at any given time, and may further be impacted by uncertainties in future global market conditions. We aresimultaneously developing and ramping new products, building or ramping manufacturing facilities on three continents,piloting the development and manufacture of new battery cell technologies, expanding our Supercharger network and investingin autonomy and other artificial intelligence enabled training and products, and the pace of our capital spend may varydepending on overall priority among projects, the pace at which we meet milestones, production adjustments to and among ourvarious products, increased capital efficiencies and the addition of new projects. Owing and subject to the foregoing as well asthe pipeline of announced projects under development, all other continuing infrastructure growth and varying levels ofinflation, we currently expect our capital expenditures to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billionin each of the following two fiscal years.Our business has generally been consistently generating cash flow from operations in excess of our level of capitalspend, and with better working capital management resulting in shorter days sales outstanding than days payable outstanding,our sales growth is also generally facilitating positive cash generation. We have and will continue to utilize such cash flows,among other things, to invest in autonomy, do more vertical integration, expand our product roadmap and provide financingoptions to our customers. At the same time, we are likely to see heightened levels of capital expenditures during certain periodsdepending on the specific pace of our capital-intensive projects and other potential variables such as rising material prices andincreases in supply chain and labor expenses resulting from changes in global trade conditions and labor availability. Overall,we expect our ability to be self-funding to continue as long as macroeconomic factors support current trends in our sales.Critical Accounting Policies and EstimatesFor a description of our critical accounting policies and estimates, refer to Part II, Item 7, Critical Accounting Policiesand Estimates in our Annual Report on Form 10-K for the year ended December 31, 2023. There have been no materialchanges to our critical accounting policies and estimates since our Annual Report on Form 10-K for the year endedDecember 31, 2023.Recent Accounting PronouncementsSee Note 1, Overview & Summary of Significant Accounting Policies, to the consolidated financial statements includedelsewhere in this Quarterly Report on Form 10-Q.28\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n35 sur 4910/01/2025, 14:33", - "page_start": 34, - "page_end": 34, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What is the average emission of a human being per year in terms of CO2eq ?", - "target_page": 3, - "target_passage": "the average human is responsible for an estimated 5t CO2e per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Energy/fatigue /C0 0.454 (/C0 0.479 to/C0 0.428) < .001 /C0 0.452 (/C0 0.479 to/C0 0.425) < .001\nEmotional well-being /C0 0.230 (/C0 0.256 to/C0 0.204) < .001 /C0 0.239 (/C0 0.266 to/C0 0.213) < .001\nSocial functioning /C0 0.433 (/C0 0.466 to/C0 0.399) < .001 /C0 0.434 (/C0 0.469 to/C0 0.399) < .001\nPain /C0 0.410 (/C0 0.444 to/C0 0.377) < .001 /C0 0.387 (/C0 0.423 to/C0 0.352) < .001\nGeneral health /C0 0.390 (/C0 0.416 to/C0 0.364) < .001 /C0 0.382 (/C0 0.409 to/C0 0.355) < .001\nTotal score /C0 0.485 (/C0 0.504 to/C0 0.467) < .001 /C0 0.473 (/C0 0.493 to/C0 0.454) < .001\nAdjusted coefficients are adjusted for age, sex, and BMI. Regression coefficients are presented with 95% CIs andP values.\nchestjournal.org 1305", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 12 of 22\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 18 of 22\n7. Caitlyn Kennedy, R.L. What’s the Difference between Global Warming and Climate Change? 2015. Available\nonline: https://www.climate.gov/news-features/climate-qa/whats-difference-between-global-warming-and-\nclimate-change (accessed on 10 October 2019).\n8. Pachauri, R.K.; Allen, M.R.; Barros, V .R.; Broome, J.; Cramer, W.; Christ, R.; Church, J.A.; Clarke, L.; Dahe, Q.;\nDasgupta, P .; et al.Climate Change 2014: Synthesis Report. Contribution of Working Groups I, II and III to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change; IPCC: Geneva, Switzerland, 2014.\n9. Whitmarsh, L. What’s in a name? Commonalities and di fferences in public understanding of “climate\nchange” and “global warming”. Public Underst. Sci. 2009, 18, 401–420. [CrossRef]\n10. Shehata, A.; Hopmann, D.N. Framing climate change: A study of US and Swedish press coverage of global\nwarming. Journal. Stud. 2012, 13, 175–192. [CrossRef]\n11. Schuldt, J.P .; Roh, S. Of accessibility and applicability: How heat-related cues affect belief in “global warming”\nversus “climate change”. Soc. Cogn. 2014, 32, 217–238. [CrossRef]\n12. McCright, A.M.; Dunlap, R.E. Challenging global warming as a social problem: An analysis of the conservative\nmovement’s counter-claims.Soc. Probl. 2000, 47, 499–522. [CrossRef]\n13. Lineman, M.; Do, Y.; Kim, J.Y.; Joo, G.J. Talking about climate change and global warming.PLoS ONE 2015,\n10, e0138996. [CrossRef]\n14. Anderson, J.R. The Architecture of Cognition; Psychology Press: London, UK, 2013.\n15. Pan, B.; Zheng, Y.; Wilkie, D.; Shahabi, C. Crowd sensing of tra ffic anomalies based on human mobility\nand social media. In Proceedings of the 21st ACM SIGSPATIAL International Conference on Advances in\nGeographic Information Systems, Orlando, FL, USA, 5–8 November 2013; pp. 344–353.\n16. Rogstadius, J.; Vukovic, M.; Teixeira, C.A.; Kostakos, V .; Karapanos, E.; Laredo, J.A. CrisisTracker:\nCrowdsourced social media curation for disaster awareness. IBM J. Res. Dev. 2013, 57, 4:1–4:13. [CrossRef]\n17. Leetaru, K.; Wang, S.; Cao, G.; Padmanabhan, A.; Shook, E. Mapping the global Twitter heartbeat: The\ngeography of Twitter. First Monday 2013, 18. [CrossRef]\n18. Kirilenko, A.P .; Molodtsova, T.; Stepchenkova, S.O. People as sensors: Mass media and local temperature\ninfluence climate change discussion on Twitter. Glob. Environ. Chang. 2015, 30, 92–100. [CrossRef]\n19. Gamson, W.A.; Modigliani, A. Media discourse and public opinion on nuclear power: A constructionist\napproach. Am. J. Sociol. 1989, 95, 1–37. [CrossRef]\n20. Entman, R.M. Framing: Toward clarification of a fractured paradigm. J. Commun. 1993, 43, 51–58. [CrossRef]\n21. McCombs, M.; Llamas, J.P .; Lopez-Escobar, E.; Rey, F. Candidate images in Spanish elections: Second-level\nagenda-setting effects. Journal. Mass Commun. Q. 1997, 74, 703–717. [CrossRef]\n22. Druckman, J.N. On the limits of framing e ffects: Who can frame? J. Politics 2001, 63, 1041–1066. [CrossRef]\n23. Druckman, J.N. The implications of framing effects for citizen competence. Political Behav. 2001, 23, 225–256.\n[CrossRef]\n24. Teigen, K.H.; Karevold, K.I. Looking back versus looking ahead: Framing of time and work at di fferent\nstages of a project. J. Behav. Decis. Mak. 2005, 18, 229–246. [CrossRef]\n25. McKenzie, C.R.; Nelson, J.D. What a speaker’s choice of frame reveals: Reference points, frame selection,\nand framing effects. Psychon. Bull. Rev. 2003, 10, 596–602. [CrossRef]\n26. Du, Y.R. Same events, different stories: Internet censorship in the Arab Spring seen from China. Journal.\nMass Commun. Q. 2016, 93, 99–117. [CrossRef]\n27. Schuldt, J.P .; Roh, S. Media frames and cognitive accessibility: What do “global warming” and “climate\nchange” evoke in partisan minds? Environ. Commun. 2014, 8, 529–548. [CrossRef]\n28. Sonnett, J. Climates of risk: A field analysis of global climate change in US media discourse, 1997–2004.\nPublic Underst. Sci. 2010, 19, 698–716. [CrossRef]", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed10.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 48 07/08/2013 \nAnnex\t3:\t\tGlobal\tWarming\tPotentials\t(GWPs)\t\n \nGreenhouse gas Chemical formula 1995 IPCC GWP\nCarbon dioxide CO 2 1 \nMethane CH 4 21 \nNitrous oxide N 2O 310 \nHFC-23 CHF 3 11,700 \nHFC-32 CH 2F2 650 \nHFC-41 CH 3F 150 \nHFC-43-10mee C 5H2F10 1,300 \nHFC-125 C 2HF5 2,800 \nHFC-134 C 2H2F4 1,000 \nHFC-134a CH 2FCF3 1,300 \nHFC-152a C 2H4F2 140 \nHFC-143 C 2H3F3 300 \nHFC-143a CF 3CH3 3,800 \nHFC-227ea C 3HF7 2,900 \nHFC-236fa C 3H2F6 6,300 \nHFC-254ca C 3H3F5 560 \nPerfluoromethane CF 4 6,500 \nPerfluroethane C 2F6 9,200 \nPerfluoropropape C 3F8 7,000 \nPerfluorobutane C 2F10 7,000 \nPerfluorocyclobutane c-c 4F8 8,700 \nPerfluoropentane C 5F12 7,500 \nPerfluorohexane C 6F14 7,400 \nSulphur hexafluoride SF 6 23,900 \nSource: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical \nSummary of the Working Group I Report, page 22.", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 10 of 22\nIn the global warming network, politics was the second-largest discourse cluster (20% of the\nnetwork), where “tcot”, short for “Top Conservatives on Twitter”, was the node ranked highest,\nand “p2”, short for “Progressives 2.0”, is also included. Several political figures, such as Obama and Al\nGore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster\n(16%), including both domestic efforts, such as “us”, “trump”, “climatechangeisreal”, “climateaction”,\nand “epa”, and two international items, like “china” and “india”. The fourth cluster (in blue) referred\nto emissions, including hashtags like “co2”, “green”, and “carbon”. The smallest cluster (8%) was\ncomposed of “snow”, “winter”, “heatwave”, and “summer”, referring to the temperature abnormalities\non the earth.\n4.3. Temporal Analysis of the Associations in the Two Discourses\nThe online presentations of the climate change and global warming discourses are dynamic.\nAs shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central\nhashtags each year for all 10 years, with 16 for the climate change”discourse. By comparing the 11\nnodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that\nthe two lists shared nine concepts. We found “pollution” and “earth” were unique to the keyword list\nof the global warming discourse, and “economy”, “water”, “china”, “coal”, “solar”, “sustainability”,\nand “food” only occurred on the critical list for the climate change discourse.\nTable 2. Hashtags that remained on the top 50 list for the climate change or the global warming\ndiscourse from 2009 to 2018.\nUnique Shared\n#climatechange china, solar, water, food, economy, coal, sustainability co2, news, carbon, green, climate,\n#globalwarming pollution, earth us, energy, science, environment\nFigures 3 and 4 show the overall evolution of critical hashtags’ associations in the 10-year period,\nwhere the nodes in the 10 graphs are located in the same position but the strength of associations varies\nacross longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary\nMaterials. Four themes were identified in each discourse according to the nodes’ associations. To more\nexplicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of\nthe degree centrality of all the nodes belonging to each cluster and their change in centrality over the\n10 years, as shown in Figure 5.\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year\nfrom 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the\nclimate change discourse, especially more recently. However, some scientific hashtags, such as “ghg”\n(greenhouse gas), “co2”, and “forests”, were not identified in the scientific cluster but in the global\nactions cluster (in yellow) because these hashtags were frequently used in the global action context and\nidentified with a closer semantic association to global action by Gephi. In addition to these hashtags,\nthe global action cluster included a series of international activities, such as “ipcc” (Intergovernmental\nPanel on Climate Change), “unfccc” (United Nations Framework Convention on Climate Change),\nand “cop” (Conferences of the Parties) for almost every year. The blue cluster includes to political\nhashtags, such as “uniteblue”, “sgp”, “p2”, and “tcot”. In 2017 and 2018, the associations with political\nhashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining\n“technology”, “innovation”, “education”, “africa”, “healthcare”, and “politics”. The centrality sum of\nthe nodes in the red cluster remained rather low throughout the 10-year period but obviously increased\nin the last two years of the period according to Figure 5a.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - }, - { - "text": "the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different\nbiases in baseline precipitation climatology, and different global patterns of precipitation change.\nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global\nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global\nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected,\nwhich means that the results here may be sensitive to systematic errors arising from biases in the\npresent-day SST patterns.\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5\nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol\nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse\ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "analysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order.\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 16 of 22\nmake global action salient for people talking about global warming than people talking about climate\nchange [40], even though the facts of climate issues are highly recognized in both discourses.\n6. Conclusions\nAs social media is gradually overtaking the role of legacy media providing a forum for public\ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how\nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter\nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing\nclimate discourses and discovered how these two discourses evolved.\nWe found that broad scientific, social, political, and international discussions are the topics\nof public climate discourse. Although the semantic di fference between climate change and global\nwarming seems subtle, the di fferences in their cognitive associations are not trivial. Despite some\nshared concerns between the two discourses, “global warming” is more politicized and focuses more on\ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact\ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis\nrevealed that traditional political discussions decreased in both discourses but climate change started to\nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s\nassociations to extreme events and temperature change were suddenly strengthened around 2012.\nClimate change is becoming dominant compared with global warming in public discussions. Although\nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable\ndiscrepancy still exists in the way in which they get concepts associated. These observations may\nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between\ndiverse climate perceptions.\nLimitation and Future Directions\nThough big data allowed us to decrease the bias by dealing with the whole set of social media\ndata rather than samples, discrepancies still exist between social media users and the public. As most\nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics\nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global\ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer\ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106].\nConsidering the historical background of climate issues, age might influence how individuals perceive\nclimate issues. According to the statistics in 2017 [ 107], only 16 % of older people (older than 60)\nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47%\nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of\nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular.\nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute\nand supplement for polling [108], we thought our results should be further examined before being\ngeneralized to the whole population.\nIn this study, we characterized the di fferences between two popular climate discourses and\nexamined how two discourses evolved over a 10-year period. We did not focus on the interactions\nbetween public climate discourse and external factors. However, the evolution of climate discourse\nmight be driven by several external forces such as scientific e fforts, natural events, politics and\nonline information (or misinformation) campaigns. The prevalence of certain climate concepts may\ninverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance,", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 17 of 22\nconducted to reveal the interactions between public discourse and natural, scientific, social, or political\nevents. In particular, factors promoting public consensus and factors resulting in discourse discrepancy\nshould be further identified to help climate communicators narrow the public cognitive divergence\nabout the global climate issue.\nSupplementary Materials: The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1.\nAuthor Contributions: W.S. designed the study, collected the data, conducted the analysis, and wrote the article.\nH.F. offered suggestions to the part of temporal analysis. P .W. contributed to the hashtag co-occurrence part. C.C.\nhelped with the design of the study. J.X. contributed to the framing of the article and helped with the revision.\nAll authors have read and agreed to the published version of the manuscript.\nFunding: This work was supported in part by the National Key R&D Program of China (Grant No.\n2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and\nU1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High\nPerformance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and\nTechnology (Qingdao).\nConflicts of Interest: The authors declare no conflict of interest.\nAppendix A\n#agw, short for anthropogenic global warming, indicating global warming is caused by\nhuman activities.\n#cdnpoli, short for Canadian politics\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency\naiming at protecting environment.\n#gop, short for Grand Old Party, the Republican political party in the United States.\n#nyc, short for New York City\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter.\n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global\nwarming by reducing greenhouse gas emissions.\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the\nUnited Nations General Assembly in 2015 and expected to be achieved in 2030.\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political\nstandpoints on Twitter.\n#un, short for the United Nations\n#us, short for the United States\nReferences\n1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci.\nPolicy Sustain. Dev. 2009, 51, 12–23. [CrossRef]\n2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change\ndiscourse on social media during extreme weather events. Glob. Environ. Chang. 2019, 54, 50–60. [CrossRef]\n3. Schuldt, J.P .; Konrath, S.H.; Schwarz, N. “Global warming” or “climate change”? Whether the planet is\nwarming depends on question wording. Public Opin. Q. 2011, 75, 115–124. [CrossRef]\n4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter?\nClim. Chang. 2011, 105, 1–12. [CrossRef]\n5. Jang, S.M.; Hart, P .S. Polarized frames on “climate change” and “global warming” across countries and\nstates: Evidence from Twitter big data. Glob. Environ. Chang. 2015, 32, 11–17. [CrossRef]\n6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online:\nhttps://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on\n10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "How did the Black Lives Matter movement influence the writing of Wikipedia articles ?", - "target_page": 5, - "target_passage": " the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people in- creased in coverage and were generated with reduced latency", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "To be specific, although “ipcc”, “cop”, and “un” were mentioned in both discourses (yellow\nin Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly di fferent\nmeanings. As mentioned in the results section, these hashtags were associated with a series of scientific\nhashtags in the climate change discourse, appealing to global efforts. In the global warming discourse,\nthey were clustered with “hoax” and “frame”, showing lack of belief in climate issue facts and hesitation\nabout global e fforts. More recently, when discussions about temperature, politics, and hesitation\nsignificantly shrank in the global warming discourse, the wo discourses showed more similarities about\nthe importance of scientific concepts according to Figure 5a,b. However, links between global efforts\nand scientific facts were not constructed in the global warming discourse. According to a network\nmodel for cognition, the lack of associations means fewer psychological activations will spread to", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed10.pdf" - }, - { - "text": "network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of\nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by\n#climatechange users to address all three communities together [91], consolidating climate change as\na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags’\nfunction of serving as a hybrid forum [ 68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27\nAugust 2011.\n56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hern ández, A.; Morris, M.R. Is anyone out there?:\nUnpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in\nComputing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758.\n57. Tsur, O.; Rappoport, A. What’s in a hashtag?: Content based prediction of the spread of ideas in microblogging\ncommunities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining,\nSeattle, WA, USA, 8–12 February 2012; pp. 643–652.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 17 of 22\nconducted to reveal the interactions between public discourse and natural, scientific, social, or political\nevents. In particular, factors promoting public consensus and factors resulting in discourse discrepancy\nshould be further identified to help climate communicators narrow the public cognitive divergence\nabout the global climate issue.\nSupplementary Materials: The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1.\nAuthor Contributions: W.S. designed the study, collected the data, conducted the analysis, and wrote the article.\nH.F. offered suggestions to the part of temporal analysis. P .W. contributed to the hashtag co-occurrence part. C.C.\nhelped with the design of the study. J.X. contributed to the framing of the article and helped with the revision.\nAll authors have read and agreed to the published version of the manuscript.\nFunding: This work was supported in part by the National Key R&D Program of China (Grant No.\n2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and\nU1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High\nPerformance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and\nTechnology (Qingdao).\nConflicts of Interest: The authors declare no conflict of interest.\nAppendix A\n#agw, short for anthropogenic global warming, indicating global warming is caused by\nhuman activities.\n#cdnpoli, short for Canadian politics\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency\naiming at protecting environment.\n#gop, short for Grand Old Party, the Republican political party in the United States.\n#nyc, short for New York City\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter.\n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global\nwarming by reducing greenhouse gas emissions.\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the\nUnited Nations General Assembly in 2015 and expected to be achieved in 2030.\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political\nstandpoints on Twitter.\n#un, short for the United Nations\n#us, short for the United States\nReferences\n1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci.\nPolicy Sustain. Dev. 2009, 51, 12–23. [CrossRef]\n2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change\ndiscourse on social media during extreme weather events. Glob. Environ. Chang. 2019, 54, 50–60. [CrossRef]\n3. Schuldt, J.P .; Konrath, S.H.; Schwarz, N. “Global warming” or “climate change”? Whether the planet is\nwarming depends on question wording. Public Opin. Q. 2011, 75, 115–124. [CrossRef]\n4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter?\nClim. Chang. 2011, 105, 1–12. [CrossRef]\n5. Jang, S.M.; Hart, P .S. Polarized frames on “climate change” and “global warming” across countries and\nstates: Evidence from Twitter big data. Glob. Environ. Chang. 2015, 32, 11–17. [CrossRef]\n6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online:\nhttps://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on\n10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - }, - { - "text": "28. Sonnett, J. Climates of risk: A field analysis of global climate change in US media discourse, 1997–2004.\nPublic Underst. Sci. 2010, 19, 698–716. [CrossRef]\n29. Jaspal, R.; Nerlich, B.; Van Vuuren, K. Embracing and resisting climate identities in the Australian press:\nSceptics, scientists and politics. Public Underst. Sci. 2016, 25, 807–824. [CrossRef] [PubMed]\n30. Shi, W.; Chen, C.; Xiong, J.; Fu, H. What Framework Promotes Saliency of Climate Change Issues on Online\nPublic Agenda: A Quantitative Study of Online Knowledge Community Quora. Sustainability 2019, 11, 1619.\n[CrossRef]\n31. Gifford, R.; Comeau, L.A. Message framing influences perceived climate change competence, engagement,\nand behavioral intentions. Glob. Environ. Chang. 2011, 21, 1301–1307. [CrossRef]\n32. Jiang, H.; Qiang, M.; Zhang, D.; Wen, Q.; Xia, B.; An, N. Climate Change Communication in an Online Q&A\nCommunity: A Case Study of Quora. Sustainability 2018, 10, 1509.", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed10.pdf" - }, - { - "text": "describing hesitation between climate facts and actions (yellow in Figure 4).\nAfter examining every associated node in the red cluster in 2012, we suggest that the hashtag\n“2012” in the top right-hand corner, which is the only event-based hashtag, can provide another\nhint about why the associations related to temperature and extremeweather significantly increased\nin 2012. The Maya inscriptions about the end of the world in December 2012 were prevalent then,\nand even inspired a famous American disaster film named “2012”, telling a story that the earth\nwould be destroyed by a series of disastrous extreme natural events. Previously, historians focused\non the correlations between climate issues and the collapse of the Mayan civilization [96,97], but no", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed10.pdf" - }, - { - "text": "this study, targeting on hashtags is more in line with our research question. Firstly, hashtags were\ninvented spontaneously by users of Twitter in 2007 as a mechanism to categorize discussions [ 74].\nWords with hashtags are recognized as topics and considered worthy of public discussion. Secondly,\nby attaching # to certain words in tweets, the users intentionally anchor their tweets to certain topics.\nThe operator # explicitly reflects the author’s emphasis, which can help us extract rather than infer the\nauthor’s identification of the topic of the tweets. Our research question is to analyze and visualize\nthe associations of topics in public climate discourse. Compared with other approaches, analyzing\nhashtags co-occurrence pattern has advantage in extracting the structure of public discussions.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed10.pdf" - }, - { - "text": "Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and\nSearch\" (https://doi.org/10.1145%2F360018.360022). Communications of the ACM. 19 (3):\n113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022).\nNicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\"\n(https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1\n518020478). The Wall Street Journal. ISSN 0099-9660 (https://search.worldcat.org/issn/009\n9-9660). Archived (https://web.archive.org/web/20241005171230/https://www.wsj.com/articl\nes/how-youtube-drives-viewers-to-the-internets-darkest-corners-1518020478) from the\noriginal on 5 October 2024. Retrieved 16 June 2018.\nNilsson, Nils (1983). \"Artificial Intelligence Prepares for 2001\" (https://ai.stanford.edu/~nilsson/O\nnlinePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF). AI Magazine. 1 (1).\nArchived (https://web.archive.org/web/20200817194457/http://ai.stanford.edu/~nilsson/Onlin\nePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF) from the original on 17 August\n2020. Retrieved 22 August 2020. Presidential Address to the Association for the\nAdvancement of Artificial Intelligence.\nNRC (United States National Research Council) (1999). \"Developments in Artificial\nIntelligence\". Funding a Revolution: Government Support for Computing Research. National\nAcademy Press.\nOmohundro, Steve (2008). The Nature of Self-Improving Artificial Intelligence. presented and\ndistributed at the 2007 Singularity Summit, San Francisco, CA.\nOudeyer, P-Y. (2010). \"On the impact of robotics in behavioral and cognitive sciences: from\ninsect navigation to human cognitive development\" (http://www.pyoudeyer.com/IEEETAMD\nOudeyer10.pdf) (PDF). IEEE Transactions on Autonomous Mental Development. 2 (1): 2–\n16. doi:10.1109/tamd.2009.2039057 (https://doi.org/10.1109%2Ftamd.2009.2039057).\nS2CID 6362217 (https://api.semanticscholar.org/CorpusID:6362217). Archived (https://web.\narchive.org/web/20181003202543/http://www.pyoudeyer.com/IEEETAMDOudeyer10.pdf)\n(PDF) from the original on 3 October 2018. Retrieved 4 June 2013.\nPennachin, C.; Goertzel, B. (2007). \"Contemporary Approaches to Artificial General\nIntelligence\". Artificial General Intelligence. Cognitive Technologies. Berlin, Heidelberg:\nSpringer. pp. 1–30. doi:10.1007/978-3-540-68677-4_1 (https://doi.org/10.1007%2F978-3-54\n0-68677-4_1). ISBN 978-3-5402-3733-4.\nPinker, Steven (2007) [1994], The Language Instinct, Perennial Modern Classics, Harper,\nISBN 978-0-0613-3646-1\nPoria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of\naffective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository.\nnapier.ac.uk/Output/1792429). Information Fusion. 37: 98–125.\ndoi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003).\nhdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem\nanticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165\n407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-of-\naffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23\nMarch 2023. Retrieved 27 April 2021.\nRawlinson, Kevin (29 January 2015). \"Microsoft's Bill Gates insists AI is a threat\" (https://www.b\nbc.co.uk/news/31047780). BBC News. Archived (https://web.archive.org/web/20150129183\n607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved\n30 January 2015.\nReisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering\nGenerative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla\nma-pirated-books/675063/), The Atlantic, archived (https://web.archive.org/web/2024100307\n1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-pirated-", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 16 (Continued) \nFor example (unaudited): \n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n(7) Operating Leases \nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \nUndiscounted lease payments as of June 30, 2024 were as follows: \nLease\npayments\nYear ending June 30:\n2025 419,791 \nTotal minimum lease payments $ 419,791 \n \n(8) Retirement Plan \nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, xx, 5 11 of 22\nthen the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were\nincluded in the discourse. Notably, the red node in the top right-hand corner named “2012” refers\nto the Maya prediction that the year 2012 would be the end of the world and that the world would\nbe destroyed by extreme natural events, and was linked to other climate hashtags for the first time\nin the graph exactly in 2012. The blue nodes included the political hashtags, such as “maga”, “ows”,\n“p2”, “tcot”, and “obama”. The involvement of political hashtags in the global warming discourse was\nsignificantly higher than that in the climate change discourse according to the comparison between\nFigure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded,\nas shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in\nFigure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts\nand actions, where words describing global efforts, such as “ipcc”, “cop15”, and “un”, and words\nquestioning global warming, such as “hoax” and “fraud”, were both included. The associations\nbetween the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following\nyears. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of\nclimate issue, including words such as “ecology”, “ocean”, and “cleanenergy”. Associations between\nscientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an\nobvious rising trend in dominating the theme of the global warming discourse, according to Figure 5.\nFigure 3. Association network of top 50 nodes of climate change for each year from 2009 to 2018.\nFigure 4. Association network of top 50 nodes of global warming for each year from 2009 to 2018.\nFigure 4. Association network of top 50 nodes of global warming for each year from 2009 to 2018.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "Concerning electrolyte solutions, what assumption makes the primitive model (PM) regarding ions?", - "target_page": 1, - "target_passage": "simple phenomenological models such as the primitive model (PM), for which the ions are assimi- lated to charged hard spheres", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "arXiv:1001.2648v1 [physics.chem-ph] 15 Jan 2010\nModels of electrolyte solutions from molecular descriptions: The example of NaCl\nsolutions\nJohn Jairo Molina 1, 2, 3,∗ Jean-Fran¸ cois Dufrˆ eche1, 2, 3,† Mathieu\nSalanne1, 2, Olivier Bernard 1, 2, Marie Jardat 1, 2, and Pierre Turq 1, 2\n1 UPMC-Universit´ e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France\n3 Institut de Chimie S´ eparative de Marcoule (ICSM),\nUMR 5257 CEA–CNRS–Universit´ e Montpellier 2, Site de Marco ule,\nBˆ atiment 426, BP 17171, 30207 Bagnols-sur-C` eze Cedex, Fr ance\nWe present a method to derive implicit solvent models of elec trolyte solutions from all-atom\ndescriptions; providing analytical expressions of the the rmodynamic and structural properties of\nthe ions consistent with the underlying explicit solvent re presentation. Effective potentials between\nions in solution are calculated to perform perturbation the ory calculations, in order to derive the\nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions\nyields excellent agreement with the all-atom model, provid ed ion association is taken into account.\nSince the pioneering works of Debye, H¨ uckel, and\nOnsager, electrolyte solutions have been commonly\ndescribed by continuous solvent models, for which\nthe McMillan-Mayer theory [1] provides a rigorous\nstatistical-mechanical foundation. Within that level of\ndescription, simple phenomenological models such as the\nprimitive model (PM), for which the ions are assimi-\nlated to charged hard spheres [2], can lead to explicit\nformulas for the thermodynamic and structural proper-\nties (e.g., with the help of the mean spherical approxima-\ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These\nmodels are the most practical to use [5], since they allow\nfor a direct link between the experimental measurements\nand the microscopic parameters of the system. Never-\ntheless, they ignore the molecular structure of the sol-\nvent. Consequently, they cannot properly account for\nthe complex specific effects of the ions, which appear in\nnumerous biological, chemical, and physical interfacial\nphenomena [6, 7], without further developments.\nAn alternative procedure consists in carrying out\nmolecular simulations, where both the solvent and solute\nare treated explicitly. After a rigorous averaging over\nthe solvent configurations, a coarse-grained description\nof the ions, which still includes the effect of the solvent\nstructure, can be obtained [8–11]. However, this set of\nmethods is purely numeric; they do not provide any an-\nalytical expression for thermodynamic quantities. They\nare therefore restricted to simple geometries [12, 13] (bulk\nsolutions or planar interfaces). The description of com-\nplex systems, such as porous or electrochemical materi-\nals, is still based on continuous solvent models [14].\nIn this letter we present a method aimed at bridging\nthe gap between analytical and numerical approaches. It\nis based on the application of liquid perturbation theory\n(LPT) [15] to effective ion-ion potentials extracted from\n∗ Electronic address: john.molina@etu.upmc.fr\n† Electronic address: jean-francois.dufreche@upmc.fr\nmolecular dynamics (MD) results. Different approxima-\ntions of the PM are employed for the case of NaCl elec-\ntrolyte solutions: a two component model (MSA2), that\nonly takes free ions into account, and two different three\ncomponent models (MSA3 and BIMSA3), which include\na third species (the contact ion pair). As we proceed\nto show, LPT allows us to select the best simple model\nwhich accurately accounts for the thermodynamics and\nthe physical-chemistry of the system.\nThe first stage consists in calculating the McMillan-\nMayer effective ion-ion interaction potentials V eff\nij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "2\nr (Å)\n0\n1\n2\n3 β V 12\nSR\n(r)\n2\n4\n6\n8\ng 12\nMC\n(r)\ng 12\nMD\n(r)\n4 6 8\n0\n1\n2\n3 β V 11\nSR\n(r)\n4 6 8\n0\n1\n2\n3β V 22\nSR\n(r)\n(a)\n(b)\n(d)\n(c)\nFIG. 1: Effective McMillan-Mayer short-range pair potentia ls\nextracted from explicit solvent simulations using the HNC\nclosure. (a) Cation anion, (b) cation cation, (c) anion anion,\n(d) cation anion RDF obtained from explicit solvent MD and\nimplicit solvent MC simulations.\npute all ion thermodynamic properties through implicit\nsolvent MC simulations.\nThe second stage of our coarse-graining procedure con-\nsists in applying LPT, in order to deduce the best ana-\nlytical model of electrolyte solutions which reproduces\nthis molecular description. The principle of LPT is to\ndescribe the properties of a given system in terms of\nthose of a well known reference system, with the differ-\nence between them treated as a perturbation in the ref-\nerence potential. Assuming pairwise additive potentials,\nVij = V (0)\nij + ∆V ij , a first-order truncated expression for\nthe free energy density of the system βfv is obtained,\nβfv ≲ βf (0)\nv + 1\n2β\n∑\ni,j\nρiρj\n∫\ndr g(0)\nij (r)∆V ij (r) (1)\nwhich depends only on the free-energy density f(0)\nv and\nRDF g(0) of the reference fluid, with β = ( kBT )− 1 and\nρi the concentration of species i. The Gibbs-Bogoliubov\ninequality [15] ensures that the right-hand side of Eq. ( 1)\nis actually a strict upper bound. Once a reference system\nhas been chosen, the expression on the right-hand side of\nEq. (\n1) must be minimized with respect to the parameters\ndefining the reference. This procedure yields the best\nfirst-order approximation to the free energy of the system\nunder consideration.\nFor a system of charged particles in solution, the nat-\nural reference is the PM, defined in terms of the charge\nand diameter (σi) of each species. In this case, the per-\nturbing potentials are just the short-range effective po-\ntentials computed above (∆Vij = V SR\nij ). We use the\nMSA [3] solution to the PM, since it provides analyti-\ncal expressions for both the free energy and the RDF.\nThe perturbation term is evaluated using an exponential\napproximation to the RDF obtained within the MSA,\ng(r) = exp [ gMSA(r) − 1], which removes any unphysical\nnegative regions and improves the comparison with HNC\ncalculations.\n0.9\n1\n1.1\n1.2\n1.3Φ\nMC\nMSA2\nDHLL\nExp\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n3\n4\n5σ (Å)\nσ 1 (MSA-fit)\nσ 2 (MSA-fit)\nσ 1 (MSA2)\nσ 2 (MSA2)\n(a)\n(b)\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the\nMcMillan-Mayer frame of reference. (diamond) MC simula-\ntions, (dot dashed) MSA2, (dot) Debye H¨ uckel Limiting law\n(DHLL), (cross) experiments (Ref. [18] with the McMillan-\nMayer to Lewis Randall conversion). (b) Minimization diam-\neters. (dot dashed) MSA2 and (diamond) MSA-fit.\nWe first used LPT for a two-component system (Na +\nand Cl − free ions) within the MSA (model MSA2), for\nconcentrations ranging from 0.1 to 2 . 0 mol l− 1. The mini-\nmization leads to almost constant diameters on the whole\nrange of concentration:σ1 = 3 . 67 ˚\nA and σ2 = 4 . 78 ˚\nA.\nAs shown in Fig.\n2, these parameters yield osmotic co-\nefficients close to MC calculations only at very low con-\ncentration, i.e.,c ≤ 0. 1 mol l− 1 (experimental values are\ngiven for indicative purposes only, since a perfect model\nwill exactly match the MC results). For molar solutions,\nthe LPT results differ considerably from MC calculations.\nThis discrepancy can easily be understood by comparing\nthe diameters found within the MSA2 calculation with\nthe effective potentials given in Fig.\n1. The anion/cation\ncontact distance obtained within the MSA2 calculation\nis 4. 2 ˚\nA, which is in the region of the second minimum of\nthe effective potential and corresponds to the situation\nwhere there is a single layer of water molecules between\nthe ions. The first minimum of the potential, which cor-\nresponds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "responds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-\nsure, much smaller values are obtained. These MSA-fit\nhydrated diameters, which are compared to the MSA2\ndiameters in the bottom part of Fig.\n2, are averages of\nthe CIP and the solvent-separated ion pair.\nTo overcome this difficulty, we have explicitly intro-\nduced the CIP in our model (species 3). Straightforward\ncalculations, based on a characteristic-function formal-\nism, allow us to define an equivalent model in which\nthe free ions and the CIP are explicitly taken into ac-\ncount [19, 20]. We apply this formalism by defining a\npair as an anion and a cation at a distance less than\n4˚\nA, which corresponds to the position of the effective\npotential maximum. The interaction between free, like\ncharges in this new system remains unchanged, and the\ncation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "4\nr (Å)\n2\n4\n6\n8\n4 6 8\n0.5\n1\n1.5\n4 6 8\n0.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 11 (r)\n1.5 mol.L\n-1\ng 22 (r)\nFIG. 5: (Color online) RDF obtained from MC simulations\n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed)\nat two concentrations.\nThe RDF obtained within BIMSA3 are compared with\nthe MC and MSA-fit results in Fig.\n5. Our BIMSA3\nmodel accounts for the strong molecular peak of the CIP\nand provides the correct distances of minimal approach;\nwhereas the naive MSA-fit procedure ignores the former\nand gives poor estimates for the latter. At larger sep-\narations, the BIMSA3 results do not reproduce the os-\ncillations observed in the MC simulations, but the cor-\nresponding energy oscillations in the effective potentials\nare less thankBT . In addition, the perturbation term\nof the BIMSA3 appears to be negligible compared to the\nreference term for concentrations less than 1 mol l− 1. The\nperturbation can then be omitted to obtain a fully ana-\nlytical theory, determined by the hard sphere diameters\nand the pair fraction given by LPT; with the free energy\nand the RDF given in terms of the BIMSA and MSA so-\nlutions, as described above. While the procedure we have\nfollowed uses two different approximations for the refer-\nence and perturbation terms (MSA vs BIMSA), these are\nknown to be accurate for the systems under consideration\nand do not appear to be inconsistent with each other.\nTo conclude, we have combined MD simulations with\nLPT to construct simple models of electrolyte solutions\nwhich account for the molecular nature of the solvent.\nThe final result is fully analytical and it yields the ther-\nmodynamic and structural properties of the solution, in\nagreement with the original molecular description. The\nmethodology can in principle be adapted to any molecu-\nlar description of the system (MD simulations involving\ninteraction potentials accounting for polarization effects\nor Car-Parrinello MD simulations for example) as long\nas the ion-ion RDF are known. It can also be generalized\nto study interfaces. The method appears to be a promis-\ning approach toward the description of the specific effects\nof ions, especially for complex systems whose modeling\nrequires an analytic solution.\nThe authors are particularly grateful to Werner Kunz\nfor fruitful discussions.\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13,\n276 (1945).\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical\nChemistry of Electrolyte Solutions (Springer, 1998).\n[3] L. Blum, in Theoretical Chemistry: Advances and Per-\nspectives, edited by H. Eyring and D. Henderson (Aca-\ndemic Press, 1980), vol. 5, pp. 1–66.\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n[5] J.-F. Dufrˆ eche et al., J. Phys. Chem. B 109, 9873 (2005).\n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259\n(2006).\n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin.\nColloid Interface Sci.9, 1 (2004).\n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett.\n96, 147801 (2006).\n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507\n(2009).\n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110,\n10878 (2006)\n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52,\n3730 (1995).\n[12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104\n(2007).\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev.\nLett.100, 258105 (2008).\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq-\nuids (Academic Press, 1986).\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R.\nSoc. London, Ser. A359, 1545 (2001).\n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65,\n041202 (2002).\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo-\ndynamic and Transport Properties , vol. I-II (Coimbra Ed-\nitora, Lisbon, Portugal, 1984).\n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88,\n333 (1984).\n[20] J.-F. Dufrˆ eche, T. O. White, and J.-P. Hansen, Mol.\nPhys.101, 1741 (2003).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "ij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-\ning the same interaction potentials as in reference [16].\nThis setup corresponds to a concentration of 0. 64 mol l− 1.\nNPT ensemble sampling at standard pressure and tem-\nperature was enforced, with a time step of 1 fs and a\npressure bath coupling constant of 1 ps. An equilibration\nrun of 0.25 ns was followed by a production run of 0.6 ns\nfor five different initial configurations. The averages of\nthe resulting RDF were then used for the potential inver-\nsion via the HNC closure [15]. These effective potentials\nare assumed to be concentration independent and will be\nused for simulations at all concentrations.\nSubtracting the long-range Coulombic potential\nV LR\nij (r) (which depends on the dielectric constant of the\nsolvent) from V eff\nij (r), we obtain the short-range contri-\nbution V SR\nij (r) to the effective potentials. These are given\nin Fig.\n1 (species 1 and 2 refer to Na + and Cl − free ions,\nrespectively). All the short-range potentials exhibit os-\ncillations corresponding to the solvent layering between\nthe ions, but this effect is particularly important for the\ncation-anion interaction: a considerable potential barrier\n(≳ 2kBT ) separates the first two attractive wells. To\nserve as a reference, Monte Carlo (MC) simulations were\nperformed with these effective potentials; a comparison\nbetween MD and MC RDF is also provided in Fig.\n1. The\nexcellent agreement between both sets of RDF validates\nthe HNC inversion procedure [17], and allows us to com-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "3\nr (Å)\n0\n1\n2\n3\nβ V~\n12\nSR\n(r)\nβ V 12\nSR\n(r)\nβ V~\n33\nSR\n(r)\n4 6 8 10\n0\n1\n2\n3 β V~\n13\nSR\n(r)\n4 6 8 10\nβ V~\n23\nSR\n(r)\n(a)\n(b) (c)\n(d)\nFIG. 3: Effective pair potentials derived for MSA3 and\nBIMSA3. (a) Cation anion (dashed line: without taking the\npair into account), (b) pair cation, (c) pair anion, and (d) pair\npair. The internal potential of the pair β ˜Vint(r) is set equal\nto βV eff\nij (r) for distances less than 4 ˚\nA.\ntrapolating the original potential at the barrier separat-\ning pairs from free ions (as shown in Fig.\n3). We assume\nthat the interaction potential is averaged over the rota-\ntional degrees of freedom of the CIP and thus pairwise\nadditive. Hereafter, the quantities referring to such a\nthree-component model are written with a tilda symbol.\nThe short-range potentials involving the pair can be de-\nrived, in the infinite dilution limit, from an average of\nthe contributing ion interactions. In Fourier space,\n˜V SR\n3i (k) = ˜w(k/ 2)\n[\nV SR\n1i + V SR\n2i\n]\n(k), i = 1 , 2 (2a)\n˜V SR\n33 (k) = ˜w(k/ 2)2[\nV SR\n11 + V SR\n22 + 2V SR\n12\n]\n(k) (2b)\nwhere ˜w(r) is the pair probability distribution\n˜w(r) = K− 1\n0 e− β ˜Vint(r) (2c)\n˜Vint(r) is the internal part of the pair potential (see\nFig.\n3), and K0 is the association constant, defined as:\nK0 =\n∫ ∞\n0\ndr 4πr2e− β ˜Vint(r) = 0 . 43 L . mol− 1 (3)\nThe excess free-energy density of the original system\nβf ex\nv is that of the three component mixture β ˜fex\nv plus a\ncorrection term\nβf ex\nv = β ˜fex\nv − ˜ρ3 ln K0, (4)\nwhich is due to the change in standard chemical potential\nbetween the two component and three component mod-\nels. It should be noted that the fraction of pairs is now an\nadditional parameter in the minimization scheme, which\nserves to ensure chemical equilibrium. Within this rep-\nresentation, the pair can be modeled as a hard sphere\n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n-1.5\n-1\n-0.5\n0\nβ f v\nex\n (mol.L\n-1\n)\nMC\nMSA2\nMSA3\nBIMSA3\nDHLL\nExp\n0 0.5 1\n0.1\n0.2\nPair Fraction\nFIG. 4: (Color online) Excess free-energy density βf ex\nv as\na function of the square root of the concentration √ c. (dia-\nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3,\n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The\ninset gives the fraction of pairs (MSA3, BIMSA3) as a func-\ntion of√\nc.\nwe have no additional information, we consider only sym-\nmetric dumbbells. Furthermore, since analytic expres-\nsions for the RDF within BIMSA are not known, we ap-\nproximate the dumbbell as a hard sphere when comput-\ning the perturbation term (this is not necessary for the\nreference term, since an expression for the free energy\nis available). Let˜σc be the diameter of the cation (an-\nion) within the dumbbell, the diameter of the hard sphere\nrepresenting this dumbbell is taken to be˜σ3 = 4\n√\n2\nπ ˜σc[21].\nUsing these two reference systems, the three-\ncomponent MSA3 and BIMSA3, we obtain results in\nmuch better agreement with the MC simulations, as\nshown in Fig.\n4. The diameters obtained for species 1,\n2, and 3 are 3.65, 4.79, and 5.76 ˚\nA for MSA3 and 3.69,\n4.75 and 6.19 ˚\nA for BIMSA3. The free ion diameters are\nsimilar for MSA2, MSA3, and BIMSA3. The pair diam-\neter is smaller when modeled as a hard sphere (MSA3)\nthan when modeled as a dumbbell (BIMSA3). At high\nconcentration (about 1 mol l− 1), the MSA3 overestimates\nthe free energy, because the excluded volume repulsion\nbecomes too important for the pairs to be represented as\nhard spheres. The BIMSA3 model is the closest to the\nMC simulation results. It is worth noting that even at\nthe lowest concentration considered, the fraction of pairs\n(shown in the insert of Fig.\n4), although less then 5%,\nhas a non-negligible effect on the thermodynamics of the\nsystem.\nThis procedure also provides an accurate description of\nthe structure over the whole range of concentrations. A\ndevelopment similar to the one that leads to Eq. (\n2) de-\nrives the average unpaired RDF from the corresponding\npaired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How-\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains\nthe free energy functional for a continuous system\nF[ρl,ρn] =\n∫\ndr\n[\nf(ρl,ρn) + εll\n2 (∇ρl)2 + εnn\n2 (∇ρn)2 + εnl(∇ρn) ·(∇ρl) −µρl\n]\n, (4)\nwhere\nf(ρl,ρn) = kT[ρl ln ρl + (1 −ρl) ln(1−ρl)]\n+ kT[ρn ln ρn + (1 −ρn) ln(1−ρn)]\n−2εllρ2\nl −2εnnρ2\nn −4εnlρnρl. (5)\nSince the liquid may evaporate from the surface into the vapour above the surface, µis the (true)\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a\ngradient expansion of the free energy functional of a continuous system [84]. However, here we\nhave made the mapping from the free energy of the lattice KMC system.\nThe chemical potential for the nanoparticles may be determined from the functional derivative\nµn = δF[ρn,ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary\nspatially in a non-equilibrium system, i.e., µn = µn(r,t). We assume that the dynamics of the\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the\nfollowing evolution equation for the nanoparticle density profile\n∂ρn\n∂t = ∇·\n[\nMnρn∇δF[ρn,ρl]\nδρn\n]\n. (6)\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl −\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a\nmobility coefficient αwhen ρl is high (wet substrate).\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may\n15", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled\nnon-linear evolution equations for the film thickness profileh(x,t) and the amount of nanoparticles\nper unit length hp = φh, where φis the volume concentration of the nanoparticles. Note, that hp\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence\nof particle-independent capillarity and wettability only, the energy functional F[h] is given by\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs.\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\nη(φ) = η0\n(\n1 −φ\nφc\n)−2\n(8)\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle\nvolume per length hp = φhone obtains the following evolution equation:\n∂t(φh) = ∇·\n[\nφQc∇δF\nδh\n]\n+ ∇·[D(φ)h∇φ] , (9)\nwhere the particle concentration dependent diffusion coefficientD(φ) is related to the viscosity by\nthe Einstein relation D(φ) = kT/6πRη(φ), where Ris the radius of the nanoparticles [96].\nWe illustrate results obtained employing this thin film theory using the single example of a re-\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The\nexpression that we employ for the local free energy term in Eq. (2) is:\nf(h) = SLW d2\n0\nh2 + SP exp\n(d0 −h\nl0\n)\n, (10)\nwhere the parameters characterising the interaction between the liquid film and the surface are\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where\nthe profiles only vary in one Cartesian direction ( x), corresponding to a straight dewetting front.\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains\n19", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "12\nform of the imaginary part.\n0 0.5 10 \n0.2\n0.4\nω in eV\nσ ( ω )\nConductivities (CB model λ =1)\nNS\nSC\n2 ∆ + ω o\n0 0.5 1\n0.2\n0.6\n1 \nω in eV\nσ ( ω )\nConductivities (CB model λ =10)\nNS\nSC\n2 ∆ + ω o\nFIG. 17: Conductivities and ∆ W for a fixed λωsf . Top –\nωsf = 26 meV ,λ = 1, ωo = 40 meV ,Zo = 0 .77 Bottom –\nωsf = 2 .6 meV ,λ = 10, ωo = 13 .5 meV ,Zo = 1 .22. The zero\ncrossing for ∆ W is not affected by a change in λ because it\nis determined only by λωsf . We set ∆ = 30 meV .\n1 2 3\n120\n160\n200\nλ (coupling)\nCB model ( Ω o =40 meV)\nW K (meV)\nSCS\nNS\nFIG. 18: The behavior of Kubo sums in the CB model. Note\nthat the spectral weight in the NS is always larger than in the\nSCS. We setωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\nWe performed the same calculations of conductivities\nand optical integrals as in the previous three cases. The\nresults are summarized in Figs. 17 - 22. Fig 17 shows con-\nductivities in the NS and the SCS for two couplingsλ = 1\nand λ = 10 (keeping λωsf constant). Other parameters\nZo and ωo are calculated according to the discussion after\nEq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV ,\nZo = 0 .77. And for ωsf = 2 .6 meV , λ = 10, we find\nωo = 13 .5 meV , Zo = 1 .22. Note that the conductivity\nin the SCS starts at 2∆ + ωo (i.e. the resonance energy\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNS Optical Sums (CB model)\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSCS Optical Sums (CB model)\nFIG. 19: The evolution of the optical integrals in the NS\nand the SCS in the CB model. Note that about∼ 75% of\nthe spectral weight is recovered up to 1 eV . We set ωsf =\n26 meV ,λ = 1, and ∆ = 30 meV .\n0 0.5 1\n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =1)\nwith lattice\nwithout lattice\n∆ W K\n0.2 0.6 1 \n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =10)\nwith lattice\nwithout lattice\n∆ W K\nFIG. 20: ∆ W (in meV) for λ = 1(top) and λ = 10(bottom).\nWe used ωsf = 26 meV /λ and ∆ = 30 meV . The zero crossing\nis not affected because we keep λωsf constant. The notable\ndifference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles\nwith average density ρav\nn = 0.3. The top row are the nanoparticle density profiles and the bottom row are\nthe corresponding liquid density profiles at the timest/tl = 8 (left) and 80 (right), where tl = 1/kTMnc\nl σ2.\nThe parameters are kT/εll = 0.8, εnl/εll = 0.6, εnn = 0, α= 0.4Mnc\nl σ4, Mc\nl = 0, ρl(t= 0) = 0.9 ±ξ\n(where ξrepresents white noise of amplitude 0.05) and (µ−µcoex)/kT = −0.88, where the liquid exhibits\nspinodal decomposition-evaporation.\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines\ndeveloped above for the nanoparticles. For the non-conserved part we assume a standard form\n[85], i.e., the change in time of ρl is proportional to −(µsurf(r,t) −µ) = −δF[ρn,ρl]/δρl(r)\nwhere µsurf(r,t) is the local chemical potential of the liquid at the point r on the surface at time t.\nThis gives the evolution equation for the liquid density\n∂ρl\n∂t = ∇·\n[\nMc\nl ρl∇δF[ρn,ρl]\nδρl\n]\n−Mnc\nl\nδF[ρn,ρl]\nδρl\n, (7)\nwhere we assume that the coefficients Mc\nl and Mnc\nl are constants.\n16", - "page_start": 15, - "page_end": 15, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the principle of the liquid perturbation theory (LPT) ?", - "target_page": 2, - "target_passage": "The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the differ- ence between them treated as a perturbation in the ref- erence potential", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three-\ndimensional models are also discussed in the literature [76, 77].\nB. Dynamical Density Functional theory\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle.\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid,\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to\ndistinguish between the influence of the short- and the long-range parts of the interactions with the\nsubstrate, as all such interactions are absorbed into the effective chemical potential.\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond\nto number densities as we use the lattice spacing σ= 1 as our unit of length.\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl,ρn], and\nsecondly, devise dynamical equations for both density fields that account for the conserved and the\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively.\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams)\napproximation for the free energy of the system [78, 84] which contains an entropic contribution\nand contributions from the interactions between the different species (nanoparticles and liquid).\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the\n14", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include\nother effects such as fluid diffusion, that the KMC does not incorporate.\nA. Kinetic Monte Carlo model\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii)\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con-\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively\nmaps the system onto a two-dimensional two-component lattice gas having two fieldsnand l. The\nresulting three possible states of a cell are: liquid ( l = 1 ,n = 0 ), nanoparticle ( l = 0 ,n = 1 ),\nand vapour (l = 0,n = 0, i.e., cell empty). The energy of an overall configuration is given by the\nhamiltonian\nE = −εnn\n2\n∑\n\nninj −εnl\n2\n∑\n\nnilj −εll\n2\n∑\n\nlilj −µ\n∑\ni\nli (3)\nwhere ∑\n denotes a sum over nearest neighbour pairs andεll, εnn and εnl are the liquid-liquid,\nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction\nstrength parameters εll, εnn, εnl and the effective chemical potential µdetermines the equilibrium\nstate of the system. We choose εll as unit of energy – i.e. we set εll = 1.\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How-\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle\nconfigurations do not necessarily represent equilibrium structures. This implies that the system\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i)\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility\nM corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of\n9", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles\nwith average density ρav\nn = 0.3. The top row are the nanoparticle density profiles and the bottom row are\nthe corresponding liquid density profiles at the timest/tl = 8 (left) and 80 (right), where tl = 1/kTMnc\nl σ2.\nThe parameters are kT/εll = 0.8, εnl/εll = 0.6, εnn = 0, α= 0.4Mnc\nl σ4, Mc\nl = 0, ρl(t= 0) = 0.9 ±ξ\n(where ξrepresents white noise of amplitude 0.05) and (µ−µcoex)/kT = −0.88, where the liquid exhibits\nspinodal decomposition-evaporation.\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines\ndeveloped above for the nanoparticles. For the non-conserved part we assume a standard form\n[85], i.e., the change in time of ρl is proportional to −(µsurf(r,t) −µ) = −δF[ρn,ρl]/δρl(r)\nwhere µsurf(r,t) is the local chemical potential of the liquid at the point r on the surface at time t.\nThis gives the evolution equation for the liquid density\n∂ρl\n∂t = ∇·\n[\nMc\nl ρl∇δF[ρn,ρl]\nδρl\n]\n−Mnc\nl\nδF[ρn,ρl]\nδρl\n, (7)\nwhere we assume that the coefficients Mc\nl and Mnc\nl are constants.\n16", - "page_start": 15, - "page_end": 15, - "source_file": "1001.2669.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How-\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains\nthe free energy functional for a continuous system\nF[ρl,ρn] =\n∫\ndr\n[\nf(ρl,ρn) + εll\n2 (∇ρl)2 + εnn\n2 (∇ρn)2 + εnl(∇ρn) ·(∇ρl) −µρl\n]\n, (4)\nwhere\nf(ρl,ρn) = kT[ρl ln ρl + (1 −ρl) ln(1−ρl)]\n+ kT[ρn ln ρn + (1 −ρn) ln(1−ρn)]\n−2εllρ2\nl −2εnnρ2\nn −4εnlρnρl. (5)\nSince the liquid may evaporate from the surface into the vapour above the surface, µis the (true)\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a\ngradient expansion of the free energy functional of a continuous system [84]. However, here we\nhave made the mapping from the free energy of the lattice KMC system.\nThe chemical potential for the nanoparticles may be determined from the functional derivative\nµn = δF[ρn,ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary\nspatially in a non-equilibrium system, i.e., µn = µn(r,t). We assume that the dynamics of the\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the\nfollowing evolution equation for the nanoparticle density profile\n∂ρn\n∂t = ∇·\n[\nMnρn∇δF[ρn,ρl]\nδρn\n]\n. (6)\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl −\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a\nmobility coefficient αwhen ρl is high (wet substrate).\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may\n15", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion\nwithin the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquid-\nparticle and particle-particle interactions into account and therefore allows us to distinguish differ-\nent regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport\nregime where the instability is almost completely independent of the interaction strengths and\na demixing regime where particles and liquid demix at the receding front thereby increasing its\ntransverse instability.\nThe dynamical density functional theory describes the coupled dynamics of the density fields of\nthe liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional\nhamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evapo-\nrating ultrathin film and also to investigate the influence of processes such as surface diffusion by\nthe liquid, which are not incorporated in the KMC model. However, it is straightforward to extend\nthe theory to consider a fully three-dimensional fluid film, in which one can distinguish between\nshort- and long-range interactions of solvent and/or solute with the substrate. We have, however,\nrestricted the examples given here to situations that can also be described using the KMC model.\nA further exploration will be presented elsewhere.\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It\nresults from a long-wave approximation and consists of coupled evolution equations for the film\nthickness profile and the mean particle concentration. It has been used to discuss the self-pinning\nof receding contact lines that is related to the formation of rings of dried-in particles (coffee-\nstain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the\ncombined effects of convection and evaporation.\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques\nthat allow one to produce hierarchically structured functional layers for a wide range of applica-\ntions such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly\ntowards increasingly complex systems. For example, there have been investigations of the influ-\nence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal\nparticles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evap-\norating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of\na secondary phase separation on evaporation-induced pattern formation in polymer films [102],\nand of the influence of an imposed flow on decomposition and deposition processes in a sliding\nridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather\n24", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled\nnon-linear evolution equations for the film thickness profileh(x,t) and the amount of nanoparticles\nper unit length hp = φh, where φis the volume concentration of the nanoparticles. Note, that hp\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence\nof particle-independent capillarity and wettability only, the energy functional F[h] is given by\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs.\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\nη(φ) = η0\n(\n1 −φ\nφc\n)−2\n(8)\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle\nvolume per length hp = φhone obtains the following evolution equation:\n∂t(φh) = ∇·\n[\nφQc∇δF\nδh\n]\n+ ∇·[D(φ)h∇φ] , (9)\nwhere the particle concentration dependent diffusion coefficientD(φ) is related to the viscosity by\nthe Einstein relation D(φ) = kT/6πRη(φ), where Ris the radius of the nanoparticles [96].\nWe illustrate results obtained employing this thin film theory using the single example of a re-\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The\nexpression that we employ for the local free energy term in Eq. (2) is:\nf(h) = SLW d2\n0\nh2 + SP exp\n(d0 −h\nl0\n)\n, (10)\nwhere the parameters characterising the interaction between the liquid film and the surface are\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where\nthe profiles only vary in one Cartesian direction ( x), corresponding to a straight dewetting front.\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains\n19", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "[81] A. J. Archer and M. Rauscher, “Dynamical density functional theory for interacting brownian parti-\ncles: Stochastic or deterministic?” J. Phys. A-Math. Gen. 37, 9325–9333 (2004).\n[82] A. J. Archer and R. Evans, “Dynamical density functional theory and its application to spinodal\ndecomposition,” J. Chem. Phys.121, 4246–4254 (2004).\n[83] P. A. Monson, “Mean field kinetic theory for a lattice gas model of fluids confined in porous materi-\nals,” J. Chem. Phys.128, 084701 (2008).\n[84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics , Cambridge University\nPress (1997).\n[85] J. S. Langer, “An introduction to the kinetics of first-order phase transitions,” in C. Godreche, editor,\n“Solids far from Equilibrium,” pages 297–363, Cambridge University Press (1992).\n[86] M. A. Spaid and G. M. Homsy, “Stability of Newtonian and viscoelastic dynamic contact lines,”\nPhys. Fluids 8, 460–478 (1996).\n[87] U. Thiele and E. Knobloch, “Front and back instability of a liquid film on a slightly inclined plate,”\nPhys. Fluids 15, 892–907 (2003).\n[88] M. R. E. Warner, R. V . Craster, and O. K. Matar, “Surface patterning via evaporation of ultrathin\nfilms containing nanoparticles,” J. Colloid Interface Sci. 267, 92–110 (2003).\n[89] O. K. Matar, R. V . Craster, and K. Sefiane, “Dynamic spreading of droplets containing nanoparticles,”\nPhys. Rev. E 76, 056315 (2007).\n[90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, “Theory for shock dynamics in particle-laden\nthin films,” Phys. Rev. Lett.94, 117803 (2005).\n[91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, “Shock solutions for particle-laden thin films,” SIAM J.\nAppl. Math. 68, 760–783 (2008).\n[92] R. V . Craster, O. K. Matar, and K. Sefiane, “Pinning, retraction, and terracing of evaporating droplets\ncontaining nanoparticles,” Langmuir (2009), online available.\n[93] D. Quemada, “Rheology of concentrated disperse systems and minimum energy-dissipation principle\nI. Viscosity-concentration relationship,” Rheol. Acta16, 82–94 (1977).\n[94] D. Quemada and C. Berli, “Energy of interaction in colloids and its implications in rheological\nmodeling,” Adv. Colloid Interface Sci.98, 51–85 (2002).\n[95] J. J. Stickel and R. L. Powell, “Fluid mechanics and rheology of dense suspensions,” Annu. Rev.\nFluid Mech. 37, 129–149 (2005).\n[96] J. K. G. Dhont, An Introduction to Dynamics of Colloids, Elsevier, Amsterdam (1996).\n31", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - }, - { - "text": "9\nAppendix B: Derivation of the Terms Generated by\nSecond Order Perturbation of Inter-cluster\nMagnetic Interactions\nIn this Appendix we derive the second order pertur-\nbations of inter-cluster Heisenberg and spin-chirality in-\nteractions. The results can then be used to construct\n(16).\nFirst consider the perturbation λ Hperturbation = λ[Sj1 ·\nSk1 + r(Sj2 · Sk2)], where r is a real number to be tuned\nlater. Due to the fact mentioned in Subsection IV B,\nthe action ofHperturbation on any cluster singlet state\nwill produce a state with total spin-1 for both cluster j\nand k. Thus the first order perturbation in (15) van-\nishes. And the second order perturbation term can be\ngreatly simplified: operator (1− P jk )[0 − Hcluster j −\nHcluster k]−1(1 − P jk ) can be replaced by a c-number\n(−2Jcluster)−1. Therefore the perturbation up to second\norder is\n− λ2\n2Jcluster\nPjk (Hperturbation)2Pjk\nThis is true for other perturbations considered later in\nthis Appendix. The clusterj and cluster k parts can be\nseparated, this term then becomes ( a, b = x, y, z ),\n− λ2\n2Jcluster\n∑\na,b\n[\nPj Sa\nj1Sb\nj1Pj · PkSa\nk1Sb\nk1Pk\n+ 2r PjSa\nj1Sb\nj2Pj · PkSa\nk1Sb\nk2Pk\n+ r2 Pj Sa\nj2Sb\nj2Pj · PkSa\nk2Sb\nk2Pk\n]\nThen use the fact that Pj Sa\njℓSb\njm Pj = δab(1/3)Pj(Sjℓ ·\nSjm )Pj by spin rotation symmetry, the perturbation be-\ncomes\n− λ2\n6Jcluster\n[ 9 + 9 r2\n16 + 2r Pjk (Sj1 · Sj2)(Sk1 · Sk2)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n16 + (r/2)τx\nj τx\nk − r/2\n− r Pjk (Sj1 · Sj2 + Sk1 · Sk2)Pjk\n]\n.\nSo we can choose −(r λ2)/(12Jcluster) = −Jx, and include\nthe last intra-cluster Sj1 · Sj2 + Sk1 · Sk2 term in the first\norder perturbation.\nThe perturbation on x-links is then (not unique),\nλx Hperturbation, x =λx[Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2)\nwith λx =\n√\n12|Jx| · Jcluster, and r = sgn( Jx) is the sign\nof Jx. The non-trivial terms produced by up to second\norder perturbation will be the τx\nj τx\nk term. Note that the\nlast term in the above equation commutes with cluster\nHamiltonians so it does not produce second or higher\norder perturbations.\nSimilarly considering the following perturbation on y-\nlinks, λ Hperturbation = λ[Sj1 · (Sk3 − Sk4) + r Sk1 · (Sj3 −\nSj4)]. Following similar procedures we get the second\norder perturbation from this term\n− λ2\n6Jcluster\n[ 9 + 9 r2\n8\n+ 2r Pjk [Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n8 + 2r (3/4)τy\nj τy\nk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\nSo we can choose −(r λ2)/(4Jcluster) = −Jy, and include\nthe last intra-cluster Sk3 · Sk4 + r2 Sj3 · Sj4 term in the\nfirst order perturbation.\nTherefore we can choose the following perturbation on\ny-links (not unique),\nλy Hperturbation, y\n=λy[Sj1 · Sk1 + sgn(Jy) · (Sj3 − Sj4) · (Sk3 − Sk4)]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λy =\n√\n4|Jy| · Jcluster, r = sgn( Jy ) is the sign of Jy.\nThe τz\nj τz\nk term is again more difficult to get. We use\nthe representation of τz by spin-chirality (6). And con-\nsider the following perturbation\nHperturbation = Sj2 · (Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)\nThe first order term in (15) vanishes due to the same\nreason as before. There are four terms in the second\norder perturbation. The first one is\nλ2 Pjk Sj2 · (Sk3 × Sk4)(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1\n× (1 − Pjk )Sj2 · (Sk3 × Sk4)Pjk\nFor the cluster j part we can use the same arguments\nas before, the Hcluster j can be replaced by a c-number\nJcluster. For the cluster k part, consider the fact that\nSk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4],\nthe action of Sk3 × Sk4 on physical singlet states of k will\nalso only produce spin-1 state. So we can replace the\nHcluster k in the denominator by a c-number Jcluster as\nwell. Use spin rotation symmetry to separate the j and\nk parts, this term simplifies to\n− λ2\n6Jcluster\nPj Sj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk.\nUse ( S)2 = 3 /4 and\n(Sk3 × Sk4) · (Sk3 × Sk4)\n=\n∑\na,b\n(Sa\nk3Sb\nk4Sa\nk3Sb\nk4 − Sa\nk3Sb\nk4Sb\nk3Sa\nk4)\n= ( Sk3 · Sk3)(Sk4 · Sk4) −\n∑\na,b\nSa\nk3Sb\nk3[δab/2 − Sa", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "(iii)\n(iv)\n(ii)\n(i)\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thicknesshand (right) the nanoparticle\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning,\n(iii) slow motion after depinning, and (iv) final evaporation from the center.\nshould also be investigated further in the simple case presented here.\nIV . CONCLUSION\nWe have discussed recent work on pattern formation processes in films and drops of evaporating\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics\non the mesoscale has been described as well as more microscopic models for the dynamics in the\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film\nmodel.\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-\n23", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "where γ is the liquid-gas surface tension and f(h) is a local free energy term that describes the\nwettability of the surface. Since µcorresponds to a chemical potential, the termµhmay either bias\nthe system towards the liquid or towards the gas state. The variation ofF w.r.t.hgives the pressure.\nIt contains the curvature (Laplace) pressure −γ∆hand the disjoining pressure Π(h) = −∂hf(h).\nMany different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]).\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanopar-\nticles are not taken into account. However, under certain conditions one can augment equation (1)\nfor the evolution of the film thickness by coupling it to an equation for the evolution of the mean\nparticle concentration. The resulting model is able to describe the behaviour of an evaporating so-\nlution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C.\nWe should expect such a model to describe the mesoscopic dewetting front discussed above. How-\never, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor\nfilm.\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a dis-\ncrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on\nevaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The va-\nlidity of this strong assumption regarding the relevant transport processes can be confirmed from\nan estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The\nconvective mobility is proportional toh3, i.e., it is large for thick films but decreases strongly with\nreduced film thickness. The evaporative mobility, however, is a constant, implying that evapora-\ntion will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57]\nand a small contact angle ( ≈0.01), the cross-over thickness is in the range of 1-5 nanometers.\nThis estimate justifies the neglect of convective transport in a description of the postcursor film\nand may explain why one has such good agreement between the experimentally observed patterns\nand the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model\n[35]. We introduce the KMC model below in Section III A.\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its po-\ntential applications. For instance, the thermodynamic chemical potential as well as any wetting\ninteraction of the solvent with the substrate are collected in a single parameter – an effective chem-\nical potential. This implies that any influence of a disjoining pressure is ‘smeared out’ over the\nwhole system and that no distinction between the short- and the long-range parts of the disjoining\npressure is possible. It is furthermore based on the assumption that evaporation/condensation is\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "By how much did the Hartford group's link to AARP website account concerning buisness made over the internet ?", - "target_page": 16, - "target_passage": "In 2001 the company’s link to AARP’s Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "14\nmost dynamic sources of business growth. In 2001 the\ncompany’s link to AARP’s Web site accounted for much\nof the $55 million worth of auto business The Hartford\ngenerated over the Internet.\nBecause The Hartford quotes and issues this busi-\nness online (and added online billing in 2001), acquisi-\ntion and processing costs are 15 to 20 percent lower\nthan those of traditional direct-marketing or face-to-\nface sales. Because of this and other factors, the\nexpense ratio for AARP business is 30 percent below\nthat of the industry in general. And the customer\nrenewal rate is 96 percent, versus the industry’s 88 per-\ncent, making the AARP program yield some of the most\nprofitable auto business The Hartford writes.\nThe relationship also has The Hartford thinking\nahead toward new business and an even stronger rela-\ntionship with AARP members. The Hartford can cross-\nmarket auto insurance to homeowner’s customers and\nhomeowner’s insurance to auto customers, which \npresents a tremendous growth opportunity. In addition,\nThe Hartford is committed to providing value to AARP\nmembers in many ways. An example: The Hartford and\nAARP work with the MIT Age Lab to produce informa-\ntion—available in print and on both partners’ Web\nsites—advising AARP members about Alzheimer’s dis-\nease and other forms of dementia as they affect driving\nability. The information guides caregivers struggling\nwith difficult decisions about family members’ safety\nbehind the wheel. The resource—a customer solution\nlike no other—helps enhance the superior value The\nHartford provides to AARP members.\nAlthough it’s the most comprehensive, the AARP\nrelationship isn’t The Hartford’s only affinity program.\nThe company also has affinity arrangements with\nUSAA and other companies. Regardless of the pro-\ngram’s size, the affinity partners share the right quali-\nties: strong name-brand recognition, first-class\nmarketing and a broad and loyal customer base.\nIn other words, they share some of The Hartford’s\ncore attributes.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "the\n/H17074 John Belisle, right, is senior vice\npresident of Oswald, Trippe and\nCompany, Inc. in Fort Myers, Fla., \none of The Hartford’s largest sellers\nof Select Customer commercial\ninsurance. David van der Merwe,\npresident of electronics manufactur-\ner Saftronics, Inc., depends on him\nfor reliable counsel, as well as prod-\nucts tailored to Saftronics’ business.\n/H17075 The Hartford signed a new eight-\nyear contract, beginning Jan.1,\n2002, to continue its highly suc-\ncessful relationship with AARP .\nProperty & Casualty Operations\nPresident and CEO Dave Zwiener,\nsecond from left, works closely\nwith, left to right, Bill Farris, \ndirector, financial products, AARP\nServices, Inc.; Leisha Spaulding,\nmanager, financial products, AARP\nServices, Inc.; and Steve Zaleznick,\nCEO, AARP Services, Inc.", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "13\npartners\n“Partnering” is a popular business buzzword that may\nvanish as quickly as it appeared. The Hartford’s partner-\nships, on the other hand, are built for the long term and\nhave played a major role in the company’s growth and\nsuccess. \nThe company enjoys outstanding partnerships\nwith several of the world’s top asset managers. It also\nvalues its thousands of relationships with financial\nintermediaries such as large broker-dealers, banks and\nindependent financial planners—and with affinity part-\nners who extend The Hartford’s reach into large, grow-\ning markets. \n“A lot of people talk about having the right part-\nners, but The Hartford views it differently from most,”\nsays Gary Trippe, CEO of Fort Myers, Fla., property-\ncasualty agency Oswald, Trippe and Company, Inc.\n“They look for partners who share their core values,\nand the relationship is based on trust and respect. It’s\nall about compatibility.” Trippe should know. His\nagency writes three times as much business with \nThe Hartford, in both personal and commercial lines, as\nit writes with any other insurer. \nMutually beneficial partnerships with successful\nbusinesses of all sizes are the foundation of The\nHartford’s business model. \nPerhaps no relationship represents shared values\nand shared success better than the one with AARP ,\nwhich signed a new eight-year contract with The\nHartford that began Jan. 1, 2002. The AARP insurance\nprogram with The Hartford is a model of affinity mar-\nketing and distribution savvy. AARP’s membership—\nthose age 50 and over—is the fastest-growing segment\nof the U.S. population. Computer use among this group\nis growing by an estimated 20 percent per year, and the\npopulation segment respects established brands and\nseeks value, convenience and extraordinary service.\nThat right combination of factors helps make\nAARP’s World Wide Web site one of The Hartford’s", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "36\nCorporate Information\nCorporate Headquarters\nThe Hartford Financial \nServices Group, Inc.\n690 Asylum Avenue\nHartford, Connecticut 06115\n860-547-5000\nInternet Address\nhttp://www.thehartford.com\nAnnual Meeting\nShareholders are cordially invited to attend The Hartford’s\nAnnual Meeting of Shareholders, which will be held on\nThursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens\nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut.\nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting.\nForm 10-K and Other Information\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the\nSecurities and Exchange Commission for the year ended\nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \nTransfer Agent/Shareholder Records\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent:\nThe Bank of New York\nShareholder Relations Department–11E\nP .O. Box 11258\nChurch Street Station\nNew York, NY 10286\n800-254-2823\nTo send certificates for transfer and address changes:\nThe Bank of New York\nReceive and Deliver Department–11W\nP .O. Box 11002\nChurch Street Station\nNew York, NY 10286\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to:\nThe Bank of New York\nDividend Reinvestment Department\nP .O. Box 1958\nNewark, NJ 07101-9774\nE-mail: shareowner-svcs@bankofny.com\nInternet address: www.stockbny.com\nInvestor Relations\nThe Hartford Financial \nServices Group, Inc.\nHartford Plaza, HO-1-01\nHartford, Connecticut 06115\nAttn: Investor Relations\n860-547-2537\nMedia Inquiries\nThe Hartford Financial \nServices Group, Inc.\nMedia Relations\nHartford Plaza, T-12-56\nHartford, CT 06115\n860-547-5200 \nCommon Stock and Dividend Information\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share.\nCommon Stock Price Dividends\nHigh Low Declared\n2001\nFirst quarter $ 67.75 $ 55.15 $0.25\nSecond quarter 70.46 56.88 0.25\nThird quarter 69.28 50.10 0.25\nFourth quarter 62.83 53.91 0.26\n2000\nFirst quarter $ 52.75 $ 29.38 $0.24\nSecond quarter 64.00 44.25 0.24\nThird quarter 73.75 56.38 0.24\nFourth quarter 79.31 65.44 0.25\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "the\n/H17075Kwadwo Dankyi-Ampadu, service\nrepresentative, personal lines,\ntakes customer phone calls in \nThe Hartford’s Southington, Conn.,\ncustomer call center. It’s one of\nthree AARP call centers throughout\nthe United States.\n/H17074Business Technology Solutions\nManager Mike Conery and\nAutomation Trainer Brenda\nFischer, left, help agents such as\nBonnie Piazza, commercial select\naccounts manager at Webster\nInsurance in Hartford, Conn., inte-\ngrate The Hartford’s technological\ntools into their sales strategies.\nBTSMs work out of 14 regional\noffices throughout the country,\nadvising agents on the best way\nto use tools such as the Electronic\nBusiness Center and InterComm\nOn the Net (ICON), a Web-based\nautomated quoting system.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "21\nNew technology tools made The Hartford Experience—\ncustomer solutions, ease of doing business and\nextraordinary service—more real than ever for our cus-\ntomers in 2001. \nIt was a year that saw the debut of life operations’\nHartford Investor Web portal, expanded Web portals for\ngroup benefits administrators, and enhancements to\ntechnology for The Hartford’s property-casualty agents\nand customers.\nHartford Investor is both a versatile personal\nassistant and an aid in wholesaling, especially for the\nindependent financial planner channel. Broker-dealers\nand financial advisors can use it to research The\nHartford’s full complement of individual life and invest-\nment products, update their books of business in \nseconds, track daily fund performance, run financial-\nplanning models, receive online product training, \nproduce customized presentations and even submit\nbusiness electronically. \nIn short, the portal allows The Hartford to bring\nproducts and functions from a variety of sources into\none convenient online environment.\nHartford Investor has two strategic objectives:\nOne, deepen current intermediaries’ loyalty to The\nHartford by extending The Hartford Experience right to\ntheir desktops. Two, expand the network of intermedi-\naries by giving them the technological support they\nneed to grow their businesses.\nMore than 153,000 licensed intermediaries—from\nsolo advisors to members of large financial institu-\ntions—are appointed to sell The Hartford’s products.\nYet fewer than 60,000 actively write business for the\ncompany. The untapped potential is vast, especially\namong independents, the fastest-growing distribution\nchannel and the only one in which The Hartford doesn’t\nhold the largest market share.\nThat’s bound to change. With Hartford Investor\navailable on their desktops, intermediaries will have far \ntechnology", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "more incentive to look to The Hartford for the right\nproducts to offer their clients. \nThe Hartford’s Group Benefits Division’s (GBD)\nProducer View Web portal enables group benefits bro-\nkers to manage their books of business and track com-\nmissions and premium payments online. It’s also a\nresource for product brochures and other marketing\nmaterial. GBD’s Employer View portal meets benefits\nmanagers’ increasing demands for self-service. In 2001\nGBD added online billing capability to the portal, which\nalso features access to forms and status reports on pre-\nmium payments and claims, among other functions. \nThe property-casualty operation’s Electronic\nBusiness Center (EBC) has transformed the way agents\ndo business. They can obtain quotes almost instantly,\ncheck billing and loss information, track claims pay-\nments and perform a host of other daily tasks. Because\nit’s their virtual back office, agents have more time to\ndo what’s right for them: build their business. The EBC\nis proving especially valuable in the high-growth small-\nbusiness market, where service is as important as price.\nThe EBC saves hours of administrative time, allowing\nagents to sell commercial insurance products much\nmore profitably.\nThe EBC also came into its own as a decision-sup-\nport tool in 2001. Among other new features, its scoring\ntool evaluates potential small-business customers\nbased on factors such as the number of employees and\nthe size and type of the business. The score helps identi-\nfy businesses The Hartford is likely to accept and mini-\nmizes the complexity of agents’ decisions. \nTechnology introduced in 2001 also enhanced\ncustomers’ interaction with our personal lines opera-\ntion. Computer-telephony integration (CTI) at call cen-\nters immediately directs calls to the right customer\nservice representative based on whether the caller is an\nauto or homeowner’s policyholder. CTI also automati-\ncally calls up the customer’s record on the customer\nservice representative’s screen so service is faster and\ndoing business is easier—the embodiment of The\nHartford Experience.", - "page_start": 24, - "page_end": 24, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "All this translates into increased shareholder value. Since 1995, our market cap has\nincreased from $5.7 billion to $15.4 billion—an 18 percent compound annual growth rate.\nOur share price has increased nearly 160 percent since The Hartford became a public com-\npany. During the same period, the S&P 500 increased 89 percent, and the Dow Jones\nIndustrial Average 97 percent.\nIt’s no surprise that our management team is highly regarded within the financial\nservices industry and on Wall Street. We’ve built a strong leadership team, complemented\nby more than 27,000 dedicated employees who are nurtured and energized by a culture of\nsuccess. Consequently, we had a smooth leadership transition over the past year. Tom Marra\nsucceeded Lon Smith as president of our life operations and joined our board of directors.\nLon retired after a 33-year career with The Hartford, and we owe him a tremendous amount\nof gratitude for building a strong and successful operation. \nDuring 2001 we also welcomed two new members to our board of directors. Edward J.\nKelly III, president and CEO of Mercantile Bankshares Corp., joined us in May, and we welcomed\nCharles B. Strauss, president and CEO of Unilever United States, Inc., in November.\nWe’re well-positioned for growth in 2002. On Jan. 1 we renewed our relationship with\nAARP by signing a new eight-year contract to m arket auto and homeowner’s insurance to\nits 35 million members. Our small-business property-casualty operation continues to\ngrow—premiums surpassed $1.2 billion in annual sales in 2001. \nWe’re also in a leading position to take advantage of demographic shifts and to provide\nestate planning and investment and insurance products to baby boomers. We are very excited,\ntoo, about our new SMART 529™ college savings program, which offers flexible features and\nnumerous tax advantages. And the growing small-business market segment is a key target for\nour 401(k) and group-benefits businesses. In fact, with $2 billion in fully insured premiums and\n$106 million in net income, the Group Benefits Division (GBD) had its best year ever.\nAs our markets continue to grow and evolve, we stay intensely focused on the key\nstrategies in all our businesses. \nSoon after the Sept. 11 attack,\nThe Hartford Chairman, President\nand CEO Ramani Ayer, left fore-\nground, joined other industry\nCEOs in meeting with President\nBush at the White House. During\nthe meeting, the executives\nassured the president of industry\nsupport as the nation recovers.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "16\nthe\n/H17073Marsh, Inc. is a major distributor\nof The Hartford’s group benefits\nplans for mid-sized businesses—\na key growth area for The Hartford.\nJoe Axelrod, senior account exec-\nutive, third from right, and Kevin\nSzott, group sales representative,\nfar right, work in partnership \nwith senior executives from \nMarsh’s employee benefits prac-\ntice. The team includes, left \nto right, Senior Vice Presidents \nKerry King, Robert Lustberg, Maria\nMcHugh and, second from right,\nEric Jacobson. Szott, who is \nlegally blind, also works with \nThe Hartford’s Team Ability, a\ngroup of company-sponsored \nathletes with disabilities. \n/H17075In 2001, The Hartford introduced \na new category of commercial\ncoverage called CyberFlex,\nTM\ndesigned to protect small and \nmid-sized businesses against \ne-business risks such as e-mail\nviruses and Web site business\ninterruption. Deirdre Barbee, \nThe Hartford’s middle market \nmanager in Charlotte, N.C., Mike\nLesniak, Charlotte regional vice\npresident, far left, and VIP agent\nCameron Harris, president of\nCameron M. Harris & Company,\nsecond from right, explain\nCyberFlex’s benefits to Todd W.\nMansfield, CEO of Crosland, a\nCharlotte property developer \nand a 13-year customer of \nThe Hartford. Product innova-\ntions such as CyberFlex allow \nThe Hartford to provide risk-\nmanagement solutions for cus-\ntomers as their businesses evolve.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "34\n(in millions)\nCash Flows\n2001 2000 1999\nOperating cash flows $ 2,303 $ 2,435 $ 954\nInvesting cash flows $ (5,536) $ (2,164) $ 2,216\nFinancing cash flows $ 3,365 $ (208) $ (3,104)\nCash—beginning of year $ 227 $ 182 $ 123\nCash—end of year $ 353 $ 227 $ 182\nInvestments\n2001 2000\nAmount Percent Amount Percent\nUnited States Government/Government agencies $ 2,545 6.4% $ 1,988 5.8%\nAAA 10,087 25.2% 10,098 29.3%\nAA 5,769 14.4% 5,946 17.2%\nA 11,112 27.7% 8,754 25.4%\nBBB 6,853 17.1% 4,570 13.2%\nBB & below 1,573 3.9% 1,040 3.0%\nShort-term 2,107 5.3% 2,096 6.1%\nTotal fixed maturities 40,046 100.0% 34,492 100.0%\nEquities 1,349 1,056\nOther investments 5,294 5,121\nTotal investments $ 46,689 $ 40,669\nInsurance Financial Strength Ratings\nStandard\nA.M. Best Fitch & Poor’s Moody’s\nHartford Fire A+ AA AA Aa3\nHartford Life Insurance Company A+ AA+ AA Aa3\nHartford Life & Accident A+ AA+ AA Aa3\nHartford Life & Annuity A+ AA+ AA Aa3\nFor additional information, see the Company’s Annual Report on Form 10-K.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "How many licensed intermediaries did Hartford group have in 2001 ?", - "target_page": 23, - "target_passage": "More than 153,000 licensed intermediaries", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "21\nNew technology tools made The Hartford Experience—\ncustomer solutions, ease of doing business and\nextraordinary service—more real than ever for our cus-\ntomers in 2001. \nIt was a year that saw the debut of life operations’\nHartford Investor Web portal, expanded Web portals for\ngroup benefits administrators, and enhancements to\ntechnology for The Hartford’s property-casualty agents\nand customers.\nHartford Investor is both a versatile personal\nassistant and an aid in wholesaling, especially for the\nindependent financial planner channel. Broker-dealers\nand financial advisors can use it to research The\nHartford’s full complement of individual life and invest-\nment products, update their books of business in \nseconds, track daily fund performance, run financial-\nplanning models, receive online product training, \nproduce customized presentations and even submit\nbusiness electronically. \nIn short, the portal allows The Hartford to bring\nproducts and functions from a variety of sources into\none convenient online environment.\nHartford Investor has two strategic objectives:\nOne, deepen current intermediaries’ loyalty to The\nHartford by extending The Hartford Experience right to\ntheir desktops. Two, expand the network of intermedi-\naries by giving them the technological support they\nneed to grow their businesses.\nMore than 153,000 licensed intermediaries—from\nsolo advisors to members of large financial institu-\ntions—are appointed to sell The Hartford’s products.\nYet fewer than 60,000 actively write business for the\ncompany. The untapped potential is vast, especially\namong independents, the fastest-growing distribution\nchannel and the only one in which The Hartford doesn’t\nhold the largest market share.\nThat’s bound to change. With Hartford Investor\navailable on their desktops, intermediaries will have far \ntechnology", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "34\n(in millions)\nCash Flows\n2001 2000 1999\nOperating cash flows $ 2,303 $ 2,435 $ 954\nInvesting cash flows $ (5,536) $ (2,164) $ 2,216\nFinancing cash flows $ 3,365 $ (208) $ (3,104)\nCash—beginning of year $ 227 $ 182 $ 123\nCash—end of year $ 353 $ 227 $ 182\nInvestments\n2001 2000\nAmount Percent Amount Percent\nUnited States Government/Government agencies $ 2,545 6.4% $ 1,988 5.8%\nAAA 10,087 25.2% 10,098 29.3%\nAA 5,769 14.4% 5,946 17.2%\nA 11,112 27.7% 8,754 25.4%\nBBB 6,853 17.1% 4,570 13.2%\nBB & below 1,573 3.9% 1,040 3.0%\nShort-term 2,107 5.3% 2,096 6.1%\nTotal fixed maturities 40,046 100.0% 34,492 100.0%\nEquities 1,349 1,056\nOther investments 5,294 5,121\nTotal investments $ 46,689 $ 40,669\nInsurance Financial Strength Ratings\nStandard\nA.M. Best Fitch & Poor’s Moody’s\nHartford Fire A+ AA AA Aa3\nHartford Life Insurance Company A+ AA+ AA Aa3\nHartford Life & Accident A+ AA+ AA Aa3\nHartford Life & Annuity A+ AA+ AA Aa3\nFor additional information, see the Company’s Annual Report on Form 10-K.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\nHartford Plaza, 690 Asylum Avenue\nHartford, Connecticut 06115\nFORM 100025[2001]\nThere’s only\nto run a business...\nThe Hartford Financial Services Group, Inc. 2001 Summary Annual Report", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\nHartford Plaza, 690 Asylum Avenue\nHartford, Connecticut 06115\nFORM 100025[2001]\nThere’s only\nto run a business...\nThe Hartford Financial Services Group, Inc. 2001 Summary Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "22\n/H17073The Hartford’s acquisition of Fortis\nFinancial Group in 2001 enhanced\nthe company’s market share and\ndistribution advantage. Most impor-\ntantly, the acquisition brought into\nThe Hartford’s family powerful sales\nprofessionals like Allen Chinoy of\nDarien, Ill., left, the nation’s fifth-\nleading producer of The Hartford’s\nvariable universal life insurance.\nChinoy is a vocal supporter of\nHartford Investor, which makes it\neasier for him to show customers\nsuch as Dr. Dilip Patel how his\nportfolio is performing. \n/H17075Joe Smith, right, and Kim Connolly,\nleft, are a brother-sister team \nheading Smith Brothers Insurance,\nInc. of Glastonbury, Conn. These\nVIP agents are enthusiastic users\nof The Hartford’s Electronic\nBusiness Center (EBC) and other\ntechnological tools for property-\ncasualty agents. They piloted \nthe EBC and have given valuable\nfeedback to Senior Commercial\nUnderwriter Tracey Kamenash \nand others at The Hartford to help\ndevelop the EBC standards and\nnavigational model.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "18\nIntermediary Service Award and the first-ever Life\nInsurance Service Award. The triple win reflected the\noverall excellence of The Hartford’s service, a natural\ncomplement to the company’s quality products. DAL-\nBAR also recognized The Hartford’s mutual funds as the\nindustry leader in several categories, including invest-\nment management. \nIn managing its product portfolio, The Hartford fol-\nlows its own advice: think ahead and diversify. The com-\npany’s earnings base derives from a variety of\nbusinesses. Diversification is a key element in managing\nrisk and ensuring profitability—a time-tested philosophy\nthat held especially true in 2001, as the company’s other\nbusinesses evolved to anticipate changing market\ndemands and to offer protection from new risks. \nThe property-casualty Business Insurance group,\nfor example, extended its coverage to include common\nrisks associated with e-commerce. Hartford Financial\nProducts’ (HFP) coverage continued to meet emerging\nrisks in an extremely volatile business envir onment. \nThe Hartford helped customers manage risk by\ndeveloping a new category of commercial coverage\ncalled CyberFlex.\nTM\nThis targets the previously unmet\nneeds of small and mid-sized businesses that are inte-\ngrating the Internet and other communications tools\ninto their regular operations.\nA 2001 survey by The Hartford revealed that 80\npercent of small and mid-sized businesses weren’t sure\nif their current insurance policies covered specific—and\nincreasingly common—risks such as e-mail viruses,\nWeb site business interruption and online copyright\ninfringement. CyberFlex coverage protects middle-mar-\nket and small-business policyholders against the risk of\nthose potentially debilitating conditions.\nCyberFlex is part of a broad array of industry-\nspecific coverages in The Hartford’s SPECTRUM\n®\nbusi-\nness-owner’s policy, including protection against\nemployment practices liability, equipment breakdown\nand business interruption. As the economic environ-\nment changes rapidly, The Hartford thinks ahead by\nproviding those flexible coverages. And the company’s", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "14\nmost dynamic sources of business growth. In 2001 the\ncompany’s link to AARP’s Web site accounted for much\nof the $55 million worth of auto business The Hartford\ngenerated over the Internet.\nBecause The Hartford quotes and issues this busi-\nness online (and added online billing in 2001), acquisi-\ntion and processing costs are 15 to 20 percent lower\nthan those of traditional direct-marketing or face-to-\nface sales. Because of this and other factors, the\nexpense ratio for AARP business is 30 percent below\nthat of the industry in general. And the customer\nrenewal rate is 96 percent, versus the industry’s 88 per-\ncent, making the AARP program yield some of the most\nprofitable auto business The Hartford writes.\nThe relationship also has The Hartford thinking\nahead toward new business and an even stronger rela-\ntionship with AARP members. The Hartford can cross-\nmarket auto insurance to homeowner’s customers and\nhomeowner’s insurance to auto customers, which \npresents a tremendous growth opportunity. In addition,\nThe Hartford is committed to providing value to AARP\nmembers in many ways. An example: The Hartford and\nAARP work with the MIT Age Lab to produce informa-\ntion—available in print and on both partners’ Web\nsites—advising AARP members about Alzheimer’s dis-\nease and other forms of dementia as they affect driving\nability. The information guides caregivers struggling\nwith difficult decisions about family members’ safety\nbehind the wheel. The resource—a customer solution\nlike no other—helps enhance the superior value The\nHartford provides to AARP members.\nAlthough it’s the most comprehensive, the AARP\nrelationship isn’t The Hartford’s only affinity program.\nThe company also has affinity arrangements with\nUSAA and other companies. Regardless of the pro-\ngram’s size, the affinity partners share the right quali-\nties: strong name-brand recognition, first-class\nmarketing and a broad and loyal customer base.\nIn other words, they share some of The Hartford’s\ncore attributes.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "9\nThe worst of 2001 brought out the best in The\nHartford’s people. \nAs the world watched the horrors of Sept. 11,\nsome 330 of our New York employees fled their offices\nin 7 World Trade Center. Though many were caught in\nthe debris and dust from the nearby Twin Towers, all\nescaped safely. \nBy the time the 47-story 7 World Trade Center\nbuilding collapsed at about 5:20 p.m., The Hartford had\nalready arranged for temporary space in several of the\ncompany’s other offices. Employees and suppliers\nimmediately began working around the clock to get\nthe business up and running again. Despite the\ndestruction, back-up systems kept distributors’ and\ncustomers’ data secure. \nA hundred miles from Ground Zero, home office\nemployees in Hartford, Conn., began shuttling equip-\nment and supplies to our temporary offices. Some \nbooked Long Island Sound ferries from Connecticut to\nLong Island within 48 hours of the attack. Others spent\nthe weekend driving supplies to the new locations so\nemployees could concentrate on customers instead of\non finding pens and paper. Employees and suppliers\nwere determined to get the company, its distributors\nand its customers through the crisis.\nBy Monday, Sept. 17, all of The Hartford’s business\nunits in New York were serving customers again.\nEmployees had new furniture, phones, servers and PCs.\nDistributors’ and customers’ access to company e-mail\nwas never interrupted. Calls to old phone numbers were\nrerouted to cell phones or new office phones. Print and\nradio ads—along with The Hartford’s Web site—\ngave customers instructions for filing claims quickly.\nCustomer relationships were stronger than ever. The\nHartford Experience—customer solutions, ease of doing\nbusiness and extraordinary service—was never better\ndemonstrated.\npeople", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "36\nCorporate Information\nCorporate Headquarters\nThe Hartford Financial \nServices Group, Inc.\n690 Asylum Avenue\nHartford, Connecticut 06115\n860-547-5000\nInternet Address\nhttp://www.thehartford.com\nAnnual Meeting\nShareholders are cordially invited to attend The Hartford’s\nAnnual Meeting of Shareholders, which will be held on\nThursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens\nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut.\nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting.\nForm 10-K and Other Information\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the\nSecurities and Exchange Commission for the year ended\nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \nTransfer Agent/Shareholder Records\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent:\nThe Bank of New York\nShareholder Relations Department–11E\nP .O. Box 11258\nChurch Street Station\nNew York, NY 10286\n800-254-2823\nTo send certificates for transfer and address changes:\nThe Bank of New York\nReceive and Deliver Department–11W\nP .O. Box 11002\nChurch Street Station\nNew York, NY 10286\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to:\nThe Bank of New York\nDividend Reinvestment Department\nP .O. Box 1958\nNewark, NJ 07101-9774\nE-mail: shareowner-svcs@bankofny.com\nInternet address: www.stockbny.com\nInvestor Relations\nThe Hartford Financial \nServices Group, Inc.\nHartford Plaza, HO-1-01\nHartford, Connecticut 06115\nAttn: Investor Relations\n860-547-2537\nMedia Inquiries\nThe Hartford Financial \nServices Group, Inc.\nMedia Relations\nHartford Plaza, T-12-56\nHartford, CT 06115\n860-547-5200 \nCommon Stock and Dividend Information\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share.\nCommon Stock Price Dividends\nHigh Low Declared\n2001\nFirst quarter $ 67.75 $ 55.15 $0.25\nSecond quarter 70.46 56.88 0.25\nThird quarter 69.28 50.10 0.25\nFourth quarter 62.83 53.91 0.26\n2000\nFirst quarter $ 52.75 $ 29.38 $0.24\nSecond quarter 64.00 44.25 0.24\nThird quarter 73.75 56.38 0.24\nFourth quarter 79.31 65.44 0.25\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "All this translates into increased shareholder value. Since 1995, our market cap has\nincreased from $5.7 billion to $15.4 billion—an 18 percent compound annual growth rate.\nOur share price has increased nearly 160 percent since The Hartford became a public com-\npany. During the same period, the S&P 500 increased 89 percent, and the Dow Jones\nIndustrial Average 97 percent.\nIt’s no surprise that our management team is highly regarded within the financial\nservices industry and on Wall Street. We’ve built a strong leadership team, complemented\nby more than 27,000 dedicated employees who are nurtured and energized by a culture of\nsuccess. Consequently, we had a smooth leadership transition over the past year. Tom Marra\nsucceeded Lon Smith as president of our life operations and joined our board of directors.\nLon retired after a 33-year career with The Hartford, and we owe him a tremendous amount\nof gratitude for building a strong and successful operation. \nDuring 2001 we also welcomed two new members to our board of directors. Edward J.\nKelly III, president and CEO of Mercantile Bankshares Corp., joined us in May, and we welcomed\nCharles B. Strauss, president and CEO of Unilever United States, Inc., in November.\nWe’re well-positioned for growth in 2002. On Jan. 1 we renewed our relationship with\nAARP by signing a new eight-year contract to m arket auto and homeowner’s insurance to\nits 35 million members. Our small-business property-casualty operation continues to\ngrow—premiums surpassed $1.2 billion in annual sales in 2001. \nWe’re also in a leading position to take advantage of demographic shifts and to provide\nestate planning and investment and insurance products to baby boomers. We are very excited,\ntoo, about our new SMART 529™ college savings program, which offers flexible features and\nnumerous tax advantages. And the growing small-business market segment is a key target for\nour 401(k) and group-benefits businesses. In fact, with $2 billion in fully insured premiums and\n$106 million in net income, the Group Benefits Division (GBD) had its best year ever.\nAs our markets continue to grow and evolve, we stay intensely focused on the key\nstrategies in all our businesses. \nSoon after the Sept. 11 attack,\nThe Hartford Chairman, President\nand CEO Ramani Ayer, left fore-\nground, joined other industry\nCEOs in meeting with President\nBush at the White House. During\nthe meeting, the executives\nassured the president of industry\nsupport as the nation recovers.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "When did the annual sherholder meeting of Hartford happen in 2002 ?", - "target_page": 38, - "target_passage": "Shareholders are cordially invited to attend The Hartford’s Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "36\nCorporate Information\nCorporate Headquarters\nThe Hartford Financial \nServices Group, Inc.\n690 Asylum Avenue\nHartford, Connecticut 06115\n860-547-5000\nInternet Address\nhttp://www.thehartford.com\nAnnual Meeting\nShareholders are cordially invited to attend The Hartford’s\nAnnual Meeting of Shareholders, which will be held on\nThursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens\nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut.\nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting.\nForm 10-K and Other Information\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the\nSecurities and Exchange Commission for the year ended\nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \nTransfer Agent/Shareholder Records\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent:\nThe Bank of New York\nShareholder Relations Department–11E\nP .O. Box 11258\nChurch Street Station\nNew York, NY 10286\n800-254-2823\nTo send certificates for transfer and address changes:\nThe Bank of New York\nReceive and Deliver Department–11W\nP .O. Box 11002\nChurch Street Station\nNew York, NY 10286\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to:\nThe Bank of New York\nDividend Reinvestment Department\nP .O. Box 1958\nNewark, NJ 07101-9774\nE-mail: shareowner-svcs@bankofny.com\nInternet address: www.stockbny.com\nInvestor Relations\nThe Hartford Financial \nServices Group, Inc.\nHartford Plaza, HO-1-01\nHartford, Connecticut 06115\nAttn: Investor Relations\n860-547-2537\nMedia Inquiries\nThe Hartford Financial \nServices Group, Inc.\nMedia Relations\nHartford Plaza, T-12-56\nHartford, CT 06115\n860-547-5200 \nCommon Stock and Dividend Information\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share.\nCommon Stock Price Dividends\nHigh Low Declared\n2001\nFirst quarter $ 67.75 $ 55.15 $0.25\nSecond quarter 70.46 56.88 0.25\nThird quarter 69.28 50.10 0.25\nFourth quarter 62.83 53.91 0.26\n2000\nFirst quarter $ 52.75 $ 29.38 $0.24\nSecond quarter 64.00 44.25 0.24\nThird quarter 73.75 56.38 0.24\nFourth quarter 79.31 65.44 0.25\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "20022001\nAnnual Meeting\nTuesday, April 22, 2003\nAbilene Civic Center\n1100 N. Sixth Street\nAbilene, T exas 79601\nCorporate Offices\n400 Pine Street\nAbilene, T exas 79601\n325.627.7155\nffin@abilene.com\nhttp://www.ffin.com\nCorporate Mailing\nAddress\nP. O . Box 701\nAbilene, T exas 79604\nCommon Stock Listing\nThe NASDAQ Stock\nMarket®\nSymbol: FFIN\nFor Financial Information,\nContact:\nJ. Bruce Hildebrand\nExecutive Vice President\n325.627.7167\nTransfer Agent\nThe Bank of New York\n1.866.828.8173\nAddress Shareholder Inquiries to:\nShareholder Relations Dept.\nP.O. Box 11258\nChurch Street Station\nNew York, NY 10286\nE-mail Address:\nshareowner-svcs@\nbankofny.com\nThe Bank of New York \nStock Transfer Website:\nhttp://www.stockbny.com\nSend Certificates for Transfer and\nAddress Changes to:\nReceive and Deliver Dept.\nP.O. Box 11002\nChurch Street Station\nNew York, NY 10286\nIndependent Public\nAuditors\nErnst & Young LLP\nOfficers\nKenneth T. Murphy\nChairman of the Board\nF. Scott Dueser\nPresident and Chief \nExecutive Officer\nCurtis R. Harvey\nExecutive Vice President and\nChief Financial Officer\nJ. Bruce Hildebrand\nExecutive Vice President\nRobert S. Patterson\nSenior Vice President, \nTrust Services\nGary S. Gragg\nSenior Vice President\nWilliam A. Rowe\nVice President, \nInvestment Securities\nSandy Lester\nSecretary-Treasurer\nJune D. Wideman\nAdministrative Officer\nDirectors\nKenneth T. Murphy\nChairman of the Board\nJoseph E. Canon\nExecutive Director,\nDodge Jones Foundation\nMac A. Coalson\nReal Estate and Ranching\nDavid Copeland\nPresident, \nShelton Family Foundation\nF. Scott Dueser\nPresident and Chief \nExecutive Officer\nDerrell Johnson\nPresident, American Council\nof Engineering Companies\nLife Health Trust\nKade Matthews\nRanching and Investments\nRaymond A. McDaniel, Jr.\nInvestments\nBynum Miers\nRanching\nJames Parker\nPresident,\nParker Properties, Inc.\nJack D. Ramsey, M.D.\nPhysician\nCraig Smith\nChairman, \nHereford State Bank\nDian Graves Stai\nInvestments\nF.L. (Steve) Stephens\nRetired Chairman and Chief\nExecutive Officer, T own &\nCountry Food Stores, Inc.\nQUARTER HIGH LOW CLOSE DIVIDENDS\nFourth $42.00 $34.65 $38.00 $0.350\nThird 41.73 34.85 36.44 0.350\nSecond 43.00 33.00 41.84 0.350\nFirst 34.30 29.30 33.21 0.300\nFourth $31.88 $27.20 $30.10 $0.300\nThird 32.91 27.00 29.03 0.300\nSecond 31.44 25.00 31.00 0.300\nFirst 27.15 23.40 26.60 0.264", - "page_start": 94, - "page_end": 94, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\nHartford Plaza, 690 Asylum Avenue\nHartford, Connecticut 06115\nFORM 100025[2001]\nThere’s only\nto run a business...\nThe Hartford Financial Services Group, Inc. 2001 Summary Annual Report", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\nHartford Plaza, 690 Asylum Avenue\nHartford, Connecticut 06115\nFORM 100025[2001]\nThere’s only\nto run a business...\nThe Hartford Financial Services Group, Inc. 2001 Summary Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "29\nRand V. Araskog\nRetired Chairman \nand Chief Executive, \nITT Corporation \n3–chair, 4, 5\nRamani Ayer \nChairman, President and\nChief Executive Officer,\nThe Hartford\nDina Dublon \nExecutive Vice President \nand Chief Financial Officer, \nJP Morgan Chase & Co. \n1, 2, 3\nDonald R. Frahm\nRetired Chairman, President \nand Chief Executive Officer, \nThe Hartford\n1, 3, 5\nEdward J. Kelly III\nPresident and \nChief Executive Officer,\nMercantile Bankshares\nCorp. 1, 3, 4\nPaul G. Kirk, Jr.\nOf Counsel to Sullivan \n& Worcester, law firm\n1, 2, 5–chair\nThomas M. Marra\nExecutive Vice President,\nThe Hartford; President \nand Chief Operating Officer,\nLife Operations\nRobert W. Selander \nPresident and Chief \nExecutive Officer,\nMasterCard International\n1–chair, 2, 4\nCharles B. Strauss\nPresident and Chief \nExecutive Officer,\nUnilever United States, Inc.\n1, 3, 4\nH. Patrick Swygert\nPresident, \nHoward University\n2, 4–chair, 5\nGordon I. Ulmer\nRetired Chairman and \nChief Executive Officer, \nthe former Connecticut\nBank and Trust Company\n2–chair, 3, 5\nDavid K. Zwiener\nExecutive Vice President,\nThe Hartford; President \nand Chief Operating Officer,\nProperty & Casualty\nOperations \n1 Audit Committee \n2 Compensation and Personnel Committee\n3 Finance Committee\n4 Legal and Public Affairs Committee\n5 Nominating Committee", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "One Riverfront Plaza\nCorning, NY 14831-0001\n607 974 9000\nwww.corning.com\n02BR24601EN\nA NNUAL M EETING\nThe annual meeting of shareholders will be held on\nThursday, April 24, 2003, in Corning, NY . A formal notice \nof the meeting together with a proxy statement will be mailed\nto shareholders on or about March 12, 2003. The proxy state-\nment can also be accessed electronically through the Investor\nRelations category of the Corning home page on the Internet\nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon\nwritten request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831.\nA DDITIONAL I NFORMA TION\nA copy of Corning’s 2002 Annual Report on Form 10-K filed\nwith the Securities and Exchange Commission is available\nupon written request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831. The Annual Report on Form 10-K can\nalso be accessed electronically through the Investor Relations\ncategory of the home page on the Internet at:\nwww.corning.com\nI NVESTOR I NFORMA TION\nInvestment analysts who need additional information may\ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations,\nCorning Incorporated, HQ-E2-25, Corning, NY 14831;\nTelephone 607.974.9000\nC OMMON S TOCK\nCorning Incorporated common stock is listed on the \nNew Y ork Stock Exchange and the SWX Swiss Exchange.\nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The\nabbreviated ticker symbol for Corning Incorporated is “GLW.”\nT RANSFER A GENT AND R EGISTRAR\nComputershare Investor Services LLC\nP .O. Box A-3504\nChicago, IL 60690-3504\nTelephone: 800.255.0461\nWebsite: www.computershare.com\nC HANGE OF A DDRESS\nReport change of address to Computershare \nInvestor Services at the above address.\nI NDEPENDENT A CCOUNTANTS\nPricewaterhouseCoopers LLP\n1301 Avenue of the Americas\nNew Y ork, NY 10019\n“Safe Harbor” Statement under the Private\nSecurities Litigation Reform Act of 1995\nThe statements in this annual report that are not historical\nfacts or information are forward-looking statements. These\nforward-looking statements involve risks and uncertainties\nthat may cause the outcome to be materially different. Such\nrisks and uncertainties include, but are not limited to:\n— global economic and political conditions, \n— currency fluctuations,\n— product demand and industry capacity,\n— competitive products and pricing,\n— sufficiency of manufacturing capacity and efficiencies,\n— cost reductions,\n— availability and costs of critical materials,\n— new product development and commercialization,\n— attracting and retaining key personnel,\n— order activity and demand from major customers,\n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments,\n— financial condition of customers,\n— changes in the mix of sales between premium \nand non-premium products,\n— facility expansions and new plant start-up costs,\n— adverse litigation or regulatory developments, including \nfuture or pending tax legislation,\n— adequacy and availability of insurance,\n— capital resource and cash flow activities,\n— capital spending,\n— equity company activities,\n— interest costs,\n— acquisition and divestiture activity,\n— the rate of technology change,\n— the ability to enforce patents,\n— product performance issues,\n— stock price fluctuations, and\n— other risks detailed in Corning’s SEC filings.\nNeither this report nor any statement contained herein is\nfurnished in connection with any offering of securities or for\nthe purpose of promoting or influencing the sale of securities.\nCorning is an equal opportunity employer.\nPrinted in USA\n© Corning Incorporated 2003\nI NVESTOR I NFORMA TION :\nCorning Incorporated", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "34\n(in millions)\nCash Flows\n2001 2000 1999\nOperating cash flows $ 2,303 $ 2,435 $ 954\nInvesting cash flows $ (5,536) $ (2,164) $ 2,216\nFinancing cash flows $ 3,365 $ (208) $ (3,104)\nCash—beginning of year $ 227 $ 182 $ 123\nCash—end of year $ 353 $ 227 $ 182\nInvestments\n2001 2000\nAmount Percent Amount Percent\nUnited States Government/Government agencies $ 2,545 6.4% $ 1,988 5.8%\nAAA 10,087 25.2% 10,098 29.3%\nAA 5,769 14.4% 5,946 17.2%\nA 11,112 27.7% 8,754 25.4%\nBBB 6,853 17.1% 4,570 13.2%\nBB & below 1,573 3.9% 1,040 3.0%\nShort-term 2,107 5.3% 2,096 6.1%\nTotal fixed maturities 40,046 100.0% 34,492 100.0%\nEquities 1,349 1,056\nOther investments 5,294 5,121\nTotal investments $ 46,689 $ 40,669\nInsurance Financial Strength Ratings\nStandard\nA.M. Best Fitch & Poor’s Moody’s\nHartford Fire A+ AA AA Aa3\nHartford Life Insurance Company A+ AA+ AA Aa3\nHartford Life & Accident A+ AA+ AA Aa3\nHartford Life & Annuity A+ AA+ AA Aa3\nFor additional information, see the Company’s Annual Report on Form 10-K.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n63\nD E S I G N : S E Q U E L S T U D I O , N E W Y O R K\nS C H E D U L E O F Q U A R T E R L Y \nR E S U L T S\nThe Company operates on a fiscal year ending \non the Saturday nearest December 31. Quar-\nterly results are typically announced within 25 \ndays after the end of each quarter, and audited \nresults are typically announced within 40 days \nafter year-end.\nF I S C A L 2 0 0 4 \nQ U A R T E R - E N D D A T E S\n1st Quarter: Saturday, April 3\n2nd Quarter: Saturday, July 3\n3rd Quarter: Saturday, October 2\n4th Quarter: Saturday, January 1\nA N N U A L M E E T I N G\nThe Company’s annual shareholders’ meeting \nwill be held at 10:30 a.m. on May 4, 2004, at \nthe Holiday Inn, Highways 61 & 38 North, \nMuscatine, Iowa. Shareholders and other \ninterested investors are encouraged to attend \nthe meeting.\nI N V E S T O R R E L A T I O N S\nSend inquiries to:\nInvestor Relations\nHON INDUSTRIES Inc.\n414 East Third Street\nMuscatine, IA 52761\nTelephone: 563.264.7400\nFax: 563.264.7655\nE-mail: investorrelations@honi.com\nC O R P O R A T E H E A D Q U A R T E R S\nHON INDUSTRIES Inc.\n414 East Third Street\nP.O. Box 1109\nMuscatine, IA 52761-0071\nTelephone: 563.264.7400\nFax: 563.264.7217\nWebsite: www.honi.com\nI N D E P E N D E N T P U B L I C \nA C C O U N T A N T S\nPricewaterhouseCoopers LLP\nOne North Wacker Drive\nChicago, IL 60606\nC O M M O N S T O C K\nHON INDUSTRIES common stock trades \non the New York Stock Exchange under the \nsymbol: HNI. Stock price quotations can be \nfound in major daily newspapers and The \nWall Street Journal .\nT R A N S F E R A G E N T\nShareholders may report a change of address \nor make inquiries by writing or calling:\nComputershare Investor Services, LLC\n2 North LaSalle Street\nChicago, IL 60602\nTelephone: 312.588.4991\nI N V E S T O R I N F O R M A T I O N\nStatements in this report that are not strictly historical, including statements as to \nplans, objectives, and future financial performance, are “forward-looking” state-\nments that are made pursuant to the safe harbor provisions of the Private Securities \nLitigation Reform Act of 1995. Forward-looking statements involve known and \nunknown risks, which may cause the Company’s actual results in the future to dif-\nfer materially from expected results. These risks include, among others: \n• competition within the office furniture and fireplace industries, including \ncompetition from imported products and competitive pricing; \n• increases in the cost of raw materials, including steel, which is the Company’s \nlargest raw material category;\n• increases in the cost of health care benefits provided by the Company;\n• reduced demand for the Company’s storage products caused by changes in \noffice technology; including the change from paper record storage to electronic \nrecord storage; \n• the effects of economic conditions, on demand for office furniture, customer \ninsolvencies and related bad debts and claims against the Company that it \nreceived preferential payments; \n• changes in demand and order patterns from the Company’s customers, par -\nticularly its top ten customers, which represented approximately 36% of net sales \nin 2003; \n• issues associated with acquisitions and integration of acquisitions; \n• the ability of the Company to realize cost savings and productivity improve -\nments from its cost containment and business simplification initiatives;\n• the ability of the Company to realize financial benefits from investments in new \nproducts; \n• the ability of the Company’s distributors and dealers to successfully market \nand sell the Company’s products; \n• the availability and cost of capital to finance planned growth; and\n• other risks, uncertainties, and factors described from time to time in the \nCompany’s filings with the Securities and Exchange Commission. \nWe caution the reader that the above list of factors may not be exhaustive. The", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change, to what corresponds the \"average length of flood events ?", - "target_page": 11, - "target_passage": "The average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "13rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–3 –2 –1 0 1 2 3\nchange in length of average flood event (days)\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure6. Simulatedchangesintheaveragelengthoffloodevents(numberofdaysinwhichthecumulativedailyrainfallexcess\nispositive,comparedwiththe95thpercentilein1981–2010,at2 °Cglobalwarming,forindividualHadGEM3simulationsdriven\nbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.Thelabelsaboveeachpanelidentify\nthedrivingCMIP5model(orensemblemean).\nACCESS1-0\n–0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4\nIPSL-CM5A-LR\nensemble mean\nvulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure 7.Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "25rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nA detailed investigation of these factors is beyond the scope of this paper; nevertheless, this\nresult illustrates the important point that the nature and patterns of the climate forcing at a\nparticular level of global warming can play an important role in determining the patterns of\nregional impacts.\n5. Conclusion\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related\nextremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the\nglobal annual mean. There is a higher degree of spatial variation in our projections compared\nwith CMIP5-based studies.\nIn the model projections examined here, changes relating to the water cycle are complex, both\nin their geographical pattern and in the variation between different models. The length of flooding\nevents generally increases across world in all models, but maximum rainfall can either increase or\ndecrease depending on locations. Global patterns of increase and decrease show some consistency\nbetween the different GWLs, but also some local differences. Worldwide, most impacts broadly\ntend to increase with global warming in most areas. For global mean changes, even when the sign\nof change is uncertain, individual realizations generally show reduced impact at 1.5°C compared\nwith 2°C. However, this does not always hold even at the scale of major global river basins.\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in\napproximately three-quarters of countries assessed. The vulnerability increase can arise from\nincreases in either flooding or drought. Reduced drought leads to decreased vulnerability in a\nlimited number of cases.\nMost simulations here project a general increase in mean streamflow in most of the basins\nexamined, but with a number of notable exceptions in the tropics. While flows in the Ganges are\nconsistently projected to increase by 30–110% at 2°C, Amazon flows could either increase by 3%\nor decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of\nthe magnitude of changes that may be possible, so adaptation planning in particular should not\nrely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low\nstreamflows also increase in many basins, but not as many as for the mean flows—many basins\nsee decreased low flows in some or all projections.\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scaling-\nback the impacts at 2°C, if this is done with individual ensemble members rather than the\nensemble mean. However, this was not always the case for impacts that depend on more complex\nprocess or interactions between more than one climate variable, such as run-off and an indicator\nof vulnerability to food insecurity.\nDataaccessibility. This article has no additional data.\nCompetinginterests. We declare we have no competing interests.\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007–\n2013 under grant agreement no. 603864 (HELIX: ‘High-End cLimate Impacts and eXtremes’; www.\nhelixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint\nUK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion,\nAlissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous\nreviewers whose comments substantially improved the paper.\nReferences\n1. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "12rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–20 –10 0 10 20\nmm\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure5. Simulatedchangesintheannualmaximumrainfallover5daysrelativeto1981–2010,at2 °Cglobalwarming,for\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.ThelabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\n2°C, although the geographical variation is still dominated by the non-climatic factors ( figure 7).\nTherefore, the ensemble-mean change is a reasonable guide to the results.\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8).\nThe greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil\nand a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa.\nSoutheastern Africa showed larger increases than Central Africa. The HCVI decreased in three\ncountries: Mali, Burkino Faso and Sudan.\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming,\nwith increases in most assessed countries and generally similar sets of countries experiencing the\nlargest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI\nthan Central Africa, due to increased length of drought events projected in all ensemble members\n(not shown). The length of flood events was not projected to increase in this region. The Sahel\nregion consistently showed one or more countries with a small decrease in the HCVI, although\nthe precise country or countries varied between ensemble members. The decrease in HCVI here\nwas due to projected decreases in length of drought, with length of flood events projected to\nchange little.\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase\nin length of flood events projected in all members, outweighing the beneficial impact of decreased\nlength of drought which is again projected in all members.\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble\nmembers. Although the location of projected longer flood events varies across the country in\ndifferent members, the aggregation of the HCVI to the country level renders this geographical\nvariability irrelevant for such a large country because only the median value across the country\nis used in the HCVI. Some ensemble members project longer drought for Brazil, which again\ncontributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "11rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–20 –10 0 10 20\ndays\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure4. Simulatedchangesinthenumberofconsecutivedrydaysrelativeto1981–2010,at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable 5.Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the\nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean\nprecipitation(Pmean),meanrun-off(Rmean)andlowrun-off(Rlow).\nIPSL-\nCM5A-LR\nGFDL-\nESM2M\nHadGEM2-\nES\nIPSL-\nCM5A-MR\nMIRC-ESM-\nCHEM ACCESS1-0\nensemble\nmean\nTXx(°C) 2.1 2.8 2.5 2.9 2.4 2.8 2.6\n......................................... ............................................ .......................................... ..................................... ......................................\nTX90p(%time) 20.1 24.3 24.9 29.0 23.5 27.9 25.0\n......................................... ............................................ .......................................... ..................................... ......................................\nCDD −3.0 0.9 −3.4 −5.7 −2.0 −5.5 −2.9\n......................................... ............................................ .......................................... ..................................... ......................................\nRX5day(mm) 3.5 5.4 6.9 6.8 6.0 6.7 5.9\n......................................... ............................................ .......................................... ..................................... ......................................\ndroughtproxy 0.76 0.89 n.a. 0.38 0.38 0.66 0.61\n......................................... ............................................ .......................................... ..................................... ......................................\nfloodproxy 0.83 0.82 n.a. 0.75 0.73 0.78 0.78\n......................................... ............................................ .......................................... ..................................... ......................................\nPmean(%) 2.1 3.4 5.0 3.0 5.3 2.9 4.0\n......................................... ............................................ .......................................... ..................................... ......................................\nRmean(%) 2.4 6.5 8.1 4.4 8.6 4.9 5.8\n......................................... ............................................ .......................................... ..................................... ......................................\nRlow(%) −2.0 3.8 11.2 8.0 9.4 5.1 5.9\n......................................... ............................................ .......................................... ..................................... ......................................\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India\nand Bangladesh, for which such increases are projected in all ensemble members to some extent.\nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although\nthe magnitude and location within the country varied between members. Similar increases are\nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\nThe HCVI calculated for 2°C global warming showed very large geographical variability\n(figure 7 ) which relates largely to differences in socio-economic factors [ 22]. Differences in the\nclimate change simulated in different ensemble members leads to some variation in the HCVI at", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "15rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nIPSL-CM5A-LR GFDL-ESM2M HadGEM2-ES\nIPSL-CM5A-MR\n–75 –50 –10 –1 0 1 10 50 75\n%\nensemble mean\nMIROC-ESM-CHEM ACCESS1-0\nFigure9. Changesinrun-offformeanflowssimulatedbytheJULESecosystem–hydrologymodelundersixclimatesimulations\nat2°Cglobalwarming.( a)Ensemblemeanand( b)percentageofmodelsagreeingonincreasedflow.\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows\nwhere changes in mean flows were small. Changes in high run-off show similar patterns and\nmagnitudes to those in mean run-off.\nThe simulated changes in both mean and low run-off flows show substantial differences\namong the six simulations (figures 10 and 11). In most basins examined here, the range of\noutcomes include both increases and decreases in mean and low flows for any particular basin,\nbut generally with the largest proportion simulating increases in both mean and low flows. In a\nfew cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed\nentirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the\nprojected flow increases in the Ganges for 2°C global warming ranging from approximately 30%\nto more than 110%.\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon,\nOrange, Danube and Guadiana basins where the range of projected extends more towards\ndecreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C\nglobal warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C\nglobal warming for these basins.\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the\nNiger, the range of mean flow changes extended more towards increases whereas the range of\nlow flow changes extended more towards decreases.\n(b) Impactsat1.5°Cglobalwarmingcomparedto2 °C\nFor almost all quantities and simulations examined here, global-scale changes in extremes and\nrun-off at 1.5°C global warming ( table 6 ) are smaller than those compared to 2°C ( table 5 ;\nfigures 12 and 13). The exceptions to these are mean and low run-off which each show one\ninstance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing\nlarger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two\nGWLs do not overlap—the change at 2°C in all members is larger than the change at 1.5°C in", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed11.pdf" - }, - { - "text": "17rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nFigure11. Distributionsofchangesinrun-offforlowflows(flowsforlowest10%oftime)simulatedbytheJULESecosystem–\nhydrologymodelundertheensembleofsixclimateprojectionsat1.5 °C(blue)and2 °C(orange)globalwarming.Boxesshow\nthe25thand75thpercentilechanges,whiskersshowtherange,circlesshowthefourprojectionsthatdonotdefinetheendsof\ntherange,andcrossesshowtheensemblemeans.Numbersinsquarebracketsshowtheensemble-meanflowinthebaseline,\ninmillimetresofrainequivalent.\nTable 6.Globalmeanchangesat1.5 °Cglobalwarmingcomparedtopresentdayforindividualensemblemembers,forthe\nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean\nprecipitation(Pmean),meanrun-off(Rmean)andlowrun-off(Rlow).\nIPSL-\nCM5A-LR\nGFDL-\nESM2M\nHadGEM2-\nES\nIPSL-\nCM5A-MR\nMIROC-\nESM-CHEM ACCESS1-0\nensemble\nmean\nTXx(°C) 1.2 1.9 1.7 2.0 1.5 1.9 1.7\n......................................... ............................................ .......................................... ..................................... ......................................\nTX90p(%time) 10.0 15.7 16.2 19.2 14.1 18.3 15.6\n......................................... ............................................ .......................................... ..................................... ......................................\nCDD −1.2 0.7 −1.3 −5.4 0.0 −3.8 −1.6\n......................................... ............................................ .......................................... ..................................... ......................................\nRX5day(mm) 1.1 3.6 4.5 4.6 4.0 4.3 3.6\n......................................... ............................................ .......................................... ..................................... ......................................\ndroughtproxy 0.74 0.48 n.a. 0.39 0.16 0.31 0.42\n......................................... ............................................ .......................................... ..................................... ......................................\nfloodproxy 0.75 0.73 n.a. 0.73 0.79 0.73 0.75\n......................................... ............................................ .......................................... ..................................... ......................................\nPmean(%) 1.4 0.9 3.1 1.3 3.9 2.4 2.2\n......................................... ............................................ .......................................... ..................................... ......................................\nRmean(%) 2.1 0.7 5.4 0.7 6.7 5.0 3.9\n......................................... ............................................ .......................................... ..................................... ......................................\nRlow(%) −3.4 0.3 5.9 2.2 5.9 4.9 2.6\n......................................... ............................................ .......................................... ..................................... ......................................\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or\nmore. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater\nincreases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "19rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n(b)\n(a)\n(c)\nPmean (%)\n6.0\n5.0\n4.0\n3.0\n2.0\n1.0\n0\n10.0\n8.0\n6.0\n4.0\n2.0\n0\n12.0\n8.0\n4.0\n0.0\n–4.0\nRmean (%)\nRlow (%)\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0HadGEM2-ES\n1.5°C 2°C\nFigure13. Globalmeanpercentagechangesrelativeto1981–2010in( a)precipitationoverland,( b)meanrun-offflows,( c)low\nrun-offlows(10thpercentile),at2 °Cand1.5 °Cglobalwarming.\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be\ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at\neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the\npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries.\nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food\ninsecurity generally increases with global warming, and for approximately three-quarters of\ncountries assessed, this increase is larger at 2°C than 1.5°C.\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global\nwarming compared to 1.5°C ( figure 20 ). This is often the case for both increases and decreases\nin flows—increasing the level of global warming magnifies the pattern of river flow changes,\nalthough not in all cases.\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins,\nbut this was not always the case, with many basins showing similar or smaller ranges at\n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "23rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nIPSL-CM5A-LR GFDL-ESM2M\nIPSL-CM5A-MR\n0\n%\n5–5–10–15–20 10 15 20\nensemble mean\nMIROC-ESM-CHEM ACCESS1-0\nHadGEM2-ES\nFigure20. Differencebetween2°Cand1.5 °Cglobalwarminginpercentagechangesinmean(top)run-offinJULESsimulations\ndrivenbytheensembleofHadGEM3simulations.Notethattheuseofpercentagechangesemphasizeschangesinregionswhere\nthebaselinestreamflowissmall.\nThe largest regional differences between 2°C and 1.5°C global warming tend to be in the\nregions where the local impact is largest relative to the baseline. For TXx this is generally the mid-\nlatitudes, whereas for TX90p it is generally the tropics. So, broadly, the impacts at 1.5°C global\nwarming could be estimated by scaling-back the impacts at 2°C.\nThese results show some similarities with those from the CMIP5 models [ 9,38], but also some\nnotable differences. The CMIP5 models were at lower spatial resolution than the models used\nhere. Although the general patterns of change in TXx are broadly similar in our study and\nCMIP5, with greater warming in many continental interiors, is notable that our results show more\nmarked geographical variation than those from CMIP5 projections ([ 9], among others), with the\ncontinental interior warming being more intense in our projections. In particular, our results with\nHadGEM3 show more intense increases in maximum temperature in North America and Europe.\nOur projections of changes in consecutive dry days (CDD) broadly consistent with those found\nin a subset of the CMIP5 ensemble [ 9], although there are some differences. Our ensemble mean\nsuggests shorter dry spells in the central Amazon, whereas ISIMIP-indicated longer dry spells.\nAlso, as with the temperature indices, our results show greater geographical differentiation in the\nintensity of changes.\nThe decrease in Rx5day in some regions in our simulations contrasts with the subset of\nCMIP5 models used for the ISIMIP Fast-Track projections [ 9] which suggested an increase in\nRx5day almost everywhere where at least 66% of the model ensemble agreed on the sign of the\nchange, including all of northern South America. The reasons for these differences require further\ninvestigation, but some insight into possible reasons may be gained by examining the similarities\nand differences between our own individual ensemble members.\nFor all the CLIMPAct variables, the variations in global means between the ensemble members\nwere consistent at 1.5°C and 2°C. That is, the members with the largest changes at 2°C also showed\nthe largest changes at 1.5°C, and the same was true for the smallest changes, and the relative\nproportions of changes in other ensemble members. This suggests that variations between the\nensemble members at any particular GWL were not merely a consequence of internal variability", - "page_start": 22, - "page_end": 22, - "source_file": "pubmed11.pdf" - }, - { - "text": "10rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n0 1 02 03 04 05 06 07 0\n% of days\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure3. Simulatedchangesinthepercentageofdayswithdailytemperatureabovethe90thpercentilefor1981–2010at2 °C\nglobalwarming,forindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,\nandtheensemblemean.ThelabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nIndices based upon daily precipitation often show more spatial variability in changes\nthan the temperature-based indices, and greater differences between ensemble members, but,\nnevertheless, some consistent pictures still emerge.\nThe number of consecutive dry days is projected to increase over some regions and decrease\nin others (figure 4). Southern Africa, the Mediterranean, Australia and northeast South America\nare projected to have increased dry spell lengths, while this is projected to decrease in central and\neastern Asia. The general pattern of these projections is broadly consistent across the ensemble\nmembers. However, the global mean changes vary in sign ( table 5 ), as a result of different\nmagnitudes of regional changes dominating in different ensemble members.\nPerhaps more surprisingly, projected changes in maximum 5 day rainfall (Rx5day) also vary\nin sign both geographically and between models ( figure 5). Extreme rainfall might simplistically\nbe expected to increase in a warmer climate, and indeed the global mean change is a consistent\nincrease in all ensemble members (table 5). Regional Rx5day is projected to increase over many\nregions including parts of southeast Asia, southern South America, northern Australia and the\neast coast of the USA. However, some regions (particularly, the central Amazon and the northern\ncoast of South America) are projected to see a decrease in Rx5day.\nLarge increases in Rx5day are simulated in south and southeast Asia in all models, but\nwith local details varying. Southeastern South America (broadly southern Brazil and northern\nArgentina) also see large increases in Rx5day in all models. All models show only small changes\nover central and north Africa, Europe and most of Asia. In northern South America, however,\nsome models show increases in Rx5day but others show decreases. This suggests that the\nensemble-mean result of a decrease in Rx5day in this area may be subject to large uncertainty.\nInter-model variations in the sign of changes are seen in a few other local localized regions.\nThe average length of flood events (number of days in which the cumulative daily rainfall\nexcess is positive, compared to the 95th percentile of the baseline) generally increase over most\nof the land surface, although this increase was mostly by a day or less ( figure 6). However, some", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed11.pdf" - }, - { - "text": "2rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nModel Intercomparison Project (CMIP5) ensemble, forced with the RCP8.5 concentration\nscenario. To provide more detailed representations of climate processes and impacts, the\nspatial resolution was N216 (approx. 60 km grid length in mid-latitudes), a higher resolution\nthan the CMIP5 models. We used a set of impacts-relevant indices and a global land surface\nmodel to examine the projected changes in weather extremes and their implications for\nfreshwater availability and vulnerability to food insecurity. Uncertainties in regional climate\nresponses are assessed, examining ranges of outcomes in impacts to inform risk assessments.\nDespite some degree of inconsistency between components of the study due to the need to\ncorrect for systematic biases in some aspects, the outcomes from different ensemble members\ncould be compared for several different indicators. The projections for weather extremes\nindices and biophysical impacts quantities support expectations that the magnitude of change\nis generally larger for 2°C global warming than 1.5°C. Hot extremes become even hotter, with\nincreases being more intense than seen in CMIP5 projections. Precipitation-related extremes\nshow more geographical variation with some increases and some decreases in both heavy\nprecipitation and drought. There are substantial regional uncertainties in hydrological impacts\nat local scales due to different climate models producing different outcomes. Nevertheless,\nhydrological impacts generally point towards wetter conditions on average, with increased\nmean river flows, longer heavy rainfall events, particularly in South and East Asia with the\nmost extreme projections suggesting more than a doubling of flows in the Ganges at 2°C global\nwarming. Some areas are projected to experience shorter meteorological drought events and\nless severe low flows, although longer droughts and/or decreases in low flows are projected\nin many other areas, particularly southern Africa and South America. Flows in the Amazon\nare projected to decline by up to 25%. Increases in either heavy rainfall or drought events\nimply increased vulnerability to food insecurity, but if global warming is limited to 1.5°C, this\nvulnerability is projected to remain smaller than at 2°C global warming in approximately 76%\nof developing countries. At 2°C, four countries are projected to reach unprecedented levels of\nvulnerability to food insecurity.\nThis article is part of the theme issue ‘The Paris Agreement: understanding the physical and\nsocial challenges for a warming world of 1.5°C above pre-industrial levels’.\n1. Introduction\nThe majority of climate-change impacts assessments have tended to be framed in terms of future\ntime horizons, e.g. impacts by the middle or end of the twenty-first century [ 1,2]. However,\nwith international climate policy now largely focused on limiting warming to specific levels of\nglobal mean temperature such as 2°C [3] or 1.5°C [4], policy-relevant climate impacts assessments\nincreasingly need to be framed in terms of such warming levels.\nThere are two major research questions concerning the impacts of climate change at 1.5°C and\n2°C global warming, which are relevant to both mitigation and adaptation policy areas.\n(i) How much larger are the impacts at 2°C compared to 1.5°C? This is the primary question\narising from the Paris Agreement [ 4] and is relevant to mitigation policy, informing\njudgements and actions on holding the global temperature rise to ‘well below 2°C’ and\n‘pursuing efforts to limit the temperature increase to 1.5°C’.\n(ii) What regional climate conditions and related hydrological and ecological conditions\ncould occur at a particular level of global warming, such as 2°C? This is relevant to\nadaptation policy and planning—exploring the possible outcomes for these levels of", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "What is the projected situation of India regarding HCVI (Hunger and Climate Vulnerability Index)?", - "target_page": 12, - "target_passage": "India is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "climate change presents; (ii) information on the geography of the impacts and help to evaluate the\nrelative benefits of mitigation and adaptation responses.\nThe index is not intended to be a detailed planning tool, but aims to help planners evaluate the\nnature of the top-level threat to food insecurity that climate change presents, thereby supporting\nprioritization of effort.\nThe HCVI consists of three equally weighted components: exposure to climate-related hazards,\nsensitivity of national agricultural production to climate-related hazards, and adaptive capacity—\na measure of a country’s ability to cope with climate-related food shocks. The sensitivity and\nadaptive capacity components are based on data from the World Bank, World Resources Institute,", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed11.pdf" - }, - { - "text": "14rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nACCESS1-0\n–1.00 –0.75 –0.50 –0.25 0 0.25 0.50 0.75 1.00\nIPSL-CM5A-LR\nensemble mean\nchange in vulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure8. ChangeinHungerandClimateVulnerabilityIndexrelativetobaselinecalculatedforsimulatedclimatestatesat2 °C\nglobalwarming,forfiveindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,\nandtheensemblemean.\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher\nthan any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen.\nThe implication of such HCVI values is that climate change at 2°C is projected to cause levels\nof vulnerability to food insecurity that are greater than any seen in the present day. For\nindividual ensemble members, the number of countries with ‘unprecedented’ HCVI values at\n2°C varies from three to seven. Conversely, many countries in the baseline climate have levels\nof vulnerability to food insecurity that are greater than those expected in other countries under\n2°C global warming. This suggests that other factors are already posing greater risk for food\ninsecurity than 2°C climate change is expected to cause in other countries, so the increased risk\nfrom climate change should not overshadow the need to reduce vulnerability to food insecurity\narising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by\naddressing various socio-economic issues in such counties.\nThe JULES simulations show a general tendency towards increased run-off over\napproximately half of the land surface ( figure 9 ) and the majority of the major river basins\nassessed (figure 10), but with large regional uncertainties including the possibility of decreased\nflows in many basins. The ensemble-mean change in mean streamflow shows an increase of\nbetween 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing\nan increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and\nsouthcentral USA, which see less than a 5% change in run-off, and the already very dry region of\nthe Sahara Desert where the existing very small run-off become even smaller.\nEnsemble-mean projected changes in low run-off flows are generally larger ( figure 11 ), with\nthe regions seeing an increase in mean run-off seeing a larger percentage increase in low\nrun-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that\nthis does not necessarily imply a larger increase in absolute low flow compared to absolute mean\nflow, because the baseline is (by definition) smaller for low flows. In western Europe, where the\nchanges in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "19rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n(b)\n(a)\n(c)\nPmean (%)\n6.0\n5.0\n4.0\n3.0\n2.0\n1.0\n0\n10.0\n8.0\n6.0\n4.0\n2.0\n0\n12.0\n8.0\n4.0\n0.0\n–4.0\nRmean (%)\nRlow (%)\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0HadGEM2-ES\n1.5°C 2°C\nFigure13. Globalmeanpercentagechangesrelativeto1981–2010in( a)precipitationoverland,( b)meanrun-offflows,( c)low\nrun-offlows(10thpercentile),at2 °Cand1.5 °Cglobalwarming.\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be\ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at\neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the\npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries.\nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food\ninsecurity generally increases with global warming, and for approximately three-quarters of\ncountries assessed, this increase is larger at 2°C than 1.5°C.\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global\nwarming compared to 1.5°C ( figure 20 ). This is often the case for both increases and decreases\nin flows—increasing the level of global warming magnifies the pattern of river flow changes,\nalthough not in all cases.\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins,\nbut this was not always the case, with many basins showing similar or smaller ranges at\n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "6rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n0–0.2 0.2 0.4 0.6\nvulnerability to food insecurity\n0.8 1.0 1.2 1.4\nFigure1. HungerandClimateVulnerabilityIndexfor1981–2010climate(ensemblemeanacrossthebias-correctedHadGEM3\nensemble).\nTable2. ProxiesforfloodanddroughteventsusedintheHCVI.\nextremeweatherevent descriptionofproxy\naveragelengthoffloodevents numberofdaysinwhichthecumulativedailyrainfallexcessispositive,\ncomparedwiththe95thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\naveragelengthofdroughtevents numberofdaysinwhichthecumulativedailyrainfalldeficitispositive,\ncomparedwiththe20thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\nUN Food and Agriculture Organization, UN Development Programme and UN Population\nFund [ 22]. The exposure component comprised proxies for the average length of flood and\ndrought events calculated with daily precipitation data [ 23]( table 2). These proxies were chosen\nabove other possible metrics as they were required to replace self-reported instances of flood\nand drought events used in the original HCVI, which correlate with undernutrition data at the\ncountry-level [23]. The proxies were therefore masked to only include data where a significant\nproportion of people live and grow crops before aggregating to country level and combining to\ncomprise a measure of exposure [ 23]; nevertheless, it is recognized that precipitation data alone\nmay not always be adequate for representing flood and drought events, so the current method is\nregarded as preliminary.\nThe impacts of projected climate change, therefore, act through changes in these quantities. In\nthe current version of the HCVI, climate-change impacts on other quantities such as crop yield\nare not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at\npresent-day conditions.\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected\nHadGEM3 ensemble is shown in figure 1 . The spatial pattern is compatible with HCVI values\ncalculated using reanalysis data at the CMIP5 grid-scale resolution [ 23]; the most vulnerable\nregions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables\ninclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.\n1–32. Cambridge, UK: Cambridge University Press.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "13rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–3 –2 –1 0 1 2 3\nchange in length of average flood event (days)\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure6. Simulatedchangesintheaveragelengthoffloodevents(numberofdaysinwhichthecumulativedailyrainfallexcess\nispositive,comparedwiththe95thpercentilein1981–2010,at2 °Cglobalwarming,forindividualHadGEM3simulationsdriven\nbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.Thelabelsaboveeachpanelidentify\nthedrivingCMIP5model(orensemblemean).\nACCESS1-0\n–0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4\nIPSL-CM5A-LR\nensemble mean\nvulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure 7.Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "27rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n22. Krishnamurthy PK, Lewis K, Choularton RJ. 2014 A methodological framework for rapidly\nassessing the impacts of climate risk on national-level food security through a vulnerability\nindex.Glob. Environ. Change25, 121–132. (doi:10.1016/j.gloenvcha.2013.11.004)\n23. Richardson K, Lewis K, Krishnamurthy K, Kent C, Wiltshire A, Hanlon H. 2018 Food security\noutcomes under a changing climate: impacts of mitigation and adaptation on vulnerability to\nfood insecurity.Clim. Change, 147, 327–341. (doi:10.1007/s10584-018-2137-y)\n24. Best M et al.2011 The joint UK land environment simulator (JULES), model description—part\n1: energy and water fluxes. Geosci. Model Dev.4, 677–699. (doi:10.5194/gmd-4-677-2011)\n25. Clark D et al. 2011 The joint UK land environment simulator (JULES), model description–\npart 2: carbon fluxes and vegetation dynamics. Geosci. Model Dev.4, 701–722. ( doi:10.5194/\ngmd-4-701-2011)\n26. Cox PM, Betts RA, Jones CD, Spall SA, Totterdell IJ. 2000 Acceleration of global warming\ndue to carbon-cycle feedbacks in a coupled climate model. Nature 408, 184–187. (doi:10.1038/\n35041539)\n27. Jones CD et al. 2011 The HadGEM2-ES implementation of CMIP5 centennial simulations.\nGeosci. Model Dev.4, 543–570. (doi:10.5194/gmd-4-543-2011)\n28. Betts RA et al.2015 Climate and land use change impacts on global terrestrial ecosystems and\nriver flows in the HadGEM2-ES Earth system model using the representative concentration\npathways. Biogeosciences 12, 1317. (doi:10.5194/bg-12-1317-2015)\n29. Falloon PD, Betts RA. 2006 The impact of climate change on global river flow in HadGEM1\nsimulations. Atmos. Sci. Lett.7, 62–68. (doi:10.1002/asl.133)\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C,\nBetts R. 2013 The importance of population, climate change and CO 2 plant physiological\nforcing in determining future global water stress. Glob. Environ. Change 23, 1083–1097.\n(doi:10.1016/j.gloenvcha.2013.06.005)\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change\nimpact on European runoff and low flows – exploring the effects of forcing biases. Hydrol.\nEarth Syst. Sci.20, 1785–1808. (doi:10.5194/hess-20-1785)\n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying. Nat. Clim.\nChange 6, 946–949. (doi:10.1038/nclimate3046)\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing\nCO2 reduce estimates of climate impacts on drought severity. Proc. Natl Acad. Sci. USA113,\n10 019–10 024. (doi:10.1073/pnas.1604581113)\n34. Betts RA et al.2007 Projected increase in future river runoff through plant responses to carbon\ndioxide rise. Nature 448, 1037–1042. (doi:10.1038/nature06045)\n35. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2017 The effect of GCM biases\non global runoff simulations of a land surface model. Hydrol. Earth Syst. Sci.21, 4379–4401.\n(doi:10.5194/hess-21-4379-2017)\n36. Sheffield J, Goteti G, Wood EF. 2006 Development of a 50-year high-resolution global\ndataset of meteorological forcings for land surface modeling. J. Climate 19, 3088–3111.\n(doi:10.1175/JCLI3790.1)\n37. Grillakis MG, Koutroulis AG, Tsanis IK. 2013 Multisegment statistical bias correction of daily\nGCM precipitation output. J. Geophys. Res. Atmos.118, 3150–3162. (doi:10.1002/jgrd.50323)\n38. Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in\nregional climate extremes as a function of global mean temperature: an interactive plotting\nframework. Geosci. Model Dev.10, 3609–3634. (doi:10.5194/gmd-10-3609-2017)\n39. Mitchell D, James R, Forster PM, Betts RA, Shiogama H, Allen M. 2016 Realizing the impacts\nof a 1.5°C warmer world. Nat. Clim. Change6, 735–737. (doi:10.1038/nclimate3055)\n40. Cox P et al. 2008 Increase risk of Amazonian drought due to decreasing aerosol pollution.", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed11.pdf" - }, - { - "text": "22rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n0–0.2 0.2 0.4 0.6\nvulnerability to food insecurity\n0.8 1.0 1.2 1.4\nFigure18. HungerandClimateVulnerabilityIndexat1.5 °Cglobalwarming(ensemblemean).\nACCESS1-0\n–5.0 –0.4 –0.3 –0.2 –0.1 0 0.1 0.2 0.3 0.4 0.5\nIPSL-CM5A-LR\nensemble mean\nchange in vulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure19. DifferenceinHungerandClimateVulnerabilityIndexbetween2 °Cand1.5°Cglobalwarming,forindividualensemble\nmembersandensemblemean.\n4. Discussion\nIn most cases, global mean changes at 2°C are larger than those at 1.5°C, not only for individual\nmembers but also for the ensemble as a whole. All ensemble members show increases in TXx at\n2°C which are larger than all changes at 1.5°C, and same true for most other variables.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed11.pdf" - }, - { - "text": "2rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nModel Intercomparison Project (CMIP5) ensemble, forced with the RCP8.5 concentration\nscenario. To provide more detailed representations of climate processes and impacts, the\nspatial resolution was N216 (approx. 60 km grid length in mid-latitudes), a higher resolution\nthan the CMIP5 models. We used a set of impacts-relevant indices and a global land surface\nmodel to examine the projected changes in weather extremes and their implications for\nfreshwater availability and vulnerability to food insecurity. Uncertainties in regional climate\nresponses are assessed, examining ranges of outcomes in impacts to inform risk assessments.\nDespite some degree of inconsistency between components of the study due to the need to\ncorrect for systematic biases in some aspects, the outcomes from different ensemble members\ncould be compared for several different indicators. The projections for weather extremes\nindices and biophysical impacts quantities support expectations that the magnitude of change\nis generally larger for 2°C global warming than 1.5°C. Hot extremes become even hotter, with\nincreases being more intense than seen in CMIP5 projections. Precipitation-related extremes\nshow more geographical variation with some increases and some decreases in both heavy\nprecipitation and drought. There are substantial regional uncertainties in hydrological impacts\nat local scales due to different climate models producing different outcomes. Nevertheless,\nhydrological impacts generally point towards wetter conditions on average, with increased\nmean river flows, longer heavy rainfall events, particularly in South and East Asia with the\nmost extreme projections suggesting more than a doubling of flows in the Ganges at 2°C global\nwarming. Some areas are projected to experience shorter meteorological drought events and\nless severe low flows, although longer droughts and/or decreases in low flows are projected\nin many other areas, particularly southern Africa and South America. Flows in the Amazon\nare projected to decline by up to 25%. Increases in either heavy rainfall or drought events\nimply increased vulnerability to food insecurity, but if global warming is limited to 1.5°C, this\nvulnerability is projected to remain smaller than at 2°C global warming in approximately 76%\nof developing countries. At 2°C, four countries are projected to reach unprecedented levels of\nvulnerability to food insecurity.\nThis article is part of the theme issue ‘The Paris Agreement: understanding the physical and\nsocial challenges for a warming world of 1.5°C above pre-industrial levels’.\n1. Introduction\nThe majority of climate-change impacts assessments have tended to be framed in terms of future\ntime horizons, e.g. impacts by the middle or end of the twenty-first century [ 1,2]. However,\nwith international climate policy now largely focused on limiting warming to specific levels of\nglobal mean temperature such as 2°C [3] or 1.5°C [4], policy-relevant climate impacts assessments\nincreasingly need to be framed in terms of such warming levels.\nThere are two major research questions concerning the impacts of climate change at 1.5°C and\n2°C global warming, which are relevant to both mitigation and adaptation policy areas.\n(i) How much larger are the impacts at 2°C compared to 1.5°C? This is the primary question\narising from the Paris Agreement [ 4] and is relevant to mitigation policy, informing\njudgements and actions on holding the global temperature rise to ‘well below 2°C’ and\n‘pursuing efforts to limit the temperature increase to 1.5°C’.\n(ii) What regional climate conditions and related hydrological and ecological conditions\ncould occur at a particular level of global warming, such as 2°C? This is relevant to\nadaptation policy and planning—exploring the possible outcomes for these levels of", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - }, - { - "text": "12rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–20 –10 0 10 20\nmm\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure5. Simulatedchangesintheannualmaximumrainfallover5daysrelativeto1981–2010,at2 °Cglobalwarming,for\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.ThelabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\n2°C, although the geographical variation is still dominated by the non-climatic factors ( figure 7).\nTherefore, the ensemble-mean change is a reasonable guide to the results.\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8).\nThe greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil\nand a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa.\nSoutheastern Africa showed larger increases than Central Africa. The HCVI decreased in three\ncountries: Mali, Burkino Faso and Sudan.\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming,\nwith increases in most assessed countries and generally similar sets of countries experiencing the\nlargest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI\nthan Central Africa, due to increased length of drought events projected in all ensemble members\n(not shown). The length of flood events was not projected to increase in this region. The Sahel\nregion consistently showed one or more countries with a small decrease in the HCVI, although\nthe precise country or countries varied between ensemble members. The decrease in HCVI here\nwas due to projected decreases in length of drought, with length of flood events projected to\nchange little.\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase\nin length of flood events projected in all members, outweighing the beneficial impact of decreased\nlength of drought which is again projected in all members.\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble\nmembers. Although the location of projected longer flood events varies across the country in\ndifferent members, the aggregation of the HCVI to the country level renders this geographical\nvariability irrelevant for such a large country because only the median value across the country\nis used in the HCVI. Some ensemble members project longer drought for Brazil, which again\ncontributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change simulation, what is JULES ?", - "target_page": 7, - "target_passage": "Impacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "7rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nIn the present study, processing errors in the input data for one ensemble member, the\nHadGEM2-ES-driven member, caused the results to be invalid. Results for this member for the\nHCVI are, therefore, not presented here.\n(d) Freshwaterresources:run-off\nImpacts on freshwater were assessed with a version of the JULES land surface model [ 24,25], a\ncoupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes\nof water, energy and carbon in an internally consistent way, typically applied at global scales.\nVariants of JULES form the land surface scheme of Met Office Hadley Centre Earth System\nModels [ 26,27] and have been used to assess impacts of climate change on global terrestrial\necosystems and hydrology [ 28–30] within such models. JULES can also be used outside of the\nEarth System Model (ESM), driven by meteorological outputs of other ESMs to assess impacts of\na wider range of climate projections [ 6,8]. Here we use a new, higher-resolution configuration of\nJULES on a global grid of 0.5° resolution [31].\nIt has been noted that hydrological impacts models driven by climate-change projections\nfrom climate models tend to give more severe drying than simulated in the climate models\nthemselves [ 32–34]. This is largely attributed to the inclusion of plant stomatal closure in\nresponse to elevated CO 2 in the climate model land surface schemes, which generally reduces\nevapotranspiration relative to climate projections without this process and hence further increases\nrun-off/streamflow or ameliorates decreases [34]. This process is often omitted from standard\nhydrological models. Plant physiological responses to CO 2 are included in the JULES model, so\nour projections of changes in run-off here do account for this process.\nWe used each HadGEM3 simulation to drive JULES to simulate changes in run-off due to\nthe effects of climate change and CO 2 rise on precipitation, evaporation and transpiration. We\nanalysed 30 year periods centred around the year of crossing GWLs of 1.5°C and 2°C relative to\npre-industrial. We examined changes in both mean flows and low flows (defined as the flows for\nthe lowest 10% of time).\n(e) Correctingbiasesinclimatemodeloutputandimplicationsfordefininglevelsofglobal\nwarming\nThe ClimPACT extreme weather indices, HCVI and JULES run-off simulations were all performed\nusing outputs from the higher-resolution HadGEM3 projections described in §2a. However, there\nwere some differences in how these data were applied, with different approaches to the treatment\nof systematic biases in the climate model output. For the ClimPACT analysis, it was considered\nimportant to assess changes in the raw climate model output, because this directly represents\nthe behaviour of the model itself. The main focus was on the changes relative to the present-\nday baseline climate, defined as 1981–2010, with absolute values in either the baseline or the\nGWLs of 1.5°C and 2°C being only of secondary interest. For the HCVI and JULES run-off\nanalyses, however, it was considered important to correct for systematic biases in the climate\nmodel output, because these can lead to unrealistic representations of the key quantities in the\npresent-day simulation [35]. A bias-correction methodology was, therefore, applied for these two\nparts of the analysis, whereby the model output was adjusted to make it consistent with an\nobserved climatology [ 36]. We used a multi-segment statistical bias-correction methodology for\nprecipitation [37], and a modification of this for other variables [37].\nThis difference in approach led to inconsistencies in the definitions of the dates of GWLs\nin the two parts of the study. In the extremes analysis using raw model output, the dates of\npassing GWLs were defined on the basis of the global mean temperatures in the driving CMIP5", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - }, - { - "text": "27rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n22. Krishnamurthy PK, Lewis K, Choularton RJ. 2014 A methodological framework for rapidly\nassessing the impacts of climate risk on national-level food security through a vulnerability\nindex.Glob. Environ. Change25, 121–132. (doi:10.1016/j.gloenvcha.2013.11.004)\n23. Richardson K, Lewis K, Krishnamurthy K, Kent C, Wiltshire A, Hanlon H. 2018 Food security\noutcomes under a changing climate: impacts of mitigation and adaptation on vulnerability to\nfood insecurity.Clim. Change, 147, 327–341. (doi:10.1007/s10584-018-2137-y)\n24. Best M et al.2011 The joint UK land environment simulator (JULES), model description—part\n1: energy and water fluxes. Geosci. Model Dev.4, 677–699. (doi:10.5194/gmd-4-677-2011)\n25. Clark D et al. 2011 The joint UK land environment simulator (JULES), model description–\npart 2: carbon fluxes and vegetation dynamics. Geosci. Model Dev.4, 701–722. ( doi:10.5194/\ngmd-4-701-2011)\n26. Cox PM, Betts RA, Jones CD, Spall SA, Totterdell IJ. 2000 Acceleration of global warming\ndue to carbon-cycle feedbacks in a coupled climate model. Nature 408, 184–187. (doi:10.1038/\n35041539)\n27. Jones CD et al. 2011 The HadGEM2-ES implementation of CMIP5 centennial simulations.\nGeosci. Model Dev.4, 543–570. (doi:10.5194/gmd-4-543-2011)\n28. Betts RA et al.2015 Climate and land use change impacts on global terrestrial ecosystems and\nriver flows in the HadGEM2-ES Earth system model using the representative concentration\npathways. Biogeosciences 12, 1317. (doi:10.5194/bg-12-1317-2015)\n29. Falloon PD, Betts RA. 2006 The impact of climate change on global river flow in HadGEM1\nsimulations. Atmos. Sci. Lett.7, 62–68. (doi:10.1002/asl.133)\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C,\nBetts R. 2013 The importance of population, climate change and CO 2 plant physiological\nforcing in determining future global water stress. Glob. Environ. Change 23, 1083–1097.\n(doi:10.1016/j.gloenvcha.2013.06.005)\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change\nimpact on European runoff and low flows – exploring the effects of forcing biases. Hydrol.\nEarth Syst. Sci.20, 1785–1808. (doi:10.5194/hess-20-1785)\n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying. Nat. Clim.\nChange 6, 946–949. (doi:10.1038/nclimate3046)\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing\nCO2 reduce estimates of climate impacts on drought severity. Proc. Natl Acad. Sci. USA113,\n10 019–10 024. (doi:10.1073/pnas.1604581113)\n34. Betts RA et al.2007 Projected increase in future river runoff through plant responses to carbon\ndioxide rise. Nature 448, 1037–1042. (doi:10.1038/nature06045)\n35. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2017 The effect of GCM biases\non global runoff simulations of a land surface model. Hydrol. Earth Syst. Sci.21, 4379–4401.\n(doi:10.5194/hess-21-4379-2017)\n36. Sheffield J, Goteti G, Wood EF. 2006 Development of a 50-year high-resolution global\ndataset of meteorological forcings for land surface modeling. J. Climate 19, 3088–3111.\n(doi:10.1175/JCLI3790.1)\n37. Grillakis MG, Koutroulis AG, Tsanis IK. 2013 Multisegment statistical bias correction of daily\nGCM precipitation output. J. Geophys. Res. Atmos.118, 3150–3162. (doi:10.1002/jgrd.50323)\n38. Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in\nregional climate extremes as a function of global mean temperature: an interactive plotting\nframework. Geosci. Model Dev.10, 3609–3634. (doi:10.5194/gmd-10-3609-2017)\n39. Mitchell D, James R, Forster PM, Betts RA, Shiogama H, Allen M. 2016 Realizing the impacts\nof a 1.5°C warmer world. Nat. Clim. Change6, 735–737. (doi:10.1038/nclimate3055)\n40. Cox P et al. 2008 Increase risk of Amazonian drought due to decreasing aerosol pollution.", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed11.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "8rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nTable3. TimeofreachingGWLsof1.5 °Cand2 °CintherawoutputfromtheHadGEM3climatesimulations,drivenbydifferent\nsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20-yearperiodforwhichtheclimatedataareapplied\ntothecalculationoftheClimPACTindices.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2015 2030\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2040 2055\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2027 2039\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2020 2034\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2023 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1–0 2034 2046\n......................................... ............................................ .......................................... ..................................... ......................................\nup to present-day plus model-projected warming thereafter ( table 4 ). While this does lead to\ninconsistent definitions of dates of the GWLs for applications of the climate model output with\nand without bias correction, the focus here is on the level of warming relative to pre-industrial\nrather than the timing of this warming. Therefore, priority is given to an accurate quantification\nof GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming\nlevels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on\nthe model and warming level. This inconsistency would have consequences if these results were\napplied to time-dependent impacts and adaptation assessments, but that is not the case here so\nthis concern does not apply. However, one issue is that the time-dependent nature of the aerosol\nforcing means that the spatial pattern of regional climate responses varies over time, so this will\nlead to some degree of inconsistency between the analysis of the ClimPACT extremes and the\nHCVI and JULES impacts projections.\n3. Results\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the\nlevel of agreement between models for a particular projected change, and hence an indication\nof potential robustness of the projected changes for informing adaptation. We then make a\ncomparison of impacts at global warming 1.5°C to investigate the level of impact that would\nbe avoided by limiting global warming to different levels. Bearing in mind the uncertainty in\nregional climate outcomes, we address this in a number of ways. For individual realizations, we\ncompare the impacts at different warming levels to see if they are systematically smaller at 1.5°C,\neven if the sign of the change is uncertain. We also compare the range of outcomes at different\nGWLs, to see if the regional-scale uncertainty itself increases with global warming.\n(a) Climate-changeimpactsat2 °Cglobalwarming\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was\nabove 2°C for most of the land surface, with the exception of the Indian subcontinent, most of", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n12 30-year means can be created using the UKCP18 PDF data\n13 http://www.euro-cordex.net/\n60KM GLOBAL PROJECTIONS \n20 plausible climate futures. Latest Hadley Centre climate model. Simulations \nof extreme weather. Simultaneous impacts captured at multiple locations.\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models.\n25KM PROBABILISTIC PROJECTIONS \nCaptures natural variability and climate change . Updated models and \nobservations. Provides seasonal scale projections.\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP09\n11. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided\n12.\nDOWNSCALED HIGH RESOLUTION PROJECTIONS \nDownscaled versions of the global model for the UK. For the most spatially \ndetailed downscaling this includes hourly data. Simultaneous impacts captured \nat multiple UK locations.\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX\n13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.\nPROJECTIONS OVER LAND \nThe land projections comprise three components:", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "There are a number of ways in which 1.5°C or 2°C global warming can be defined—one could\nbe the long-term climate state following a stabilization of warming at that level, another could\nbe the state over a shorter period around the time of first reaching that level. Here we choose the\nsecond definition, which is what is seen first and hence needs to be adapted to. There are also\na number of methods with which such changes can be assessed [10]. We take the opportunity\nof availability of a new set of higher-resolutions transient climate and impacts simulations, and\nuse a time-sampling methodology [ 10] to assess global-scale impacts at these resolutions for the\nfirst time.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed11.pdf" - }, - { - "text": "4rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for\nan improved representation of atmospheric and land surface processes including extremes by\nusing higher spatial resolution [11].\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK\nMet Office Unified Model (MetUM) which has been developed for use for both climate research\nand weather prediction applications. It is the result of converging the development of the Met\nOffice’s weather and climate global atmospheric model components so that, where possible,\natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and\ntimescales.\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere\n(GA) 3.0 model [ 12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with\ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of\nthe HadGEM3-GC2 coupled climate model [ 15,16], which is part of the HadGEM3 family of\nclimate models [ 12]. This represents the third generation of HadGEM configurations, leading\non from the HadGEM2 family of climate model configurations [ 13]w h i c hw a su s e df o rC M I P 5 .\nKey improvements over the previous model, HadGEM2, include increased vertical levels in the\natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17].\nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met\nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution\nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher\nresolution [18,19].\nWe ran the model using only its atmosphere and land components, with time-varying sea-\nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This\napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications\nof the higher resolution for projections of climate extremes and impacts—an atmosphere-\nonly simulation requires considerably less computing time than a coupled ocean–atmosphere\ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in\nregional climate changes by using SSTs and SICs from different climate models. To explore these\nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric\nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5\nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial\ninfluence on regional patterns of climate change over land, so using a range of SST and SIC\npatterns in a single atmosphere model goes some way towards representing the range of regional\nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This\napproach will not capture the full range of uncertainty affecting regional climate changes over\nland, because it still relies on one atmosphere model and one land surface scheme, so responses\nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions\nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that\nour experimental design avoids the reliance on one single realization of climate and hence allows\nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with\nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "International Journal of \nEnvironmental Research\nand Public Health\nArticle\n#Climatechange vs. #Globalwarming: Characterizing\nTwo Competing Climate Discourses on Twitter with\nSemantic Network and Temporal Analyses\nWen Shi 1, Haohuan Fu 1,2 , Peinan Wang 3, Changfeng Chen 3 and Jie Xiong 4, *\n1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science,\nTsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.);\nhaohuan@tsinghua.edu.cn (H.F.)\n2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China;\nwpn17@mails.tsinghua.edu.cn (P .W.); chencf@mail.tsinghua.edu.cn (C.C.)\n4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n* Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n/gid00030/gid00035/gid00032/gid00030/gid00038/gid00001/gid00033/gid00042/gid00045/gid00001\n/gid00048/gid00043/gid00031/gid00028/gid00047/gid00032/gid00046\nAbstract: Distinct perceptions of the global climate is one of the factors preventing society from\nachieving consensus or taking collaborative actions on this issue. The public has not even reached\nan agreement on the naming of the global concern, showing preference for either “climate change”\nor “global warming”, and few previous studies have addressed these two competing discourses\nresulting from distinct climate concerns by differently linking numerous climate concepts. Based on\nthe 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009\nand 31 December 2018, we constructed the semantic networks of the two discourses and examined\ntheir evolution over the decade. The findings indicate that climate change demonstrated a more\nscientific perspective and showed an attempt to condense climate discussions rather than diffuse the\ntopic by frequently addressing sub-topics simultaneously. Global warming triggered more political\nresponses and showed a greater connection with phenomena. Temporal analysis suggests that\ntraditional political discussions were gradually fading in both discourses but more recently started to\nrevive in the form of discourse alliance in the climate change discourse. The associations between\nglobal warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is\nbecoming more dominant than global warming in public discussions. Although two discourses have\nshown more similarities in the rank order of important climate concepts, apparent disagreements\ncontinue about how these concepts are associated. These findings lay the groundwork for researchers\nand communicators to narrow the discrepancy between diverse climate perceptions.\nKeywords: climate change; global warming; semantic network analysis; temporal analysis; public\ndiscourse; Twitter\n1. Introduction\nThe public’s distinct understanding of the cause and effect of the global climate issue is an obstacle\nto joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2],\nprevious studies noticed that the public had even failed to reach an agreement on whether “climate\nchange” or “global warming” is the most appropriate definition of the global climate concern [3–5].\nAccording to the definition provided by [ 6], global warming describes global climate issues as\na continuous increase in the average temperature of Earth’s surface due to anthropogenic emissions\nof greenhouse gases, whereas climate change includes not only temperature rise but also a range of\nInt. J. Environ. Res. Public Health 2020, 17, 1062; doi:10.3390/ijerph17031062 www.mdpi.com /journal/ijerph", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different\nbiases in baseline precipitation climatology, and different global patterns of precipitation change.\nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global\nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global\nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected,\nwhich means that the results here may be sensitive to systematic errors arising from biases in the\npresent-day SST patterns.\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5\nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol\nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse\ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "in the two parts of the study. In the extremes analysis using raw model output, the dates of\npassing GWLs were defined on the basis of the global mean temperatures in the driving CMIP5\nmodels relative to those models’ simulations of global mean temperature in 1870–1899 (table 3).\nHowever, in the HCVI and JULES analyses which used bias-corrected data, it was considered\nmore appropriate for the GWLs to be defined using the warming in the observational dataset", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Which of #climatechange and #globalwarming is the most used ?", - "target_page": 5, - "target_passage": "A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained #globalwarming", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "International Journal of \nEnvironmental Research\nand Public Health\nArticle\n#Climatechange vs. #Globalwarming: Characterizing\nTwo Competing Climate Discourses on Twitter with\nSemantic Network and Temporal Analyses\nWen Shi 1, Haohuan Fu 1,2 , Peinan Wang 3, Changfeng Chen 3 and Jie Xiong 4, *\n1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science,\nTsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.);\nhaohuan@tsinghua.edu.cn (H.F.)\n2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China;\nwpn17@mails.tsinghua.edu.cn (P .W.); chencf@mail.tsinghua.edu.cn (C.C.)\n4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n* Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n/gid00030/gid00035/gid00032/gid00030/gid00038/gid00001/gid00033/gid00042/gid00045/gid00001\n/gid00048/gid00043/gid00031/gid00028/gid00047/gid00032/gid00046\nAbstract: Distinct perceptions of the global climate is one of the factors preventing society from\nachieving consensus or taking collaborative actions on this issue. The public has not even reached\nan agreement on the naming of the global concern, showing preference for either “climate change”\nor “global warming”, and few previous studies have addressed these two competing discourses\nresulting from distinct climate concerns by differently linking numerous climate concepts. Based on\nthe 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009\nand 31 December 2018, we constructed the semantic networks of the two discourses and examined\ntheir evolution over the decade. The findings indicate that climate change demonstrated a more\nscientific perspective and showed an attempt to condense climate discussions rather than diffuse the\ntopic by frequently addressing sub-topics simultaneously. Global warming triggered more political\nresponses and showed a greater connection with phenomena. Temporal analysis suggests that\ntraditional political discussions were gradually fading in both discourses but more recently started to\nrevive in the form of discourse alliance in the climate change discourse. The associations between\nglobal warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is\nbecoming more dominant than global warming in public discussions. Although two discourses have\nshown more similarities in the rank order of important climate concepts, apparent disagreements\ncontinue about how these concepts are associated. These findings lay the groundwork for researchers\nand communicators to narrow the discrepancy between diverse climate perceptions.\nKeywords: climate change; global warming; semantic network analysis; temporal analysis; public\ndiscourse; Twitter\n1. Introduction\nThe public’s distinct understanding of the cause and effect of the global climate issue is an obstacle\nto joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2],\nprevious studies noticed that the public had even failed to reach an agreement on whether “climate\nchange” or “global warming” is the most appropriate definition of the global climate concern [3–5].\nAccording to the definition provided by [ 6], global warming describes global climate issues as\na continuous increase in the average temperature of Earth’s surface due to anthropogenic emissions\nof greenhouse gases, whereas climate change includes not only temperature rise but also a range of\nInt. J. Environ. Res. Public Health 2020, 17, 1062; doi:10.3390/ijerph17031062 www.mdpi.com /journal/ijerph", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 8 of 22\nTable 1. Cont.\nNo. #Climatechange #Globalwarming\nHashtag Centrality Hashtag Centrality\n23 co2 0.174 snow 0.161\n24 weather 0.169 world 0.157\n25 solar 0.165 gop * 0.156\n26 economy 0.164 arctic 0.150\n27 auspol 0.163 * winter 0.145\n28 education 0.155 p2 * 0.144\n29 news 0.152 drought 0.142\n30 drought 0.150 epa * 0.141\n31 coal 0.147 global 0.137\n32 sustainable 0.147 eco 0.137\n33 cdnpoli 0.144 * actonclimate 0.136\n34 sdgs 0.143 * health 0.134\n35 china 0.143 un * 0.133\n36 gop 0.143 * solar 0.132\n37 food 0.141 economy 0.131\n38 un 0.141 * hoax 0.131\n39 cop24 * 0.140 california 0.130\n40 agriculture 0.138 politics 0.129\n41 environmental 0.136 india 0.128\n42 fossilfuels 0.134 china 0.127\n43 arctic 0.134 planet 0.127\n44 epa * 0.133 parisagreement * 0.126\n45 biodiversity 0.132 heatwave 0.125\n46 future 0.131 summer 0.121\n47 canada 0.128 nyc * 0.118\n48 emissions 0.128 nasa 0.118\n49 obama 0.127 future 0.118\n50 politics 0.125 oil 0.117\n4.2. Association Network Analysis\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes\nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of\nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and\nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for\nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each\ncluster are also summarized and represented in the network depicted in Figure 2.\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer\nto general facts about global climate issues, sharing words about the causes or e ffects concerning\nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes\nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the\nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as\nagriculture, biodiversity, education, and politics.\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses\non the responsibility to tackle climate change, where several global action hashtags are included, such\nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in\nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the\ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including\n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "as these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [ 79] to include #AGW (anthropogenic\nglobal warming) as query hashtags in our research because we think that this refers to global\nwarming in a defined category so cannot be regarded in parallel with the two considered hashtags.\nWe limited the scope of the search to English-language tweets generated between 1 January 2009\nand 31 December 2018. We only collected tweets containing either of the two hashtags in the body\nof the tweets rather than those containing these hashtags in the retweeted or quoted text, as we\nthink that retweeted text or quoted texts cannot directly represent the tweeter’s usage pattern of the\ntwo terminologies.\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to\nselect hashtags, language, start date, and end date as inputs. Once the first request was completed,\nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending\norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain\nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was\nautomatically terminated when all the qualified tweets publicly available were collected. Our crawler\nrespected Twitter’s robot.txt and we did not collect, analyze or display any user information in\nour study.\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets\ncontaining both hashtags simultaneously were excluded to differentiate between the two datasets\nfollowing [ 67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained\n#climatechange, and 887,731 contained “#globalwarming”. The number of qualified tweets containing\n#climatechange and #globalwarming in each year is displayed in Figure 1a.\n(a)\n (b)\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from\n2009 to 2018 ( a). The number of hashtags contained in the “climate change” or “global warming”\ndatasets, and their ratio from 2009 to 2018 (b).\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from\n2009 to 2018 ( a). The number of hashtags contained in the “climate change” or “global warming”\ndatasets, and their ratio from 2009 to 2018 (b).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 12 of 22\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76]\nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions\nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing\nin terms of the number of active users, user demographics, and tweeting conventions in the past\nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter\nis one of the most popular social websites, we defined our study as characterizing the perception of\nclimate issues among social media users rather than all the netizens or the whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global\nwarming) as query hashtags in our research because we think that this refers to global warming in\na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the\nscope of the search to English-language tweets generated between 1 January 2009 and 31 December\n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather\nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or\nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies.\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to\nselect hashtags, language, start date, and end date as inputs. Once the first request was completed,\nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending\norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain\nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler\nwas automatically terminated when all the qualified tweets publicly available were collected. Our\ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in\nour study.\nGiven our goal of exploring the di fference between the two discourses, the 615,816 tweets\ncontaining both hashtags simultaneously were excluded to di fferentiate between the two datasets\nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange,\nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange\nand #globalwarming in each year is displayed in Figure 1a.\nInt. J. Environ. Res. Public Health 2020, xx, 5 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [ 75] and a social activity\nplatform [76] for climate issues, we followed the literature [ 5,8,18] and used tweets to investigate\ndistinct perceptions of climate issues and evolution on social media. Although Twitter’s ecosystem\nhas been changing in terms of the number of active users, user demographics, and tweeting\nconventions in the past years [77,78], the problem is unavoidable for all the information ecosystems\non the Internet. As Twitter is one of the most popular social websites, we defined our study as\ncharacterizing the perception of climate issues among social media users rather than all the netizens or\nthe whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [ 79] to include #AGW (anthropogenic", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "analysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order.\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 6 of 22\nAll the hashtags in the tweets were automatically extracted with the Regular Expression Library\nin Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed\n(e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the “climate change” dataset\ncontained the #climatechange hashtag and all the tweets in the “global warming” dataset contained the\n#globalwarming hashtag, we did not document these two hashtags when processing data. The number\nof hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose\nfrequency was lower than ten times are excluded in the network analysis. As hashtags are intended\nto be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially,\nand excluding them helps researchers focus on meaningful rather than occasional associations.\n3.3. Measurement\n3.3.1. Hashtag Co-Occurrence Network\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build\nsemantic networks for climate change and global warming. For instance, for “#cimatechange\nredistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic”, a tweet in the climate\nchange dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus\none in the semantic network of climate change. In the semantic network, nodes represent hashtags and\nthe weight of edge refers to the frequency at which two hashtags co-occurred.\nWe visualized the network using Gephi software [ 81]. Following the established literature\n[60,61,82], only the most prominent hashtags were included in the visualization to concentrate our\nanalysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality\nin each network were selected for visualization. Modularity analysis was then analyzed to identify the\nclusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn\nin the same color. The network spatialization was conducted with Gephi’s built-in force-directed\nlayout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags,\nthe closer they are to each other in the spatial layout.\n3.3.2. Temporal Analysis\nA temporal analysis was introduced to understand the evolution of the two climate discourses\nover a long period. We first examined how the two semantic networks evolved in the past years.\nAll the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each\ndataset. Then, they were clustered according to the strength of their associations in the whole dataset\nand mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the\ndynamic network function supplied by Gephi, we then added the associations between the nodes\nranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes\nfor 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the\nnodes on the 10 maps are the same, but the strengths of their associations are different to represent the\nchanges in the associations of key hashtags for each discourse.\nThe correlation between climate change and global warming discourses was measured every\nyear to observe whether the two discourses converged or diverged over time. Considering computing\npower limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that\nyear were included in the calculations. First, we measured to what extent the two discourses resemble\neach other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags\nin each network were selected with a rank order according to their centrality. Then, Spearman’s rank\ncorrelation coefficient was used to examine the correlation of the rank orders of the selected nodes", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 10 of 22\nIn the global warming network, politics was the second-largest discourse cluster (20% of the\nnetwork), where “tcot”, short for “Top Conservatives on Twitter”, was the node ranked highest,\nand “p2”, short for “Progressives 2.0”, is also included. Several political figures, such as Obama and Al\nGore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster\n(16%), including both domestic efforts, such as “us”, “trump”, “climatechangeisreal”, “climateaction”,\nand “epa”, and two international items, like “china” and “india”. The fourth cluster (in blue) referred\nto emissions, including hashtags like “co2”, “green”, and “carbon”. The smallest cluster (8%) was\ncomposed of “snow”, “winter”, “heatwave”, and “summer”, referring to the temperature abnormalities\non the earth.\n4.3. Temporal Analysis of the Associations in the Two Discourses\nThe online presentations of the climate change and global warming discourses are dynamic.\nAs shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central\nhashtags each year for all 10 years, with 16 for the climate change”discourse. By comparing the 11\nnodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that\nthe two lists shared nine concepts. We found “pollution” and “earth” were unique to the keyword list\nof the global warming discourse, and “economy”, “water”, “china”, “coal”, “solar”, “sustainability”,\nand “food” only occurred on the critical list for the climate change discourse.\nTable 2. Hashtags that remained on the top 50 list for the climate change or the global warming\ndiscourse from 2009 to 2018.\nUnique Shared\n#climatechange china, solar, water, food, economy, coal, sustainability co2, news, carbon, green, climate,\n#globalwarming pollution, earth us, energy, science, environment\nFigures 3 and 4 show the overall evolution of critical hashtags’ associations in the 10-year period,\nwhere the nodes in the 10 graphs are located in the same position but the strength of associations varies\nacross longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary\nMaterials. Four themes were identified in each discourse according to the nodes’ associations. To more\nexplicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of\nthe degree centrality of all the nodes belonging to each cluster and their change in centrality over the\n10 years, as shown in Figure 5.\nFigure 3 depicts the associations of hashtags in the climate change discourse for each year\nfrom 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the\nclimate change discourse, especially more recently. However, some scientific hashtags, such as “ghg”\n(greenhouse gas), “co2”, and “forests”, were not identified in the scientific cluster but in the global\nactions cluster (in yellow) because these hashtags were frequently used in the global action context and\nidentified with a closer semantic association to global action by Gephi. In addition to these hashtags,\nthe global action cluster included a series of international activities, such as “ipcc” (Intergovernmental\nPanel on Climate Change), “unfccc” (United Nations Framework Convention on Climate Change),\nand “cop” (Conferences of the Parties) for almost every year. The blue cluster includes to political\nhashtags, such as “uniteblue”, “sgp”, “p2”, and “tcot”. In 2017 and 2018, the associations with political\nhashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining\n“technology”, “innovation”, “education”, “africa”, “healthcare”, and “politics”. The centrality sum of\nthe nodes in the red cluster remained rather low throughout the 10-year period but obviously increased\nin the last two years of the period according to Figure 5a.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 16 of 22\nmake global action salient for people talking about global warming than people talking about climate\nchange [40], even though the facts of climate issues are highly recognized in both discourses.\n6. Conclusions\nAs social media is gradually overtaking the role of legacy media providing a forum for public\ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how\nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter\nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing\nclimate discourses and discovered how these two discourses evolved.\nWe found that broad scientific, social, political, and international discussions are the topics\nof public climate discourse. Although the semantic di fference between climate change and global\nwarming seems subtle, the di fferences in their cognitive associations are not trivial. Despite some\nshared concerns between the two discourses, “global warming” is more politicized and focuses more on\ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact\ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis\nrevealed that traditional political discussions decreased in both discourses but climate change started to\nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s\nassociations to extreme events and temperature change were suddenly strengthened around 2012.\nClimate change is becoming dominant compared with global warming in public discussions. Although\nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable\ndiscrepancy still exists in the way in which they get concepts associated. These observations may\nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between\ndiverse climate perceptions.\nLimitation and Future Directions\nThough big data allowed us to decrease the bias by dealing with the whole set of social media\ndata rather than samples, discrepancies still exist between social media users and the public. As most\nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics\nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global\ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer\ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106].\nConsidering the historical background of climate issues, age might influence how individuals perceive\nclimate issues. According to the statistics in 2017 [ 107], only 16 % of older people (older than 60)\nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47%\nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of\nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular.\nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute\nand supplement for polling [108], we thought our results should be further examined before being\ngeneralized to the whole population.\nIn this study, we characterized the di fferences between two popular climate discourses and\nexamined how two discourses evolved over a 10-year period. We did not focus on the interactions\nbetween public climate discourse and external factors. However, the evolution of climate discourse\nmight be driven by several external forces such as scientific e fforts, natural events, politics and\nonline information (or misinformation) campaigns. The prevalence of certain climate concepts may\ninverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance,", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 7 of 22\ncolumn name to create two matrices. One matrix was created for the climate change discourse, and we\nfilled the cell whose column name and row name were among the top 50 list in the climate change\ndiscourse with the frequency at which the two hashtags were associated in this discourse, and the\nother cells were filled with 0. This was repeated for the global warming matrix. We thus obtained\ntwo matrices with the same row and column names but different values in the cells. Then, the two\nmatrices were input to the quadratic assignment procedure (QAP) [85] analysis provided by UCINET\nsoftware [86] to assess their correlation for each year.\n4. Results\n4.1. General Descriptions\nAssociation networks surrounding #climatechange and #globalwarming showed di fferent\nproperties. The climate change discourse included 38,821 hashtags, whereas the global warming\ndiscourse only contained 8788 hashtags. Table 1 displays the 50 most significant hashtags in the\ntwo discourses based on centrality. As some hashtags were used in the form of an abbreviation or\nphrase, explanations are provided in the table. Two networks shared 32 out of the 50 most significant\nwords. Hashtags “canada”, “cdnpoli”, “sdgs”, “biodiversity”, “education”, “environmental”, “cop24”,\n“sustainable”, “auspol”, “food”, “agriculture”, “cleanenergy”, “renewableenergy”, “renewables”,\n“emissions”, “coal”, “fossilfuels”, and “cop21” only showed up on the top 50 list of the “climate change”\nnetwork. Hashtags “tcot”, “california”, “p2”, “nyc”, “snow”, “agw”, “summer”, “global”, “winter”,\n“india”, “planet”, “heatwave”, “hoax”, “nasa”, “algore”, “world”, “oil”, and “eco” were unique on the\ntop 50 list of the global warming network. The two lists only shared three out of the top five hashtags.\nIn the #climatechange network, “climateaction” was ranked third place and “sustainability” was\nranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the\n#globalwarming network. In the #globalwarming network, “earth” and “weather” were among the\ntop five nodes, whereas they were ranked 14th and 24th in the #climatechange network, respectively.\nTable 1. The top 50 central hashtags on Twitter surrounding #climatechange and #globalwarming from\n2009 to 2018. The hashtag with * is explained in Appendix A in ascending alphabetical order.\nNo. #Climatechange #Globalwarming\nHashtag Centrality Hashtag Centrality\n1 climate 0.466 climate 0.530\n2 environment 0.465 environment 0.446\n3 climateaction 0.391 science 0.319\n4 sustainability 0.316 earth 0.296\n5 science 0.314 weather 0.280\n6 energy 0.283 us * 0.280\n7 trump 0.257 trump 0.263\n8 us * 0.247 pollution 0.256\n9 cop21 * 0.232 co2 0.244\n10 parisagreement * 0.232 green 0.239\n11 actonclimate * 0.225 tcot * 0.229\n12 water 0.221 nature 0.213\n13 pollution 0.210 news 0.198\n14 earth 0.207 energy 0.192\n15 green 0.200 climatechangeisreal 0.187\n16 climatechangeisreal 0.195 obama 0.181\n17 renewableenergy * 0.194 climateaction 0.175\n18 health 0.193 algore * 0.174\n19 nature 0.187 water 0.171\n20 renewables 0.186 agw * 0.164\n21 cleanenergy 0.176 carbon 0.164\n22 carbon 0.175 sustainability 0.163", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Is the #climateaction hashtag more bound the #globalwarming of #climatechange ?", - "target_page": 7, - "target_passage": "In the #climatechange network, “climateaction” was ranked third place and “sustainability” was ranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the #globalwarming network", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "as these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [ 79] to include #AGW (anthropogenic\nglobal warming) as query hashtags in our research because we think that this refers to global\nwarming in a defined category so cannot be regarded in parallel with the two considered hashtags.\nWe limited the scope of the search to English-language tweets generated between 1 January 2009\nand 31 December 2018. We only collected tweets containing either of the two hashtags in the body\nof the tweets rather than those containing these hashtags in the retweeted or quoted text, as we\nthink that retweeted text or quoted texts cannot directly represent the tweeter’s usage pattern of the\ntwo terminologies.\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to\nselect hashtags, language, start date, and end date as inputs. Once the first request was completed,\nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending\norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain\nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was\nautomatically terminated when all the qualified tweets publicly available were collected. Our crawler\nrespected Twitter’s robot.txt and we did not collect, analyze or display any user information in\nour study.\nGiven our goal of exploring the difference between the two discourses, the 615,816 tweets\ncontaining both hashtags simultaneously were excluded to differentiate between the two datasets\nfollowing [ 67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained\n#climatechange, and 887,731 contained “#globalwarming”. The number of qualified tweets containing\n#climatechange and #globalwarming in each year is displayed in Figure 1a.\n(a)\n (b)\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from\n2009 to 2018 ( a). The number of hashtags contained in the “climate change” or “global warming”\ndatasets, and their ratio from 2009 to 2018 (b).\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from\n2009 to 2018 ( a). The number of hashtags contained in the “climate change” or “global warming”\ndatasets, and their ratio from 2009 to 2018 (b).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of\nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by\n#climatechange users to address all three communities together [91], consolidating climate change as\na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags’\nfunction of serving as a hybrid forum [ 68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "To be specific, although “ipcc”, “cop”, and “un” were mentioned in both discourses (yellow\nin Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly di fferent\nmeanings. As mentioned in the results section, these hashtags were associated with a series of scientific\nhashtags in the climate change discourse, appealing to global efforts. In the global warming discourse,\nthey were clustered with “hoax” and “frame”, showing lack of belief in climate issue facts and hesitation\nabout global e fforts. More recently, when discussions about temperature, politics, and hesitation\nsignificantly shrank in the global warming discourse, the wo discourses showed more similarities about\nthe importance of scientific concepts according to Figure 5a,b. However, links between global efforts\nand scientific facts were not constructed in the global warming discourse. According to a network\nmodel for cognition, the lack of associations means fewer psychological activations will spread to", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 8 of 22\nTable 1. Cont.\nNo. #Climatechange #Globalwarming\nHashtag Centrality Hashtag Centrality\n23 co2 0.174 snow 0.161\n24 weather 0.169 world 0.157\n25 solar 0.165 gop * 0.156\n26 economy 0.164 arctic 0.150\n27 auspol 0.163 * winter 0.145\n28 education 0.155 p2 * 0.144\n29 news 0.152 drought 0.142\n30 drought 0.150 epa * 0.141\n31 coal 0.147 global 0.137\n32 sustainable 0.147 eco 0.137\n33 cdnpoli 0.144 * actonclimate 0.136\n34 sdgs 0.143 * health 0.134\n35 china 0.143 un * 0.133\n36 gop 0.143 * solar 0.132\n37 food 0.141 economy 0.131\n38 un 0.141 * hoax 0.131\n39 cop24 * 0.140 california 0.130\n40 agriculture 0.138 politics 0.129\n41 environmental 0.136 india 0.128\n42 fossilfuels 0.134 china 0.127\n43 arctic 0.134 planet 0.127\n44 epa * 0.133 parisagreement * 0.126\n45 biodiversity 0.132 heatwave 0.125\n46 future 0.131 summer 0.121\n47 canada 0.128 nyc * 0.118\n48 emissions 0.128 nasa 0.118\n49 obama 0.127 future 0.118\n50 politics 0.125 oil 0.117\n4.2. Association Network Analysis\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes\nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of\nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and\nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for\nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each\ncluster are also summarized and represented in the network depicted in Figure 2.\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer\nto general facts about global climate issues, sharing words about the causes or e ffects concerning\nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes\nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the\nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as\nagriculture, biodiversity, education, and politics.\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses\non the responsibility to tackle climate change, where several global action hashtags are included, such\nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in\nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the\ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including\n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "International Journal of \nEnvironmental Research\nand Public Health\nArticle\n#Climatechange vs. #Globalwarming: Characterizing\nTwo Competing Climate Discourses on Twitter with\nSemantic Network and Temporal Analyses\nWen Shi 1, Haohuan Fu 1,2 , Peinan Wang 3, Changfeng Chen 3 and Jie Xiong 4, *\n1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science,\nTsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.);\nhaohuan@tsinghua.edu.cn (H.F.)\n2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China;\nwpn17@mails.tsinghua.edu.cn (P .W.); chencf@mail.tsinghua.edu.cn (C.C.)\n4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n* Correspondence: jie.xiong@rennes-sb.com; Tel.:+ 33-(0)-2-99-54-46-79\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n/gid00030/gid00035/gid00032/gid00030/gid00038/gid00001/gid00033/gid00042/gid00045/gid00001\n/gid00048/gid00043/gid00031/gid00028/gid00047/gid00032/gid00046\nAbstract: Distinct perceptions of the global climate is one of the factors preventing society from\nachieving consensus or taking collaborative actions on this issue. The public has not even reached\nan agreement on the naming of the global concern, showing preference for either “climate change”\nor “global warming”, and few previous studies have addressed these two competing discourses\nresulting from distinct climate concerns by differently linking numerous climate concepts. Based on\nthe 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009\nand 31 December 2018, we constructed the semantic networks of the two discourses and examined\ntheir evolution over the decade. The findings indicate that climate change demonstrated a more\nscientific perspective and showed an attempt to condense climate discussions rather than diffuse the\ntopic by frequently addressing sub-topics simultaneously. Global warming triggered more political\nresponses and showed a greater connection with phenomena. Temporal analysis suggests that\ntraditional political discussions were gradually fading in both discourses but more recently started to\nrevive in the form of discourse alliance in the climate change discourse. The associations between\nglobal warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is\nbecoming more dominant than global warming in public discussions. Although two discourses have\nshown more similarities in the rank order of important climate concepts, apparent disagreements\ncontinue about how these concepts are associated. These findings lay the groundwork for researchers\nand communicators to narrow the discrepancy between diverse climate perceptions.\nKeywords: climate change; global warming; semantic network analysis; temporal analysis; public\ndiscourse; Twitter\n1. Introduction\nThe public’s distinct understanding of the cause and effect of the global climate issue is an obstacle\nto joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2],\nprevious studies noticed that the public had even failed to reach an agreement on whether “climate\nchange” or “global warming” is the most appropriate definition of the global climate concern [3–5].\nAccording to the definition provided by [ 6], global warming describes global climate issues as\na continuous increase in the average temperature of Earth’s surface due to anthropogenic emissions\nof greenhouse gases, whereas climate change includes not only temperature rise but also a range of\nInt. J. Environ. Res. Public Health 2020, 17, 1062; doi:10.3390/ijerph17031062 www.mdpi.com /journal/ijerph", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76]\nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions\nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing\nin terms of the number of active users, user demographics, and tweeting conventions in the past\nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter\nis one of the most popular social websites, we defined our study as characterizing the perception of\nclimate issues among social media users rather than all the netizens or the whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global\nwarming) as query hashtags in our research because we think that this refers to global warming in\na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the\nscope of the search to English-language tweets generated between 1 January 2009 and 31 December\n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather\nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or\nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies.\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to\nselect hashtags, language, start date, and end date as inputs. Once the first request was completed,\nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending\norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain\nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler\nwas automatically terminated when all the qualified tweets publicly available were collected. Our\ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in\nour study.\nGiven our goal of exploring the di fference between the two discourses, the 615,816 tweets\ncontaining both hashtags simultaneously were excluded to di fferentiate between the two datasets\nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange,\nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange\nand #globalwarming in each year is displayed in Figure 1a.\nInt. J. Environ. Res. Public Health 2020, xx, 5 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [ 75] and a social activity\nplatform [76] for climate issues, we followed the literature [ 5,8,18] and used tweets to investigate\ndistinct perceptions of climate issues and evolution on social media. Although Twitter’s ecosystem\nhas been changing in terms of the number of active users, user demographics, and tweeting\nconventions in the past years [77,78], the problem is unavoidable for all the information ecosystems\non the Internet. As Twitter is one of the most popular social websites, we defined our study as\ncharacterizing the perception of climate issues among social media users rather than all the netizens or\nthe whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [ 79] to include #AGW (anthropogenic", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, xx, 5 11 of 22\nthen the associations suddenly strengthened in 2012 when numerous hashtags about phenomena were\nincluded in the discourse. Notably, the red node in the top right-hand corner named “2012” refers\nto the Maya prediction that the year 2012 would be the end of the world and that the world would\nbe destroyed by extreme natural events, and was linked to other climate hashtags for the first time\nin the graph exactly in 2012. The blue nodes included the political hashtags, such as “maga”, “ows”,\n“p2”, “tcot”, and “obama”. The involvement of political hashtags in the global warming discourse was\nsignificantly higher than that in the climate change discourse according to the comparison between\nFigure 5a,b. From 2009 to 2018, the number of associations with political hashtags (blue nodes) faded,\nas shown in Figure 4, and its importance in the semantic network gradually decreased, as shown in\nFigure 5, except for variation in 2014. The yellow nodes describe the hesitation about climate facts\nand actions, where words describing global efforts, such as “ipcc”, “cop15”, and “un”, and words\nquestioning global warming, such as “hoax” and “fraud”, were both included. The associations\nbetween the yellow nodes were most salient in 2010 and 2011 but were less dominant in the following\nyears. The green nodes occupied 50.7% of all the nodes representing talk about the scientific hashtags of\nclimate issue, including words such as “ecology”, “ocean”, and “cleanenergy”. Associations between\nscientific hashtags (green nodes) exploded and the centrality sum of this cluster also showed an\nobvious rising trend in dominating the theme of the global warming discourse, according to Figure 5.\nFigure 3. Association network of top 50 nodes of climate change for each year from 2009 to 2018.\nFigure 4. Association network of top 50 nodes of global warming for each year from 2009 to 2018.\nFigure 4. Association network of top 50 nodes of global warming for each year from 2009 to 2018.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 12 of 22\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "describing hesitation between climate facts and actions (yellow in Figure 4).\nAfter examining every associated node in the red cluster in 2012, we suggest that the hashtag\n“2012” in the top right-hand corner, which is the only event-based hashtag, can provide another\nhint about why the associations related to temperature and extremeweather significantly increased\nin 2012. The Maya inscriptions about the end of the world in December 2012 were prevalent then,\nand even inspired a famous American disaster film named “2012”, telling a story that the earth\nwould be destroyed by a series of disastrous extreme natural events. Previously, historians focused\non the correlations between climate issues and the collapse of the Mayan civilization [96,97], but no", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed10.pdf" - }, - { - "text": "analysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order.\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "What are two main reasons for one's low climate concern ?", - "target_page": 13, - "target_passage": "As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 13 of 22\nissues and re-constructing them differently. By comparing the persistent words used related to the two\ndiscourses in the 10-year period in Table 2, we think that global warming showed a relative preference\ntoward general descriptions or slogans, such as “earth” and “pollution”, whereas “climate change”\nwas more associated to specific issues like “solar”, “coal”, “china”, and “food”.\nStudies have suggested that the public shows a preference for scientific publications with general\nkeywords compared with those with complicated scientific jargon [47], lacking a deep understanding of\nthe complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions\nseem to suit global warming more than climate change according to the current study, which is\nprobably because climate change receives more publicity and recognition than global warming in the\nscientific community. In the association network shown in Figure 2, global warming was found to be\nmore connected with temperature abnormalities. This finding is in accordance with studies reporting\nthat short-term temperature anomalies [87] can increase the public’s belief about global warming by\nincreasing the understanding of this abstract issue [88], although scientists mostly make judgments\nbased on long-term weather statistics [ 89]. However, none of the four words, “snow”, “summer”,\n“winter”, or “heatwave” in the temperature theme of global warming were ranked in the top 50 nodes\nlist of the climate change network.\nEven when climate change and global warming shared concern about similar topics such as the\ncause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas\nclimate change preferred a more in-depth perspective, highlighting the importance of global action\nto mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to\ncarbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long\nbeen regarded as two key reasons for low climate concern [ 90], the two terminologies’ differences\nin connotations suggest that introducing these absent sub-topics into global warming discourse or\nhighlighting climate change for its inherent connotations may help communicators raise public concern\nabout climate.\n5.1.2. Political Connotations\nStudies noted that frame preference between climate change and global warming reflects\nindividuals’ ideological spectrum, where climate change and global warming were favored by\nthe liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the\ncurrent study demonstrated that global warming triggered far more political responses than climate\nchange. The second largest cluster of global warming was politics-based, where hashtag “tcot”, favored\nby right-leaning users and “p2”, favored by left-leaning users, were both ranked in the list of top nodes\nof the global warming discourse, but neither was included in the list of top nodes of the climate change\ndiscourse. Considering that earlier findings suggested that global warming was more likely to be used\nby conservatives to question the reality of climate issue [11] and climate change is more commonly\nadopted when discussing action against the climate change issue [5], global warming had a stronger\npolitical connotation in public discussion.\n5.1.3. Discourse Structure\nIn the discourse surrounding #climatechange, “environment”, “energy”, and “global action”\nrepresented the themes of the three largest clusters in the network. However, three popularly recurring\nhashtags, “#environment”, “#energy”, and “#climateaction”, did not belong to any of the three clusters\nabove, but formed another small tight cluster together, sitting in the most central part of the semantic\nnetwork, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 2 of 22\ncomplex changes in the state of the climate [7], which may be caused by natural process, external forces,\nor human interventions [8]. By randomly assigning respondents to climate change or global warming\nquestionnaires, scholars confirmed that the different connotations contained in the two definitions are\nlikely to evoke distinct interpretations of the causes and impacts of the global climate issue [9], which\nmay inhibit collaboration and joint efforts to mitigate the global challenge.\nPublic preference between climate change and global warming is even more apparent when\nconsidering the ideology spectrum [ 10]. Some scholars concluded that conservatives, who are\nless concerned with environmental issues, tended to use global warming as a narrative strategy\nbecause global warming has a more direct connection with temperature rise, making it easier to find\ncontradictory cues such as freezing weather or heavy snowstorms to deny global climate change\nfacts [11]. The associations between global warming and human activities may contribute to more\ncontroversies as well [12], connecting global warming more with the “hoax” frame [5] and evoking\ngreater negative sentiment [13].\nAlthough these existing studies have often attempted to identify the differences between these two\nterminologies, only a particular few perspectives, such as sentiment, ideological preference, or cause\nand effect, were examined in each study [3,9,13]. However, the associate network model introduced by\npsychologists suggests that human recognition and memory have a network-shaped architecture [14],\nwhere individual understanding of particular objects is connected with numerous other objects in\nthe mind. According to the associate network model, individual understanding of the global climate\nconcern is a network composed of numerous inter-connected concepts, in which climate change and\nglobal warming. As the two terminologies concern the primary mechanism of the global climate issue,\nthe preference between the two understandings may represent two distinct climate discourses by\ndifferently organizing numerous climate concepts. Examining the differences between two discourses\nwith an associative perspective may provide communicators with unique insights into narrowing the\ncognitive discrepancy. The temporal dimension was lacking in existing studies, necessitating the study\nof how concepts associated with each other have evolved with time.\nLarge amounts of user-generated data on social media, which have been valued in computer science,\ncommunication, and environmental studies [5,9,15–18], have enabled the acquistion of the social media\nrepresentation of the two discourses in a decade. In this study, by analyzing hashtag co-occurrence\npatterns in 6,662,478 tweets containing “climate change” and “global warming” between 1 January 2009\nand 31 December 2018, two semantic networks of public climate discourse were constructed to identify\nthe critical concepts and links surrounding the two terminologies. We conducted temporal analysis to\nobserve the evolution of the two discourses and to measure whether the discrepancy between the two\nhas widened or narrowed within the 10-year period.\nTo be specific, we formulated three research questions (RQs) to be explored in this study:\nRQ1: What is the difference in how the two the discourses are associated with important climate\nconcepts in people’s minds?\nRQ2: How did the two competing climate discourses evolve from 2009 to 2018?\nRQ3: Did the two competing discourses converge or diverge in this decade?\n2. Background\n2.1. Climate Change, Global Warming, and Frames\nExisting studies have noted that the subtle difference between climate change and global warming\nevokes different public cognitive responses, where global warming“indicates heat-related impacts,\nhuman causes, increased UV light penetration, ozone depletion, and the greenhouse effect, whereas", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "evokes different public cognitive responses, where global warming“indicates heat-related impacts,\nhuman causes, increased UV light penetration, ozone depletion, and the greenhouse effect, whereas\nclimate change is more associated with a wide range of influences on climate, including drought and\nagriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with\nice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "There are a number of ways in which 1.5°C or 2°C global warming can be defined—one could\nbe the long-term climate state following a stabilization of warming at that level, another could\nbe the state over a shorter period around the time of first reaching that level. Here we choose the\nsecond definition, which is what is seen first and hence needs to be adapted to. There are also\na number of methods with which such changes can be assessed [10]. We take the opportunity\nof availability of a new set of higher-resolutions transient climate and impacts simulations, and\nuse a time-sampling methodology [ 10] to assess global-scale impacts at these resolutions for the\nfirst time.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed11.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 16 of 22\nmake global action salient for people talking about global warming than people talking about climate\nchange [40], even though the facts of climate issues are highly recognized in both discourses.\n6. Conclusions\nAs social media is gradually overtaking the role of legacy media providing a forum for public\ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how\nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter\nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing\nclimate discourses and discovered how these two discourses evolved.\nWe found that broad scientific, social, political, and international discussions are the topics\nof public climate discourse. Although the semantic di fference between climate change and global\nwarming seems subtle, the di fferences in their cognitive associations are not trivial. Despite some\nshared concerns between the two discourses, “global warming” is more politicized and focuses more on\ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact\ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis\nrevealed that traditional political discussions decreased in both discourses but climate change started to\nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s\nassociations to extreme events and temperature change were suddenly strengthened around 2012.\nClimate change is becoming dominant compared with global warming in public discussions. Although\nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable\ndiscrepancy still exists in the way in which they get concepts associated. These observations may\nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between\ndiverse climate perceptions.\nLimitation and Future Directions\nThough big data allowed us to decrease the bias by dealing with the whole set of social media\ndata rather than samples, discrepancies still exist between social media users and the public. As most\nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics\nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global\ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer\ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106].\nConsidering the historical background of climate issues, age might influence how individuals perceive\nclimate issues. According to the statistics in 2017 [ 107], only 16 % of older people (older than 60)\nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47%\nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of\nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular.\nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute\nand supplement for polling [108], we thought our results should be further examined before being\ngeneralized to the whole population.\nIn this study, we characterized the di fferences between two popular climate discourses and\nexamined how two discourses evolved over a 10-year period. We did not focus on the interactions\nbetween public climate discourse and external factors. However, the evolution of climate discourse\nmight be driven by several external forces such as scientific e fforts, natural events, politics and\nonline information (or misinformation) campaigns. The prevalence of certain climate concepts may\ninverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance,", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 17 of 22\nconducted to reveal the interactions between public discourse and natural, scientific, social, or political\nevents. In particular, factors promoting public consensus and factors resulting in discourse discrepancy\nshould be further identified to help climate communicators narrow the public cognitive divergence\nabout the global climate issue.\nSupplementary Materials: The following are available online at http://www.mdpi.com/1660-4601/17/3/1062/s1.\nAuthor Contributions: W.S. designed the study, collected the data, conducted the analysis, and wrote the article.\nH.F. offered suggestions to the part of temporal analysis. P .W. contributed to the hashtag co-occurrence part. C.C.\nhelped with the design of the study. J.X. contributed to the framing of the article and helped with the revision.\nAll authors have read and agreed to the published version of the manuscript.\nFunding: This work was supported in part by the National Key R&D Program of China (Grant No.\n2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and\nU1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High\nPerformance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and\nTechnology (Qingdao).\nConflicts of Interest: The authors declare no conflict of interest.\nAppendix A\n#agw, short for anthropogenic global warming, indicating global warming is caused by\nhuman activities.\n#cdnpoli, short for Canadian politics\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency\naiming at protecting environment.\n#gop, short for Grand Old Party, the Republican political party in the United States.\n#nyc, short for New York City\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter.\n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global\nwarming by reducing greenhouse gas emissions.\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the\nUnited Nations General Assembly in 2015 and expected to be achieved in 2030.\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political\nstandpoints on Twitter.\n#un, short for the United Nations\n#us, short for the United States\nReferences\n1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci.\nPolicy Sustain. Dev. 2009, 51, 12–23. [CrossRef]\n2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change\ndiscourse on social media during extreme weather events. Glob. Environ. Chang. 2019, 54, 50–60. [CrossRef]\n3. Schuldt, J.P .; Konrath, S.H.; Schwarz, N. “Global warming” or “climate change”? Whether the planet is\nwarming depends on question wording. Public Opin. Q. 2011, 75, 115–124. [CrossRef]\n4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter?\nClim. Chang. 2011, 105, 1–12. [CrossRef]\n5. Jang, S.M.; Hart, P .S. Polarized frames on “climate change” and “global warming” across countries and\nstates: Evidence from Twitter big data. Glob. Environ. Chang. 2015, 32, 11–17. [CrossRef]\n6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online:\nhttps://19january2017snapshot.epa.gov/climatechange/climate-change-basic-information_.html (accessed on\n10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 3 of 22\nreports, the environment, and science [13]. Some respondents even hold the belief that global warming\nresults in climate change [9].\nThe two distinct climate discourses being produced based on the same reality can be explained\nby the framing theory in communication study. Framing refers to the phenomenon where the reality\nis always partially selected or highlighted when described by the public or media [19]. By distinctly\ndefining problems, suggesting solutions, and indicating casual interpretations [20], different frames\ntell the audience different stories and influence how they observe facts [21,22]. Two types of frames,\nequivalency frames and emphasis frames, are commonly studied by scholars to examine how framing\neffects influence individuals’ attitudes and beliefs [23]. Equivalency frames describe the same fact or\nlogic with different words and may suggest that the audience perceives facts in psychologicallydifferent\nways [ 24]. For example, a cup can be described as “half full” and “half empty”, where the former\nis a positive frame indicating a reference point lower than current status, and the latter is negative,\nmeaning that the reference point is above the current situation [25]. Emphasis frames employ words\nselectively associated with parts of reality to shift the audience’s attention to particular attributes [26].\nClimate change and global warming have been noted to highlight di fferent aspects of an issue by\nactivating distinct cognitive accessibility patterns [27].\nDifferent frames concerning the global climate concern are popular among the public, politicians,\nenvironmentalists, and the media [1,28,29]. Big data analyses have indicated that when interpreting\nclimate events, individuals’ preference for frameworks was influenced by demographics [ 5] and\nsocial-political background [2]. Di fferent choices of frameworks can evoke di fferent psychological\nprocesses [30], promote or inhibit engagement intentions [31], or gain approval on various levels [ 32].\nStudies have noted that the frameworks of climate change and global warming may result from\ndifferent political indications. The American Republican-leaning states show more preference for\nglobal warming than climate change compared with Democratic-leaning states, and global warming is\nmore connected with “hoax” in questioning the reality of the global climate issue [5]. Conservatives\nare more likely to link heat-related phenomena to global warming, whereas liberals associate these\nfacts equally with both frames [27]. An earlier survey conducted by [4] argued that wording choice\nmight not influence the whole population similarly. For the whole sample and politically independent\nindividuals, the two terminologies were equally serious, but climate change seemed more serious\ncompared with global warming among the Republicans, and the Democrats held the opposite opinion.\n2.2. Network Model for Cognition\nDifferent framework choices may create even more differences than have already been noticed.\nPsychologists think that human beings are a collection of learned associations [33], and associative\nresponse rather than simply linear logic form the structural basis of thought [ 34]. Associative\nlearning [35] is a long-standing assumption underlying cognitive science [14], suggesting that human\ncognition toward the world forms a network pattern, where the world is organized into several groups\nof related items and stored in a network model in the mind. When messages are processed by humans,\nthey are first encoded into a temporary memory network and then linked to an existing associative\nmemory network for long-term storage [ 36]. In the network, a node represents a certain concept,\nand edges refers to particular relationships, such as time sequences [ 37], similarity [38], semantic\nconnections [37], or cause and effect [33] between two nodes.\nWhen individuals search their memory for a particular piece of a message in their mind,", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed10.pdf" - }, - { - "text": "describing hesitation between climate facts and actions (yellow in Figure 4).\nAfter examining every associated node in the red cluster in 2012, we suggest that the hashtag\n“2012” in the top right-hand corner, which is the only event-based hashtag, can provide another\nhint about why the associations related to temperature and extremeweather significantly increased\nin 2012. The Maya inscriptions about the end of the world in December 2012 were prevalent then,\nand even inspired a famous American disaster film named “2012”, telling a story that the earth\nwould be destroyed by a series of disastrous extreme natural events. Previously, historians focused\non the correlations between climate issues and the collapse of the Mayan civilization [96,97], but no", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed10.pdf" - }, - { - "text": "14rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nACCESS1-0\n–1.00 –0.75 –0.50 –0.25 0 0.25 0.50 0.75 1.00\nIPSL-CM5A-LR\nensemble mean\nchange in vulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure8. ChangeinHungerandClimateVulnerabilityIndexrelativetobaselinecalculatedforsimulatedclimatestatesat2 °C\nglobalwarming,forfiveindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,\nandtheensemblemean.\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher\nthan any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen.\nThe implication of such HCVI values is that climate change at 2°C is projected to cause levels\nof vulnerability to food insecurity that are greater than any seen in the present day. For\nindividual ensemble members, the number of countries with ‘unprecedented’ HCVI values at\n2°C varies from three to seven. Conversely, many countries in the baseline climate have levels\nof vulnerability to food insecurity that are greater than those expected in other countries under\n2°C global warming. This suggests that other factors are already posing greater risk for food\ninsecurity than 2°C climate change is expected to cause in other countries, so the increased risk\nfrom climate change should not overshadow the need to reduce vulnerability to food insecurity\narising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by\naddressing various socio-economic issues in such counties.\nThe JULES simulations show a general tendency towards increased run-off over\napproximately half of the land surface ( figure 9 ) and the majority of the major river basins\nassessed (figure 10), but with large regional uncertainties including the possibility of decreased\nflows in many basins. The ensemble-mean change in mean streamflow shows an increase of\nbetween 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing\nan increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and\nsouthcentral USA, which see less than a 5% change in run-off, and the already very dry region of\nthe Sahara Desert where the existing very small run-off become even smaller.\nEnsemble-mean projected changes in low run-off flows are generally larger ( figure 11 ), with\nthe regions seeing an increase in mean run-off seeing a larger percentage increase in low\nrun-off—over 75% increases over much of North America, Eastern Europe and Asia. Note that\nthis does not necessarily imply a larger increase in absolute low flow compared to absolute mean\nflow, because the baseline is (by definition) smaller for low flows. In western Europe, where the\nchanges in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "19rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n(b)\n(a)\n(c)\nPmean (%)\n6.0\n5.0\n4.0\n3.0\n2.0\n1.0\n0\n10.0\n8.0\n6.0\n4.0\n2.0\n0\n12.0\n8.0\n4.0\n0.0\n–4.0\nRmean (%)\nRlow (%)\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0HadGEM2-ES\n1.5°C 2°C\nFigure13. Globalmeanpercentagechangesrelativeto1981–2010in( a)precipitationoverland,( b)meanrun-offflows,( c)low\nrun-offlows(10thpercentile),at2 °Cand1.5 °Cglobalwarming.\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be\ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at\neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the\npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries.\nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food\ninsecurity generally increases with global warming, and for approximately three-quarters of\ncountries assessed, this increase is larger at 2°C than 1.5°C.\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global\nwarming compared to 1.5°C ( figure 20 ). This is often the case for both increases and decreases\nin flows—increasing the level of global warming magnifies the pattern of river flow changes,\nalthough not in all cases.\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins,\nbut this was not always the case, with many basins showing similar or smaller ranges at\n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "How many scholarly articles are published every year ?", - "target_page": 1, - "target_passage": "over 3 million scholarly articles published per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore\nthe ecologies of two climate change protests. Commun. Rev. 2011, 14, 197–215. [CrossRef]\n77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in\nMillions). 2019. Available online: https: //www.statista.com/statistics/282087/number-of-monthly-active-\ntwitter-users/ (accessed on 10 October 2019).\n78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin’: Evolution of Twitter users and behavior.\nIn Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI,\nUSA, 1–4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "‘From 1990 to 2019, the global number of DALYs due to mental disorders increased from 80.8 million \nto 125.3 million, …. Age -standardised DALY rates remained largely consistent between 1990 \n(1581·DALYs per 100,000 population) and 2019 (1566 DALYs per 100,000 population). YLDs 226 \ncontributed to almost all of the mental disorder burden, accounting for 125.3 million YLDs or 14.6% of \nglobal YLDs in 2019.’227 \nIn 2019 the WHO stated that one in every eight people, or 970 million people around the world, were", - "page_start": 85, - "page_end": 85, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "139. Power, Jennifer; Pym, Tinonee; James, Alexandra; Waling, Andrea (5 July 2024). \"Smart\nSex Toys: A Narrative Review of Recent Research on Cultural, Health and Safety\nConsiderations\" (https://doi.org/10.1007%2Fs11930-024-00392-3). Current Sexual Health\nReports. 16 (3): 199–215. doi:10.1007/s11930-024-00392-3 (https://doi.org/10.1007%2Fs11\n930-024-00392-3). ISSN 1548-3592 (https://search.worldcat.org/issn/1548-3592).\n140. Marcantonio, Tiffany L.; Avery, Gracie; Thrash, Anna; Leone, Ruschelle M. (10 September\n2024). \"Large Language Models in an App: Conducting a Qualitative Synthetic Data\nAnalysis of How Snapchat's \"My AI\" Responds to Questions About Sexual Consent, Sexual\nRefusals, Sexual Assault, and Sexting\" (https://www.tandfonline.com/doi/full/10.1080/00224\n499.2024.2396457). The Journal of Sex Research: 1–15.\ndoi:10.1080/00224499.2024.2396457 (https://doi.org/10.1080%2F00224499.2024.239645\n7). ISSN 0022-4499 (https://search.worldcat.org/issn/0022-4499).\n141. Hanson, Kenneth R.; Bolthouse, Hannah (2024). \"\"Replika Removing Erotic Role-Play Is\nLike Grand Theft Auto Removing Guns or Cars\": Reddit Discourse on Artificial Intelligence\nChatbots and Sexual Technologies\" (https://doi.org/10.1177%2F23780231241259627).\nSocius: Sociological Research for a Dynamic World. 10. doi:10.1177/23780231241259627\n(https://doi.org/10.1177%2F23780231241259627). 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OCLC 1110727808 (https://search.worldcat.org/oclc/1110727808).", - "page_start": 58, - "page_end": 58, - "source_file": "wikipedia3.pdf" - }, - { - "text": "2010: \nA YEAR \nOF TRANSITION \nAND ACHIEVEMENT", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "analysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order.\nInt. J. Environ. Res. Public Health 2020, xx, 5 12 of 22\n(a)\n (b)\nFigure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to\n2018 (a); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to\n2018 (b).\nAs the climate change and global warming discourses evolved over the past years, their relative\nstatuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people\nstarted to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of\n#climatechange frequency and #globalwarming frequency still indicated the public’s change in frame\npreference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times\nthat of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02\nin 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into\ndiscussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were\n2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.\nThe rank–order correlation coefficient of nodes between the two networks maintained a stable\nlevel and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and\n2011, when the p-values were larger than 0.05 and no significant correlations were identified. The QAP\nanalysis showed that the associations between the two discourses were correlated in the 10-year period\n(the p-value for 2015 was 0.011; p-values for all the other years were less than 0.001). Figure 6b reveals\nthat the similarity of associations between the top 50 nodes in the two discourses fluctuated and did\nnot show a rising trend with the correlation of nodes’ rank order .\n(a)\n (b)\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses\nfrom 2009 to 2018 ( a); correlation between matrices of the climate change discourse and the global\nwarming discourse from 2009 to 2018 (b).\n5. Discussion\n5.1. Themes and Structure of the Two Discourses\n5.1.1. Phenomenon vs. Mechanism of Action\nClimate change and global warming have long been two competing frameworks shaping the\npublic’s perceptions, memory, and interpretations of climate issue by highlighting different aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "For what reason a researcher's name is not a good tools to track back its works and affiliations ?", - "target_page": 1, - "target_passage": "Many people have the same name Names may change through marriage or other circumstances Individuals use different alphabets, abbreviations, or naming conventions People use different versions of their name during their career", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "All IDC research is © 2018 by IDC. All rights reserved. All IDC materials are licensed with IDC's permission and in no \nway does the use or publication of IDC research indicate IDC's endorsement of ORCID’s products/or strategies.\nIDC #US44453318\nAn IDC Infographic, sponsored by ORCID | November 2018 \nWhat’s in a Name?\nMost names are not unique \nMany people have \nthe same name\nPeople use different versions of \ntheir name during their career \nFor example, \n30% OF THE SCIENTISTS WHO GOT \nTHEIR PhD IN THE UNITED \nKINGDOM NOW LIVE ELSEWHERE\nResearchers are mobile!\nNames may \nchange through \nmarriage or other \ncircumstances\nIndividuals use different alphabets, \nabbreviations, or naming conventions \nResearch institutions and organizations therefore find it hard to\nIdentify, track, and report on \nresearchers’ affiliations and \ncontributions (publications, peer \nreviews, grants, and more) \nBenchmark their organization \nagainst others\nInstitutions Face a Rising \nTide of Research \nscholarly articles published per year\nSource: The STM Report, October 2018\nSource: Science Magazine\n42,500 ACTIVE SCHOLARLY PEER- REVIEWED JOURNALS\nSource: The STM Report, October 2018\nTackling Information Overload\nORCID is a non-profit organization, which provides a fully open and interoperable\nidentifier to reliably connect researchers with their research contributions. The \nORCID iD is a 16-digit identifier that researchers can register for and use for free.\nConnects individuals and \ntheir professional \ncontributions across \ndisciplines, \norganizations, and time\nHelps research institutions, funders, \npublishers, and other organizations \nbetter track and support research work \nEnables recognition of \nall types of research \ncontributions and \ninnovation \nHow ORCID Works\nIt's a registry of unique persistent \nidentifiers for researchers\nIt's a global community that enables \nresearchers to share their data with other \nindividuals, organizations, and systems \nIt's a hub that connects researchers with their \nprofessional activities and contributions\nWhy Connect with ORCID? \nHundreds of members and systems use ORCID globally\nConnections to ORCID records\nlive ORCID iDs registered since its 2012 launch\nSource: Orcid.org/statistics as of November 2018\nEvidence of Institutional Value\nExamples of time/staff savings achieved by implementing ORCID from around the world\nUK: 0.2 – 0.4 FTEs per institution1\nPortugal: 100,000 researcher hours per year2\nAustralia: 15-30 minutes per grant application3\nHow Organizations and \nResearchers Benefit\nSave time and reduce errors \nwith automated \ninformation-sharing and \ncross-system interoperability\nManage your organization \nname and your researchers' \nconnections with it\nMaintain links with your \nresearchers - past, \npresent, and future\nSponsored by ORCID\nRESEARCHERSINSTITUTIONS\nSpend more time doing \nresearch, less time managing it\nImprove recognition and \ndiscoverability of their \nresearch\nControl and manage a trusted \nand easily shareable record of \ntheir research activities and \naffiliations – for free\nTo learn more go to https://orcid.org\nThree Ways to Get Involved\n1. Encourage and support your researchers in getting, sharing, and \n using their ORCID iD \n2. Invest in integrating ORCID into your systems\n3. Connect data to and from your researchers’ ORCID records to \n support information use and reuse across organizations\nThe Value of Using Unique Identifiers for Researchers\nOVER 3 MILLION\n5.5 MILLION+\n3.7 ORCID iDs created \nevery minute\n193 different languages \nincluded in ORCID records\n73.6% of records have \ngranted update permissions\n1.97 record updates \nmade per second\n1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015\n2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017\n3. Australian Research Council governance meeting, September 2018\n\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "the observation of a pattern does not tell us how it\nis used.\" There is also the issue of how complex a\nprobe should be allowed to be (Liu et al., 2019a). If\na more complex probe recovers more information,\nto what extent are we still relying on the original\nmodel?\nFurthermore, different probing methods may\nlead to complementary or even contradictory con-\nclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in \nreviewer identities, and helping editors find reviewers and check expertise.\"\n—Brooks Hanson, Executive Vice President, Science, American Geophysical Union\nInstitutions must increasingly recognize and demonstrate \nthe impact of all types of research contributions \n■ Live ORCID iDs \n■ w/at least 1 education\n■ w/at least 1 employee \n■ w/at least 1 work\n6M\n5M\n4M\n3M\n2M\n1M\n2012 2013 2014 2015 2016 2017 2018", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "71 \n \n ?customer ?relation ?relatedToCustomer.} \nThis would be much less intuitive than the user defined names. There are good reasons to use auto-\ngenerated names, especially for large ontologies that are implemented in multiple natural languages. \nHowever, for new users, especially those who plan to use SPARQL and SHACL, I think it is more \nintuitive to start with user supplied names and then progress to auto-generated names if and when the \nrequirements show a true need for them. This approach to developing software incrementally rather than \nto attempt to design the perfect system that can scale for all possible future requirements is known as the \nAgile approach to software development. In my experience Agile methods have proven themselves in \ncountless real-world projects to deliver better software on time and on budget than the alternative \nwaterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/ \nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot \nmore and if you are interested you should check out DuCharme’s book or some of the many SPARQL \ntools and tutorials on the web. Some of these are in the bibliography. \nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open \nWorld Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter \n4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that \nSPARQL is not subject to either of these restrictions. With SPARQL one can do non-monotonic \nreasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the \nvalue for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "their papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-\nsure the dataset quality is suitable for a benchmark,\nfurther data cleaning has been performed:\n• Duplicates are eliminated, retaining unique\npublications for each field.\n• Irrelevant titles (due to API indexing mistakes)\nor titles in languages other than French have\nbeen manually removed.\n3https://www.syntec.fr/convention-collective/\n4https://huggingface.co./datasets/lyon-nlp/\nmteb-fr-retrieval-syntec-s2p\n5https://huggingface.co./datasets/lyon-nlp/\nclustering-hal-s2s\n2", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "Implications of the The Overall Approach \nStepping back from The Pile v2 speci fically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \nThe benefits are relatively straightforward. Both categories, by de finition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \ncontent available for AI training. For instance, relying on books from before 1929 would not 30\nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. 31\n5b. Limitations & Exceptions \nExisting Project Example: HathiTrust Research Center (HTRC) \nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited speci fically for AI \ntraining, it is an existence proof for what such a resource might look like. \n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable 30\nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate, Here’s Proof You Can Train an AI Model Without Slurping \nCopyrighted Content | WIRED. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai-\nwithout-slurping-copyrighted-content/.\n Our workshop discussion did note that some widely available datasets for AI training have also 31\npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.” ArXiv (Cornell University), 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.\nTowards a Books Data Commons for AI Training 13", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies \non assumptions or estimates. \n2.3. Open Data in Latin America, Asia and Africa\nSeveral countries in Latin America are studying and making experiments with Open Data both at \nthe government and at the grassroots level. The same is happening, on a much smaller scale, in a \nfew parts of Asia and Africa. On average, the volume of these Open Data experiments and the level \nof local interest and awareness around them is still lower than what is happening in Europe and \nNorth America. In spite of this we suggest that it is important, for public officials and civic activists \nin Western Countries, to follow these developments closely. The reason is that they may turn into \nvery useful test beds for all the strengths and limits of Open Data, especially those not encountered \nyet where the movement was born. \nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The \nproblem they want to solve is how to make democracy work better in countries where it already \nexists and which share a great amount of history and cultural/philosophical values. \nOther countries face very different challenges, from the philosophical level to the practical one. A \ncommon issue in developing countries, for example, is that there is very little to open simply \nbecause much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first \nthing to do is to create data, normally through outsourcing and crowd sourcing. \nOther issues, that will be discussed in detail in other sections of the report because they are also \npresent in Europe in different forms, are related to lack of equal opportunities for access to data and \nserious fears (sometimes, concrete, sometimes caused by confusion about what should be open and \nhow) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering \nthe Empowered or Effective Data Use for Everyone? said: \nin Delhi and Mumbai, mobs and rioters managed to get information about particular \nidentity groups through voter rolls: openness is, in certain situations, a precarious \nvirtue. It is almost certain that Open Data would be used to rig election but here again \nopenness is not the issue, they would find it anyway... \nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its \neffects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in \nThailand, for example, one of the most appreciated entries was a software scraper of the Thailand's \nMember of House of Representative Website, that made it possible for everybody to create \napplications using those data. \n8/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "the availability of Open Data. Of course, this isn't always possible. \n3.6.6. Unprepared Public Administrators\nIt is undeniable that today, especially at the local level, most Public Administrators that should or \nmay contribute to open the public data held by their organizations still ignore, and sometimes \ndisdain, Open Data proposals, principles and practices. This happens for many reasons. We'll only \nmention two of them that are quite common. They are interesting because, while being somewhat \nrelated and sharing common origins, one is very hard to fix, the other, at least in comparison, very \neasy. \nTo begin with, most of these administrators are people that, albeit very competent and committed to \ntheir work, were not really trained to live with so much of what they perceive as \"their\" documents \nand daily activities as Open Data implies regularly exposed to the public. This is true even among \nadministrators who are already well acquainted with mainstream \"Web 2.0\" practices. Many \nofficers who already have a regular presence on Facebook, Twitter or other social networks and \nregularly use those platforms to discuss their work with their constituents feel diffident about Open \nData in the same measure as their colleagues who don't even use computers yet. A cultural barrier \nlike this requires both strong demand from citizens and detailed examples of how Open Data can be \ngood for the local budget to be overcome in acceptable time frames. \nAnother factor that may keep administrators away from Open Data is the more or less unconscious \nassumption that, in order to use them, a City Major or Region Governor should be very skilled \nhimself, if not with actual programming, with \"Web 2.0\" tools, modern online services and/or \ngeneral software engineering principles. This is simply not true. Surely, Open Data is something \nthat is made possible only by modern digital technologies and the Internet, but at the end of the day \nit's \"simply\" a way to increase transparency, efficiency and cost reductions inside Public \nAdministration, and to create local jobs. If these hypotheses are as concrete as this and many other \nstudies explain, there is no need for a Major to have programming skills, like social networks or \nhave any other personal \"2.0\" skill or training to see the advantages of Open Data and delegate to \nhis or her IT staff their implementation. \n3.7. The privacy problem\nBeing perceived as a lethal attack to privacy remains one of the biggest misunderstandings that \nprevents adoption of Open Data. On one hand, there is no doubt that in an increasingly digital world \nit becomes harder and harder to protect privacy. But, exactly because the whole world is going \n22/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 21, - "page_end": 21, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "existing] problem that is somewhere else. \nRegardless of the real probability of data alterations before they are published, the major problem \nhappens after. We already mentioned in the first report the fact that, while correct interpretation of \npublic data from the majority of average citizens is absolutely critical, the current situation, even in \ncountries with (theoretical) high alphabetization and Internet access rates, is one in which most \npeople still lack the skills needed for such analysis. Therefore, there surely is space for both \nintentional manipulation of PSI and for misunderstanding it. After the publication of the first report, \nwe've encountered several examples of this danger, which are reported in the rest of this paragraph. \nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the \nimpact on the general public (in terms of raising interest and enhancing participation) on the Open \nData activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there \nhas been no big increase in demagogy, more or less manipulated scandals and conflictual discussion \ncaused by Open Data. There has certainly been something of this in the Cablegate but that's not \nreally relevant because, as we've already explained, what Wikileaks did is intrinsically different \nfrom Open Data. So far, negative or at least controversial reactions by manipulation and \nmisunderstanding of Open Data haven't happened to such a scale to justify not opening PSI. \nThis said, let's look at some recent example of misunderstanding and/or manipulation based on \n(sometimes open) public digital data. \nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows \n[also] \"mosques that are no longer in use, so as to convey the idea that Muslims were invading \nRussia.\" \nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared \nin September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, \nas they had been doing for years. The reason was that, following the March 2009 earthquake in \nItaly, the data were being used to \"come to conclusions without any basis at all\" , both by the press, \nto sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing \nanti seismic construction codes. \nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a \nbig effort to explain to his readers the limits of the maps he publishes, and the potential for \nmisunderstanding if they are used without preparation, or with wrong expectations. This is a \nsynthesis of Belleri's explanation, also covered in other websites , that is applicable to any map-\n18/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 17, - "page_end": 17, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "What is an ORCID iD ?", - "target_page": 1, - "target_passage": "ORCID iD is a 16-digit identifier that researchers can register for and use for free.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "All IDC research is © 2018 by IDC. All rights reserved. All IDC materials are licensed with IDC's permission and in no \nway does the use or publication of IDC research indicate IDC's endorsement of ORCID’s products/or strategies.\nIDC #US44453318\nAn IDC Infographic, sponsored by ORCID | November 2018 \nWhat’s in a Name?\nMost names are not unique \nMany people have \nthe same name\nPeople use different versions of \ntheir name during their career \nFor example, \n30% OF THE SCIENTISTS WHO GOT \nTHEIR PhD IN THE UNITED \nKINGDOM NOW LIVE ELSEWHERE\nResearchers are mobile!\nNames may \nchange through \nmarriage or other \ncircumstances\nIndividuals use different alphabets, \nabbreviations, or naming conventions \nResearch institutions and organizations therefore find it hard to\nIdentify, track, and report on \nresearchers’ affiliations and \ncontributions (publications, peer \nreviews, grants, and more) \nBenchmark their organization \nagainst others\nInstitutions Face a Rising \nTide of Research \nscholarly articles published per year\nSource: The STM Report, October 2018\nSource: Science Magazine\n42,500 ACTIVE SCHOLARLY PEER- REVIEWED JOURNALS\nSource: The STM Report, October 2018\nTackling Information Overload\nORCID is a non-profit organization, which provides a fully open and interoperable\nidentifier to reliably connect researchers with their research contributions. The \nORCID iD is a 16-digit identifier that researchers can register for and use for free.\nConnects individuals and \ntheir professional \ncontributions across \ndisciplines, \norganizations, and time\nHelps research institutions, funders, \npublishers, and other organizations \nbetter track and support research work \nEnables recognition of \nall types of research \ncontributions and \ninnovation \nHow ORCID Works\nIt's a registry of unique persistent \nidentifiers for researchers\nIt's a global community that enables \nresearchers to share their data with other \nindividuals, organizations, and systems \nIt's a hub that connects researchers with their \nprofessional activities and contributions\nWhy Connect with ORCID? \nHundreds of members and systems use ORCID globally\nConnections to ORCID records\nlive ORCID iDs registered since its 2012 launch\nSource: Orcid.org/statistics as of November 2018\nEvidence of Institutional Value\nExamples of time/staff savings achieved by implementing ORCID from around the world\nUK: 0.2 – 0.4 FTEs per institution1\nPortugal: 100,000 researcher hours per year2\nAustralia: 15-30 minutes per grant application3\nHow Organizations and \nResearchers Benefit\nSave time and reduce errors \nwith automated \ninformation-sharing and \ncross-system interoperability\nManage your organization \nname and your researchers' \nconnections with it\nMaintain links with your \nresearchers - past, \npresent, and future\nSponsored by ORCID\nRESEARCHERSINSTITUTIONS\nSpend more time doing \nresearch, less time managing it\nImprove recognition and \ndiscoverability of their \nresearch\nControl and manage a trusted \nand easily shareable record of \ntheir research activities and \naffiliations – for free\nTo learn more go to https://orcid.org\nThree Ways to Get Involved\n1. Encourage and support your researchers in getting, sharing, and \n using their ORCID iD \n2. Invest in integrating ORCID into your systems\n3. Connect data to and from your researchers’ ORCID records to \n support information use and reuse across organizations\nThe Value of Using Unique Identifiers for Researchers\nOVER 3 MILLION\n5.5 MILLION+\n3.7 ORCID iDs created \nevery minute\n193 different languages \nincluded in ORCID records\n73.6% of records have \ngranted update permissions\n1.97 record updates \nmade per second\n1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015\n2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017\n3. Australian Research Council governance meeting, September 2018\n\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "\"Having ORCID iDs for most of our researchers has helped in providing \nauthoritative accounts in our various databases, ensuring accuracy in \nreviewer identities, and helping editors find reviewers and check expertise.\"\n—Brooks Hanson, Executive Vice President, Science, American Geophysical Union\nInstitutions must increasingly recognize and demonstrate \nthe impact of all types of research contributions \n■ Live ORCID iDs \n■ w/at least 1 education\n■ w/at least 1 employee \n■ w/at least 1 work\n6M\n5M\n4M\n3M\n2M\n1M\n2012 2013 2014 2015 2016 2017 2018", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "322 IBM Content Manager OnDemand Guide\nFigure 14-6 Adding a recipient list\n14.2.3 Adding a report ID\nThe next step is to define the reports to ODF . The report ID identifies the application group \nand application to which the report belongs. Figure 14-7 shows the window where you add \nthe report ID.\nFigure 14-7 Adding a report ID\nTo create a report ID, specify the identifier and then choose the application group and \napplication from the drop-down selection.", - "page_start": 345, - "page_end": 345, - "source_file": "sg246915.pdf" - }, - { - "text": "244 IBM Content Manager OnDemand Guide\nThe apka2e exit\nThe apka2e exit translates data that is encoded in ASCII (code set IBM-850) into EBCDIC \n(code set IBM-037). If you are converting line data to AFP , consider converting the data to \nEBCDIC. A much wider selection of EBCDIC coded fonts is available than ASCII fonts. Many \ncustomers find that it is easier to use character sets and code pages that are supplied by IBM \nthan to create their own character sets and code pages. To use these predefined EBCDIC \ncoded fonts, the data must be in EBCDIC. \nWhen you use the apka2e exit, you must manually change your indexing parameters:\n/SM590000Change an ASCII CPGID to an EBCIDIC CPGID; for example, change CPGID=850 to \nCPGID=500.\n/SM590000Change the HEX codes for the triggers and index names from ASCII to EBCDIC. If you do \nnot, you receive ACIF return code 16, which states that it cannot find trigger1 or any fields. \nWe used a hex editor to determine the new EBCDIC values and typed them by keyboard edit \ninto the parameter file. If you do not have a hex editor, you can find conversion tables on the \nInternet. \nFor more information about how to update indexing parameters, see 11.2.6, “Debugging input \nuser exit programs” on page 247.\nThe asciinp exit\nThe asciinp exit program is used when the data does not contain carriage controls. Instead, \nit contains “PC style” carriage returns and form feeds X'0D0A' and X'0D0C'. This program is \nprovided by IBM. The program transforms the ASCII data stream into a format that contains a \ncarriage control character in byte 0 of every record. \nThe asciinp exit performs the following actions: \n/SM590000Inserts a new page command (X'31') at the top of the first page.\n/SM590000Removes the ASCII carriage return (X'0D').\n/SM590000Inserts an ASCII new line (X'20') carriage control at byte 0 of each line, except the first \nline on a new page.\n/SM590000Replaces the ASCII form feed (X'0C') with an ASCII new page command (X'31').\n/SM590000Leaves X'0A' in the file.\nThe asciinpe exit\nThe asciinpe exit combines the previous two exits. It converts the data from ASCII to \nEBCDIC and inserts EBCDIC carriage control characters. For full documentation about this \nsample program, see the asciinpe.c source code.\n11.2.3 Index record exit\nUse the index record exit to modify or ignore the records that ACIF writes in the index object \nfile. The program, which is specified in the ACIF indxexit parameter, receives control before a \nrecord is written to the index object file. The user-written program can instruct ACIF to use the \nrecord, to not use the record, or to edit the record before the record is inserted into the index \nobject file.\nNote: Because the asciinp exit inserts carriage control characters in byte 0 of your \ndocument, and leaves X'0A', it changes the position of the triggers and fields. If you use \nthis exit, you must add 1 to the column offsets for the triggers and fields.", - "page_start": 267, - "page_end": 267, - "source_file": "sg246915.pdf" - }, - { - "text": "788 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nVital product data\nVital product data (VPD or VDP) is information that uniquely defines system, hardware, \nsoftware, and microcode elements of a processing system.\nVolume\nA volume is an IBM Storwize V7000 logical device that appears to host systems that are \nattached to the SAN as a SCSI disk. Each volume is associated with exactly one I/O Group. A \nvolume has a preferred node within the I/O Group.\nVolume copy\nA volume copy is a physical copy of the data that is stored on a volume. Mirrored volumes \nhave two copies. Non-mirrored volumes have one copy.\nVolume protection\nTo prevent active volumes or host mappings from inadvertent deletion, the system supports a \nglobal setting that prevents these objects from being deleted if the system detects that they \nhave recent I/O activity. When you delete a volume, the system checks to verify whether it is \npart of a host mapping, FlashCopy mapping, or remote-copy relationship. In these cases, the \nsystem fails to delete the volume, unless the -force parameter is specified. Using the -force \nparameter can lead to unintentional deletions of volumes that are still active. Active means \nthat the system detected recent I/O activity to the volume from any host.\nWrite-through mode\nWrite-through mode is a process in which data is written to a storage device at the same time \nthat the data is cached.\nWritten capacity\nSee “Capacity” on page 771.", - "page_start": 809, - "page_end": 809, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 5. Graphical user interface 149\nBy right-clicking and selecting Properties, you see detailed technical parameters, such as ID, \nstate (online or offline), drive capacity, and the drive use, as shown in Figure 5-30.\nFigure 5-30 Canister information\nIn an environment with multiple IBM Storwize V7000 clusters, you can easily direct the onsite \npersonnel or technician to the correct device by enabling the identification LED on the front \npane. Click Turn Identify On in the menu that is shown in Figure 5-31.\nFigure 5-31 Identification LED\nWait for confirmation from the technician that the device in the data center was correctly \nidentified. In the GUI, you see a flashing light, which indicates that the Identify LED was \nturned on.\nright-click\n1\n2", - "page_start": 170, - "page_end": 170, - "source_file": "sg247938.pdf" - }, - { - "text": "104 IBM Content Manager OnDemand Guide\nApplication Group Identifier and the Application Group ID\nThe Application Group Identifier and the Application Group ID (AGID) are unique identifiers \nthat are used by Content Manager OnDemand to identify the application group in system \ntables.\nMigrate Data from Cache \nThe Migrate Data from Cache value determines when documents and resources are migrated \nto archive storage. A storage set that is associated with a Tivoli Storage Manager client node \nmust be selected to enable migration to archive storage. \nThe following values are valid:\n/SM590000No: Data is never migrated from cache. This option is unavailable when a storage set that \nis associated with a Tivoli Storage Manager client node is selected for the application \ngroup.\n/SM590000When data is loaded: Data is migrated to archive storage when the data is loaded into the \napplication group.\n/SM590000Next cache migration: Data is migrated to archive storage the next time that ARSMAINT is \nrun with the -m option. The -m option indicates that data and resources are copied from \ncache to archive storage. \n/SM590000After __ days in cache: This value specifies the number of days that data remains in cache \nstorage. After the prescribed number of days in cache storage are reached, the data is \ncopied to archive storage the next time that ARSMAINT is run with the -m option for data \nmigration. \n5.2.7 IBM System Storage Archive Manager\nCertain regulations require data to be stored in devices that are read only. In the past, \nphysical storage devices, such as tapes and optical disks that are Write Once Read Many \n(WORM), were used. \nWORM disks, such as the NetApp SnapLock or EMC Centera, can be used to store data in \nthe same manner as WORM tapes or optical platters. IBM System Storage Archive Manager \nallows critical data to be retained for a mandated period without the possibility of being \nrewritten or erased. \nIn this section, we describe System Storage Archive Manager and how Content Manager \nOnDemand can be configured to use this subsystem to support these WORM disk devices. \nFor more information about the Tivoli Storage Manager support of WORM disk devices, such \nas NetApp SnapLock, or EMC Centera, see the following IBM Knowledge Center documents:\n/SM590000Tivoli Storage Manager for AIX Administrator’s Guide\n/SM590000Tivoli Storage Manager for Windows Administrator’s Guide\nY ou can obtain these documents from the IBM Tivoli Storage Manager Knowledge Center at \nthe following web address:\nhttp://www.ibm.com/support/knowledgecenter/SSGSG7/welcome?lang=en:\nNote: Verify support for any particular device on a particular platform through the Tivoli \nStorage Manager Device support matrix before you plan your implementation.", - "page_start": 127, - "page_end": 127, - "source_file": "sg246915.pdf" - }, - { - "text": "776 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nEvent ID\nAn event ID is a value that is used to identify a unique error condition that was detected by the \nStorwize V7000. An event ID is used internally in the cluster to identify the error.\nExcluded condition\nThe excluded condition is a status condition. It describes an MDisk that the IBM Storwize \nV7000 decided is no longer sufficiently reliable to be managed by the cluster. The user must \nissue a command to include the MDisk in the cluster-managed storage. \nExtent\nAn extent is a fixed-size unit of data that is used to manage the mapping of data between \nMDisks and volumes. The size of the extent can range 16 MB - 8 GB.\nExternal storage\nExternal storage refers to MDisks that are SCSI logical units that are presented by storage \nsystems that are attached to and managed by the clustered system.\nFailback\nFailback is the restoration of an appliance to its initial configuration after the detection and \nrepair of a failed network or component.\nFailover\nFailover is an automatic operation that switches to a redundant or standby system or node in \na software, hardware, or network interruption. See also Failback.\nFeature activation code\nAn alphanumeric code that activates a licensed function on a product.\nFibre Channel port logins\nFC port logins refer to the number of hosts that can see any one V7000 port. The IBM \nStorwize V7000 has a maximum limit per node port of FC logins that are allowed. \nField-replaceable unit\nField-replaceable units (FRUs) are individual parts that are replaced entirely when any one of \nthe unit’s components fails. They are held as spares by the IBM service organization. \nFlashCopy\nFlashCopy refers to a point-in-time copy where a virtual copy of a volume is created. The \ntarget volume maintains the contents of the volume at the point in time when the copy was \nestablished. Any subsequent write operations to the source volume are not reflected on the \ntarget volume.\nFlashCopy mapping\nA FlashCopy mapping is a continuous space on a direct-access storage volume that is \noccupied by or reserved for a particular data set, data space, or file.\nFlashCopy relationship\nSee FlashCopy mapping.", - "page_start": 797, - "page_end": 797, - "source_file": "sg247938.pdf" - }, - { - "text": "\"The great growling engine of change - technology.Alvin Toffler\" by katerha is licensed under CC BY 2.0.\nOur legal and technology staffcontinued to make keyinfrastructure updates andmanage daily maintenance toensure these Licenses work foreveryone. \nIn 2023, welaunched the OpenInfrastructure Circle(OIC) to ensureconsistent fundingfor this work. \nWe’re grateful to the earlysupporters of the OIC,including the William + FloraHewlett Foundation, Bill &Melinda Gates Foundation,Filecoin Foundation for theDecentralized Web, RobertWood Johnson Foundation,Chan Zuckerberg Initiative,Endless, Siegel FamilyEndowment, Flickr, Microsoft,and Paul and Iris Brest. \nLicenses and Public Domain Tools\nThe first CC License was created in 2002. Today, we boast six CC Licenses andtwo public domain tools, setting a global standard for sharing. \nWe’ve estimated that over 2.5 billion pieces of contentwere CC Licensed by the end of 2023.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "328 IBM Content Manager OnDemand Guide\nExample 14-1 recipientAdd.xml\n\n\n\n \n14.3.2 Report ID\nRun the following command to add a report ID:\nArsxml add -h myod -u myuser -p mypwd -v -i /reportIDAdd.xml\nExample 14-2 shows the content of our example reportIDAdd.xml file.\nExample 14-2 reportIDAdd.xml\n\n\n\n\n14.3.3 Distribution and report bundle\nRun the following command to create a distribution and report bundle:\nArsxml add -h myod -u myuser -p mypwd -v -i /distributionAdd.xml\nExample 14-3 shows the content of our example distributionAdd.xml file.\nExample 14-3 distributionAdd.xml\n\n\n\nis nearly constant; this is the trans-\nport regime. However, on decreasing εnl below 1.5, we observe a marked increase in the value\nof < f >, indicating that energy plays an important role in determining the number of fingers in\nthis regime. In this parameter range, demixing of particles and liquid occurs at the moving front\nand increases its transverse instability. In this ‘demixing regime’, the wavelength of the fingering\ninstability is determined by the dynamics and the energetics of the system. Decreasing εnl further\n(below 1.4 in Fig. 3) one first observes in regime (iii) a slight decrease in the average finger num-\nber. This is a geometric effect resulting from our one-dimensional finger counting routine: The\nfingers increasingly break up and the dried-in pattern looks progressively isotropic. In regime (iv),\nthe measure ⟨f⟩does not represent a finger number but instead indicates a decrease in the typical\n12", - "page_start": 11, - "page_end": 11, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid\non the substrate where the nanoparticles are.\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front.\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger\nnumber remains constant, although new branches are continuously created and old branches join\neach other. In general, the results on fingering agree well with results obtained using the KMC\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the\nKMC for investigations of the early instability stages: they are more easy to discern without the\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations\n(in analogy to the approach used in Refs. [19, 86, 87]).\nC. Thin film hydrodynamics\nThe previous two sections focused on two approaches to describe the experimentally observed\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet-\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface-\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of\nspreading particle solutions incorporating a structural disjoining pressure has also been considered\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the\n18", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "[20] C. Tomlinson, “On the motion of certain liquids on the surface of water,” Phil. Mag. Ser. 439, 32–48\n(1870).\n[21] C. G. Marangoni, “Ueber die Ausbreitung der Tropfen einer Fl ¨ussigkeit auf der Oberfl ¨ache einer\nanderen,” Ann. Phys. (Poggendorf)143, 337–354 (1871).\n[22] O. Karthaus, L. Grasj ¨o, N. Maruyama, and M. Shimomura, “Formation of ordered mesoscopic poly-\nmer arrays by dewetting,” Chaos9, 308–314 (1999).\n[23] X. Gu, D. Raghavan, J. F. Douglas, and A. Karim, “Hole-growth instability in the dewetting of\nevaporating polymer solution films,” J. Polym. Sci. Pt. B-Polym. Phys.40, 2825–2832 (2002).\n[24] S. W. Hong, J. F. Xia, and Z. Q. Lin, “Spontaneous formation of mesoscale polymer patterns in an\nevaporating bound solution,” Adv. Mater.19, 1413–1417 (2007).\n[25] G. Liu, C. F. Zhang, J. Zhao, and Y . X. Zhu, “Study of the morphology of the three-phase contact\nline and its evolution by morphological examination after droplet evaporation of aqueous polymer\nsolutions,” Langmuir24, 7923–7930 (2008).\n[26] M. Mertig, U. Thiele, J. Bradt, G. Leibiger, W. Pompe, and H. Wendrock, “Scanning force mi-\ncroscopy and geometrical analysis of two-dimensional collagen network formation,” Surface and\nInterface Analysis 25, 514–521 (1997).\n[27] M. Mertig, U. Thiele, J. Bradt, D. Klemm, and W. Pompe, “Dewetting of thin collagenous precursor\nfilms,” Appl. Phys. A 66, S565–S568 (1998).\n[28] U. Thiele, M. Mertig, and W. Pompe, “Dewetting of an evaporating thin liquid film: Heterogeneous\nnucleation and surface instability,” Phys. Rev. Lett.80, 2869–2872 (1998).\n[29] H. Maeda, “An atomic force microscopy study of ordered molecular assemblies and concentric ring\npatterns from evaporating droplets of collagen solutions,” Langmuir15, 8505–8513 (1999).\n[30] I. I. Smalyukh, O. V . Zribi, J. C. Butler, O. D. Lavrentovich, and G. C. L. Wong, “Structure and\ndynamics of liquid crystalline pattern formation in drying droplets of DNA,” Phys. Rev. Lett. 96,\n177801 (2006).\n[31] L. Zhang, S. Maheshwari, H. C. Chang, and Y . X. Zhu, “Evaporative self-assembly from complex\nDNA-colloid suspensions,” Langmuir24, 3911–3917 (2008).\n[32] M. Maillard, L. Motte, A. T. Ngo, and M. P. Pileni, “Rings and hexagons made of nanocrystals: A\nMarangoni effect,” J. Phys. Chem. B104, 11871–11877 (2000).\n[33] G. L. Ge and L. Brus, “Evidence for spinodal phase separation in two-dimensional nanocrystal self-\nassembly,” J. Phys. Chem. B104, 9573–9575 (2000).\n27", - "page_start": 26, - "page_end": 26, - "source_file": "1001.2669.pdf" - }, - { - "text": "also shift the spinodal and binodal lines as compared to the locations of these lines in the phase\ndiagram for the pure solvent [41]. As a consequence, the solute concentration influences the hole\nnucleation rate. More importantly, the solute particles may also destabilise the dewetting fronts.\nAs a result, one may find strongly ramified structures in all three systems [23, 25, 40, 42]. A\nselection of images exhibiting some of the possible structures is displayed in Fig.1.\nFor volatile solvents, the contact lines retract even for wetting fluids. It has been found that such\nevaporatively receding contact lines may deposit very regular line or ring patterns parallel to the\nmoving contact line [24, 43]. The deposition of a single ring of colloids from a evaporating\ndrop of colloidal suspension is well known as the ‘coffee stain effect’ [44]. Detailed investiga-\ntions reveal the emergence of rich structures including multiple irregular rings, networks, regular\ndroplet patterns, sawtooth patterns, Sierpinski carpets, and – in the case of DNA – liquid crys-\ntalline structures [22, 30, 45–49]. The deposition of regularly spaced straight lines orthogonal to\nthe moving contact line has also been reported [50]. Droplet patterns may as well be created em-\nploying solvent-induced dewetting of glassy polymer layers below the glass transition temperature\n[51–53].\nNote that the dewetting of pure volatile liquids has also been studied experimentally [54] and\ntheoretically [55–58]. In this case, different contact line instabilities have been observed for evap-\norating liquid drops [59, 60].\nIn the present article we review and preview the experiments and in particular the various mod-\nelling approaches for dewetting suspensions of (nano-)particles in volatile partially wetting sol-\nvents. After reviewing the basic experimental results in Section II, we discuss in Section III sev-\neral theoretical approaches. In particular, we present a kinetic Monte Carlo model in Section III A,\na dynamic density functional theory in Section III B, and a thin film evolution equation in Sec-\ntion III C. Finally, we conclude in Section IV by discussing advantages and shortcomings of the\nindividual approaches and future challenges to all of them.\nII. EXPERIMENT WITH NANOPARTICLE SOLUTIONS\nWe focus on experiments that use monodisperse colloidal suspensions of thiol-passivated gold\nnanoparticles in toluene [33, 34, 37–40, 61]. The gold core of 2 – 3 nm diameter is coated by a layer\nof alkyl-thiol molecules. The length of the carbon backbone of the thiol used in the experiments\nranges from 6 to 12 carbon atoms ( C6 to C12) [40]. By varying the chain length, one can control\n4", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2669.pdf" - }, - { - "text": "(iii)\n(iv)\n(ii)\n(i)\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thicknesshand (right) the nanoparticle\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning,\n(iii) slow motion after depinning, and (iv) final evaporation from the center.\nshould also be investigated further in the simple case presented here.\nIV . CONCLUSION\nWe have discussed recent work on pattern formation processes in films and drops of evaporating\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics\non the mesoscale has been described as well as more microscopic models for the dynamics in the\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film\nmodel.\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-\n23", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Concerning the dewetting of nanoparticle solutions, how does the concentration of nanoparticle affect the main finger's width ?", - "target_page": 12, - "target_passage": "A quantitative analysis shows that the mean number of fingers depends only very weakly on the av- erage concentration of the nanoparticles ; only the mean finger width increases with increasing concentration", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "0.5\n1\n1.5\n2\n2.5\nh\np\n0\n0.2 0.4 0.6 0.8 1 x/L\n0.5\n1\n1.5\n2\n2.5\n0\n0.2 0.4 0.6 0.8 1 0.5\n1\n1.5\n2\n2.5\na\nb\nc\nFIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles\nin a volatile solvent that partially wets the substrate for (a) high ( Ω = 10−3), (b) medium (Ω = 2 ×10−6)\nand (c) low (Ω = 0 .78 ×10−8) evaporation rates, for the case when χ = H/l0 = 1.09, the lateral length\nscale is ℓ =\n√\nγ/κH with κ = (Sp/l0) exp(d0/l0)H being an energy scale related to wettability and the\nvertical length scale is H =\n√\n2SLW /κd0. The remaining dimensionless parameters are the evaporation\nnumber Ω = Qeη0ℓ2/H3, the diffusion number Γ = D(0)η0/Hκ = 10−4 and the dimensionless chemical\npotential M = Hµ/κ = ��0.0035. The system size is L= 19500ℓ. Film thickness and hp in the plots are\nscaled by the precursor film thickness.\ncircular throughout the dewetting and evaporation process. In this case one should interprete the\ncoordinate xas the distance from the centre of the circular film.\nWe start with a film of heighth0 of finite length sitting on a precursor film and assume that the film\ncontains nanoparticles at constant concentration φ0. The chosen parameter values ensure that the\nfilm of thickness h0 is linearly stable. As we do not incorporate noise, no nucleation of additional\nholes can occur (even with noise the probability would be extremely low). Without evaporation the\nfilm dewets ‘classically’ by a retraction of the initially step-like front. After a short time, surface\ntension smoothes the profile of the receding front and a capillary rim forms that collects all the\n20", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "dewetted liquid. The front recedes until all liquid is collected in a central drop. Since no liquid\nevaporates [Qnc = 0 in Eq. (1)], the particle concentration does not change during the process.\nThe situation changes when allowing for evaporation ( Qnc > 0). Now the front may retract\nby convection and/or evaporation. Evaporation leads to the possibility of a strong increase in\nthe particle concentration at the contact line as evaporation is strongest there. Due to the strong\nnonlinear dependence of the viscosity on the particle concentration, this may lead to a dramatic\ndecrease of the convective contribution to the front velocity. For moderate evaporation rates, this\nmay result in a (temporary) self-pinning of the front. Within the present basic model, the process\ncan (after complete dry-in) result in three different basic deposition patterns: (i) for very fast\nevaporation rates, all other processes occur over time scales that are much larger. In particular, the\neffects of convective redistribution of the liquid are neglectable. As a result one finds that a nearly\nhomogeneous film of nanoparticles of thicknesshp = φ0h0 is deposited (see Fig. 6(a)). Convection\nonly results in the small heap of material visible at the left hand side of Fig. 6(a). The decrease\nin hp on the right side of Fig. 6(a) arises due to the diffusion of particles to the right of the initial\nfront position; (ii) for very low evaporation rates, the film dynamics is dominated by convective\ndewetting as this process acts on a much shorter time scale than evaporation. As a result, all the\nliquid is collected into a drop before evaporation slowly removes the remaining solvent. Under\nthese conditions most of the nanoparticles are deposited in a single heap (see Fig. 6(c)). Depending\non the diffusivity, the heap might be highest at the centre or show a depression there; (iii) at\nintermediate evaporation rates, one may observe the deposition of a nanoparticle ring around a\nregion with a nanoparticle film of much lower height. At the centre deposition might increase\nagain (see Fig. 6(b)).\nThe most intriguing feature is the ring formation that has been observed experimentally for sus-\npensions of very different particle sizes ranging from nanometers [32, 36, 46, 47] to hundreds of\nmicrometers. Pinning of the contact line and thermal Marangoni effects are often mentioned as\nnecessary conditions for the ring formation. The contact line pinning is often assumed to result\nfrom substrate heterogeneities. Film height and concentration profiles at various instants during\nthe dewetting process are displayed in Fig. 7. The profiles are from before, at and after self-pinning\nof the contact line. In Fig. 8 we display a space-time plot for the complete process. At first, the\nfront recedes in the same manner as when there is no evaporation, but now driven by convection\nand evaporation. A small capillary rim forms that collects all the dewetted liquid that does not\nevaporate. The particle concentration slowly increases at the contact line (Fig. 7(a) and regime\n21", - "page_start": 20, - "page_end": 20, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 5: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles\nwith average density ρav\nn = 0.3 and with the liquid excluded from the region y <0. The top row shows\nthe nanoparticle density profiles and bottom row the corresponding liquid density profiles at the times\nt/tl = 1000 (left), 10000 (middle) and 30000 (right), where tl = 1 /kTMnc\nl σ2. The parameters are\nkT/εll = 0.8, εnl/εll = 0.6, εnn = 0, α= 0.2Mnc\nl σ4, Mc\nl = 0, ρl(t= 0) = 0.9 ±ξ(where ξrepresents\nwhite noise of amplitude 0.05) and (µ−µcoex)/kT = −0.78.\nThis theory allows us to study the time evolution of the evaporating film of nanoparticle suspension\nwithout some of the restrictions of the kinetic Monte Carlo model. Here, however, we illustrate its\napplication in similar parameter regimes as used above for the KMC. We focus on two examples:\n(i) the spinodal dewetting of a initially flat film of nanoparticle suspension characterised by con-\nstant ρl and ρn (Fig. 4); and (ii) the retraction of a dewetting front that is unstable with respect to\na fingering instability (Fig. 5).\nFig. 4 presents two pairs of snapshots from a purely evaporative dewetting process deep inside the\nparameter region of the phase diagram where spinodal dewetting occurs. For small times the film\nbecomes unstable showing a typical spinodal labyrinthine pattern with a typical wavelength. The\nnanoparticles concentrate where the remaining liquid is situated. However, they are ‘slow’ in their\nreaction: when ρl already takes values in the range 0.08 – 0.83, the nanoparticle concentration\nhas only deviated by about 25% from its initial value. The film thins strongly forming many\n17", - "page_start": 16, - "page_end": 16, - "source_file": "1001.2669.pdf" - }, - { - "text": "0\n1\n2\n3\n0\n1\n2\n3\nh, h\np\n, \nφ 0.6\n0.65 0.7 0.75 x/L\n0\n1\n2\n3\na\nb\nc\nFIG. 7: (Colour online) A sequence of profiles during a dewetting process with competing evaporation and\nconvection that leads to the dried-in ring structure of nanoparticles displayed in Fig. 6(b). Profiles are at (a)\nbefore pinning (t = 0.08T), (b) at self-pinning ( t = 0.13T), and (c) after depinning ( t = 0.29T), where\nT = 3 ×1010τ with τ = η0γH/κ2 (T is of order of 1s). The film thickness profiles hare the bold solid\nlines, the nanoparticle concentrations φare the dotted lines and the nanoparticle layer height hp = hφare\nthe dashed lines. The remaining parameters and scalings are as in Fig. 6(b).\n(i) in Fig. 8). The concentration increases further and when it approaches random close packing\nφc, the viscosity diverges and the front pins itself. When pinned, further retraction only occurs\nthrough evaporation (Fig. 7(b) and regime (ii) in Fig. 8). The front eventually depins and starts\nto move again, leaving a nanoparticle ring behind (Fig. 7(c) and regime (iii) in Fig. 8). However,\nthe velocity is not as large as at the beginning, owing to the fact that the mean concentration of\nparticles has increased. The remaining particles are transported to the centre and are deposited\nthere when the remaining solvent evaporates (regime (iv) in Fig. 8).\nThe simple model used here shows, (i) that the contact line stops due to self-pinning by the de-\nposited particles and (ii) the Marangoni effect is not necessary for the ring formation. The model\ncan easily be refined to account for solutal and/or thermal Marangoni effects [88] but self-pinning\n22", - "page_start": 21, - "page_end": 21, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled\nnon-linear evolution equations for the film thickness profileh(x,t) and the amount of nanoparticles\nper unit length hp = φh, where φis the volume concentration of the nanoparticles. Note, that hp\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence\nof particle-independent capillarity and wettability only, the energy functional F[h] is given by\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs.\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\nη(φ) = η0\n(\n1 −φ\nφc\n)−2\n(8)\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle\nvolume per length hp = φhone obtains the following evolution equation:\n∂t(φh) = ∇·\n[\nφQc∇δF\nδh\n]\n+ ∇·[D(φ)h∇φ] , (9)\nwhere the particle concentration dependent diffusion coefficientD(φ) is related to the viscosity by\nthe Einstein relation D(φ) = kT/6πRη(φ), where Ris the radius of the nanoparticles [96].\nWe illustrate results obtained employing this thin film theory using the single example of a re-\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The\nexpression that we employ for the local free energy term in Eq. (2) is:\nf(h) = SLW d2\n0\nh2 + SP exp\n(d0 −h\nl0\n)\n, (10)\nwhere the parameters characterising the interaction between the liquid film and the surface are\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where\nthe profiles only vary in one Cartesian direction ( x), corresponding to a straight dewetting front.\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains\n19", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "(a)\n (b)\n(c)\n (d)\nFIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force\nMicroscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig\nand W. Pompe; see also Ref. [42]. Image size:5µm×5µm); (b) poly(acrylic acid) in water spin-coated onto\na polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright\nJohn Wiley & Sons, Inc. 2002; Image size: 2.5µm×2.5µm); and in both (c) and (d), a solution of gold\nnanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in\npanels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the\nempty substrate.\n5", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen\nfrom processes in similar ultrathin ‘postcursor’ films.\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how-\never, that at the moment there exists no explanation for its existence. A possible hypothesis is\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso-\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration\nsuspension from the higher concentration suspension on the surface of the substrate.\nIII. MODELLING APPROACHES\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro-\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness\nprofile h(x,y,t ). In the case of volatile liquids one finds [55–58, 64]\n∂th = ∇·\n[\nQc∇δF\nδh\n]\n−Qe\nδF\nδh, (1)\nwith the mobility functions Qc(h) = h3/3η ≥0 (assuming Poiseuille flow in the film and no slip\nat the substrate; η is the dynamic viscosity) and Qe ≥0 for the convective and evaporative part\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇= (∂x,∂y), and\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates.\nFocusing on the influence of capillarity and wettability only, the energy functional F[h] is given\nby\nF[h] =\n∫\ndx\n∫\ndy\n[γ\n2 (∇h)2 + f(h) −µh\n]\n(2)\n7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding\nexcess thiol one can also vary the properties of the solvent [40].\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin-\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo-\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin-\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold\ncores. For short chains (C 5 and C8) no formation of branched structures is observed. At similar\nconcentrations, well-developed branched structures are formed for longer chains (C 10 and C12).\nFor even longer chains (C 14), however, one again finds less branching. It also depends on the\namount of excess thiol in the solvent (for details see Ref. [40]).\nWhen following the evolution of the branched patterns in situ (see the complementary video\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate.\nThe macroscopic front can be transversely unstable resulting in large-scale ( > 100µm) strongly\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc-\ntures cover all the available substrate. However, when at a later stage the macroscopic front be-\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "also shift the spinodal and binodal lines as compared to the locations of these lines in the phase\ndiagram for the pure solvent [41]. As a consequence, the solute concentration influences the hole\nnucleation rate. More importantly, the solute particles may also destabilise the dewetting fronts.\nAs a result, one may find strongly ramified structures in all three systems [23, 25, 40, 42]. A\nselection of images exhibiting some of the possible structures is displayed in Fig.1.\nFor volatile solvents, the contact lines retract even for wetting fluids. It has been found that such\nevaporatively receding contact lines may deposit very regular line or ring patterns parallel to the\nmoving contact line [24, 43]. The deposition of a single ring of colloids from a evaporating\ndrop of colloidal suspension is well known as the ‘coffee stain effect’ [44]. Detailed investiga-\ntions reveal the emergence of rich structures including multiple irregular rings, networks, regular\ndroplet patterns, sawtooth patterns, Sierpinski carpets, and – in the case of DNA – liquid crys-\ntalline structures [22, 30, 45–49]. The deposition of regularly spaced straight lines orthogonal to\nthe moving contact line has also been reported [50]. Droplet patterns may as well be created em-\nploying solvent-induced dewetting of glassy polymer layers below the glass transition temperature\n[51–53].\nNote that the dewetting of pure volatile liquids has also been studied experimentally [54] and\ntheoretically [55–58]. In this case, different contact line instabilities have been observed for evap-\norating liquid drops [59, 60].\nIn the present article we review and preview the experiments and in particular the various mod-\nelling approaches for dewetting suspensions of (nano-)particles in volatile partially wetting sol-\nvents. After reviewing the basic experimental results in Section II, we discuss in Section III sev-\neral theoretical approaches. In particular, we present a kinetic Monte Carlo model in Section III A,\na dynamic density functional theory in Section III B, and a thin film evolution equation in Sec-\ntion III C. Finally, we conclude in Section IV by discussing advantages and shortcomings of the\nindividual approaches and future challenges to all of them.\nII. EXPERIMENT WITH NANOPARTICLE SOLUTIONS\nWe focus on experiments that use monodisperse colloidal suspensions of thiol-passivated gold\nnanoparticles in toluene [33, 34, 37–40, 61]. The gold core of 2 – 3 nm diameter is coated by a layer\nof alkyl-thiol molecules. The length of the carbon backbone of the thiol used in the experiments\nranges from 6 to 12 carbon atoms ( C6 to C12) [40]. By varying the chain length, one can control\n4", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid\non the substrate where the nanoparticles are.\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front.\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger\nnumber remains constant, although new branches are continuously created and old branches join\neach other. In general, the results on fingering agree well with results obtained using the KMC\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the\nKMC for investigations of the early instability stages: they are more easy to discern without the\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations\n(in analogy to the approach used in Refs. [19, 86, 87]).\nC. Thin film hydrodynamics\nThe previous two sections focused on two approaches to describe the experimentally observed\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet-\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface-\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of\nspreading particle solutions incorporating a structural disjoining pressure has also been considered\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the\n18", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Which of ultrathin film or mesoscale hydrodynamics are best explained by kinetic Monte Carlo models ? ", - "target_page": 18, - "target_passage": "lthough both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "(iii)\n(iv)\n(ii)\n(i)\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thicknesshand (right) the nanoparticle\nlayer height hp = hφ. The plot corresponds to the complete evolution resulting in the ring profile of\nFig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright\nborder in the left panel indicates the change of the position of the contact line in time. Over time, four\nregimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning,\n(iii) slow motion after depinning, and (iv) final evaporation from the center.\nshould also be investigated further in the simple case presented here.\nIV . CONCLUSION\nWe have discussed recent work on pattern formation processes in films and drops of evaporating\nsuspensions/solutions of polymers and particles. After reviewing experiments on suspensions of\nthiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and\nphase change processes involved. A theoretical approach to the modelling of the hydrodynamics\non the mesoscale has been described as well as more microscopic models for the dynamics in the\nobserved nanoscopic ‘postcursor’ film. In particular, we have introduced (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film\nmodel.\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to\ninvestigate and understand the formation of polygonal networks, spinodal and branched structures\nresulting from the dewetting of an ultrathin ‘postcursor’ film that remains behind the mesoscopic\ndewetting front. They are, however, not capable of describing the dynamical processes in a meso-\n23", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the\nultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an\nunstable manner resulting in an array of isotropically branched structures as shown, e.g., above in\nFig. 1. This indicates that at least some of the patterns described in the literature may have arisen\nfrom processes in similar ultrathin ‘postcursor’ films.\nThe existence of the ultrathin ‘postcursor’ film is an experimental finding that can be drawn on\nwhen choosing a theoretical approach to account for the pattern formation (see below). Note how-\never, that at the moment there exists no explanation for its existence. A possible hypothesis is\nthat the substrate strongly attracts the nanoparticles. As a result they form a dense suspension\nlayer having a thickness roughly equal to the diameter of the nanoparticles. The observed meso-\nscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration\nsuspension from the higher concentration suspension on the surface of the substrate.\nIII. MODELLING APPROACHES\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydro-\ndynamics. Starting from the Stokes equations, together with continuity and boundary conditions\nat the substrate and free surface, one applies a long-wave approximation (assuming small surface\nslopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness\nprofile h(x,y,t ). In the case of volatile liquids one finds [55–58, 64]\n∂th = ∇·\n[\nQc∇δF\nδh\n]\n−Qe\nδF\nδh, (1)\nwith the mobility functions Qc(h) = h3/3η ≥0 (assuming Poiseuille flow in the film and no slip\nat the substrate; η is the dynamic viscosity) and Qe ≥0 for the convective and evaporative part\nof the dynamics, respectively. Qe is a rate constant that can be obtained from gas kinetic theory\nor from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the\nfilm is close to the saturation pressure. For alternative expressions that are used to describe the\nnon-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65–69]. Finally, ∇= (∂x,∂y), and\n∂t, ∂x and ∂y denote partial derivatives w.r.t. time and the coordinates.\nFocusing on the influence of capillarity and wettability only, the energy functional F[h] is given\nby\nF[h] =\n∫\ndx\n∫\ndy\n[γ\n2 (∇h)2 + f(h) −µh\n]\n(2)\n7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle\ndeposits. The concentration of particles is much higher at the network nodes – an effect that can\nnot been seen within the KMC model. As the particles attract the liquid there remains some liquid\non the substrate where the nanoparticles are.\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front.\nAt early times the straight front shows a rather short-wave instability, about 16 wiggles can be\nseen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7\nfingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger\nnumber remains constant, although new branches are continuously created and old branches join\neach other. In general, the results on fingering agree well with results obtained using the KMC\nmodel [41]. From this we conclude that jamming of discrete particles is not a necessary factor\nfor causing the instability, since the fingering is seen here in a continuum model with a diffusion\nconstant that is independent of the nanoparticle concentration. The DDFT is better suited than the\nKMC for investigations of the early instability stages: they are more easy to discern without the\ndiscrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of\nthe one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations\n(in analogy to the approach used in Refs. [19, 86, 87]).\nC. Thin film hydrodynamics\nThe previous two sections focused on two approaches to describe the experimentally observed\npatterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewet-\nting front. Although both the kinetic Monte Carlo model and the dynamical density functional\ntheory are able to describe well the processes in the ultrathin film, they can not be employed to\ndescribe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the\nframework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach\nby considering an isothermal situation where the nanoparticles are not surface active, i.e., they do\nnot act as surfactants. For a model incorporating the effects of latent heat generation and surface-\nactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of\nspreading particle solutions incorporating a structural disjoining pressure has also been considered\n[89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the\n18", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include\nother effects such as fluid diffusion, that the KMC does not incorporate.\nA. Kinetic Monte Carlo model\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii)\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con-\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively\nmaps the system onto a two-dimensional two-component lattice gas having two fieldsnand l. The\nresulting three possible states of a cell are: liquid ( l = 1 ,n = 0 ), nanoparticle ( l = 0 ,n = 1 ),\nand vapour (l = 0,n = 0, i.e., cell empty). The energy of an overall configuration is given by the\nhamiltonian\nE = −εnn\n2\n∑\n\nninj −εnl\n2\n∑\n\nnilj −εll\n2\n∑\n\nlilj −µ\n∑\ni\nli (3)\nwhere ∑\n denotes a sum over nearest neighbour pairs andεll, εnn and εnl are the liquid-liquid,\nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction\nstrength parameters εll, εnn, εnl and the effective chemical potential µdetermines the equilibrium\nstate of the system. We choose εll as unit of energy – i.e. we set εll = 1.\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How-\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle\nconfigurations do not necessarily represent equilibrium structures. This implies that the system\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i)\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility\nM corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of\n9", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "where γ is the liquid-gas surface tension and f(h) is a local free energy term that describes the\nwettability of the surface. Since µcorresponds to a chemical potential, the termµhmay either bias\nthe system towards the liquid or towards the gas state. The variation ofF w.r.t.hgives the pressure.\nIt contains the curvature (Laplace) pressure −γ∆hand the disjoining pressure Π(h) = −∂hf(h).\nMany different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70–73]).\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanopar-\nticles are not taken into account. However, under certain conditions one can augment equation (1)\nfor the evolution of the film thickness by coupling it to an equation for the evolution of the mean\nparticle concentration. The resulting model is able to describe the behaviour of an evaporating so-\nlution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C.\nWe should expect such a model to describe the mesoscopic dewetting front discussed above. How-\never, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor\nfilm.\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a dis-\ncrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on\nevaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The va-\nlidity of this strong assumption regarding the relevant transport processes can be confirmed from\nan estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The\nconvective mobility is proportional toh3, i.e., it is large for thick films but decreases strongly with\nreduced film thickness. The evaporative mobility, however, is a constant, implying that evapora-\ntion will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57]\nand a small contact angle ( ≈0.01), the cross-over thickness is in the range of 1-5 nanometers.\nThis estimate justifies the neglect of convective transport in a description of the postcursor film\nand may explain why one has such good agreement between the experimentally observed patterns\nand the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model\n[35]. We introduce the KMC model below in Section III A.\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its po-\ntential applications. For instance, the thermodynamic chemical potential as well as any wetting\ninteraction of the solvent with the substrate are collected in a single parameter – an effective chem-\nical potential. This implies that any influence of a disjoining pressure is ‘smeared out’ over the\nwhole system and that no distinction between the short- and the long-range parts of the disjoining\npressure is possible. It is furthermore based on the assumption that evaporation/condensation is\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1001.2669.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to\na ‘pseudo three-dimensional’ one by making the effective chemical potential dependent on the\nmean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to\nthe introduction of a ‘global’ thickness-dependent disjoining pressure into the evaporation term\nwithout an explicit consideration of a film thickness. The amended model can reproduce bimodal\nstructures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully three-\ndimensional models are also discussed in the literature [76, 77].\nB. Dynamical Density Functional theory\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related\nto its character as a two-dimensional lattice gas with only three states: gas, liquid or particle.\nThis implies that (i) no liquid can be transported to a site on the surface already filled with liquid,\ni.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to\ndistinguish between the influence of the short- and the long-range parts of the interactions with the\nsubstrate, as all such interactions are absorbed into the effective chemical potential.\nHowever, using dynamical density functional theory (DDFT) [78–83] one can develop a model\nfor the processes in the ultrathin postcursor film without these limitations, although here we limit\nourselves to developing the theory at the level of the KMC and solely discuss how to extend it to\nincorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes\nthe coupled dynamics of the density fields of the liquid ρl and the nanoparticles ρn. The densities\nρl and ρn are defined as the probabilities of finding a given lattice site on the surface to be occupied\nby a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond\nto number densities as we use the lattice spacing σ= 1 as our unit of length.\nTo develop the DDFT, one must first derive the underlying free energy functional F[ρl,ρn], and\nsecondly, devise dynamical equations for both density fields that account for the conserved and the\nnon-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively.\nFor a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams)\napproximation for the free energy of the system [78, 84] which contains an entropic contribution\nand contributions from the interactions between the different species (nanoparticles and liquid).\nThe free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is\ncoupled to a reservoir with chemical potential µ), whereas the nanoparticles are treated in the\n14", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "Abstract\nWe review recent experiments on dewetting thin films of evaporating colloidal nanoparticle suspensions\n(nanofluids) and discuss several theoretical approaches to describe the ongoing processes including coupled\ntransport and phase changes. These approaches range from microscopic discrete stochastic theories to\nmesoscopic continuous deterministic descriptions. In particular, we focus on (i) a microscopic kinetic\nMonte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\nModels (i) and (ii) are employed to discuss the formation of polygonal networks, spinodal and branched\nstructures resulting from the dewetting of an ultrathin ‘postcursor film’ that remains behind a mesoscopic\ndewetting front. We highlight, in particular, the presence of a transverse instability in the evaporative\ndewetting front which results in highly branched fingering structures. The subtle interplay of decomposition\nin the film and contact line motion is discussed.\nFinally, we discuss a simple thin film model (iii) of the hydrodynamics on the mesoscale. We employ\ncoupled evolution equations for the film thickness profile and mean particle concentration. The model is\nused to discuss the self-pinning and de-pinning of a contact line related to the ‘coffee-stain’ effect.\nIn the course of the review we discuss the advantages and limitations of the different theories, as well as\npossible future developments and extensions.\nThe paper is published in: J. Phys.-Cond. Mat. 21, 264016 (2009),\nin the V olume “Nanofluids on solid substrates” and can be obtained at\nhttp://dx.doi.org/10.1088/0953-8984/21/26/264016\n2", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under\nthe assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled\nnon-linear evolution equations for the film thickness profileh(x,t) and the amount of nanoparticles\nper unit length hp = φh, where φis the volume concentration of the nanoparticles. Note, that hp\ncorresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The\nresulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence\nof particle-independent capillarity and wettability only, the energy functional F[h] is given by\nEq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs.\n[88, 89, 91, 92] we use the Quemada law for dense suspensions [93–95]\nη(φ) = η0\n(\n1 −φ\nφc\n)−2\n(8)\nwhere φc = 0.64 corresponds to random close packing of spherical particles. For the nanoparticle\nvolume per length hp = φhone obtains the following evolution equation:\n∂t(φh) = ∇·\n[\nφQc∇δF\nδh\n]\n+ ∇·[D(φ)h∇φ] , (9)\nwhere the particle concentration dependent diffusion coefficientD(φ) is related to the viscosity by\nthe Einstein relation D(φ) = kT/6πRη(φ), where Ris the radius of the nanoparticles [96].\nWe illustrate results obtained employing this thin film theory using the single example of a re-\nceding dewetting front for a partially wetting film. We use the disjoining pressure and material\nconstants for the liquid considered in Ref. [57], where the evaporative and convective dewetting\nof a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The\nexpression that we employ for the local free energy term in Eq. (2) is:\nf(h) = SLW d2\n0\nh2 + SP exp\n(d0 −h\nl0\n)\n, (10)\nwhere the parameters characterising the interaction between the liquid film and the surface are\nthe apolar and polar spreading coefficients SLW and SP , respectively, the Debye length l0 and the\nBorn repulsion length d0 [57]. The resulting disjoining pressure Π = −∂hf(h) allows for a stable\nprecursor film (thickness hprecursor) and also has a second (larger) thickness (h0) that corresponds\nto a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of\nfilm and drop states for similar disjoining pressures. Our results are calculated for a system where\nthe profiles only vary in one Cartesian direction ( x), corresponding to a straight dewetting front.\nHowever, our results may also be interpreted as applying to a circular flat drop whose front remains\n19", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion\nwithin the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquid-\nparticle and particle-particle interactions into account and therefore allows us to distinguish differ-\nent regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport\nregime where the instability is almost completely independent of the interaction strengths and\na demixing regime where particles and liquid demix at the receding front thereby increasing its\ntransverse instability.\nThe dynamical density functional theory describes the coupled dynamics of the density fields of\nthe liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional\nhamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evapo-\nrating ultrathin film and also to investigate the influence of processes such as surface diffusion by\nthe liquid, which are not incorporated in the KMC model. However, it is straightforward to extend\nthe theory to consider a fully three-dimensional fluid film, in which one can distinguish between\nshort- and long-range interactions of solvent and/or solute with the substrate. We have, however,\nrestricted the examples given here to situations that can also be described using the KMC model.\nA further exploration will be presented elsewhere.\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It\nresults from a long-wave approximation and consists of coupled evolution equations for the film\nthickness profile and the mean particle concentration. It has been used to discuss the self-pinning\nof receding contact lines that is related to the formation of rings of dried-in particles (coffee-\nstain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the\ncombined effects of convection and evaporation.\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques\nthat allow one to produce hierarchically structured functional layers for a wide range of applica-\ntions such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly\ntowards increasingly complex systems. For example, there have been investigations of the influ-\nence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal\nparticles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evap-\norating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of\na secondary phase separation on evaporation-induced pattern formation in polymer films [102],\nand of the influence of an imposed flow on decomposition and deposition processes in a sliding\nridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather\n24", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "[81] A. J. Archer and M. Rauscher, “Dynamical density functional theory for interacting brownian parti-\ncles: Stochastic or deterministic?” J. Phys. A-Math. Gen. 37, 9325–9333 (2004).\n[82] A. J. Archer and R. Evans, “Dynamical density functional theory and its application to spinodal\ndecomposition,” J. Chem. Phys.121, 4246–4254 (2004).\n[83] P. A. Monson, “Mean field kinetic theory for a lattice gas model of fluids confined in porous materi-\nals,” J. Chem. Phys.128, 084701 (2008).\n[84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics , Cambridge University\nPress (1997).\n[85] J. S. Langer, “An introduction to the kinetics of first-order phase transitions,” in C. Godreche, editor,\n“Solids far from Equilibrium,” pages 297–363, Cambridge University Press (1992).\n[86] M. A. Spaid and G. M. Homsy, “Stability of Newtonian and viscoelastic dynamic contact lines,”\nPhys. Fluids 8, 460–478 (1996).\n[87] U. Thiele and E. Knobloch, “Front and back instability of a liquid film on a slightly inclined plate,”\nPhys. Fluids 15, 892–907 (2003).\n[88] M. R. E. Warner, R. V . Craster, and O. K. Matar, “Surface patterning via evaporation of ultrathin\nfilms containing nanoparticles,” J. Colloid Interface Sci. 267, 92–110 (2003).\n[89] O. K. Matar, R. V . Craster, and K. Sefiane, “Dynamic spreading of droplets containing nanoparticles,”\nPhys. Rev. E 76, 056315 (2007).\n[90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, “Theory for shock dynamics in particle-laden\nthin films,” Phys. Rev. Lett.94, 117803 (2005).\n[91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, “Shock solutions for particle-laden thin films,” SIAM J.\nAppl. Math. 68, 760–783 (2008).\n[92] R. V . Craster, O. K. Matar, and K. Sefiane, “Pinning, retraction, and terracing of evaporating droplets\ncontaining nanoparticles,” Langmuir (2009), online available.\n[93] D. Quemada, “Rheology of concentrated disperse systems and minimum energy-dissipation principle\nI. Viscosity-concentration relationship,” Rheol. Acta16, 82–94 (1977).\n[94] D. Quemada and C. Berli, “Energy of interaction in colloids and its implications in rheological\nmodeling,” Adv. Colloid Interface Sci.98, 51–85 (2002).\n[95] J. J. Stickel and R. L. Powell, “Fluid mechanics and rheology of dense suspensions,” Annu. Rev.\nFluid Mech. 37, 129–149 (2005).\n[96] J. K. G. Dhont, An Introduction to Dynamics of Colloids, Elsevier, Amsterdam (1996).\n31", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What is AgMERRA ?", - "target_page": 2, - "target_passage": " historical daily weather data (1986–2005) are from the AgMERRA dataset. AgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications (MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily time-series data", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "29\nProjects Report\nGeology\nThe silver and gold mineralisation is hosted \nwithin tertiary-aged volcanic units at Arqueros \nand Teterita, and in Paleozoic sediments at \nChimberos. The alteration and mineralisation \nare all Miocene in age and associated with the \nCerros Bravos paleovolcano.\nMineralisation comprises two main compo -\nnents. Silver-rich horizontal units termed \n‘mantos’ (Spanish for blanket) and a series of \nnear-vertical, cross-cutting gold-rich structures. \nThe mantos silver mineralisation is hosted by \nvuggy silica within dacitic lapilli tuff. Mantos \noccurs at Arqueros and Teterita where the \nmineralising process has replaced horizontal \nporous tuffs. At Chimberos, silver mineralisation \nis hosted in vuggy silica hydrothermal breccia \nsuperimposed on folded Paleozoic sediments.\nThe vertical gold-rich mineralisation, also charac -\nterised by vuggy silica, is well-developed at \nArqueros. It has been interpreted as feeders for \nmineralising fluids. Nonetheless, this style of \nmineralisation has not yet been observed at \nTeterita and is poorly preserved at Chimberos.\nResource\nKingsgate has updated the project resource \nbase to incorporate the recent drilling on the \nChimberos project and using the current gold/\nsilver ratio of 60 (previously 45) for its gold \nequivalent (AuEq60) and silver equivalent \n(AgEq60) calculations.The combined Measured, \nIndicated and Inferred mineral resource for the \nNueva Esperanza Project is based on resource \nblock modelling of Arqueros, Chimberos and \nTeterita, and has been estimated at a cut-off \ngrade of 0.5 grams per tonne (g/t), gold equiva-\nlent (AuEq60) to be 28.9 million tonnes at \n0.27 g/t gold and 84 g/t silver.\nThis represents about 250,000 ounces of gold \nand 78.5 million ounces of silver. \nThe Measured, Indicated and Inferred resource \nmay be expressed in gold or silver equivalent \nounces as:\n〉〉 Gold equivalent ounces (AuEQ60): 1.6 \nmillion ounces at 1.7 g/t gold equivalent; and\n〉〉 Silver equivalent ounces (AgEQ60): 93.5 \nmillion ounces at 100 g/t silver equivalent.\nFeasibility Study\nA Definitive Feasibility Study commenced on the \nproject at the end of May 2011 with the focus \non Arqueros, and open pit mining of that deposit \nwith processing by traditional mill and agiitation \nleaching in cyanide. Subsequent acquisition of \nthe Teterita and Chimberos deposits resulted in \nan expansion of the feasibility study to incorpo-\nrate their resources.\nIn late 2012, a decision was taken to examine \nlower cost options for processing using heap \nleaching. With major engineering already done, \ntechnical studies focussed on metallurgical \ntestwork and heap leach design. It has been \nestablished that the mineralisation from the \nthree deposits can be processed by HPGR (High \nPressure Grinding Rolls) crushing and heap \nleaching with silver and gold recoveries of the \norder of 70% to 75% for silver and 65% to 70% \nfor gold. The project development plan is now \nfocussed on a 3 million tonne per annum heap \nleach operation with an initial mine life of over 6 \nyears. Annualised production levels (post ramp-\nup) are estimated at 6.0–8.0 million ounces of \nsilver and 18,000–22,000 ounces of gold, at an \nindicative start-up capital cost between \nUS$130–150 million (inclusive of 25% \ncontingency).\nThese project parameters are based on prelimi-\nnary results only and are insufficient to provide \nassurance as to the economic development of \nthe project at this stage and these parameters \nmay also change following completion of the \nDefinitive Feasibility Study.\nWith the technical and economical feasibility of \nheap leaching being established, the project will \nnow move into the final feasibility and design \nstage with results expected to be available \nduring the March quarter 2014.\nThe environmental permitting process for the \noriginal Arqueros project has been completed, \nwith approval to commence construction and \nmining granted by the Chilean authorities.", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "RRID: AB_2340676\n1:100\nAlexa Fluor 647 Donkey Anti-Rabbit IgG (Donkey\npolyclonal)\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 711-605-152\nRRID: AB_2492288\n1:250\nRhodamine Red-X Donkey Anti-Rabbit IgG\n(Donkey polyclonal)\nJackson ImmunoResearch, Ely, United Kingdom Cat#: 711-295-152 RRID: AB_2340613 1:100\nAlexa Fluor 546 Goat Anti-Chicken IgG (Goat\npolyclonal)\nThermo Fisher Scientific, United Kingdom Cat#: A11040\nRRID: AB_2534097\n1:400\nAlexa Fluor 488 Goat Anti-Rabbit IgG (Goat\npolyclonal)\nThermo Fisher Scientific, United Kingdom Cat#: A11008\nRRID: AB_143165\n1:400\nAlexa Fluor 546 Donkey Anti-Mouse IgG (Donkey\npolyclonal)\nThermo Fisher Scientific, United Kingdom Cat#: A10036\nRRID: AB_2534012\n1:400\nGFP, green fluorescent protein; RFP, red fluorescent protein\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2865", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed2.pdf" - }, - { - "text": "CHAIRMAN ’S REPORT\n6\nLabour hire is heavily dependent upon the quality of the personnel database and our intention\nhas been announced to offer training at Dampier, Broome and Darwin for those who live in the\nNorth West and wish to work in the offshore industry there. Planning for this new initiative is\nwell advanced and we expect to be running courses for prospective offshore employees in coming\nmonths. Although the training program is not directed to any particular community group, it has\nbeen encouraging to have active support from Aboriginal leaders in the Kimberley region.\nWorld prospects for energy, the need for Australia to add value to its resources, Government\ninitiatives for the support of these activities and environmental imperatives, heavily favour gas,\ngiving every indication that Mermaid Marine’s development push has been extremely timely.\nIt is also important to draw attention to increased efforts in terms of health, safety and\nenvironmental protection. Our workplace is largely at sea, where operations involve natural\ndangers and the safety of our people is paramount. We also work in a setting where the tasks in\nwhich we are involved cast us in the role of environmental caretakers of the sea and coastline.\nOver the past twelve months, we have worked even more closely with producers to take this side\nof our business to the highest possible standard. We are proud of the achievement and at the time\nof this report, despite the inherent dangers involved in the work, our employees have accrued a\nrecord 348 days free of Lost Time Injuries, a tremendous effort.\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve\nearnings of at least $100million, with appropriate levels of accompanying profit. That will be\naddressed through our policy of strategic positioning and development in the North West of\nAustralia, and also by acquisition where merger or purchase will add to our earnings and\nstrengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are\nwell able to pursue and secure our ambitious program.\nAlan Birchmore\nChairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "2\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nAlthough, so far there are plenty of research on the impacts of global warming by 1.5 °C temperature, includ-\ning the impacts comparison of global warming by 1.5 °C versus 2.0 °C44. It is necessary to do more quantitative \nimpacts assessments of global warming by 1.5 °C and 2.0 °C on crops yield and market price to address research \ngaps and support the requirement of the scientific community and governments. In this paper, the future climate \nsituations were selected and analyzed which are the approximate scenarios with global warming by 1.5 °C and \n2.0 °C, based on the simulation results from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. \nThen the per unit yield changes of maize all over the world under global warming by 1.5 °C and 2.0 °C were \nanalyzed and the spatial distributions of changes in maize yield were revealed relative to the baseline from \n1985 to 2006, applying crop model DSSAT (Decision Support System for Agrotechnology Transfer). Next, we \nexamine the effects of the resulting maize production shocks in different countries; the market price of maize is \nsimulated using GTAP to reveal the impacts of climate change on global crop trade. Finally, the future trend of \nmaize yield and market price in the main breadbasket is assessed and the adaptation suggestions are put forward \nfor maize cultivation.\nMaterials and methods\nData processing. In this study, historical daily weather data (1986–2005) are from the AgMERRA dataset. \nAgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications \n(MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily \ntime-series data45.\nFor future (2020–2099), the original climate scenario data (Table  1) were extracted from output archives of \nfive ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M) \nunder four RCPs (RCP2.6, RCP4.5, RCP6.0, RCP8.5) retrieved from the CMIP website. The climate scenario data \nwas interpolated into 0.5° × 0.5° horizontal resolution and bias-corrected with respect to historical observations \nto remove systematic errors46. The data of maize-planting regions are from the gridded global dataset in 2000 \nby combining two data products47,48.\nSimulation of climate scenarios with global warming by 1.5 °C and 2.0 °C. In this study, climate \ndata of global warming by 1.5 °C and 2.0 °C are determined according to the results of global climate models \ndriven by typical concentration paths (RCPs) of greenhouse gas emissions. Eligible data are selected from a \ntotal of 20 sets of data under four RCP scenarios of five ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-\nCM5A-LR, MIROC-ESM-CHEM and NorESM1-M), which estimate the temperature, precipitation and sun-\nshine hours (Fig. 1).\nTable 1. Basic information of 5 ESMs in CMIP5. Horizontal resolution means the number of longitudinal \ngrids × the number of latitudinal grids.\nModel Research institute Country Horizontal resolution\nGFDL-ESM2M Geophysical Fluid Dynamics Laboratory The United States 144 × 90\nHadGEM2-ES Hadley Center for Climate Prediction and Research The United Kingdom 192 × 145\nIPSL-CM5A-LR L ’ Institute Pierre-Simon Laplace France 96 × 96\nNorESM1-M Norway Climate Center Norway 144 × 96\nMIROC-ESM Center for Climate System Research, National Institute for Environmental Studies, and Frontier Research \nCenter for Global Change Japan 128 × 64\nFigure 1. Changes of global temperature of 20 years moving average from 2020 to 2099 simulated by 5 ESMs \nunder 4 RCP scenarios. Note: The black horizontal dashed lines: global warming by 1.5 °C and 2.0 °C; the black \nvertical solid line: the years when global warming reaches 1.5 °C and 2.0 °C simulated by the selected models \nand scenarios.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed9.pdf" - }, - { - "text": "THAI LAND\nCHIL E\nAUST RALIA\nKingsgate is a highly successful gold \nmining, development and exploration \ncompany with two operating gold mines \nand two advanced development projects. \nShareholders can look forward to the \nbenefits of this strong operating and \ndevelopment platform, where Kingsgate \naims to build value though operating, \nearnings and dividend growth for \nthe benefit of all stakeholders.\nwww.kingsgate.com.au", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "OPERATIONS REVIEW\n7\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine\nAustralia Ltd ( “Company”) and its controlled entities, experienced a 43% turnover reduction\nfrom last year. The result was almost entirely due to a heavy fall in oil prices, which reached their\nlow of US$10 in February 1999, leading to the lowest level of offshore activity for many years.\nIn September 1999 Mermaid exercised its option to acquire the utility vessel “Mermaid\nAchiever” for $3,250,000. Previously the Achiever operated under a bare boat charter. \nIn February 2000 Mermaid received approval in principle from the Western Australian Minister\nfor the Environment for the development of a supply and engineering base at Dampier (Dampier\nBase). Since that time a detailed environmental management system has been produced for final\napproval and as a guide to daily environmental management and compliance. Refinements to\nthe design have proceeded, together with the preparation of bid packages and negotiations with\nBanks for project finance.\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough\nEngineering will see an extremely robust balance sheet, with cash on hand approaching $10 million.\nAs construction commences at Dampier, a level of project finance will be arranged providing a\ncomfortable mix of debt and equity and allowing the retention of a significant cash balance. \nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They\nare dealt with in detail under following headings.\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax\nprofit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease\nof 43% over the previous period. Fixed cost reductions enabled the Company to ride out the\nmarket reversal with a minimal loss and positive operating cash before capex of $1.6m. This\nresult, achieved against a major drop in turnover, was possible through a vigorous attack on\noverheads, which included more beneficial ownership costs, insurance savings, management\nsalary savings, including voluntary sacrifice from certain senior executives in recognition of the\ntighter conditions. In all the changes contributed approximately $1.5million to the bottom line. \nBare boat charters, although useful for the busy times encountered in 1998 exposed the\nCompany to a high level of fixed costs. The vessels were valuable earners and the transfer of the\nMermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved\nto be the right decision for all market conditions. Although there have been no contracts yet let\nfor work of any significance by producers on the North West Shelf, underlying day to day activity\nhas returned. Expressions of interest for major project work have been issued and as an indication\nof better trading conditions, an unaudited profit of $496,721 has been recorded for the two\nmonths to 31st August 2000. The trend has continued in September.\nOVERVIEW\nFINANCIAL", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "array are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\nat 345 GHz), these sources are monitored regularly,\nboth during science observations and dedicated ob-\nserving tracks.\nTo select our sample, we identified objects in the\ncalibrator list that were also classified as BL Lacs or\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\nvey [6, CGRaBS]. Of the 243 total objects in the\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\nhave positive blazar class identifications, although\nthere are three sources (J0238+166, J0428-379, and\n1The Submillimeter Array is a joint project between the\nSmithsonian Astrophysical Observatory and the Academia\nSinica Institute of Astronomy and Astrophysics and is funded\nby the Smithsonian Institution and the Academia Sinica.\n2http://sma1.sma.hawaii.edu/callist/callist.html\neConf C091122\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "* Chatree data as at 30 April 2013 Detailed individual Mineral Resources and Ore Reserve reports for each project are available on the company website.\nwww.kingsgate.com.au\n32\nOre Reserves and Mineral Resources\nwww.kingsgate.com.au\nSource Category\nTonnes \n(Million)\nGrade Contained Metal\nGold \n(g/t)\nSilver \n(g/t)\nLead \n(%)\nZinc \n(%)\nAu Equiv \n(g/t)\nAg Equiv \n(g/t)\nGold \n(M oz)\nSilver \n(M oz)\nAu Equiv \n(M oz)\nAg Equiv \n(M oz)\nChallenger Proved 0.25 5.52 – – – 5.52 315 0.04 – 0.04 2.5\nProbable 0.22 8.30 – – – 8.30 473 0.06 – 0.06 3.3\nTotal 0.47 6.82 – – – 6.82 389 0.10 – 0.10 5.9\nChatree Proved 54.7 0.82 8.1 – – 0.90 94.2 1.44 14.17 1.58 166\nProbable 14.8 0.78 6.0 – – 0.84 87.9 0.37 2.86 0.40 41.8\nTotal 69.5 0.81 7.6 – – 0.88 92.9 1.82 17.04 1.98 208\nTotal Ore Reserves 70.0 0.85 7.6 – – 0.92 94.9 1.92 17.0 2.08 213\nSource Category\nTonnes \n(Million)\nGrade Contained Metal\nGold \n(g/t)\nSilver \n(g/t)\nLead \n(%)\nZinc \n(%)\nAu Equiv \n(g/t)\nAg Equiv \n(g/t)\nGold \n(M oz)\nSilver \n(M oz)\nAu Equiv \n(M oz)\nAg Equiv \n(M oz)\nChallenger Measured 0.44 8.97 – – – 9.0 511 0.13 – 0.13 7.2\nIndicated 1.04 10.6 – – – 10.6 604 0.35 – 0.35 20.2\nInferred 0.68 12.1 – – – 12.1 690 0.26 – 0.26 15.1\nTotal 2.16 10.7 – – – 10.7 612 0.75 – 0.75 42.5\nChatree Measured 92.8 0.72 6.60 – – 0.78 82.2 2.15 19.7 2.34 245\nIndicated 49.8 0.64 4.69 – – 0.68 71.9 1.02 7.5 1.10 115\nInferred 45.7 0.58 3.81 – – 0.62 64.7 0.85 5.6 0.91 95.1\nTotal 188.3 0.66 5.42 – – 0.72 75.2 4.03 32.8 4.34 455\nTotal Mineral Resources 190.5 0.78 5.36 – – 0.83 81.3 4.77 32.8 5.08 498\nSource Category\nTonnes \n(Million)\nGrade Contained Metal\nGold \n(g/t)\nSilver \n(g/t)\nLead \n(%)\nZinc \n(%)\nAu Equiv \n(g/t)\nAg Equiv \n(g/t)\nGold \n(M oz)\nSilver \n(M oz)\nAu Equiv \n(M oz)\nAg Equiv \n(M oz)\nNueva Esperanza Measured 1.5 0.01 101 – – 1.69 102 0.00 4.9 0.08 4.9\nIndicated 21.3 0.28 88 – – 1.75 105 0.19 60.3 1.20 71.8\nInferred 6.1 0.3 68 – – 1.43 86 0.06 13.3 0.28 16.9\nTotal 28.9 0.27 84 – – 1.68 101 0.25 78.5 1.56 93.5\nBowdens Measured 23.6 – 56.6 0.31 0.41 1.64 74.5 – 43.0 1.25 57.0\nIndicated 28.4 – 48.0 0.27 0.36 1.40 63.6 – 43.8 1.28 58.0\nInferred 36.0 – 41.0 0.30 0.40 1.27 58.0 – 47.5 1.47 68.0\nTotal 88.0 – 47.4 0.29 0.39 1.41 64.4 – 134.1 4.00 182\nTotal Mineral Resources 116.9 0.07 57 – – 1.48 73 0.25 213 5.56 276\nGroup Total Mineral Resources 307.4 – – – – – – 5.02 246 10.64 774\nChallenger and Chatree* Ore Reserves\nChallenger and Chatree* Mineral Resources (inclusive of Ore Reserves)\nNueva Esperanza and Bowdens Mineral Resources\nOre Reserves and Mineral Resources\nas at 30 June 2013", - "page_start": 33, - "page_end": 33, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "in which it appears.\nThe information in this report that relates to \nBowdens Mineral Resource estimation is based \non and fairly represents work completed by \nJonathon Abbott who is a full-time employee of \nMPR Geological Consultants and a member of \nthe Australasian Institute of Geoscientists, and \nRon James, who is a member of The Australasian \nInstitute of Mining and Metallurgy. Mr Abbott \nand Mr James have sufficient experience that is \nrelevant to the style of mineralisation and type \nof deposit under consideration and to the \nactivity that they are undertaking to qualify \nas a Competent Person as defined in the 2012 \nEdition of the ‘Australasian Code for Reporting \nof Exploration Results, Mineral Resources and \nOre Reserves’. Mr Abbott and Mr James consent \nto the inclusion in the report of the matters \nbased on their information in the form and \ncontext in which it appears.\nThe information in this report that relates to \nNueva Esperanza Mineral Resource estimation is \nbased on and fairly represents work completed \nby Jonathon Abbott, Ron James and Maria \nMuñoz. These people qualify as Competent \nPersons as defined in the ‘Australasian Code for \nReporting of Exploration Results and Mineral \nResources’(the JORC Code, 2012 edition) and \npossess relevant experience in relation to the \nmineralisation being reported herein as \n‘Exploration Results, Mineral Resources and Ore \nReserves’. Mr Abbott, Mr James and Ms Muñoz \nconsent to the inclusion in the report of the \nmatters based on their information in the form \nand context in which it appears.\nCompetent Persons \nStatement", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Chapter 11. Advanced Copy Services 547\n11.7.11 Starting Metro Mirror/Global Mirror consistency group\nUse the startrcconsistgrp command to start an MM/GM consistency group. You can issue \nthis command only to a consistency group that is connected.\nFor a consistency group that is idling, this command assigns a copy direction (master and \nauxiliary roles) and begins the copy process. Otherwise, this command restarts a previous \ncopy process that was stopped by a stop command or by an I/O error.\n11.7.12 Stopping Metro Mirror/Global Mirror consistency group\nUse the stoprcconsistgrp command to stop the copy process for an MM/GM consistency \ngroup. You can also use this command to enable write access to the auxiliary volumes in the \ngroup if the group is in a consistent state.\nIf the consistency group is in an inconsistent state, any copy operation stops and does not \nresume until you issue the startrcconsistgrp command. Write activity is no longer copied \nfrom the master to the auxiliary volumes that belong to the relationships in the group. For a \nconsistency group in the ConsistentSynchronized state, this command causes a Consistency \nFreeze.\nWhen a consistency group is in a consistent state (for example, in the ConsistentStopped, \nConsistentSynchronized, or ConsistentDisconnected state), you can use the -access \nparameter with the stoprcconsistgrp command to enable write access to the auxiliary \nvolumes within that group.\n11.7.13 Deleting Metro Mirror/Global Mirror relationship\nUse the rmrcrelationship command to delete the relationship that is specified. Deleting a \nrelationship deletes only the logical relationship between the two volumes. It does not affect \nthe volumes themselves.\nIf the relationship is disconnected at the time that the command is issued, the relationship is \ndeleted only on the system on which the command is being run. When the systems \nreconnect, the relationship is automatically deleted on the other system.\nAlternatively, if the systems are disconnected and you still want to remove the relationship on \nboth systems, you can issue the rmrcrelationship command independently on both of the \nsystems.\nA relationship cannot be deleted if it is part of a consistency group. You must first remove the \nrelationship from the consistency group.\nIf you delete an inconsistent relationship, the auxiliary volume becomes accessible even \nthough it is still inconsistent. This situation is the one case in which MM/GM does not inhibit \naccess to inconsistent data.\n11.7.14 Deleting Metro Mirror/Global Mirror consistency group\nUse the rmrcconsistgrp command to delete an MM/GM consistency group. This command \ndeletes the specified consistency group.", - "page_start": 568, - "page_end": 568, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "In 2018, what was the global proportion of maize grown in the US ?", - "target_page": 5, - "target_passage": "According to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. The United States accounts for more than 32%", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "the gridded global dataset by combining two data products47. Second, genetic parameters of specific cultivars of \nmaize from previous works were adopted for the initial parameters; model parameters related to crop genotype \ncharacteristics were calibrated and tuned following the method in Xiong et al. 52, in which the simulated yields \nfrom 1986–2005 were comparable to the statistical data. Third, maize yields across the world were simulated \nunder global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from grid-\nded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, \ncomparing maize yield average for 1986–2005.\nSimulation of market price using GTAP . The yield changes for maize from the DSSAT models under \n1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes \nin production, market price, and self-sufficiency ratio of maize at national and global levels53,54. For this study, we \nuse a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of \nthe major food crops under current economic conditions. Utilizing current economic conditions has the advan-\ntage of minimizing assumptions and model uncertainties related to future economic conditions55,56.\nThe original GTAP database doesn’t include maize as a separate sector, rather it is combined with other coarse \ngrains to form an “other coarse grain” sector. For this study, we updated the GTAP database by splitting maize \nfrom the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the \noriginal database. The detailed method is given as follows:\nFirst, we improved the database by splitting maize from the existing sector “other coarse grain” , following \nsimilar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old flows \nof data both at national and trade levels are allocated between the new flows using weights. The national weights \ninclude the division of each unsplit user’s use of the original split commodity among the new commodities; the \ndivision of unsplit inputs to the original industry between the new industries; the splitting of new industry’s use \nof each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of \nbasic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. \nThe values for the national shares matrix were obtained from FAOSTAT. The trade shares matrix was calculated \nbased on the data from UN Comtrade Database.\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors \nfor maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of \nproduction and both livestock and households are major users of maize. For regional aggregation, we kept the \ndetails for all the main producing, consuming, and trading regions, for maize.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "9\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nby 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, \nChina and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% \nin Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would \nbe increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield \nincreasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease \nby 11.4% under global warming by 2.0 °C. By comparing the maize production in different countries, it can be \nfound that the reduction trend of total maize production in the top five countries is more obvious, especially \nunder the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\nFrom the view of continents, there are different trends of maize yield changes in the 6 continents (except Ant-\narctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under \nglobal warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, \nEurope and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 con-\ntinents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight \nin Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield \nchange trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are different in 2 continents, including \nAsia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the \nmaize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively \n− 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in \nAfrica the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by \nIPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming \nscenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual \nmaize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under \nglobal warming by 2.0 °C than that under global warming by 1.5 °C. There would be an obvious crisis of food \nsupply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make \nfull preparation for adaptation to climate change in the whole world.\nFigure 5. (continued)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "8\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should \nbe taken from now on. Food security would be a significant challenge in this century.\nYield change of maize in main countries. There are huge differences in impacts on maize yield under \nclimate change, which would influence the food crisis in different regions. There are 159 countries in the whole \nworld which plant maize. The gross yield of maize the top 20 countries accounts for more than 90% of the total \nyield in the 159 countries. So, the changes in the top 20 countries under future scenarios would influence the \nfood security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming \nby 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become \n33.5%. There would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly \nincrease. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which \nthe mean yield loss rate is approximate to that under global warming by 1.5 °C. There would be 77 countries \nexperiencing yield increase; however, the mean yield increase is apparently smaller than that under global warm-\ning by 1.5 °C. Generally, the global maize yield would decrease. The results show that the adverse effect of warm-\ning up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to \ndevelop forward-looking adaptation measures to cope with future climate change.\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize \nyield of the whole world. The United States accounts for more than 32%; China accounts for about 24%; Brazil, \nArgentina and Mexico account for about 23%. The fluctuation of maize production in these five top countries will \nhave a significant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, \nthe maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss \nrate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. \nHowever, there would be increasing trends in the United States and Mexico; the change in the United States \nwould not be significant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% \nin Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming \nFigure 5. Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - }, - { - "text": "6\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the \nwhole world under climate change. We should grasp the opportunities and expand the yield increasing poten-\ntials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the \nhigh-risk regions.\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in \nthe world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. The area is 37.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low \nand middle latitude of South America and Asia, and the middle latitude of Africa and North America. The area \nis 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located \nin the low latitude of South America and the middle latitude of Asia and Europe. The area is 45.8% of the whole \nmaize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and \nNorth America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under \nRCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative \nto 1986–2005. There are opposite trends of maize yield under global warming by 1.5 °C, which are simulated \nby different global climate models. However, the spatial distributions of maize yield change are similar to each \nother. The difference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing \nare going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world \nwould increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their \nbest to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, \ngross maize production of the whole world would not be influenced so much by climate change, but the food \nFigure 3. Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL-\nCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). The figure has been generated using ArcGIS \n10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - }, - { - "text": "to the loss risk of maize yield and take actions of mitigation and adaptation to climate change. The time left for \nchanging our minds and actions is becoming less and less.\nData availability\nThe historical weather data (1986–2005) that support the analysis with ESMs in this study are publicly available \nonline at https:// data. giss. nasa. gov/ impac ts/ agmip cf/; the future climate scenario data (2006–2099) that support \nthe analysis with ESMs in this study are publicly available online at https:// pcmdi. llnl. gov/? cmip5 and https:// \nesgf- node. llnl. gov/ proje cts/ esgf- llnl/. The spatial data of harvest area, yield, crop calendar, irrigation portion \nand chemical N input for maize that support the simulation with crop model (DSSAT) in this study are publicly \navailable at http:// mapsp am. info/ (SPAM) and http:// www. sage. wisc. edu (SAGE); the soil data that support the \nsimulation with crop model (DSSAT) in this study are publicly available from the WISE database (https:// www. \nisric. online/ index. php/) and the Digital Soil Map of the World (DSMW) (http:// www. fao. org/ land- water/ land/ \nland- gover nance/ land- resou rces- plann ing- toolb ox/ categ ory/ detai ls/ en/c/ 10265 64/). All other relevant data are \navailable from the corresponding authors.\nReceived: 6 June 2022; Accepted: 11 October 2022\nReferences\n 1. Angélil, O. et al. An independent assessment of anthropogenic attribution statements for recent extreme temperature and rainfall \nevents. J. Clim. 30(1), 5–16 (2017).\n 2. Rosenzweig, C. et al. Coordinating AgMIP data and models across global and regional scales for 1.5°C and 2.0°C assessments. \nPhilos. Trans. R. Soc. A. 376, 20160455 (2018).\n 3. Mitchell, D. et al. Half a degree additional warming, prognosis and projected impacts (HAPPI): Background and experimental \ndesign. Geosci. Model Dev. 10, 571–583 (2017).\n 4. Coumou, D. & Rahmstorf, S. A decade of weather extremes. Nat. Clim. Change 2, 491–496 (2012).\n 5. IPCC: Summary for Policymakers. In Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth \nAssessment Report of the Intergovernmental Panel on Climate Change 4–6 (Cambridge University Press, 2013).\n 6. Diffenbaugh, N. S. et al. Quantifying the influence of global warming on unprecedented extreme climate events. PNAS 114(19), \n4881–4886 (2016).\n 7. Tai, A. P . K., Martin, M. V . & Heald, C. L. Threat to future global food security from climate change and ozone air pollution. Nat. \nClim. Change 4, 817–821 (2014).\n 8. Román-Palacios, C. & Wiens, J. J. Recent responses to climate change reveal the drivers of species extinction and survival. PNAS \n117(8), 4211–4217 (2020).", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed9.pdf" - }, - { - "text": "maize at national and global levels. T.A. helped the revision of language.\nFunding\nFunding was provided by the National Key Research and Development program of China (Grant Nos. \n2019YFA0607403 and 2017YFD0300301) and National Natural Science Foundation of China (Grant Nos. \n41961124007 and 41871026).\nCompeting interests \nThe authors declare no competing interests.\nAdditional information\nCorrespondence and requests for materials should be addressed to K.L.\nReprints and permissions information is available at www.nature.com/reprints.\nPublisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and \ninstitutional affiliations.\nOpen Access This article is licensed under a Creative Commons Attribution 4.0 International \nLicense, which permits use, sharing, adaptation, distribution and reproduction in any medium or \nformat, as long as you give appropriate credit to the original author(s) and the source, provide a link to the \nCreative Commons licence, and indicate if changes were made. The images or other third party material in this \narticle are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the \nmaterial. If material is not included in the article’s Creative Commons licence and your intended use is not \npermitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from \nthe copyright holder. To view a copy of this licence, visit http:// creat iveco mmons. org/ licen ses/ by/4. 0/.\n© The Author(s) 2022", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed9.pdf" - }, - { - "text": "7\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nsecurity of the whole world would still be attacked violently. There are huge differences among the continents; \nSouth America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming \nby 1.5 °C. The changes in maize yield in different regions would influence the maize price and food trades. So, \nit should be cautious to cope with the maize changes under global warming by 1.5 °C.\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in \nthe world between 2060 and 2079 would decrease by 18.7% relative to 1986–2005. The area is 41.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%. The area is 15.6% of the whole \nmaize planting regions, in which the yield loss would be more than 50%. The area is 42.7% of the whole maize \nplanting regions, in which the yield would increase. The distribution of maize yield change is similar to that under \nglobal warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the \ngross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986–2005. Comparing \nto the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield \nincreases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, \nthe gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M \nmodel. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would \ndecrease 10.8% relative to 1986–2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk \nof yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of \nglobal warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance \nbecome much bigger for all countries in the world, who will be facing the severe challenge of global temperature \nrise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition \nFigure 4. Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: \nNorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). The figure has been generated using \nArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed9.pdf" - }, - { - "text": "11\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nmeantime, the huge differences in yield changes in different regions provide a small chance for the world, espe-\ncially under global warming by 1.5 °C. In the near future, if the global temperature can be effectively controlled \nunder 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. \nAll regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the \npotentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the \nyield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by \n1.5 °C and 2.0 °C.\nMeanwhile, the risk of price fluctuations caused by global corn trade due to future climate change should be \npaid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, \nthe population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, \nthe supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify \nthe contradiction between supply and demand, which would threaten the food security and sustainable develop-\nment in the whole world.\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (The Inter-Sectoral Impact \nModel Intercomparison Project); compared with other climate models, the five models could more effectively \nsupport impact assessment in different sectors and provide more reliable results. Based on the simulation results \n-20\n-15\n-10\n-5\n0\n5\n10\n15\n20\n25\n30\nIndiaMexicoRussia\nSouth AfricaRest of Africa\nArgentinaUkraineCanada\nRest of World\nJapan\nAUS/NZL\nUSAChinaBrazilEU26\nBangladesh\nSoutheast Asia\nIran\nGlobal\n1.5°C 2.0°C\n% change\nFigure 7. Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\nFigure 8. Changes in Self-sufficiency ratio of maize in main countries under global warming by 1.5 °C and \n2.0 °C.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "1\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports\nThe impact of 1.5 °C and 2.0 °C \nglobal warming on global maize \nproduction and trade\nKuo Li1*, Jie Pan1, Wei Xiong2, Wei Xie3 & Tariq Ali3\nClimate change is becoming more and more remarkable which has an obvious impact on crop yields \nall over the world. Future climate scenario data was simulated by 5 climate models recommended \nby ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C \nand 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the \nworld under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at \nnational and global levels were simulated. The results showed that, the risk of maize yield reduction \nunder 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were \nseparately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize \nproduction is obvious in the top five countries and the main producing regions of the world, especially \nunder the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under \n1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all \ncountries to pay enough attention to the risk of maize yield and take actions of mitigation and \nadaptation to climate change.\nIn the past hundred years, the global climate has experienced great changes1–4. According to the sixth assess-\nment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and \nalmost all regions in the world experienced surface warming5. Due to global warming, the extreme climate events \nbecome more and more frequent, and the ecological environment problems caused by climate change are more \nand more serious, which restrict the sustainable development of human society and health6–10. Global warming \nhas gradually changed from a scientific issue to a major social issue of common concern to governments and \npeople of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate \nchange reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated \nthat it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels \nand pursue efforts to limit the temperature increase to 1.5 °C above pre-industrial levels.\nFaced with climate change, agriculture is the most vulnerable sector, which will experience the largest negative \nimpacts from climatic change and lead to more serious food security in the whole world15–20. Meanwhile, global \nproduction losses might lead to price shocks and trigger export restrictions21–24; an increasingly interconnected \nglobal food system25,26 and the projected fragility of the global food production system due to climatic change \nfurther exacerbate the threats to food security in the worldwide27–29. So, the impacts of climate changes on crop \nyields and prices have been of highly concerned. Numerous studies have revealed that the warming trend has \nnegative impact on crop yields and global trade in most regions all over the world30–32. There are three main \nmethods for impacts assessment of climate change on crops, including environment-controlled experiments, \nstatistical regression analysis and model simulations17,33. Environment-controlled experiments are designed \nto observe the influence of climate factors on crops, such as drought, flood, heat stress, cold damage, elevated \n CO2 concentration, through which the impact mechanism of climate change on crops would be revealed and \n established23,34,35. Crop models and trade models are applied to simulate the response of crop yield and market", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - }, - { - "text": "10\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/\nregion due to climate change.\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig.  7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline.\nDiscussion and conclusion\nDiscussion. Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm-\ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the \nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What would be the price increase resulting from maize production changes due to 1.5°C and 2°C global temperature increase ?", - "target_page": 10, - "target_passage": "In response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "10\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/\nregion due to climate change.\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig.  7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline.\nDiscussion and conclusion\nDiscussion. Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm-\ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the \nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "1\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports\nThe impact of 1.5 °C and 2.0 °C \nglobal warming on global maize \nproduction and trade\nKuo Li1*, Jie Pan1, Wei Xiong2, Wei Xie3 & Tariq Ali3\nClimate change is becoming more and more remarkable which has an obvious impact on crop yields \nall over the world. Future climate scenario data was simulated by 5 climate models recommended \nby ISI-MIP under 4 RCP scenarios, in which the approximate scenarios with global warming by 1.5 °C \nand 2 °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the \nworld under global warming by 1.5 °C and 2.0 °C were analyzed and the market prices of maize at \nnational and global levels were simulated. The results showed that, the risk of maize yield reduction \nunder 2.0 °C scenario was much more serious than 1.5 °C scenario; the ratios of yield changes were \nseparately 0.18% and − 10.8% under 1.5 °C and 2.0 °C scenarios. The reduction trend of total maize \nproduction is obvious in the top five countries and the main producing regions of the world, especially \nunder the 2.0 °C scenario. The market price of maize would increase by around 0.7% and 3.4% under \n1.5 °C and 2.0 °C scenarios. With the quickly increasing population in the world, it is urgent for all \ncountries to pay enough attention to the risk of maize yield and take actions of mitigation and \nadaptation to climate change.\nIn the past hundred years, the global climate has experienced great changes1–4. According to the sixth assess-\nment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and \nalmost all regions in the world experienced surface warming5. Due to global warming, the extreme climate events \nbecome more and more frequent, and the ecological environment problems caused by climate change are more \nand more serious, which restrict the sustainable development of human society and health6–10. Global warming \nhas gradually changed from a scientific issue to a major social issue of common concern to governments and \npeople of all countries11–13. In 2016, nearly 200 parties of the United Nations Framework Convention on climate \nchange reached the Paris Agreement at the climate change conference in Paris14. Paris Agreement has indicated \nthat it is urgent to hold the increase in global average temperature well below 2.0 °C above pre-industrial levels \nand pursue efforts to limit the temperature increase to 1.5 °C above pre-industrial levels.\nFaced with climate change, agriculture is the most vulnerable sector, which will experience the largest negative \nimpacts from climatic change and lead to more serious food security in the whole world15–20. Meanwhile, global \nproduction losses might lead to price shocks and trigger export restrictions21–24; an increasingly interconnected \nglobal food system25,26 and the projected fragility of the global food production system due to climatic change \nfurther exacerbate the threats to food security in the worldwide27–29. So, the impacts of climate changes on crop \nyields and prices have been of highly concerned. Numerous studies have revealed that the warming trend has \nnegative impact on crop yields and global trade in most regions all over the world30–32. There are three main \nmethods for impacts assessment of climate change on crops, including environment-controlled experiments, \nstatistical regression analysis and model simulations17,33. Environment-controlled experiments are designed \nto observe the influence of climate factors on crops, such as drought, flood, heat stress, cold damage, elevated \n CO2 concentration, through which the impact mechanism of climate change on crops would be revealed and \n established23,34,35. Crop models and trade models are applied to simulate the response of crop yield and market", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - }, - { - "text": "11\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nmeantime, the huge differences in yield changes in different regions provide a small chance for the world, espe-\ncially under global warming by 1.5 °C. In the near future, if the global temperature can be effectively controlled \nunder 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. \nAll regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the \npotentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the \nyield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by \n1.5 °C and 2.0 °C.\nMeanwhile, the risk of price fluctuations caused by global corn trade due to future climate change should be \npaid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, \nthe population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, \nthe supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify \nthe contradiction between supply and demand, which would threaten the food security and sustainable develop-\nment in the whole world.\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (The Inter-Sectoral Impact \nModel Intercomparison Project); compared with other climate models, the five models could more effectively \nsupport impact assessment in different sectors and provide more reliable results. Based on the simulation results \n-20\n-15\n-10\n-5\n0\n5\n10\n15\n20\n25\n30\nIndiaMexicoRussia\nSouth AfricaRest of Africa\nArgentinaUkraineCanada\nRest of World\nJapan\nAUS/NZL\nUSAChinaBrazilEU26\nBangladesh\nSoutheast Asia\nIran\nGlobal\n1.5°C 2.0°C\n% change\nFigure 7. Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\nFigure 8. Changes in Self-sufficiency ratio of maize in main countries under global warming by 1.5 °C and \n2.0 °C.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "5\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nis 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of \nNorthern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C.\nThere are apparent trends of humidification in most regions under global warming by 1.5 °C and 2.0 °C; but \nthe drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is \n73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; \nthe area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the \narea is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere \nand the middle regions of Northern Hemisphere. The distribution of precipitation under global warming by \n2.0 °C is similar with the situation under global warming by 1.5 °C. The drought-threatened area would increase \nby 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; \nthe area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the \nextreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than \nthose under global warming by 1.5 °C, which is what we should be pay more attention to.\nYield change of maize under global warming by 1.5 °C and 2.0 °C. Maize production is affected \nby climate change apparently. According to the simulation results of CERES-maize, the yield of maize would \ndecrease in the worldwide relative to 1986–2005 under global warming by 2.0 °C; it would increase little under \nglobal warming by 1.5 °C. The distributions of maize yield loss under the two scenarios are similar to each other, \nmostly located in the middle and low latitude, which are the main regions for maize planting in the world. The \nloss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of \n1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize \nplanting area in the world, in which the climate situation would become more proper for maize under global \nFigure 2. (continued)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed9.pdf" - }, - { - "text": "9\nVol.:(0123456789)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nby 1.5 °C. According to the simulation results, comparing to 1986–2005, the maize yield in the United States, \nChina and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% \nin Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would \nbe increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield \nincreasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease \nby 11.4% under global warming by 2.0 °C. By comparing the maize production in different countries, it can be \nfound that the reduction trend of total maize production in the top five countries is more obvious, especially \nunder the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\nFrom the view of continents, there are different trends of maize yield changes in the 6 continents (except Ant-\narctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under \nglobal warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, \nEurope and Oceania; the average yield loss rates are respectively − 15.6%, − 12.4%, − 36.4%; in the other 3 con-\ntinents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight \nin Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield \nchange trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are different in 2 continents, including \nAsia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the \nmaize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively \n− 7.9% (Asia), − 14.1% (North America), − 9.3% (South America), − 22.5% (Europe), − 25.5% (Oceania); only in \nAfrica the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by \nIPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming \nscenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual \nmaize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under \nglobal warming by 2.0 °C than that under global warming by 1.5 °C. There would be an obvious crisis of food \nsupply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make \nfull preparation for adaptation to climate change in the whole world.\nFigure 5. (continued)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "6\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the \nwhole world under climate change. We should grasp the opportunities and expand the yield increasing poten-\ntials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the \nhigh-risk regions.\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in \nthe world between 2020 and 2039 would decrease by 6.8% relative to 1986–2005. The area is 37.7% of the whole \nmaize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low \nand middle latitude of South America and Asia, and the middle latitude of Africa and North America. The area \nis 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located \nin the low latitude of South America and the middle latitude of Asia and Europe. The area is 45.8% of the whole \nmaize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and \nNorth America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under \nRCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative \nto 1986–2005. There are opposite trends of maize yield under global warming by 1.5 °C, which are simulated \nby different global climate models. However, the spatial distributions of maize yield change are similar to each \nother. The difference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing \nare going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world \nwould increase 0.18% relative to 1986–2005 (Fig. 3). According to Paris Agreement, all countries should do their \nbest to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, \ngross maize production of the whole world would not be influenced so much by climate change, but the food \nFigure 3. Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSL-\nCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). The figure has been generated using ArcGIS \n10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - }, - { - "text": "the gridded global dataset by combining two data products47. Second, genetic parameters of specific cultivars of \nmaize from previous works were adopted for the initial parameters; model parameters related to crop genotype \ncharacteristics were calibrated and tuned following the method in Xiong et al. 52, in which the simulated yields \nfrom 1986–2005 were comparable to the statistical data. Third, maize yields across the world were simulated \nunder global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from grid-\nded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, \ncomparing maize yield average for 1986–2005.\nSimulation of market price using GTAP . The yield changes for maize from the DSSAT models under \n1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes \nin production, market price, and self-sufficiency ratio of maize at national and global levels53,54. For this study, we \nuse a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of \nthe major food crops under current economic conditions. Utilizing current economic conditions has the advan-\ntage of minimizing assumptions and model uncertainties related to future economic conditions55,56.\nThe original GTAP database doesn’t include maize as a separate sector, rather it is combined with other coarse \ngrains to form an “other coarse grain” sector. For this study, we updated the GTAP database by splitting maize \nfrom the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the \noriginal database. The detailed method is given as follows:\nFirst, we improved the database by splitting maize from the existing sector “other coarse grain” , following \nsimilar work using GTAP57–59 based on the routines from the Splitcom method60. In this procedure, the old flows \nof data both at national and trade levels are allocated between the new flows using weights. The national weights \ninclude the division of each unsplit user’s use of the original split commodity among the new commodities; the \ndivision of unsplit inputs to the original industry between the new industries; the splitting of new industry’s use \nof each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of \nbasic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. \nThe values for the national shares matrix were obtained from FAOSTAT. The trade shares matrix was calculated \nbased on the data from UN Comtrade Database.\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors \nfor maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of \nproduction and both livestock and households are major users of maize. For regional aggregation, we kept the \ndetails for all the main producing, consuming, and trading regions, for maize.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "2\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nAlthough, so far there are plenty of research on the impacts of global warming by 1.5 °C temperature, includ-\ning the impacts comparison of global warming by 1.5 °C versus 2.0 °C44. It is necessary to do more quantitative \nimpacts assessments of global warming by 1.5 °C and 2.0 °C on crops yield and market price to address research \ngaps and support the requirement of the scientific community and governments. In this paper, the future climate \nsituations were selected and analyzed which are the approximate scenarios with global warming by 1.5 °C and \n2.0 °C, based on the simulation results from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. \nThen the per unit yield changes of maize all over the world under global warming by 1.5 °C and 2.0 °C were \nanalyzed and the spatial distributions of changes in maize yield were revealed relative to the baseline from \n1985 to 2006, applying crop model DSSAT (Decision Support System for Agrotechnology Transfer). Next, we \nexamine the effects of the resulting maize production shocks in different countries; the market price of maize is \nsimulated using GTAP to reveal the impacts of climate change on global crop trade. Finally, the future trend of \nmaize yield and market price in the main breadbasket is assessed and the adaptation suggestions are put forward \nfor maize cultivation.\nMaterials and methods\nData processing. In this study, historical daily weather data (1986–2005) are from the AgMERRA dataset. \nAgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications \n(MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily \ntime-series data45.\nFor future (2020–2099), the original climate scenario data (Table  1) were extracted from output archives of \nfive ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M) \nunder four RCPs (RCP2.6, RCP4.5, RCP6.0, RCP8.5) retrieved from the CMIP website. The climate scenario data \nwas interpolated into 0.5° × 0.5° horizontal resolution and bias-corrected with respect to historical observations \nto remove systematic errors46. The data of maize-planting regions are from the gridded global dataset in 2000 \nby combining two data products47,48.\nSimulation of climate scenarios with global warming by 1.5 °C and 2.0 °C. In this study, climate \ndata of global warming by 1.5 °C and 2.0 °C are determined according to the results of global climate models \ndriven by typical concentration paths (RCPs) of greenhouse gas emissions. Eligible data are selected from a \ntotal of 20 sets of data under four RCP scenarios of five ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-\nCM5A-LR, MIROC-ESM-CHEM and NorESM1-M), which estimate the temperature, precipitation and sun-\nshine hours (Fig. 1).\nTable 1. Basic information of 5 ESMs in CMIP5. Horizontal resolution means the number of longitudinal \ngrids × the number of latitudinal grids.\nModel Research institute Country Horizontal resolution\nGFDL-ESM2M Geophysical Fluid Dynamics Laboratory The United States 144 × 90\nHadGEM2-ES Hadley Center for Climate Prediction and Research The United Kingdom 192 × 145\nIPSL-CM5A-LR L ’ Institute Pierre-Simon Laplace France 96 × 96\nNorESM1-M Norway Climate Center Norway 144 × 96\nMIROC-ESM Center for Climate System Research, National Institute for Environmental Studies, and Frontier Research \nCenter for Global Change Japan 128 × 64\nFigure 1. Changes of global temperature of 20 years moving average from 2020 to 2099 simulated by 5 ESMs \nunder 4 RCP scenarios. Note: The black horizontal dashed lines: global warming by 1.5 °C and 2.0 °C; the black \nvertical solid line: the years when global warming reaches 1.5 °C and 2.0 °C simulated by the selected models \nand scenarios.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed9.pdf" - }, - { - "text": "4\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nThird, yield shocks for maize were incorporated into the GTAP model via changes in land efficiency for the \nproduction of the respective in each region.\nResults\nClimate change under global warming by 1.5 °C and 2.0 °C. There are apparent change trends of \ntemperature and precipitation relative to the baseline (1986–2005) under global warming by 1.5 °C and 2.0 °C. \nThe most remarkable characteristics is the rising of mean temperature in the worldwide (Fig. 2a, b); meanwhile, \nthe rainfall would increase in most regions of the world. The distributions of temperature changes under global \nwarming by 1.5 °C and 2.0 °C are similar (Fig. 2c, d). There are few regions in which the temperature would go \ndown under the two scenarios; the temperature goes up more seriously in the Northern Hemisphere than the \nSouthern regions; especially in the high-latitude area the temperature rises more quickly than the other regions. \nUnder global warming by 1.5 °C the area is 54.4% in whole world in which the temperature would go up between \n1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 29.2% of the whole \nworld in which the temperature would go up more than 1.5 °C, most located in the high latitude regions of \nNorthern Hemisphere; the area is 16.4% of the whole world in which the temperature would go up between 0 \nand 1.0 °C , mostly located in the Southern Hemisphere and the low latitude regions of Northern Hemisphere. \nUnder global warming by 2.0 °C the area is 12.3% in which the temperature would go up between 1.0 and 1.5 °C \nthan the baseline, located in the middle and low latitude regions; the area is 69.8% in which the temperature \nwould go up between 1.5 and 3.0 °C than the baseline, located in the middle and high latitude regions; the area \nFigure 2. Distribution of temperature and precipitation changes under global warming by 1.5 °C and 2.0 °C \n(a) temperature, 1.5 °C; (b) temperature, 2.0 °C; (c) precipitation, 1.5 °C; (d) precipitation, 2.0 °C. The figure \nhas been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear \nthdata. com.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed9.pdf" - }, - { - "text": "8\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should \nbe taken from now on. Food security would be a significant challenge in this century.\nYield change of maize in main countries. There are huge differences in impacts on maize yield under \nclimate change, which would influence the food crisis in different regions. There are 159 countries in the whole \nworld which plant maize. The gross yield of maize the top 20 countries accounts for more than 90% of the total \nyield in the 159 countries. So, the changes in the top 20 countries under future scenarios would influence the \nfood security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming \nby 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become \n33.5%. There would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly \nincrease. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which \nthe mean yield loss rate is approximate to that under global warming by 1.5 °C. There would be 77 countries \nexperiencing yield increase; however, the mean yield increase is apparently smaller than that under global warm-\ning by 1.5 °C. Generally, the global maize yield would decrease. The results show that the adverse effect of warm-\ning up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to \ndevelop forward-looking adaptation measures to cope with future climate change.\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize \nyield of the whole world. The United States accounts for more than 32%; China accounts for about 24%; Brazil, \nArgentina and Mexico account for about 23%. The fluctuation of maize production in these five top countries will \nhave a significant impact on the global maize trade. Based on the simulation results, comparing to 1986–2005, \nthe maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss \nrate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. \nHowever, there would be increasing trends in the United States and Mexico; the change in the United States \nwould not be significant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% \nin Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming \nFigure 5. Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is a formal fallacy ?", - "target_page": 8, - "target_passage": "For formal fallacies, the source of the error is found in the form of the argument", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Young America's dilemma: Shall I be wise and great, or\nrich and powerful? (poster from 1901) This is an\nexample of a false dilemma: an informal fallacy using a\ndisjunctive premise that excludes viable alternatives.\nburglar broke into the house last night, got hungry on the job, and had a midnight snack, would also\nexplain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely\nexplanation.[82][83]\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually\nreferred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw\nwith the reasoning leading to this conclusion.[84] So the argument \"it is sunny today; therefore spiders\nhave eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill,\ngive a more restrictive definition of fallacies by additionally requiring that they appear to be correct.[85]\nThis way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness.\nThis explains why people tend to commit fallacies: because they have an alluring element that seduces\npeople into committing and accepting them.[86] However, this reference to appearances is controversial\nbecause it belongs to the field of psychology, not logic, and because appearances may be different for\ndifferent people.[87]\nFallacies are usually divided into formal and\ninformal fallacies.[38] For formal fallacies, the\nsource of the error is found in the form of the\nargument. For example, denying the antecedent\nis one type of formal fallacy, as in \"if Othello is a\nbachelor, then he is male; Othello is not a\nbachelor; therefore Othello is not male\".[88] But\nmost fallacies fall into the category of informal\nfallacies, of which a great variety is discussed in\nthe academic literature. The source of their error\nis usually found in the content or the context of\nthe argument.[89] Informal fallacies are\nsometimes categorized as fallacies of ambiguity,\nfallacies of presumption, or fallacies of\nrelevance. For fallacies of ambiguity, the\nambiguity and vagueness of natural language are\nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot\nbe dark\".[90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise.[91]\nIn the case of fallacies of relevance, the premises do not support the conclusion because they are not\nrelevant to it.[92]\nThe main focus of most logicians is to study the criteria according to which an argument is correct or\nincorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known\nas rules of inference.[93] They are definitory rules, which determine whether an inference is correct or\nwhich inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which\ninferential moves are necessary to reach a given conclusion based on a set of premises. This distinction\ndoes not just apply to logic but also to games. In chess, for example, the definitory rules dictate that\nbishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed\nFallacies\nDefinitory and strategic rules", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Logic studies valid forms of\ninference like modus ponens.\nLogic\nLogic is the study of correct reasoning. It includes both formal and\ninformal logic. Formal logic is the study of deductively valid\ninferences or logical truths. It examines how conclusions follow\nfrom premises based on the structure of arguments alone,\nindependent of their topic and content. Informal logic is associated\nwith informal fallacies, critical thinking, and argumentation\ntheory. Informal logic examines arguments expressed in natural\nlanguage whereas formal logic uses formal language. When used\nas a countable noun, the term \"a logic\" refers to a specific logical\nformal system that articulates a proof system. Logic plays a\ncentral role in many fields, such as philosophy, mathematics,\ncomputer science, and linguistics.\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the\nargument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the\nconclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be\ntrue or false. An important feature of propositions is their internal structure. For example, complex\npropositions are made up of simpler propositions linked by logical vocabulary like (and) or \n(if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a\nproposition usually depends on the meanings of all of its parts. However, this is not the case for logically\ntrue propositions. They are true only because of their logical structure independent of the specific\nmeanings of the individual parts.\nArguments can be either correct or incorrect. An argument is correct if its premises support its\nconclusion. Deductive arguments have the strongest form of support: if their premises are true then their\nconclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new\ninformation not found in the premises. Many arguments in everyday discourse and the sciences are\nampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are\nstatistical generalization—such as inferring that all ravens are black, based on many individual\nobservations of black ravens.[2] Abductive arguments are inferences to the best explanation—for\nexample, when a doctor concludes that a patient has a certain disease, as the best explanation for the\nsymptoms that they are observed to suffer.[3] Arguments that fall short of the standards of correct\nreasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the\ncorrectness of arguments.\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya,\nand Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the\nmain system of logic in the Western world until it was replaced by modern formal logic, which has its\nroots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly\nused system is classical logic. It consists of propositional logic and first-order logic. Propositional logic\nonly considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid\nthe principle of explosion: for them, it is not the case that anything follows from a contradiction.[139]\nThey are often motivated by dialetheism, the view that contradictions are real or that reality itself is\ncontradictory. Graham Priest is an influential contemporary proponent of this position and similar views\nhave been ascribed to Georg Wilhelm Friedrich Hegel.[140]\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like\ninvestigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some\nframeworks of informal logic have also been presented that try to provide a systematic characterization of\nthe correctness of arguments.[141]\nThe pragmatic or dialogical approach to informal logic sees arguments as speech acts and not merely as\na set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a\ndialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas\nN. Walton understands a dialogue as a game between two players. The initial position of each player is\ncharacterized by the propositions to which they are committed and the conclusion they intend to prove.\nDialogues are games of persuasion: each player has the goal of convincing the opponent of their own\nconclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They\naffect to which propositions the players are committed. A winning move is a successful argument that\ntakes the opponent's commitments as premises and shows how one's own conclusion follows from them.\nThis is usually not possible straight away. For this reason, it is normally necessary to formulate a\nsequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's\nintended conclusion. Besides these positive arguments leading one closer to victory, there are also\nnegative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an\nargument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other\nhand, are violations of the standards of proper argumentative rules.[146] These standards also depend on\nthe type of dialogue. For example, the standards governing the scientific discourse differ from the\nstandards in business negotiations.[147]\nThe epistemic approach to informal logic, on the other hand, focuses on the epistemic role of\narguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this\nby linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at\nexpanding knowledge while fallacies are epistemic failures: they do not justify the belief in their\nconclusion.[150] For example, the fallacy of begging the question is a fallacy because it fails to provide\nindependent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical\nnormativity consists in epistemic success or rationality.[149] The Bayesian approach is one example of an\nepistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the\ndegree to which they believe it, the so-called credence. Degrees of belief are seen as subjective\nprobabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On\nthis view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new\nInformal", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). Internet Encyclopedia of\nPhilosophy. Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla\ncy/) from the original on 29 April 2010. Retrieved 19 March 2021.\nvan Eemeren, Frans H.; Garssen, Bart (2009). Pondering on Problems of Argumentation:\nTwenty Essays on Theoretical Issues. Springer Science & Business Media. p. 191.\nISBN 978-1-4020-9165-0.\nvan Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A.\nFrancisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe\nr.com/referenceworkentry/10.1007%2F978-94-007-6883-3_7-1). Handbook of\nArgumentation Theory. Springer Netherlands. pp. 1–45. doi:10.1007/978-94-007-6883-3_7-\n1 (https://doi.org/10.1007%2F978-94-007-6883-3_7-1). ISBN 978-94-007-6883-3. Archived\n(https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/\n10.1007/978-94-007-6883-3_7-1) from the original on 31 December 2021. Retrieved\n2 January 2022.\nvan Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard,\nCharles A. (2013). Fundamentals of Argumentation Theory: A Handbook of Historical\nBackgrounds and Contemporary Developments. Routledge. p. 169. ISBN 978-1-136-68804-\n1.\nEmmanuel, Steven M. (2015). A Companion to Buddhist Philosophy. John Wiley & Sons.\npp. 320–2. ISBN 978-1-119-14466-3.\nEnderton, Herbert (2001). A Mathematical Introduction to Logic. Elsevier. ISBN 978-0-12-\n238452-3.\nEngel, S. Morris (1982). With Good Reason an Introduction to Informal Fallacies (https://phil\npapers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w\neb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original\non 1 March 2022. Retrieved 2 January 2022.\nEvans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.). The\nCambridge Handbook of Thinking and Reasoning. Cambridge University Press. p. 169.\nISBN 978-0-521-82417-0.\nEwald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri\nes/logic-firstorder-emergence/). The Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University. Retrieved 12 March 2023.\nFalguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http\ns://plato.stanford.edu/entries/abstract-objects/). The Stanford Encyclopedia of Philosophy.\nMetaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021\n0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22\nJanuary 2021. Retrieved 7 January 2022.\nFalikowski, Anthony; Mills, Susan (2022). Experiencing Philosophy (2nd ed.). Broadview\nPress. p. 98. ISBN 978-1-77048-841-0.\nFisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005). Handbook of Temporal\nReasoning in Artificial Intelligence. Elsevier. p. 119. ISBN 978-0-08-053336-0.\nFitch, G. W. (18 December 2014). Saul Kripke. Routledge. p. 17. ISBN 978-1-317-48917-7.\nFlotyński, Jakub (7 December 2020). Knowledge-Based Explorable Extended Reality\nEnvironments. Springer Nature. p. 39. ISBN 978-3-030-59965-2.\nFont, Josep Maria; Jansana, Ramon (2017). A General Algebraic Semantics for Sentential\nLogics. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1.\nFrede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html).\nMichigan Technological University. Retrieved 1 November 2022.\nFriend, Michele (2014). Introducing Philosophy of Mathematics. Routledge. p. 101.\nISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Formal logic needs to translate natural language\narguments into a formal language, like first-order logic, to\nassess whether they are valid. In this example, the letter\n\"c\" represents Carmen while the letters \"M\" and \"T\" stand\nfor \"Mexican\" and \"teacher\". The symbol \" ∧ \" has the\nmeaning of \"and\".\nnew formal systems have been proposed.\nThere are disagreements about what makes a\nformal system a logic.[22] For example, it has\nbeen suggested that only logically complete\nsystems, like first-order logic, qualify as\nlogics. For such reasons, some theorists deny\nthat higher-order logics are logics in the strict\nsense.[23]\nWhen understood in a wide sense, logic\nencompasses both formal and informal logic.[24] Informal logic uses non-formal criteria and standards to\nanalyze and assess the correctness of arguments. Its main focus is on everyday discourse.[25] Its\ndevelopment was prompted by difficulties in applying the insights of formal logic to natural language\narguments.[26] In this regard, it considers problems that formal logic on its own is unable to address.[27]\nBoth provide criteria for assessing the correctness of arguments and distinguishing them from\nfallacies.[28]\nMany characterizations of informal logic have been suggested but there is no general agreement on its\nprecise definition.[29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the\nlanguage used to express arguments. On this view, informal logic studies arguments that are in informal\nor natural language.[30] Formal logic can only examine them indirectly by translating them first into a\nformal language while informal logic investigates them in their original form.[31] On this view, the\nargument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is\nexamined by informal logic. But the formal translation \"(1) ; (2)\n; (3) \" is studied by formal logic.[32] The study of natural language\narguments comes with various difficulties. For example, natural language expressions are often\nambiguous, vague, and context-dependent.[33] Another approach defines informal logic in a wide sense as\nthe normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes\nquestions about the role of rationality, critical thinking, and the psychology of argumentation.[34]\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way,\nit contrasts with deductive reasoning examined by formal logic.[35] Non-deductive arguments make their\nconclusion probable but do not ensure that it is true. An example is the inductive argument from the\nempirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are\nblack\".[36]\nA further approach is to define informal logic as the study of informal fallacies.[37] Informal fallacies are\nincorrect arguments in which errors are present in the content and the context of the argument.[38] A false\ndilemma, for example, involves an error of content by excluding viable options. This is the case in the\nfallacy \"you are either with us or against us; you are not with us; therefore, you are against us\".[39] Some\ntheorists state that formal logic studies the general form of arguments while informal logic studies\nparticular instances of arguments. Another approach is to hold that formal logic only considers the role of\nInformal logic", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions\nbehind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant\nlogics, on the other hand, reject certain classical intuitions and provide alternative explanations of the\nbasic laws of logic.\nThe word \"logic\" originates from the Greek word logos, which has a variety of translations, such as\nreason, discourse, or language.[4] Logic is traditionally defined as the study of the laws of thought or\ncorrect reasoning,[5] and is usually understood in terms of inferences or arguments. Reasoning is the\nactivity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a\nset of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e.\nwhether their premises support the conclusion.[7] These general characterizations apply to logic in the\nwidest sense, i.e., to both formal and informal logic since they are both concerned with assessing the\ncorrectness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict\nlogic to formal logic.[9]\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal\napproach to study reasoning: it replaces concrete expressions with abstract symbols to examine the\nlogical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is\nonly concerned with the abstract structure of arguments and not with their concrete content.[10]\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures\nthe truth of their conclusion. This means that it is impossible for the premises to be true and the\nconclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion\nfollows a pattern called a rule of inference.[12] For example, modus ponens is a rule of inference\naccording to which all arguments of the form \"(1) p, (2) if p then q, (3) therefore q\" are valid, independent\nof what the terms p and q stand for.[13] In this sense, formal logic can be defined as the science of valid\ninferences. An alternative definition sees logic as the study of logical truths.[14] A proposition is logically\ntrue if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible\nworlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is\nnot\".[15] These two definitions of formal logic are not identical, but they are closely related. For example,\nif the inference from p to q is deductively valid then the claim \"if p then q\" is a logical truth.[16]\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very\nlimited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to\nconstruct sentences, so-called well-formed formulas.[18] This simplicity and exactness of formal logic\nmake it capable of formulating precise rules of inference. They determine whether a given argument is\nvalid.[19] Because of the reliance on formal language, natural language arguments cannot be studied\ndirectly. Instead, they need to be translated into formal language before their validity can be assessed.[20]\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, a logic is\na logical formal system. Distinct logics differ from each other concerning the rules of inference they\naccept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many\nDefinition\nFormal logic", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Argument terminology used in logic\nargument is made up of a chain of simple arguments. This means that the conclusion of one argument acts\nas a premise of later arguments. For a complex argument to be successful, each link of the chain has to be\nsuccessful.[43]\nArguments and inferences are either\ncorrect or incorrect. If they are correct\nthen their premises support their\nconclusion. In the incorrect case, this\nsupport is missing. It can take\ndifferent forms corresponding to the\ndifferent types of reasoning.[62] The\nstrongest form of support corresponds\nto deductive reasoning. But even\narguments that are not deductively\nvalid may still be good arguments\nbecause their premises offer non-\ndeductive support to their conclusions.\nFor such cases, the term ampliative or\ninductive reasoning is used.[63]\nDeductive arguments are associated\nwith formal logic in contrast to the\nrelation between ampliative arguments and informal logic.[64]\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For\ninstance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are\nfrogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the\nconclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3)\ntherefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65]\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1)\nthey are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a\npriori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that\nthey hold by logical necessity for the given propositions, independent of any other circumstances.[66]\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of\ninference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be\nstructured for the inference to be valid. Arguments that do not follow any rule of inference are\ndeductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"p; if p, then\nq; therefore q\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one\ncan use modus ponens to deduce that the streets are wet ().[70]\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is\nimpossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often\nasserted that deductive inferences are uninformative since the conclusion cannot arrive at new\ninformation not already present in the premises.[72] But this point is not always accepted since it would\nmean, for example, that most of mathematics is uninformative. A different characterization distinguishes\nDeductive", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "20. Hintikka & Sandu 2006, pp. 22–3; Magnus 2005, pp. 8–9, 1.4 Deductive validity; Johnson\n1999, p. 267.\n21. Haack 1978, pp. 1–2, 4, Philosophy of logics; Hintikka & Sandu 2006, pp. 16–17; Jacquette\n2006, Introduction: Philosophy of logic today, pp. 1–12.\n22. Haack 1978, pp. 1–2, 4, Philosophy of logics; Jacquette 2006, pp. 1–12, Introduction:\nPhilosophy of logic today.\n23. Haack 1978, pp. 5–7, 9, Philosophy of logics; Hintikka & Sandu 2006, pp. 31–2; Haack\n1996, pp. 229–30.\n24. Haack 1978, pp. 1–10, Philosophy of logics; Groarke 2021, lead section; 1.1 Formal and\nInformal Logic.\n25. Johnson 2014, pp. 228–9.\n26. Groarke 2021, lead section; 1. History; Audi 1999a, Informal logic; Johnson 1999, pp. 265–\n274.\n27. Craig 1996, Formal and informal logic; Johnson 1999, p. 267.\n28. Blair & Johnson 2000, pp. 93–97; Craig 1996, Formal and informal logic.\n29. Johnson 1999, pp. 265–270; van Eemeren et al., pp. 1–45, Informal Logic.\n30. Groarke 2021, 1.1 Formal and Informal Logic; Audi 1999a, Informal logic; Honderich 2005,\nlogic, informal.\n31. Blair & Johnson 2000, pp. 93–107; Groarke 2021, lead section; 1.1 Formal and Informal\nLogic; van Eemeren et al., p. 169.\n32. Oaksford & Chater 2007, p. 47.\n33. Craig 1996, Formal and informal logic; Walton 1987, pp. 2–3, 6–8, 1. A new model of\nargument; Engel 1982, pp. 59–92, 2. The medium of language.\n34. Blair & Johnson 1987, pp. 147–51.\n35. Falikowski & Mills 2022, p. 98; Weddle 2011, pp. 383–8, 36. Informal logic and the eductive-\ninductive distinction; Blair 2011, p. 47.\n36. Vickers 2022; Nunes 2011, pp. 2066–9, Logical Reasoning and Learning.\n37. Johnson 2014, p. 181; Johnson 1999, p. 267; Blair & Johnson 1987, pp. 147–51.\n38. Vleet 2010, pp. ix–x, Introduction; Dowden; Stump.\n39. Maltby, Day & Macaskill 2007, p. 564; Dowden.\n40. Craig 1996, Formal and informal logic; Johnson 1999, pp. 265–270.\n41. Audi 1999b, Philosophy of logic; Honderich 2005, philosophical logic.\n42. Haack 1974, p. 51.\n43. Audi 1999b, Philosophy of logic.\n44. Falguera, Martínez-Vidal & Rosen 2021; Tondl 2012, p. 111.\n45. Olkowski & Pirovolakis 2019, pp. 65–66 (https://books.google.com/books?id=FhaGDwAAQ\nBAJ&pg=PT65).\n46. Audi 1999b, Philosophy of logic; Pietroski 2021.\n47. Audi 1999b, Philosophy of logic; Kusch 2020; Rush 2014, pp. 1–10, 189–190.\n48. King 2019; Pickel 2020, pp. 2991–3006.\n49. Honderich 2005, philosophical logic.\n50. Pickel 2020, pp. 2991–3006.\n51. Honderich 2005, philosophical logic; Craig 1996, Philosophy of logic; Michaelson & Reimer\n2019.\n52. Michaelson & Reimer 2019.\n53. Hintikka 2019, §Nature and varieties of logic; MacFarlane 2017.\n54. Gómez-Torrente 2019; MacFarlane 2017; Honderich 2005, philosophical logic.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Vidyabhusana, Satis Chandra (1988). A History of Indian Logic: Ancient, Mediaeval and\nModern Schools. Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1.\nVleet, Van Jacob E. (2010). \"Introduction\". Informal Logical Fallacies: A Brief Guide (https://p\nhilpapers.org/rec/VLEILF). Upa. pp. ix–x. ISBN 978-0-7618-5432-6. Archived (https://web.ar\nchive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28\nFebruary 2022. Retrieved 2 January 2022.\nVäänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/\nentries/logic-higher-order/). The Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/\nhttps://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021.\nRetrieved 23 November 2021.\nWalton, Douglas N. (1987). Informal Fallacies: Towards a Theory of Argument Criticisms (htt\nps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http\ns://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the\noriginal on 2 March 2022. Retrieved 2 January 2022.\nWarren, Jared (2020). Shadows of Syntax: Revitalizing Logical and Mathematical\nConventionalism (https://global.oup.com/academic/product/shadows-of-syntax-9780190086\n152). Oxford University Press. ISBN 978-0-19-008615-2.\nWashell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r\nec/WASLLA-3). Journal of the History of Ideas. 34 (3): 445–50. doi:10.2307/2708963 (http\ns://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963).\nWasilewska, Anita (2018). Logics for Computer Science: Classical and Non-Classical.\nSpringer. pp. 145–6. ISBN 978-3-319-92591-2.\nWeber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/). Internet Encyclopedia\nof Philosophy. Retrieved 12 December 2021.\nWeddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\".\nAcross the Lines of Disciplines (https://www.degruyter.com/document/doi/10.1515/97831108\n67718.383/html). De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http\ns://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w\neb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978\n3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022.\nWesterståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp\napers.org/rec/WESASA). Studia Logica. 48 (4): 577–585. doi:10.1007/BF00370209 (https://\ndoi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu\nsID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o\nrg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022.\nWilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp\nringer.com/article/10.1007/s10503-009-9131-5). Argumentation. 24 (1): 107–124.\ndoi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5).\nISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap\ni.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201\n08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on\n8 January 2022. Retrieved 8 January 2022.\nWilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum\nLogic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi). The Stanford\nEncyclopedia of Philosophy. Metaphysics Research Lab, Stanford University. Retrieved\n11 March 2023.\nWile, Bruce; Goss, John; Roesner, Wolfgang (2005). Comprehensive Functional\nVerification: The Complete Industry Cycle. Elsevier. p. 447. ISBN 978-0-08-047664-3.\nWillman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "55. Gómez-Torrente 2019; Jago 2014, p. 41.\n56. Magnus 2005, pp. 35–38, 3. Truth tables; Angell 1964, p. 164; Hall & O'Donnell 2000, p. 48\n(https://books.google.com/books?id=yP4MJ36C4ZgC&pg=PA48).\n57. Magnus 2005, pp. 35–45, 3. Truth tables; Angell 1964, p. 164.\n58. Tarski 1994, p. 40.\n59. Hintikka 2019, lead section, §Nature and varieties of logic; Audi 1999b, Philosophy of logic.\n60. Blackburn 2008, argument; Stairs 2017, p. 343.\n61. Copi, Cohen & Rodych 2019, p. 30 (https://books.google.com/books?id=38bADwAAQBAJ&\npg=PA30).\n62. Hintikka & Sandu 2006, p. 20; Backmann 2019, pp. 235–255; IEP Staff.\n63. Hintikka & Sandu 2006, p. 16; Backmann 2019, pp. 235–255; IEP Staff.\n64. Groarke 2021, 1.1 Formal and Informal Logic; Weddle 2011, pp. 383–8, 36. Informal logic\nand the eductive-inductive distinction; van Eemeren & Garssen 2009, p. 191.\n65. Evans 2005, 8. Deductive Reasoning, p. 169 (https://books.google.com/books?id=znbkHaC\n8QeMC&pg=PA169).\n66. McKeon.\n67. Hintikka & Sandu 2006, pp. 13–4.\n68. Hintikka & Sandu 2006, pp. 13–4; Blackburn 2016, rule of inference.\n69. Blackburn 2016, rule of inference.\n70. Dick & Müller 2017, p. 157.\n71. Hintikka & Sandu 2006, p. 13; Backmann 2019, pp. 235–255; Douven 2021.\n72. Hintikka & Sandu 2006, p. 14; D'Agostino & Floridi 2009, pp. 271–315.\n73. Hintikka & Sandu 2006, p. 14; Sagüillo 2014, pp. 75–88; Hintikka 1970, pp. 135–152.\n74. Hintikka & Sandu 2006, pp. 13–6; Backmann 2019, pp. 235–255; IEP Staff.\n75. Rocci 2017, p. 26; Hintikka & Sandu 2006, pp. 13, 16; Douven 2021.\n76. IEP Staff; Douven 2021; Hawthorne 2021.\n77. IEP Staff; Hawthorne 2021; Wilbanks 2010, pp. 107–124.\n78. Douven 2021.\n79. Groarke 2021, 4.1 AV Criteria; Possin 2016, pp. 563–593.\n80. Scott & Marshall 2009, analytic induction; Houde & Camacho 2003, Induction.\n81. Borchert 2006b, Induction.\n82. Douven 2021; Koslowski 2017, Abductive reasoning and explanation (https://www.taylorfran\ncis.com/locs/edit/10.4324/9781315725697-20/abductive-reasoning-explanation-barbara-kosl\nowski).\n83. Cummings 2010, Abduction, p. 1.\n84. Hansen 2020; Chatfield 2017, p. 194.\n85. Walton 1987, pp. 7, 1. A new model of argument; Hansen 2020.\n86. Hansen 2020.\n87. Hansen 2020; Walton 1987, pp. 63, 3. Logic of propositions.\n88. Sternberg; Stone 2012, pp. 327–356.\n89. Walton 1987, pp. 2–4, 1. A new model of argument; Dowden; Hansen 2020.\n90. Engel 1982, pp. 59–92, 2. The medium of language; Mackie 1967; Stump.\n91. Stump; Engel 1982, pp. 143–212, 4. Fallacies of presumption.\n92. Stump; Mackie 1967.\n93. Hintikka & Sandu 2006, p. 20.\n94. Hintikka & Sandu 2006, p. 20; Pedemonte 2018, pp. 1–17; Hintikka 2023.", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "In early Chinese philosophy, what were the major influences regarding the philosophy of logic ?", - "target_page": 18, - "target_passage": "In Chinese philosophy, the School of Names and Mohism were particularly influential", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Verification: The Complete Industry Cycle. Elsevier. p. 447. ISBN 978-0-08-047664-3.\nWillman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat\no.stanford.edu/entries/chinese-logic-language/). The Stanford Encyclopedia of Philosophy.\nMetaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of\nNames focused on the use of language and on paradoxes. For example, Gongsun Long proposed the\nwhite horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism\nalso acknowledged the importance of language for logic and tried to relate the ideas in these fields to the\nrealm of ethics.[197]\nIn India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It\nwas not treated as a separate academic discipline and discussions of its topics usually happened in the\ncontext of epistemology and theories of dialogue or argumentation.[198] In Nyaya, inference is understood\nas a source of knowledge (pramā ṇ a). It follows the perception of an object and tries to arrive at\nconclusions, for example, about the cause of this object.[199] A similar emphasis on the relation to\nepistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the\nknowledge gained through other sources.[200] Some of the later theories of Nyaya, belonging to the\nNavya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense\nand reference and his definition of number.[201]\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when\ninterest in the foundations of mathematics stimulated the development of modern symbolic logic.[202]\nMany see Gottlob Frege's Begriffsschrift as the birthplace of modern logic. Gottfried Wilhelm Leibniz's\nidea of a universal formal language is often considered a forerunner. Other pioneers were George Boole,\nwho invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the\nlogic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these\ninsights in their work Principia Mathematica. Modern logic introduced novel concepts, such as functions,\nquantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language\nto precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on\nnatural language.[203] Of particular influence was the development of first-order logic, which is usually\ntreated as the standard system of modern logic.[204] Its analytical generality allowed the formalization of\nmathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model\ntheory possible and provided the foundation of modern mathematical logic.[205]\nPhilosophy portal\nSee also", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Rautenberg, Wolfgang (1 July 2010). A Concise Introduction to Mathematical Logic.\nSpringer. p. 15. ISBN 978-1-4419-1221-3.\nRendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri\nes/logic-epistemic/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University. Retrieved 11 March 2023.\nRestall, Greg; Standefer, Shawn (2023). Logical Methods. MIT Press. p. 91. ISBN 978-0-\n262-54484-9.\nRichardson, Alan W. (1998). Carnap's Construction of the World: The Aufbau and the\nEmergence of Logical Empiricism. Cambridge University Press. p. 15. ISBN 978-0-521-\n43008-1.\nRini, Adriane (13 December 2010). Aristotle's Modal Proofs: Prior Analytics A8-22 in\nPredicate Logic. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5.\nRitola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d\noi.org/10.22329%2Fil.v28i4.2856). Informal Logic. 28 (4): 335. doi:10.22329/il.v28i4.2856 (h\nttps://doi.org/10.22329%2Fil.v28i4.2856).\nRocci, Andrea (8 March 2017). Modality in Argumentation: A Semantic Investigation of the\nRole of Modalities in the Structure of Arguments with an Application to Italian Modal\nExpressions. Springer. p. 26. ISBN 978-94-024-1063-1.\nRošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\". Philosophy\nCompass. 10 (5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222\n6).\nRunco, Mark A.; Pritzker, Steven R. (1999). Encyclopedia of Creativity. Academic Press.\np. 155. ISBN 978-0-12-227075-8.\nRush, Penelope (2014). \"Introduction\". The Metaphysics of Logic (https://philpapers.org/rec/\nRUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt\nps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the\noriginal on 7 December 2021. Retrieved 8 January 2022.\nSadegh-Zadeh, Kazem (2015). Handbook of Analytic Philosophy of Medicine. Springer.\np. 983. ISBN 978-94-017-9579-1.\nSagüillo, José M. (2014). \"Hintikka on Information and Deduction\". Teorema: Revista\nInternacional de Filosofía. 33 (2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/\n0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609).\nSarukkai, Sundar; Chakraborty, Mihir Kumar (2022). Handbook of Logical Thought in India.\nSpringer Nature. pp. 117–8. ISBN 978-81-322-2577-5.\nSchagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic). Encyclopædia\nBritannica. Retrieved 23 September 2022.\nSchechter, Joshua. \"Epistemology of Logic – Bibliography\" (https://philpapers.org/browse/ep\nistemology-of-logic). PhilPapers. Retrieved 11 September 2022.\nSchlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001). The Structure of\nArguments. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3.\nSchreiner, Wolfgang (2021). Thinking Programs: Logical Modeling and Reasoning About\nLanguages, Data, Computations, and Executions. Springer Nature. p. 22. ISBN 978-3-030-\n80507-4.\nScott, John; Marshall, Gordon (2009). \"analytic induction\". A Dictionary of Sociology (https://\nwww.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford\nUniversity Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010\n8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661)\nfrom the original on 8 January 2022. Retrieved 8 January 2022.\nShapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e\nntries/logic-classical/#Sema). The Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University. Retrieved 19 July 2023.", - "page_start": 34, - "page_end": 34, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Top row: Aristotle, who established the canon of western philosophy;[108] and Avicenna, who replaced\nAristotelian logic in Islamic discourse.[180] Bottom row: William of Ockham, a major figure of medieval\nscholarly thought;[181] and Gottlob Frege, one of the founders of modern symbolic logic.[182]\nIbn Sina (Avicenna) was the founder of Avicennian logic, which replaced Aristotelian logic as the\ndominant system of logic in the Islamic world.[189] It influenced Western medieval writers such as\nAlbertus Magnus and William of Ockham.[190] Ibn Sina wrote on the hypothetical syllogism[191] and on\nthe propositional calculus.[192] He developed an original \"temporally modalized\" syllogistic theory,\ninvolving temporal logic and modal logic.[193] He also made use of inductive logic, such as his methods\nof agreement, difference, and concomitant variation, which are critical to the scientific method.[191] Fakhr\nal-Din al-Razi was another influential Muslim logician. He criticized Aristotelian syllogistics and\nformulated an early system of inductive logic, foreshadowing the system of inductive logic developed by\nJohn Stuart Mill.[194]\nDuring the Middle Ages, many translations and interpretations of Aristotelian logic were made. The\nworks of Boethius were particularly influential. Besides translating Aristotle's work into Latin, he also\nproduced textbooks on logic.[195] Later, the works of Islamic philosophers such as Ibn Sina and Ibn\nRushd (Averroes) were drawn on. This expanded the range of ancient works available to medieval\nChristian scholars since more Greek work was available to Muslim scholars that had been preserved in\nLatin commentaries. In 1323, William of Ockham's influential Summa Logicae was released. It is a\ncomprehensive treatise on logic that discusses many basic concepts of logic and provides a systematic\nexposition of types of propositions and their truth conditions.[196]", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Marenbon, John (2021). \"Anicius Manlius Severinus Boethius\" (https://plato.stanford.edu/ent\nries/boethius/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University.\nMcKeon, Matthew. \"Logical Consequence\" (https://iep.utm.edu/logcon/). Internet\nEncyclopedia of Philosophy. Archived (https://web.archive.org/web/20211112071437/https://\niep.utm.edu/logcon/) from the original on 12 November 2021. Retrieved 20 November 2021.\nMichaelson, Eliot; Reimer, Marga (2019). \"Reference\" (https://plato.stanford.edu/entries/refe\nrence/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab, Stanford\nUniversity. 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Archived (https://web.archive.org/web/20211013145532/https://www.britannica.c\nom/topic/thought) from the original on 13 October 2021. Retrieved 14 October 2021.\nStolyar, Abram Aronovich (1 January 1984). Introduction to Elementary Mathematical Logic.\nCourier Corporation. ISBN 978-0-486-64561-2.\nStone, Mark A. (2012). \"Denying the Antecedent: Its Effective Use in Argumentation\" (https://\nphilpapers.org/rec/STODTA). Informal Logic. 32 (3): 327–356. doi:10.22329/il.v32i3.3681 (ht\ntps://doi.org/10.22329%2Fil.v32i3.3681). Archived (https://web.archive.org/web/2022022812\n3240/https://philpapers.org/rec/STODTA) from the original on 28 February 2022. Retrieved\n8 January 2022.\nStump, David J. \"Fallacy, Logical\" (https://www.encyclopedia.com/history/dictionaries-thesau\nruses-pictures-and-press-releases/fallacy-logical). encyclopedia.com. Archived (https://web.\narchive.org/web/20210215112403/https://www.encyclopedia.com/history/dictionaries-thesau\nruses-pictures-and-press-releases/fallacy-logical) from the original on 15 February 2021.\nRetrieved 20 March 2021.\nTalbott, William (2016). \"Bayesian Epistemology\" (https://plato.stanford.edu/entries/epistemo\nlogy-bayesian/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University. Archived (https://web.archive.org/web/20210401034856/https://plato.sta\nnford.edu/entries/epistemology-bayesian/) from the original on 1 April 2021. Retrieved\n6 March 2021.\nTarski, Alfred (1994). Introduction to Logic and to the Methodology of the Deductive\nSciences. Oxford University Press. p. 40. ISBN 978-0-19-802139-1.\nTondl, L. (2012). Problems of Semantics: A Contribution to the Analysis of the Language\nScience. Springer Science & Business Media. p. 111. ISBN 978-94-009-8364-9.\nVelleman, Daniel J. (2006). How to Prove It: A Structured Approach. Cambridge University\nPress. p. 8, 103. ISBN 978-0-521-67599-4.\nVickers, John M. (2022). \"Inductive Reasoning\" (https://www.oxfordbibliographies.com/displ\nay/document/obo-9780195396577/obo-9780195396577-0171.xml). Oxford Bibliographies.\nOxford University Press. Retrieved 18 January 2023.", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is considered a deductively valid argument regarding logic ?", - "target_page": 6, - "target_passage": "A deductively valid argument is one whose premises guarantee the truth of its conclusion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Argument terminology used in logic\nargument is made up of a chain of simple arguments. This means that the conclusion of one argument acts\nas a premise of later arguments. For a complex argument to be successful, each link of the chain has to be\nsuccessful.[43]\nArguments and inferences are either\ncorrect or incorrect. If they are correct\nthen their premises support their\nconclusion. In the incorrect case, this\nsupport is missing. It can take\ndifferent forms corresponding to the\ndifferent types of reasoning.[62] The\nstrongest form of support corresponds\nto deductive reasoning. But even\narguments that are not deductively\nvalid may still be good arguments\nbecause their premises offer non-\ndeductive support to their conclusions.\nFor such cases, the term ampliative or\ninductive reasoning is used.[63]\nDeductive arguments are associated\nwith formal logic in contrast to the\nrelation between ampliative arguments and informal logic.[64]\nA deductively valid argument is one whose premises guarantee the truth of its conclusion.[11] For\ninstance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are\nfrogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the\nconclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3)\ntherefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises.[65]\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1)\nthey are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a\npriori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that\nthey hold by logical necessity for the given propositions, independent of any other circumstances.[66]\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of\ninference.[67] Rules of inference specify the form of the premises and the conclusion: how they have to be\nstructured for the inference to be valid. Arguments that do not follow any rule of inference are\ndeductively invalid.[68] The modus ponens is a prominent rule of inference. It has the form \"p; if p, then\nq; therefore q\".[69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one\ncan use modus ponens to deduce that the streets are wet ().[70]\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is\nimpossible for the premises to be true and the conclusion to be false.[71] Because of this feature, it is often\nasserted that deductive inferences are uninformative since the conclusion cannot arrive at new\ninformation not already present in the premises.[72] But this point is not always accepted since it would\nmean, for example, that most of mathematics is uninformative. A different characterization distinguishes\nDeductive", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "20. Hintikka & Sandu 2006, pp. 22–3; Magnus 2005, pp. 8–9, 1.4 Deductive validity; Johnson\n1999, p. 267.\n21. Haack 1978, pp. 1–2, 4, Philosophy of logics; Hintikka & Sandu 2006, pp. 16–17; Jacquette\n2006, Introduction: Philosophy of logic today, pp. 1–12.\n22. Haack 1978, pp. 1–2, 4, Philosophy of logics; Jacquette 2006, pp. 1–12, Introduction:\nPhilosophy of logic today.\n23. Haack 1978, pp. 5–7, 9, Philosophy of logics; Hintikka & Sandu 2006, pp. 31–2; Haack\n1996, pp. 229–30.\n24. Haack 1978, pp. 1–10, Philosophy of logics; Groarke 2021, lead section; 1.1 Formal and\nInformal Logic.\n25. Johnson 2014, pp. 228–9.\n26. Groarke 2021, lead section; 1. History; Audi 1999a, Informal logic; Johnson 1999, pp. 265–\n274.\n27. Craig 1996, Formal and informal logic; Johnson 1999, p. 267.\n28. Blair & Johnson 2000, pp. 93–97; Craig 1996, Formal and informal logic.\n29. Johnson 1999, pp. 265–270; van Eemeren et al., pp. 1–45, Informal Logic.\n30. Groarke 2021, 1.1 Formal and Informal Logic; Audi 1999a, Informal logic; Honderich 2005,\nlogic, informal.\n31. Blair & Johnson 2000, pp. 93–107; Groarke 2021, lead section; 1.1 Formal and Informal\nLogic; van Eemeren et al., p. 169.\n32. Oaksford & Chater 2007, p. 47.\n33. Craig 1996, Formal and informal logic; Walton 1987, pp. 2–3, 6–8, 1. A new model of\nargument; Engel 1982, pp. 59–92, 2. The medium of language.\n34. Blair & Johnson 1987, pp. 147–51.\n35. Falikowski & Mills 2022, p. 98; Weddle 2011, pp. 383–8, 36. Informal logic and the eductive-\ninductive distinction; Blair 2011, p. 47.\n36. Vickers 2022; Nunes 2011, pp. 2066–9, Logical Reasoning and Learning.\n37. Johnson 2014, p. 181; Johnson 1999, p. 267; Blair & Johnson 1987, pp. 147–51.\n38. Vleet 2010, pp. ix–x, Introduction; Dowden; Stump.\n39. Maltby, Day & Macaskill 2007, p. 564; Dowden.\n40. Craig 1996, Formal and informal logic; Johnson 1999, pp. 265–270.\n41. Audi 1999b, Philosophy of logic; Honderich 2005, philosophical logic.\n42. Haack 1974, p. 51.\n43. Audi 1999b, Philosophy of logic.\n44. Falguera, Martínez-Vidal & Rosen 2021; Tondl 2012, p. 111.\n45. Olkowski & Pirovolakis 2019, pp. 65–66 (https://books.google.com/books?id=FhaGDwAAQ\nBAJ&pg=PT65).\n46. Audi 1999b, Philosophy of logic; Pietroski 2021.\n47. Audi 1999b, Philosophy of logic; Kusch 2020; Rush 2014, pp. 1–10, 189–190.\n48. King 2019; Pickel 2020, pp. 2991–3006.\n49. Honderich 2005, philosophical logic.\n50. Pickel 2020, pp. 2991–3006.\n51. Honderich 2005, philosophical logic; Craig 1996, Philosophy of logic; Michaelson & Reimer\n2019.\n52. Michaelson & Reimer 2019.\n53. Hintikka 2019, §Nature and varieties of logic; MacFarlane 2017.\n54. Gómez-Torrente 2019; MacFarlane 2017; Honderich 2005, philosophical logic.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia1.pdf" - }, - { - "text": "incoming information.[154] Correct reasoning and the arguments it is based on follow the laws of\nprobability, for example, the principle of conditionalization. Bad or irrational reasoning, on the other\nhand, violates these laws.[155]\nLogic is studied in various fields. In many cases, this is done by applying its formal method to specific\ntopics outside its scope, like to ethics or computer science.[156] In other cases, logic itself is made the\nsubject of research in another discipline. This can happen in diverse ways. For instance, it can involve\ninvestigating the philosophical assumptions linked to the basic concepts used by logicians. Other ways\ninclude interpreting and analyzing logic through mathematical structures as well as studying and\ncomparing abstract properties of formal logical systems.[157]\nPhilosophy of logic is the philosophical discipline studying the scope and nature of logic.[59] It examines\nmany presuppositions implicit in logic, like how to define its basic concepts or the metaphysical\nassumptions associated with them.[158] It is also concerned with how to classify logical systems and\nconsiders the ontological commitments they incur.[159] Philosophical logic is one of the areas within the\nphilosophy of logic. It studies the application of logical methods to philosophical problems in fields like\nmetaphysics, ethics, and epistemology.[160] This application usually happens in the form of extended or\ndeviant logical systems.[161]\nMetalogic is the field of inquiry studying the properties of formal logical systems. For example, when a\nnew formal system is developed, metalogicians may study it to determine which formulas can be proven\nin it. They may also study whether an algorithm could be developed to find a proof for each formula and\nwhether every provable formula in it is a tautology. Finally, they may compare it to other logical systems\nto understand its distinctive features. A key issue in metalogic concerns the relation between syntax and\nsemantics. The syntactic rules of a formal system determine how to deduce conclusions from premises,\ni.e. how to formulate proofs. The semantics of a formal system governs which sentences are true and\nwhich ones are false. This determines the validity of arguments since, for valid arguments, it is\nimpossible for the premises to be true and the conclusion to be false. The relation between syntax and\nsemantics concerns issues like whether every valid argument is provable and whether every provable\nargument is valid. Metalogicians also study whether logical systems are complete, sound, and consistent.\nThey are interested in whether the systems are decidable and what expressive power they have.\nMetalogicians usually rely heavily on abstract mathematical reasoning when examining and formulating\nmetalogical proofs. This way, they aim to arrive at precise and general conclusions on these topics.[162]\nThe term \"mathematical logic\" is sometimes used as a synonym of \"formal logic\". But in a more\nrestricted sense, it refers to the study of logic within mathematics. Major subareas include model theory,\nproof theory, set theory, and computability theory.[164] Research in mathematical logic commonly\naddresses the mathematical properties of formal systems of logic. However, it can also include attempts\nAreas of research\nPhilosophy of logic and philosophical logic\nMetalogic\nMathematical logic", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid\nthe principle of explosion: for them, it is not the case that anything follows from a contradiction.[139]\nThey are often motivated by dialetheism, the view that contradictions are real or that reality itself is\ncontradictory. Graham Priest is an influential contemporary proponent of this position and similar views\nhave been ascribed to Georg Wilhelm Friedrich Hegel.[140]\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like\ninvestigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some\nframeworks of informal logic have also been presented that try to provide a systematic characterization of\nthe correctness of arguments.[141]\nThe pragmatic or dialogical approach to informal logic sees arguments as speech acts and not merely as\na set of premises together with a conclusion.[142] As speech acts, they occur in a certain context, like a\ndialogue, which affects the standards of right and wrong arguments.[143] A prominent version by Douglas\nN. Walton understands a dialogue as a game between two players. The initial position of each player is\ncharacterized by the propositions to which they are committed and the conclusion they intend to prove.\nDialogues are games of persuasion: each player has the goal of convincing the opponent of their own\nconclusion.[144] This is achieved by making arguments: arguments are the moves of the game.[145] They\naffect to which propositions the players are committed. A winning move is a successful argument that\ntakes the opponent's commitments as premises and shows how one's own conclusion follows from them.\nThis is usually not possible straight away. For this reason, it is normally necessary to formulate a\nsequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's\nintended conclusion. Besides these positive arguments leading one closer to victory, there are also\nnegative arguments preventing the opponent's victory by denying their conclusion.[144] Whether an\nargument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other\nhand, are violations of the standards of proper argumentative rules.[146] These standards also depend on\nthe type of dialogue. For example, the standards governing the scientific discourse differ from the\nstandards in business negotiations.[147]\nThe epistemic approach to informal logic, on the other hand, focuses on the epistemic role of\narguments.[148] It is based on the idea that arguments aim to increase our knowledge. They achieve this\nby linking justified beliefs to beliefs that are not yet justified.[149] Correct arguments succeed at\nexpanding knowledge while fallacies are epistemic failures: they do not justify the belief in their\nconclusion.[150] For example, the fallacy of begging the question is a fallacy because it fails to provide\nindependent justification for its conclusion, even though it is deductively valid.[151] In this sense, logical\nnormativity consists in epistemic success or rationality.[149] The Bayesian approach is one example of an\nepistemic approach.[152] Central to Bayesianism is not just whether the agent believes something but the\ndegree to which they believe it, the so-called credence. Degrees of belief are seen as subjective\nprobabilities in the believed proposition, i.e. how certain the agent is that the proposition is true.[153] On\nthis view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new\nInformal", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions\nbehind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant\nlogics, on the other hand, reject certain classical intuitions and provide alternative explanations of the\nbasic laws of logic.\nThe word \"logic\" originates from the Greek word logos, which has a variety of translations, such as\nreason, discourse, or language.[4] Logic is traditionally defined as the study of the laws of thought or\ncorrect reasoning,[5] and is usually understood in terms of inferences or arguments. Reasoning is the\nactivity of drawing inferences. Arguments are the outward expression of inferences.[6] An argument is a\nset of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e.\nwhether their premises support the conclusion.[7] These general characterizations apply to logic in the\nwidest sense, i.e., to both formal and informal logic since they are both concerned with assessing the\ncorrectness of arguments.[8] Formal logic is the traditionally dominant field, and some logicians restrict\nlogic to formal logic.[9]\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal\napproach to study reasoning: it replaces concrete expressions with abstract symbols to examine the\nlogical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is\nonly concerned with the abstract structure of arguments and not with their concrete content.[10]\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures\nthe truth of their conclusion. This means that it is impossible for the premises to be true and the\nconclusion to be false.[11] For valid arguments, the logical structure of the premises and the conclusion\nfollows a pattern called a rule of inference.[12] For example, modus ponens is a rule of inference\naccording to which all arguments of the form \"(1) p, (2) if p then q, (3) therefore q\" are valid, independent\nof what the terms p and q stand for.[13] In this sense, formal logic can be defined as the science of valid\ninferences. An alternative definition sees logic as the study of logical truths.[14] A proposition is logically\ntrue if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible\nworlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is\nnot\".[15] These two definitions of formal logic are not identical, but they are closely related. For example,\nif the inference from p to q is deductively valid then the claim \"if p then q\" is a logical truth.[16]\nFormal logic uses formal languages to express and analyze arguments.[17] They normally have a very\nlimited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to\nconstruct sentences, so-called well-formed formulas.[18] This simplicity and exactness of formal logic\nmake it capable of formulating precise rules of inference. They determine whether a given argument is\nvalid.[19] Because of the reliance on formal language, natural language arguments cannot be studied\ndirectly. Instead, they need to be translated into formal language before their validity can be assessed.[20]\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, a logic is\na logical formal system. Distinct logics differ from each other concerning the rules of inference they\naccept as valid and the formal languages used to express them.[21] Starting in the late 19th century, many\nDefinition\nFormal logic", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Logic studies valid forms of\ninference like modus ponens.\nLogic\nLogic is the study of correct reasoning. It includes both formal and\ninformal logic. Formal logic is the study of deductively valid\ninferences or logical truths. It examines how conclusions follow\nfrom premises based on the structure of arguments alone,\nindependent of their topic and content. Informal logic is associated\nwith informal fallacies, critical thinking, and argumentation\ntheory. Informal logic examines arguments expressed in natural\nlanguage whereas formal logic uses formal language. When used\nas a countable noun, the term \"a logic\" refers to a specific logical\nformal system that articulates a proof system. Logic plays a\ncentral role in many fields, such as philosophy, mathematics,\ncomputer science, and linguistics.\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the\nargument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the\nconclusion \"I don't have to work\".[1] Premises and conclusions express propositions or claims that can be\ntrue or false. An important feature of propositions is their internal structure. For example, complex\npropositions are made up of simpler propositions linked by logical vocabulary like (and) or \n(if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a\nproposition usually depends on the meanings of all of its parts. However, this is not the case for logically\ntrue propositions. They are true only because of their logical structure independent of the specific\nmeanings of the individual parts.\nArguments can be either correct or incorrect. An argument is correct if its premises support its\nconclusion. Deductive arguments have the strongest form of support: if their premises are true then their\nconclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new\ninformation not found in the premises. Many arguments in everyday discourse and the sciences are\nampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are\nstatistical generalization—such as inferring that all ravens are black, based on many individual\nobservations of black ravens.[2] Abductive arguments are inferences to the best explanation—for\nexample, when a doctor concludes that a patient has a certain disease, as the best explanation for the\nsymptoms that they are observed to suffer.[3] Arguments that fall short of the standards of correct\nreasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the\ncorrectness of arguments.\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya,\nand Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the\nmain system of logic in the Western world until it was replaced by modern formal logic, which has its\nroots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly\nused system is classical logic. It consists of propositional logic and first-order logic. Propositional logic\nonly considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Rautenberg, Wolfgang (1 July 2010). A Concise Introduction to Mathematical Logic.\nSpringer. p. 15. ISBN 978-1-4419-1221-3.\nRendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri\nes/logic-epistemic/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University. Retrieved 11 March 2023.\nRestall, Greg; Standefer, Shawn (2023). Logical Methods. MIT Press. p. 91. ISBN 978-0-\n262-54484-9.\nRichardson, Alan W. (1998). Carnap's Construction of the World: The Aufbau and the\nEmergence of Logical Empiricism. Cambridge University Press. p. 15. ISBN 978-0-521-\n43008-1.\nRini, Adriane (13 December 2010). Aristotle's Modal Proofs: Prior Analytics A8-22 in\nPredicate Logic. Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5.\nRitola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d\noi.org/10.22329%2Fil.v28i4.2856). Informal Logic. 28 (4): 335. doi:10.22329/il.v28i4.2856 (h\nttps://doi.org/10.22329%2Fil.v28i4.2856).\nRocci, Andrea (8 March 2017). Modality in Argumentation: A Semantic Investigation of the\nRole of Modalities in the Structure of Arguments with an Application to Italian Modal\nExpressions. Springer. p. 26. ISBN 978-94-024-1063-1.\nRošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\". Philosophy\nCompass. 10 (5): 301–309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222\n6).\nRunco, Mark A.; Pritzker, Steven R. (1999). Encyclopedia of Creativity. Academic Press.\np. 155. ISBN 978-0-12-227075-8.\nRush, Penelope (2014). \"Introduction\". The Metaphysics of Logic (https://philpapers.org/rec/\nRUSTMO-4). Cambridge University Press. pp. 1–10. ISBN 978-1-107-03964-3. Archived (htt\nps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the\noriginal on 7 December 2021. Retrieved 8 January 2022.\nSadegh-Zadeh, Kazem (2015). Handbook of Analytic Philosophy of Medicine. Springer.\np. 983. ISBN 978-94-017-9579-1.\nSagüillo, José M. (2014). \"Hintikka on Information and Deduction\". Teorema: Revista\nInternacional de Filosofía. 33 (2): 75–88. ISSN 0210-1602 (https://search.worldcat.org/issn/\n0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609).\nSarukkai, Sundar; Chakraborty, Mihir Kumar (2022). Handbook of Logical Thought in India.\nSpringer Nature. pp. 117–8. ISBN 978-81-322-2577-5.\nSchagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic). Encyclopædia\nBritannica. Retrieved 23 September 2022.\nSchechter, Joshua. \"Epistemology of Logic – Bibliography\" (https://philpapers.org/browse/ep\nistemology-of-logic). PhilPapers. Retrieved 11 September 2022.\nSchlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001). The Structure of\nArguments. John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3.\nSchreiner, Wolfgang (2021). Thinking Programs: Logical Modeling and Reasoning About\nLanguages, Data, Computations, and Executions. Springer Nature. p. 22. ISBN 978-3-030-\n80507-4.\nScott, John; Marshall, Gordon (2009). \"analytic induction\". A Dictionary of Sociology (https://\nwww.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford\nUniversity Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010\n8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661)\nfrom the original on 8 January 2022. Retrieved 8 January 2022.\nShapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e\nntries/logic-classical/#Sema). The Stanford Encyclopedia of Philosophy. Metaphysics\nResearch Lab, Stanford University. Retrieved 19 July 2023.", - "page_start": 34, - "page_end": 34, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Shermer, Michael (25 October 2022). Conspiracy: Why the Rational Believe the Irrational.\nJHU Press. ISBN 978-1-4214-4445-1.\nSider, Theodore (2010). Logic for Philosophy. Oxford University Press. ISBN 978-0-19-\n957558-9.\nSiegel, Harvey; Biro, John (1997). \"Epistemic Normativity, Argumentation, and Fallacies\" (htt\nps://philpapers.org/rec/SIEENA). Argumentation. 11 (3): 277–292.\ndoi:10.1023/A:1007799325361 (https://doi.org/10.1023%2FA%3A1007799325361).\nS2CID 126269789 (https://api.semanticscholar.org/CorpusID:126269789). 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Routledge. p. 343.\nISBN 978-1-351-21981-5.\nSternberg, Robert J. \"Thought\" (https://www.britannica.com/topic/thought). Encyclopædia\nBritannica. Archived (https://web.archive.org/web/20211013145532/https://www.britannica.c\nom/topic/thought) from the original on 13 October 2021. Retrieved 14 October 2021.\nStolyar, Abram Aronovich (1 January 1984). Introduction to Elementary Mathematical Logic.\nCourier Corporation. ISBN 978-0-486-64561-2.\nStone, Mark A. (2012). \"Denying the Antecedent: Its Effective Use in Argumentation\" (https://\nphilpapers.org/rec/STODTA). Informal Logic. 32 (3): 327–356. doi:10.22329/il.v32i3.3681 (ht\ntps://doi.org/10.22329%2Fil.v32i3.3681). Archived (https://web.archive.org/web/2022022812\n3240/https://philpapers.org/rec/STODTA) from the original on 28 February 2022. Retrieved\n8 January 2022.\nStump, David J. \"Fallacy, Logical\" (https://www.encyclopedia.com/history/dictionaries-thesau\nruses-pictures-and-press-releases/fallacy-logical). encyclopedia.com. Archived (https://web.\narchive.org/web/20210215112403/https://www.encyclopedia.com/history/dictionaries-thesau\nruses-pictures-and-press-releases/fallacy-logical) from the original on 15 February 2021.\nRetrieved 20 March 2021.\nTalbott, William (2016). \"Bayesian Epistemology\" (https://plato.stanford.edu/entries/epistemo\nlogy-bayesian/). The Stanford Encyclopedia of Philosophy. Metaphysics Research Lab,\nStanford University. Archived (https://web.archive.org/web/20210401034856/https://plato.sta\nnford.edu/entries/epistemology-bayesian/) from the original on 1 April 2021. Retrieved\n6 March 2021.\nTarski, Alfred (1994). Introduction to Logic and to the Methodology of the Deductive\nSciences. Oxford University Press. p. 40. ISBN 978-0-19-802139-1.\nTondl, L. (2012). Problems of Semantics: A Contribution to the Analysis of the Language\nScience. Springer Science & Business Media. p. 111. ISBN 978-94-009-8364-9.\nVelleman, Daniel J. (2006). How to Prove It: A Structured Approach. Cambridge University\nPress. p. 8, 103. ISBN 978-0-521-67599-4.\nVickers, John M. (2022). \"Inductive Reasoning\" (https://www.oxfordbibliographies.com/displ\nay/document/obo-9780195396577/obo-9780195396577-0171.xml). Oxford Bibliographies.\nOxford University Press. Retrieved 18 January 2023.", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia1.pdf" - }, - { - "text": "130. Rendsvig & Symons 2021.\n131. Audi 1999b, Philosophy of logic; Väänänen 2021; Ketland 2005, Second Order Logic.\n132. Audi 1999b, Philosophy of logic; Väänänen 2021; Daintith & Wright 2008, Predicate calculus\n(https://www.encyclopedia.com/computing/dictionaries-thesauruses-pictures-and-press-rele\nases/predicate-calculus).\n133. Audi 1999b, Philosophy of logic; Ketland 2005, Second Order Logic.\n134. Haack 1996, 1. 'Alternative' in 'Alternative Logic'; Wolf 1978, pp. 327–340.\n135. Moschovakis 2022; Borchert 2006c, Logic, Non-Classical.\n136. Borchert 2006c, Logic, Non-Classical; Bridges et al. 2023, pp. 73–74; Friend 2014, p. 101.\n137. Sider 2010, Chapter 3.4; Gamut 1991, 5.5; Zegarelli 2010, p. 30.\n138. Hájek 2006.\n139. Borchert 2006c, Logic, Non-Classical; Priest, Tanaka & Weber 2018; Weber.\n140. Priest, Tanaka & Weber 2018; Weber; Haack 1996, Introduction.\n141. Hansen 2020; Korb 2004, pp. 41–42, 48; Ritola 2008, p. 335.\n142. Hansen 2020; Korb 2004, pp. 43–44; Ritola 2008, p. 335.\n143. Walton 1987, pp. 2–3, 1. A new model of argument; Ritola 2008, p. 335.\n144. Walton 1987, pp. 3–4, 18–22, 1. A new model of argument.\n145. Walton 1987, pp. 3–4, 11, 18, 1. A new model of argument; Ritola 2008, p. 335.\n146. Hansen 2020; Walton 1987, pp. 3–4, 18–22, 3. Logic of propositions.\n147. Ritola 2008, p. 335.\n148. Hansen 2020; Korb 2004, pp. 43, 54–55.\n149. Siegel & Biro 1997, pp. 277–292.\n150. Hansen 2020; Korb 2004, pp. 41–70.\n151. Mackie 1967; Siegel & Biro 1997, pp. 277–292.\n152. Hansen 2020; Moore & Cromby 2016, p. 60.\n153. Olsson 2018, pp. 431–442, Bayesian Epistemology; Hájek & Lin 2017, pp. 207–232;\nHartmann & Sprenger 2010, pp. 609–620, Bayesian Epistemology.\n154. Shermer 2022, p. 136.\n155. Korb 2004, pp. 41–42, 44–46; Hájek & Lin 2017, pp. 207–232; Talbott 2016.\n156. Hintikka 2019, §Logic and other disciplines; Haack 1978, pp. 1–10, Philosophy of logics.\n157. Hintikka 2019, lead section, §Features and problems of logic; Gödel 1984, pp. 447–469,\nRussell's mathematical logic; Monk 1976, pp. 1–9, Introduction.\n158. Jacquette 2006, pp. 1–12, Introduction: Philosophy of logic today.\n159. Hintikka 2019, §Problems of ontology.\n160. Jacquette 2006, pp. 1–12, Introduction: Philosophy of logic today; Burgess 2009, 1.\nClassical logic.\n161. Goble 2001, Introduction; Hintikka & Sandu 2006, pp. 31–32.\n162. Gensler 2006, pp. xliii–xliv; Sider 2010, pp. 4–6; Schagrin.\n163. Irvine 2022.\n164. Li 2010, p. ix; Rautenberg 2010, p. 15; Quine 1981, p. 1; Stolyar 1984, p. 2.\n165. Stolyar 1984, pp. 3–6.\n166. Hintikka & Spade, Gödel's incompleteness theorems (https://www.britannica.com/topic/histo\nry-of-logic/Godels-incompleteness-theorems); Linsky 2011, p. 4; Richardson 1998, p. 15.\n167. Bagaria 2021; Cunningham.\n168. Borchert 2006a, Computability Theory; Leary & Kristiansen 2015, p. 195.\n169. Paulson 2018, pp. 1–14; Castaño 2018, p. 2; Wile, Goss & Roesner 2005, p. 447.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia1.pdf" - }, - { - "text": "between surface and depth information. The surface information of a sentence is the information it\npresents explicitly. Depth information is the totality of the information contained in the sentence, both\nexplicitly and implicitly. According to this view, deductive inferences are uninformative on the depth\nlevel. But they can be highly informative on the surface level by making implicit information explicit.\nThis happens, for example, in mathematical proofs.[73]\nAmpliative arguments are arguments whose conclusions contain additional information not found in their\npremises. In this regard, they are more interesting since they contain information on the depth level and\nthe thinker may learn something genuinely new. But this feature comes with a certain cost: the premises\nsupport the conclusion in the sense that they make its truth more likely but they do not ensure its truth.[74]\nThis means that the conclusion of an ampliative argument may be false even though all its premises are\ntrue. This characteristic is closely related to non-monotonicity and defeasibility: it may be necessary to\nretract an earlier conclusion upon receiving new information or in light of new inferences drawn.[75]\nAmpliative reasoning plays a central role in many arguments found in everyday discourse and the\nsciences. Ampliative arguments are not automatically incorrect. Instead, they just follow different\nstandards of correctness. The support they provide for their conclusion usually comes in degrees. This\nmeans that strong ampliative arguments make their conclusion very likely while weak ones are less\ncertain. As a consequence, the line between correct and incorrect arguments is blurry in some cases, such\nas when the premises offer weak but non-negligible support. This contrasts with deductive arguments,\nwhich are either valid or invalid with nothing in-between.[76]\nThe terminology used to categorize ampliative arguments is inconsistent. Some authors, like James\nHawthorne, use the term \"induction\" to cover all forms of non-deductive arguments.[77] But in a more\nnarrow sense, induction is only one type of ampliative argument alongside abductive arguments.[78]\nSome philosophers, like Leo Groarke, also allow conductive arguments[b] as another type.[79] In this\nnarrow sense, induction is often defined as a form of statistical generalization.[80] In this case, the\npremises of an inductive argument are many individual observations that all show a certain pattern. The\nconclusion then is a general law that this pattern always obtains.[81] In this sense, one may infer that \"all\nelephants are gray\" based on one's past observations of the color of elephants.[78] A closely related form\nof inductive inference has as its conclusion not a general law but one more specific instance, as when it is\ninferred that an elephant one has not seen yet is also gray.[81] Some theorists, like Igor Douven, stipulate\nthat inductive inferences rest only on statistical considerations. This way, they can be distinguished from\nabductive inference.[78]\nAbductive inference may or may not take statistical observations into consideration. In either case, the\npremises offer support for the conclusion because the conclusion is the best explanation of why the\npremises are true.[82] In this sense, abduction is also called the inference to the best explanation.[83] For\nexample, given the premise that there is a plate with breadcrumbs in the kitchen in the early morning, one\nmay infer the conclusion that one's house-mate had a midnight snack and was too tired to clean the table.\nThis conclusion is justified because it is the best explanation of the current state of the kitchen.[78] For\nabduction, it is not sufficient that the conclusion explains the premises. For example, the conclusion that a\nAmpliative", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "What was the mean correctness score for LLM-generated handoff notes ?", - "target_page": 7, - "target_passage": "Correctness 4.52", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The\nEM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 3/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3\nboard certified emergency medicine physician leaders with experience in formal quality and patient\nsafety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and\nannotation. As the task of EM-handoff note generation is not dependent on racial characteristics of\nthe patients, we removed all mentions of race during the annotation stage as a means to avoid race\nbias; therefore, the model was trained to generate text without race-based assumptions. Although\nresource intensive, a small and carefully curated dataset of at least 1000 examples has been shown\nto be sufficient to produce remarkable results for the language model chosen.42 Given the size of\nour dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data\nplaced in the training set and eschewed a validation set to lower the variance of the models. We used\nk-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter\noptimization of the LLMs.\nModels\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred\nto as LLM 1)43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter\nreferred to as LLM 2) 7B44 for abstractive summarization. Further information about the models and\ntechnology specifications is provided in detail in eAppendix 1 inSupplement 1.\nData Processing\nAs LLM 2 only has a context size of 4096 tokens,44 we used 2 steps to process the EM notes to both\nshorten the input size while maintaining content salience. First, we adopted a number of heuristic\nstrategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2)\ntime of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1–based saliency\nmodel to infer EM note sentences based on likelihood of content contribution to the EM-to-IP\nhandoff notes.\nModel Training and Inference\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We\nused different prompts for the separate types of summarization: HPI and EM handoff. Additional\ninformation about the model training and inference process is provided in eAppendix 1 in\nSupplement 1.\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of\nheuristic rules, our summarization system produced ED handoff notes with various sections for\ndownstream clinical tasks. The inference process is shown in theFigure.\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Recorda\nType of data Description\nDescriptive Date of birth, medical record number, encounter number, and total time of stay in ED\nEncounter ED arrival date and time, IP admit date and time\nLaboratory tests\n(all results available)\nExamples: hemoglobin, hematocrit, white blood cell count, neutrophil count, platelets, sodium,\npotassium, chloride, bicarbonate, creatinine, blood urea nitrogen, troponin, D dimer, lactate,\nurinalysis, ketone, blood, nitrite, leucocytes, and red blood cells\nLaboratory tests\n(only if abnormal)\nExamples: β-human chorionic gonadotropin hormone, all serum drug levels (alcohol level,\nsalicylate level, Tylenol level), magnesium, lipase, and erythrocyte sedimentation rate\nNotes (in order of\nhierarchy)\nEM clinician notes, consultation notes, EM progress notes, and EM procedure notes\nVitals Height, weight, temperature, heart rate, blood pressure, and peripheral capillary\noxygen saturation\nOrders Medications, consults, and radiology results\nAbbreviations: EM, emergency medicine; IP, inpatient.\na Automated EM handoff notes are generated from\nthe curation of the data through both rule-based and\nlarge language model–summarization approaches.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written\nnote and (2) the LLM-generated note.\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the\ncompleteness, curation, readability, and correctness of the summary as shown in eTable 1 in\nSupplement 1. Physicians rated the usefulness of the summary, defined as the capability of the\nsummary being incorporated into a workflow where a physician would make edits before final\ncompletion, mitigating potential future self-referential learning loops and the downstream adverse\nconsequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated\nmodel errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no\nidentified patient safety risk for completeness, curation, readability, and the 4 subcategories within\ncorrectness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety\nrisk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5\nindicated that the LLM-generated summary likely demonstrated baseline acceptability for such a\nworkflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the\nLLM-generated summary as defined as the capability of the summary to fully replace a physician-\nwritten note (unmitigated).\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the\nframework and evaluated 10 separate cases from the test dataset that were not included in the\nclinical evaluation results. Additionally, after independently scoring the summaries, they met to\nensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was\ncalculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for\nconsistency with the Pingouin statistical package version 0.5.4 in Python (Python Software\nFoundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity\nof the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0\nrepresents no agreement.52 Data were analyzed from October 2023 to March 2024.\nResults\nAutomated Tasks\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. InTable 2,\nROUGE and BERTScore compare the summaries with the testing set from our annotations, and\nSCALE score compares the summaries with the source notes. From automatic evaluation results, we\nobserved that LLM-generated summaries had better scores than the physician summaries, such that\nROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456,\nsuggesting the LLM-generated summaries were more similar and more detailed than the physician\nsummaries.\nClinical Evaluation Tasks\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are\nshown inTable 3and Table 4. The mean clinical quality scores of the automated summaries are in a\ncomparable range (4-5) to those of the physician summaries. However, theautomated summaries\nwere observed to be of lower quality compared with the physician-written summaries with regards\nto mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written\nSummary type R-1 a R-2a R-La BERT-p BERT-r SCALE\nLLM-generated 0.494 0.322 0.391 0.859 0.876 0.691\nPhysician-written 0.251 0.088 0.154 0.796 0.827 0.456\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation;\nSCALE, source chunking approach for large-scale inconsistency evaluation.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "Original Investigation| Emergency Medicine\nDeveloping and Evaluating Large Language Model–Generated Emergency Medicine\nHandoff Notes\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA;\nThomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\nAbstract\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model\n(LLM) has the potential to reduce physician documentation burden without compromising the safety\nof EM-to-inpatient (IP) handoffs.\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and\nsafety compared with physician-written notes.\nDESIGN, SETTING, AND PARTICIPANTSThis cohort study used EM patient medical records with\nacute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical\nCenter. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated\nEM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented\nunderstudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers\nscore [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE])\nand a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written\nnotes were compared. Data were analyzed from October 2023 to March 2024.\nEXPOSURE LLM-generated EM handoff notes.\nMAIN OUTCOMES AND MEASURESLLM-generated handoff notes were evaluated for (1) lexical\nsimilarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with\nrespect to source notes using SCALE; and (3) readability, completeness, curation, correctness,\nusefulness, and implications for patient safety using a novel framework.\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9\n[18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher\nROUGE (0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456),\nindicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by\n3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD)\nusefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean\n(SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written).\nNone of the LLM-generated summaries were classified as a critical patient safety risk.\nCONCLUSIONS AND RELEVANCEIn this cohort study of 1600 EM patient medical records,\nLLM-generated EM-to-IP handoff notes were determined superior compared with physician-written\nsummaries via conventional automated evaluation methods, but marginally inferior in usefulness\n(continued)\nKey Points\nQuestion Can a large language model\n(LLM) generate emergency medicine\n(EM)-to-inpatient (IP) handoff notes\nthat are useful and safe for EM care?\nFindings In this cohort study of 1600\nEM patient medical records using a\nnovel evaluation framework, the\nLLM-generated EM-to-IP handoff notes\nhad a mean usefulness of 4.04 out of 5\n(compared with 4.36 for\nphysician-written) and a mean patient\nsafety of 4.06 out of 5 (compared with\n4.50 for physician-written) with no\ncritical patient safety risks.\nMeaning These findings suggest the\nvalue of a manual, patient safety–\nfocused clinical evaluation of LLM\nmodels and the potential of\nLLM-generated handoff notes to create\na new standard of care in EM.\n+ Invited Commentary\n+ Supplemental content\nAuthor affiliations and article information are\nlisted at the end of this article.\nOpen Access.This is an open access article distributed under the terms of the CC-BY License.\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 1/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However,while the manual clinical evaluation demonstrated the majority of\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on\naverage, inferior to the clinician-written notes.\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst-\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance\nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk.\nHowever,incompleteness and faulty logic identified in the automated summaries were not always\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to\ncreate significant patient safety risk compared with the physician-written summaries. These critical\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see\neAppendix 1 inSupplement 1). This physician-in-the-loop process has also been identified as critical\nin other recent work implementing LLMs into clinical workflows.29,53\nWhile the automated methods of SCALE and MPNet-based sentence transformers\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation\nprovided the nuanced context of the true factuality of our system on a word by word level. When\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source\nnotes, while physician-written summaries are often composed with additional knowledge that\ncannot be found from the source notes.\nThe divergence of the automated and clinical evaluation results of an LLM intended for\nintegration into a critical clinical workflow is an important finding. First, this observed finding\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to\ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to\nmeasure conventional model output quality categories (such as incorrectness domains and other\nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate\nanticipated patient safety implications for each individual category deficiency.\nLimitations\nThere were several limitations to the study that were primarily driven from constraints of\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location,\nthe data were required to remain on premise at all times and the infrastructure that was provided\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable\ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study\nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at\norganizations that are less open to integrating third-party LLMs.\nWhile the dataset was smaller, we made significant efforts to reduce model variance and", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52\n[0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on\npatient safety, the 3 expert clinicians determined none of the identified model performance issues\nwere anticipated to create a level 1 (life-threatening) safety event (see examples of worst case\nscenarios in eTable 2 inSupplement 1). While the incompleteness and faulty logic identified in the\nautomated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively;\n13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create\na level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the\nphysician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4\nand 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no\npatient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%)\ncompared with the physician-written notes (2.0%), although very few hallucinations.\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness,\nand 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness,\ncuration, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\nDiscussion\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned,\npretrained LLM and rule-based approaches within an end user–developed note template. It is\nimportant to note that (largely due to time constraints within the EM care delivery model) the\nperformance of EM-to-IP handoff notes was not the current standard of care in EM. The study site’s\nunique electronic handoff process enabled a comparison between physician-written and\nLLM-generated handoff notes. Traditional automated evaluations of the model output suggested\nTable 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written\nCriteria\nLLM-generated Physician-written\nMean score (SD)\nLikert rating 1-5, No. (%)a\nMean score (SD)\nLikert rating 1-5, No. (%)a\n1 23 45 1 2345\nCompleteness 4.00 (0.88) 0 12 (8) 31 (20.7) 69 (46) 38 (25.3) 4.16 (0.84) 0 3 (2) 31 (20.7) 48 (32) 68 (45.3)\nCuration 4.24 (0.58) 0 1 (0.7) 13 (8.7) 85 (56.7) 51 (34) 4.76 (0.48) 0 0 6 (4) 39 (26) 105 (70)\nReadability 4.00 (0.64) 0 8 (5.3) 17 (11.3) 87 (58) 38 (25.3) 4.64 (0.49) 0 0 5 (3.3) 38 (25.3) 107 (71.3)\nCorrectness 4.52 (0.64) 0 0 13 (8.7) 39 (26) 98 (65.3) 4.90 (0.39) 0 0 2 (1.3) 12 (8) 136 (90.7)\nUsefulness 4.04 (0.86) 0 12 (8) 30 (20) 59 (39.3) 49 (32.7) 4.36 (0.71) 0 5 (3.3) 13 (8.7) 53 (35.3) 79 (52.7)\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluationresults.\nTable 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written\nCriteria\nLLM-generated Physician-written\nMean (SD)\nLikert score 1-5, No. (%)a\nMean (SD)\nLikert score 1-5, No. (%)a\n1 2 3 45 1 2345\nCompleteness 4.20 (0.93) 0 13 (8.7) 19 (12.7) 58 (38.7) 60 (40) 4.50 (0.65) 0 0 17 (11.3) 43 (28.7) 90 (60)\nCuration 4.82 (0.32) 0 1 (0.7) 3 (2) 21 (14) 125 (83.3) 4.90 (0.31) 0 0 3 (2) 8 (5.3) 139 (92.7)\nReadability 4.74 (0.37) 0 1 (0.7) 6 (4) 23 (15.3) 120 (80) 4.94 (0.14) 0 0 0 10 (6.7) 140 (93.3)\nCorrectness:\nhallucination\n4.96 (0.14) 0 0 0 5 (3.3) 145 (96.7) 5.00 0 0 0 0 150 (100)\nCorrectness:\nknowledge gap\n4.88 (0.48) 0 3 (2) 2 (1.3) 6 (4) 139 (92.7) 4.90 (0.42) 0 1 (0.7) 5 (3.3) 3 (2) 141 (94)\nCorrectness:\nfaulty logic\n4.60 (0.75) 0 11 (7.3) 12 (8) 13 (8.7) 114 (76) 4.94 (0.24) 0 0 2 (1.3) 2 (1.3) 146 (97.3)\nCorrectness: bias 5.00 0 0 0 0 150 (100) 5.00 0 0 0 0 150 (100)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "large language model–summarization approaches.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 4/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "Correctness:\nfaulty logic\n4.60 (0.75) 0 11 (7.3) 12 (8) 13 (8.7) 114 (76) 4.94 (0.24) 0 0 2 (1.3) 2 (1.3) 146 (97.3)\nCorrectness: bias 5.00 0 0 0 0 150 (100) 5.00 0 0 0 0 150 (100)\nOverall safety risk 4.06 (0.86) 0 11 (7.3) 27 (18) 60 (40) 52 (34.7) 4.50 (0.56) 0 1 (0.7) 16 (10.7) 41 (27.3) 92 (61.3)\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or AI summaries in the 150 evaluation results.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 7/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could\nhave on patient safety.38-41\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the\ncorrectness of model generations and customized the summaries in a structured format designed\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies.\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient\nsafety-focused clinical evaluation framework and automated benchmark-driven methods. We used\nthe physician-written EM-to-IP handoff notes as the active control and used the scores from both\nevaluation frameworks for the margin of inferiority of the intervention.\nMethods\nData Collection\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600\nindividual EM patient encounters leading to acute hospital admission were randomly selected from\nvisits occurring between April and September of 2023. We limited our analysis to EM patient\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time.\nEncounters before this date used an earlier version of the EM-handoff note that would have provided\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants),\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of\nObservational Studies in Epidemiology (STROBE) reporting guidelines.\nEM-to-IP Handoff Note Template\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff\nnote structure used at the study site. The generated EM handoff note consists of components\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult\norders, and radiology impressions) and components generated by the trained abstractive\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans,\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the\ntotal time of patient’s stay in the ED.\nData Curation for Automated ED Note Generation\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule-\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail\nin eAppendix 1 inSupplement 1. The rule-based framework was designed by the 3 board certified EM\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "RSW RMF RCLS RLLM\nOrig. Conf. Orig. Conf. Orig. Conf. Orig. Conf.\nLLM pair 2\nMT-Bench 8.5 8 .3 ± 0.0 8.4 8 .3 ± 0.1 8.4 8 .4 ± 0.1 8.4 8 .3 ± 0.1\nMMLU 55 64 ± 1 63 64 ± 0 58 66 ± 1 62 66 ± 0\nGSM8K 46 64 ± 1 51 67 ± 1 49 63 ± 1 38 63 ± 2\nLLM pair 3\nMT-Bench 8.4 8 .3 ± 0.0 8.1 8 .3 ± 0.1 8.3 8 .4 ± 0.1 8.1 8 .2 ± 0.1\nMMLU 51 64 ± 1 57 63 ± 1 52 66 ± 1 59 66 ± 1\nGSM8K 40 64 ± 1 44 67 ± 1 45 63 ± 1 37 64 ± 1\nTable 4: Average benchmark-specific scores of responses to the original and confounded queries with Mistral-7B-Instruct-\nv0.3 (LLM pair 2) or Llama-2-7B-chat-hf (LLM pair 3) as the weak model, in the white-box setting. Results further\nemphasize that the rerouting attack improves quality of responses when there is a significant gap between the weak and\nstrong LLMs.\nSurrogate ˆRSW ˆRMF ˆRCLS ˆRLLM\nTarget RMF RCLS RLLM RSW RCLS RLLM RSW SFM RLLM RSW RMF RCLS\nMT-Bench 99±1 88 ±5 45 ±5 100±0 96 ±2 39 ±3 100±0 79 ±9 51 ±5 100±0 83 ±5 85 ±7\nMMLU 66±5 44 ±11 81 ±3 82±4 56 ±7 74 ±2 64±6 16 ±7 80 ±5 53±4 20 ±5 46 ±11\nGSM8K 99±1 72 ±11 63 ±4 92±2 88 ±3 62 ±4 76±6 60 ±9 65 ±8 60±8 70 ±7 73 ±10\nTable 5: Average upgrade rates for our attack in the black-box setting. This is the average percentage of queries rerouted\nfrom the weak to strong model under the target router due to a confounder gadget generated using the surrogate. The\naverage downgrade rate (i.e., strong-to-weak rerouting) is 1.2% across all routers. Upgrade rates are lower than in the\nwhite-box setting but still high, indicating that the attack transfers.\nabnormal about the query. Intuitively, this reflects the fact that while LLMs are built to be robust to noisy inputs, the\nrouter itself is not.\nIn summary, the attack is highly successful at rerouting queries from the weak to the strong model. Overall, quality\nimproves if there is a significant gap between the strong and weak LLMs used by the router. Either way, confounding has\nno negative impact on the quality of responses.\nBlack-box attack results. Next, we consider the black-box attack, where the attacker does not know the algorithm\nused by the target router. We assume that the attacker has access to another, surrogate router that it can use to generate\nconfounder gadgets. In effect, we evaluate transferability of the attack from a known, white-box router to unknown,\nblack-box routers.\nTable 5 shows the results for all combinations of surrogate (denoted by ˆR) and target routers. For conciseness we focus\non the upgrade and downgrade rates for the remainder of this work. Upgrade rates are lower than in the white-box setting\nbut still high, indicating that the attack transfers. The LLM-based routing algorithm RLLM has the lowest rates, perhaps\nbecause it is the most complex of the four. The downgrade rate is 0 in most cases and is 1.2% on average.\nTable 6 shows that the black-box attack does not increase the average perplexity of responses as generated by LLM\npair 1. Table 7 shows that the attack does not decrease benchmark-specific scores, other than some small decrease in\nsome cases for the MMLU benchmark. For GSM8K, similar to the behaviour observed in the white-box setting, we see\nan improvement with our attack due to the performance difference between the strong and weak models for this task. This\nindicates that confounding affects only the routing, not the quality of responses. When the weak model is significantly\nweaker than the strong model, i.e., LLM pairs 2 and 3, the attack can improve the quality of responses significantly.\nQuery-specific gadgets. By default, our gadget generation method is query-independent and the same gadget can be used\nto reroute any query. An adversary with more resources may instead generate a dedicated gadget for each query (using\nthe same algorithm).\nTable 8 and Table 9 show the results for the white-box and black-box settings, respectively. (Here, percentage numbers\nare not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What are the improvements made to possible to the HadGEM3 and CMIP5 climate change models by UKCP18 ?", - "target_page": 1, - "target_passage": "mprovements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "4rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for\nan improved representation of atmospheric and land surface processes including extremes by\nusing higher spatial resolution [11].\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK\nMet Office Unified Model (MetUM) which has been developed for use for both climate research\nand weather prediction applications. It is the result of converging the development of the Met\nOffice’s weather and climate global atmospheric model components so that, where possible,\natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and\ntimescales.\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere\n(GA) 3.0 model [ 12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with\ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of\nthe HadGEM3-GC2 coupled climate model [ 15,16], which is part of the HadGEM3 family of\nclimate models [ 12]. This represents the third generation of HadGEM configurations, leading\non from the HadGEM2 family of climate model configurations [ 13]w h i c hw a su s e df o rC M I P 5 .\nKey improvements over the previous model, HadGEM2, include increased vertical levels in the\natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17].\nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met\nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution\nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher\nresolution [18,19].\nWe ran the model using only its atmosphere and land components, with time-varying sea-\nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This\napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications\nof the higher resolution for projections of climate extremes and impacts—an atmosphere-\nonly simulation requires considerably less computing time than a coupled ocean–atmosphere\ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in\nregional climate changes by using SSTs and SICs from different climate models. To explore these\nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric\nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5\nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial\ninfluence on regional patterns of climate change over land, so using a range of SST and SIC\npatterns in a single atmosphere model goes some way towards representing the range of regional\nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This\napproach will not capture the full range of uncertainty affecting regional climate changes over\nland, because it still relies on one atmosphere model and one land surface scheme, so responses\nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions\nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that\nour experimental design avoids the reliance on one single realization of climate and hence allows\nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with\nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n10 https://www.ipcc.ch/report/ar5/ \nWhat can users expect from UKCP18?\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\nOBSERVATIONS \nAnnual report: State of the UK Climate. Downloadable data. \nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi-\ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year.\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \nMARINE PROJECTIONS \nSea level rise. Storm surge. Past event case studies.\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events.", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n12 30-year means can be created using the UKCP18 PDF data\n13 http://www.euro-cordex.net/\n60KM GLOBAL PROJECTIONS \n20 plausible climate futures. Latest Hadley Centre climate model. Simulations \nof extreme weather. Simultaneous impacts captured at multiple locations.\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models.\n25KM PROBABILISTIC PROJECTIONS \nCaptures natural variability and climate change . Updated models and \nobservations. Provides seasonal scale projections.\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP09\n11. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided\n12.\nDOWNSCALED HIGH RESOLUTION PROJECTIONS \nDownscaled versions of the global model for the UK. For the most spatially \ndetailed downscaling this includes hourly data. Simultaneous impacts captured \nat multiple UK locations.\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX\n13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.\nPROJECTIONS OVER LAND \nThe land projections comprise three components:", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "26rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n2. Murphy JM et al.2009 UK climate projections science report: climate change projections. Exeter, UK:\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in\nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference\nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/\n11a01.pdf.\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris,\n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of\nthe Parties at its twenty-first session. Seehttp://unfccc.int/resource/docs/2015/cop21/eng/\n10a01.pdf.\n5. Hewitson B et al. 2014 Regional context. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment\nreport of the Intergovernmental Panel on Climate Change(eds VR Barros et al.), pp. 1133–1197.\nCambridge, UK: Cambridge University Press.\n6. Dankers R et al.2013 First look at changes in flood hazard in the inter-sectoral impact model\nintercomparison project ensemble. Proc. Natl Acad. Sci. USA111, 3257–3261. ( doi:10.1073/\npnas.1302078110)\n7. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.\n1–32. Cambridge, UK: Cambridge University Press.\n8. Schewe J et al.2014 Multimodel assessment of water scarcity under climate change. Proc. Natl\nAcad. Sci. USA111, 3245–3250. (doi:10.1073/pnas.1222460110)\n9. Schleussner C-F et al. 2015 Differential climate impacts for policy-relevant limits to global\nwarming: the case of 1.5°C and 2°C. Earth Syst. Dynam. Discuss.6, 2447–2505. (doi:10.5194/\nesdd-6-2447-2015)\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a-\ndegree difference: a review of methods for identifying regional climate responses to global\nwarming targets. WIREs Clim Change8, e457. (doi:10.1002/wcc.457)\n11. Haarsma RJ et al.2016 High resolution model intercomparison project (HighResMIP v1.0) for\nCMIP6. Geosci. Model Dev.9, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke\nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation\nMet Office climate modelling system. Geosci. Model Dev. 4, 223–253. ( doi:10.5194/gmd-4-\n223-2011).\n13. Martin GM et al. 2011 The HadGEM2 family of met office unified model climate\nconfigurations. Geosci. Model Dev.4, 723–757. (doi:10.5194/gmd-4-723-2011)\n14. Walters DN et al. 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and\nJULES global land 3.0/3.1 configurations. Geosci. Model Dev.4, 919–941. ( doi:10.5194/gmd-\n4-919-2011)\n15. Williams KD et al.2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. Geosci.\nModel Dev.8, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n16. Senior CA et al. 2016 Idealized climate change simulations with a high-resolution physical\nmodel: HadGEM3-GC2. J. Adv. Model. Earth Syst.8, 813–830. (doi:10.1002/2015MS000614)\n17. Wood N et al. 2014 An inherently mass-conserving semi-implicit semi-Lagrangian\ndiscretization of the deep-atmosphere global non-hydrostatic equations. Q. J. R. Meteorol. Soc.\n140, 1505–1520. (doi:10.1002/qj.2235)\n18. MacLachlan C et al. 2014 Global seasonal forecast system version 5 (GloSea5): a high-\nresolution seasonal forecast system.Q. J. R. Meteorol. Soc.141, 1072–1084. (doi:10.1002/qj.2396)\n19. Knight J et al. 2014 Predictions of climate several years ahead using an improved decadal", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "27rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n22. Krishnamurthy PK, Lewis K, Choularton RJ. 2014 A methodological framework for rapidly\nassessing the impacts of climate risk on national-level food security through a vulnerability\nindex.Glob. Environ. Change25, 121–132. (doi:10.1016/j.gloenvcha.2013.11.004)\n23. Richardson K, Lewis K, Krishnamurthy K, Kent C, Wiltshire A, Hanlon H. 2018 Food security\noutcomes under a changing climate: impacts of mitigation and adaptation on vulnerability to\nfood insecurity.Clim. Change, 147, 327–341. (doi:10.1007/s10584-018-2137-y)\n24. Best M et al.2011 The joint UK land environment simulator (JULES), model description—part\n1: energy and water fluxes. Geosci. Model Dev.4, 677–699. (doi:10.5194/gmd-4-677-2011)\n25. Clark D et al. 2011 The joint UK land environment simulator (JULES), model description–\npart 2: carbon fluxes and vegetation dynamics. Geosci. Model Dev.4, 701–722. ( doi:10.5194/\ngmd-4-701-2011)\n26. Cox PM, Betts RA, Jones CD, Spall SA, Totterdell IJ. 2000 Acceleration of global warming\ndue to carbon-cycle feedbacks in a coupled climate model. Nature 408, 184–187. (doi:10.1038/\n35041539)\n27. Jones CD et al. 2011 The HadGEM2-ES implementation of CMIP5 centennial simulations.\nGeosci. Model Dev.4, 543–570. (doi:10.5194/gmd-4-543-2011)\n28. Betts RA et al.2015 Climate and land use change impacts on global terrestrial ecosystems and\nriver flows in the HadGEM2-ES Earth system model using the representative concentration\npathways. Biogeosciences 12, 1317. (doi:10.5194/bg-12-1317-2015)\n29. Falloon PD, Betts RA. 2006 The impact of climate change on global river flow in HadGEM1\nsimulations. Atmos. Sci. Lett.7, 62–68. (doi:10.1002/asl.133)\n30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C,\nBetts R. 2013 The importance of population, climate change and CO 2 plant physiological\nforcing in determining future global water stress. Glob. Environ. Change 23, 1083–1097.\n(doi:10.1016/j.gloenvcha.2013.06.005)\n31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change\nimpact on European runoff and low flows – exploring the effects of forcing biases. Hydrol.\nEarth Syst. Sci.20, 1785–1808. (doi:10.5194/hess-20-1785)\n32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying. Nat. Clim.\nChange 6, 946–949. (doi:10.1038/nclimate3046)\n33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing\nCO2 reduce estimates of climate impacts on drought severity. Proc. Natl Acad. Sci. USA113,\n10 019–10 024. (doi:10.1073/pnas.1604581113)\n34. Betts RA et al.2007 Projected increase in future river runoff through plant responses to carbon\ndioxide rise. Nature 448, 1037–1042. (doi:10.1038/nature06045)\n35. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2017 The effect of GCM biases\non global runoff simulations of a land surface model. Hydrol. Earth Syst. Sci.21, 4379–4401.\n(doi:10.5194/hess-21-4379-2017)\n36. Sheffield J, Goteti G, Wood EF. 2006 Development of a 50-year high-resolution global\ndataset of meteorological forcings for land surface modeling. J. Climate 19, 3088–3111.\n(doi:10.1175/JCLI3790.1)\n37. Grillakis MG, Koutroulis AG, Tsanis IK. 2013 Multisegment statistical bias correction of daily\nGCM precipitation output. J. Geophys. Res. Atmos.118, 3150–3162. (doi:10.1002/jgrd.50323)\n38. Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in\nregional climate extremes as a function of global mean temperature: an interactive plotting\nframework. Geosci. Model Dev.10, 3609–3634. (doi:10.5194/gmd-10-3609-2017)\n39. Mitchell D, James R, Forster PM, Betts RA, Shiogama H, Allen M. 2016 Realizing the impacts\nof a 1.5°C warmer world. Nat. Clim. Change6, 735–737. (doi:10.1038/nclimate3055)\n40. Cox P et al. 2008 Increase risk of Amazonian drought due to decreasing aerosol pollution.", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed11.pdf" - }, - { - "text": "the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different\nbiases in baseline precipitation climatology, and different global patterns of precipitation change.\nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global\nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global\nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected,\nwhich means that the results here may be sensitive to systematic errors arising from biases in the\npresent-day SST patterns.\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5\nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol\nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse\ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "Summary of expected outputs \nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/\ndata/uk-network-real-time). \n‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels.\nObservations \n(UK State of \nthe Climate)\nMarine and \ncoastal \nprojections\nGlobal \nprojections\nProbabilistic \nprojections High resolution projections\nCharacteristics \nObserved \ntrends; \nlong-term \nclimatologies; \nweather \nevents for the \npreceding year\nUpdated sea level \nrise and surge \nprojections based \non operational \nstorm surge \nmodel (CS3) \nusing CMIP5, \nEURO-CORDEX‡\nEnsemble of \n~ 20 spatially \ncoherent time \nseries of the Met \nOffice Hadley \nCentre model \nand a similar \nnumber of \nCMIP5 models\nUpdated probability \ndensity functions \npresented as 30-\nyear and monthly \ntime series based on \nMet Office models \n(HadCM3, ESPPE) and \nCMIP5\nDownscaled projections over the \nUK for ~ 10 spatially coherent time \nseries. 2.2 km model provides \nrealistic information on heavy \nrainfall events \nScale UK UK Global UK UK\nSpatial resolution* To match land \nprojections UK Coastline† 60km 25km 12km+ 2.2km\nHighest temporal \nresolution Daily / monthly Annual Daily Monthly Daily Sub-daily\nPeriod of data\nbulk of 20th \ncentury to \npresent day\n1950-2100 1900-2100 1961-2100 1981-2080\n1981-2000\n2021-2040\n2061-2080\nEmissions scenarios N/A\nRCP2.6,\nRCP4.5,\nRCP8.5\nH++\nRCP8.5; \nadditional \nlower scenario \n(for Met Office \nHadley Centre \nmodel only)\nSRES A1B, RCP2.6,\nRCP4.5,\nRCP6.0\nRCP8.5\nRCP8.5 RCP8.5\nVariables available++\nTemperature, \nprecipitation \n(including snow), \nsunshine, wind\nSea level rise, \nstorm surge\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind speed, \nsolar radiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nLand\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website.\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users.\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \nhttp://ukclimateprojections.metoffice.gov.uk/24125\nUKCP Project Team\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "12rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–20 –10 0 10 20\nmm\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure5. Simulatedchangesintheannualmaximumrainfallover5daysrelativeto1981–2010,at2 °Cglobalwarming,for\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.ThelabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\n2°C, although the geographical variation is still dominated by the non-climatic factors ( figure 7).\nTherefore, the ensemble-mean change is a reasonable guide to the results.\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8).\nThe greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil\nand a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa.\nSoutheastern Africa showed larger increases than Central Africa. The HCVI decreased in three\ncountries: Mali, Burkino Faso and Sudan.\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming,\nwith increases in most assessed countries and generally similar sets of countries experiencing the\nlargest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI\nthan Central Africa, due to increased length of drought events projected in all ensemble members\n(not shown). The length of flood events was not projected to increase in this region. The Sahel\nregion consistently showed one or more countries with a small decrease in the HCVI, although\nthe precise country or countries varied between ensemble members. The decrease in HCVI here\nwas due to projected decreases in length of drought, with length of flood events projected to\nchange little.\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase\nin length of flood events projected in all members, outweighing the beneficial impact of decreased\nlength of drought which is again projected in all members.\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble\nmembers. Although the location of projected longer flood events varies across the country in\ndifferent members, the aggregation of the HCVI to the country level renders this geographical\nvariability irrelevant for such a large country because only the median value across the country\nis used in the HCVI. Some ensemble members project longer drought for Brazil, which again\ncontributed to increased HCVI.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "8rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nTable3. TimeofreachingGWLsof1.5 °Cand2 °CintherawoutputfromtheHadGEM3climatesimulations,drivenbydifferent\nsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20-yearperiodforwhichtheclimatedataareapplied\ntothecalculationoftheClimPACTindices.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2015 2030\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2040 2055\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2027 2039\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2020 2034\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2023 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1–0 2034 2046\n......................................... ............................................ .......................................... ..................................... ......................................\nup to present-day plus model-projected warming thereafter ( table 4 ). While this does lead to\ninconsistent definitions of dates of the GWLs for applications of the climate model output with\nand without bias correction, the focus here is on the level of warming relative to pre-industrial\nrather than the timing of this warming. Therefore, priority is given to an accurate quantification\nof GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming\nlevels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on\nthe model and warming level. This inconsistency would have consequences if these results were\napplied to time-dependent impacts and adaptation assessments, but that is not the case here so\nthis concern does not apply. However, one issue is that the time-dependent nature of the aerosol\nforcing means that the spatial pattern of regional climate responses varies over time, so this will\nlead to some degree of inconsistency between the analysis of the ClimPACT extremes and the\nHCVI and JULES impacts projections.\n3. Results\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the\nlevel of agreement between models for a particular projected change, and hence an indication\nof potential robustness of the projected changes for informing adaptation. We then make a\ncomparison of impacts at global warming 1.5°C to investigate the level of impact that would\nbe avoided by limiting global warming to different levels. Bearing in mind the uncertainty in\nregional climate outcomes, we address this in a number of ways. For individual realizations, we\ncompare the impacts at different warming levels to see if they are systematically smaller at 1.5°C,\neven if the sign of the change is uncertain. We also compare the range of outcomes at different\nGWLs, to see if the regional-scale uncertainty itself increases with global warming.\n(a) Climate-changeimpactsat2 °Cglobalwarming\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was\nabove 2°C for most of the land surface, with the exception of the Indian subcontinent, most of", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "Which causes of the rise of sea level will be considered by UKCP18 ?", - "target_page": 2, - "target_passage": "Sea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n10 https://www.ipcc.ch/report/ar5/ \nWhat can users expect from UKCP18?\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\nOBSERVATIONS \nAnnual report: State of the UK Climate. Downloadable data. \nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi-\ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year.\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \nMARINE PROJECTIONS \nSea level rise. Storm surge. Past event case studies.\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events.", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n12 30-year means can be created using the UKCP18 PDF data\n13 http://www.euro-cordex.net/\n60KM GLOBAL PROJECTIONS \n20 plausible climate futures. Latest Hadley Centre climate model. Simulations \nof extreme weather. Simultaneous impacts captured at multiple locations.\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models.\n25KM PROBABILISTIC PROJECTIONS \nCaptures natural variability and climate change . Updated models and \nobservations. Provides seasonal scale projections.\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP09\n11. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided\n12.\nDOWNSCALED HIGH RESOLUTION PROJECTIONS \nDownscaled versions of the global model for the UK. For the most spatially \ndetailed downscaling this includes hourly data. Simultaneous impacts captured \nat multiple UK locations.\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX\n13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.\nPROJECTIONS OVER LAND \nThe land projections comprise three components:", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "26rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n2. Murphy JM et al.2009 UK climate projections science report: climate change projections. Exeter, UK:\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in\nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference\nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/\n11a01.pdf.\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris,\n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of\nthe Parties at its twenty-first session. Seehttp://unfccc.int/resource/docs/2015/cop21/eng/\n10a01.pdf.\n5. Hewitson B et al. 2014 Regional context. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment\nreport of the Intergovernmental Panel on Climate Change(eds VR Barros et al.), pp. 1133–1197.\nCambridge, UK: Cambridge University Press.\n6. Dankers R et al.2013 First look at changes in flood hazard in the inter-sectoral impact model\nintercomparison project ensemble. Proc. Natl Acad. Sci. USA111, 3257–3261. ( doi:10.1073/\npnas.1302078110)\n7. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.\n1–32. Cambridge, UK: Cambridge University Press.\n8. Schewe J et al.2014 Multimodel assessment of water scarcity under climate change. Proc. Natl\nAcad. Sci. USA111, 3245–3250. (doi:10.1073/pnas.1222460110)\n9. Schleussner C-F et al. 2015 Differential climate impacts for policy-relevant limits to global\nwarming: the case of 1.5°C and 2°C. Earth Syst. Dynam. Discuss.6, 2447–2505. (doi:10.5194/\nesdd-6-2447-2015)\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a-\ndegree difference: a review of methods for identifying regional climate responses to global\nwarming targets. WIREs Clim Change8, e457. (doi:10.1002/wcc.457)\n11. Haarsma RJ et al.2016 High resolution model intercomparison project (HighResMIP v1.0) for\nCMIP6. Geosci. Model Dev.9, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke\nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation\nMet Office climate modelling system. Geosci. Model Dev. 4, 223–253. ( doi:10.5194/gmd-4-\n223-2011).\n13. Martin GM et al. 2011 The HadGEM2 family of met office unified model climate\nconfigurations. Geosci. Model Dev.4, 723–757. (doi:10.5194/gmd-4-723-2011)\n14. Walters DN et al. 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and\nJULES global land 3.0/3.1 configurations. Geosci. Model Dev.4, 919–941. ( doi:10.5194/gmd-\n4-919-2011)\n15. Williams KD et al.2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. Geosci.\nModel Dev.8, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n16. Senior CA et al. 2016 Idealized climate change simulations with a high-resolution physical\nmodel: HadGEM3-GC2. J. Adv. Model. Earth Syst.8, 813–830. (doi:10.1002/2015MS000614)\n17. Wood N et al. 2014 An inherently mass-conserving semi-implicit semi-Lagrangian\ndiscretization of the deep-atmosphere global non-hydrostatic equations. Q. J. R. Meteorol. Soc.\n140, 1505–1520. (doi:10.1002/qj.2235)\n18. MacLachlan C et al. 2014 Global seasonal forecast system version 5 (GloSea5): a high-\nresolution seasonal forecast system.Q. J. R. Meteorol. Soc.141, 1072–1084. (doi:10.1002/qj.2396)\n19. Knight J et al. 2014 Predictions of climate several years ahead using an improved decadal", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "Summary of expected outputs \nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/\ndata/uk-network-real-time). \n‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels.\nObservations \n(UK State of \nthe Climate)\nMarine and \ncoastal \nprojections\nGlobal \nprojections\nProbabilistic \nprojections High resolution projections\nCharacteristics \nObserved \ntrends; \nlong-term \nclimatologies; \nweather \nevents for the \npreceding year\nUpdated sea level \nrise and surge \nprojections based \non operational \nstorm surge \nmodel (CS3) \nusing CMIP5, \nEURO-CORDEX‡\nEnsemble of \n~ 20 spatially \ncoherent time \nseries of the Met \nOffice Hadley \nCentre model \nand a similar \nnumber of \nCMIP5 models\nUpdated probability \ndensity functions \npresented as 30-\nyear and monthly \ntime series based on \nMet Office models \n(HadCM3, ESPPE) and \nCMIP5\nDownscaled projections over the \nUK for ~ 10 spatially coherent time \nseries. 2.2 km model provides \nrealistic information on heavy \nrainfall events \nScale UK UK Global UK UK\nSpatial resolution* To match land \nprojections UK Coastline† 60km 25km 12km+ 2.2km\nHighest temporal \nresolution Daily / monthly Annual Daily Monthly Daily Sub-daily\nPeriod of data\nbulk of 20th \ncentury to \npresent day\n1950-2100 1900-2100 1961-2100 1981-2080\n1981-2000\n2021-2040\n2061-2080\nEmissions scenarios N/A\nRCP2.6,\nRCP4.5,\nRCP8.5\nH++\nRCP8.5; \nadditional \nlower scenario \n(for Met Office \nHadley Centre \nmodel only)\nSRES A1B, RCP2.6,\nRCP4.5,\nRCP6.0\nRCP8.5\nRCP8.5 RCP8.5\nVariables available++\nTemperature, \nprecipitation \n(including snow), \nsunshine, wind\nSea level rise, \nstorm surge\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind speed, \nsolar radiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nLand\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website.\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users.\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \nhttp://ukclimateprojections.metoffice.gov.uk/24125\nUKCP Project Team\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "8rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nTable3. TimeofreachingGWLsof1.5 °Cand2 °CintherawoutputfromtheHadGEM3climatesimulations,drivenbydifferent\nsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20-yearperiodforwhichtheclimatedataareapplied\ntothecalculationoftheClimPACTindices.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2015 2030\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2040 2055\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2027 2039\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2020 2034\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2023 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1–0 2034 2046\n......................................... ............................................ .......................................... ..................................... ......................................\nup to present-day plus model-projected warming thereafter ( table 4 ). While this does lead to\ninconsistent definitions of dates of the GWLs for applications of the climate model output with\nand without bias correction, the focus here is on the level of warming relative to pre-industrial\nrather than the timing of this warming. Therefore, priority is given to an accurate quantification\nof GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming\nlevels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on\nthe model and warming level. This inconsistency would have consequences if these results were\napplied to time-dependent impacts and adaptation assessments, but that is not the case here so\nthis concern does not apply. However, one issue is that the time-dependent nature of the aerosol\nforcing means that the spatial pattern of regional climate responses varies over time, so this will\nlead to some degree of inconsistency between the analysis of the ClimPACT extremes and the\nHCVI and JULES impacts projections.\n3. Results\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the\nlevel of agreement between models for a particular projected change, and hence an indication\nof potential robustness of the projected changes for informing adaptation. We then make a\ncomparison of impacts at global warming 1.5°C to investigate the level of impact that would\nbe avoided by limiting global warming to different levels. Bearing in mind the uncertainty in\nregional climate outcomes, we address this in a number of ways. For individual realizations, we\ncompare the impacts at different warming levels to see if they are systematically smaller at 1.5°C,\neven if the sign of the change is uncertain. We also compare the range of outcomes at different\nGWLs, to see if the regional-scale uncertainty itself increases with global warming.\n(a) Climate-changeimpactsat2 °Cglobalwarming\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was\nabove 2°C for most of the land surface, with the exception of the Indian subcontinent, most of", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "evokes different public cognitive responses, where global warming“indicates heat-related impacts,\nhuman causes, increased UV light penetration, ozone depletion, and the greenhouse effect, whereas\nclimate change is more associated with a wide range of influences on climate, including drought and\nagriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with\nice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different\nbiases in baseline precipitation climatology, and different global patterns of precipitation change.\nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global\nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global\nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected,\nwhich means that the results here may be sensitive to systematic errors arising from biases in the\npresent-day SST patterns.\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5\nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol\nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse\ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "in the two parts of the study. In the extremes analysis using raw model output, the dates of\npassing GWLs were defined on the basis of the global mean temperatures in the driving CMIP5\nmodels relative to those models’ simulations of global mean temperature in 1870–1899 (table 3).\nHowever, in the HCVI and JULES analyses which used bias-corrected data, it was considered\nmore appropriate for the GWLs to be defined using the warming in the observational dataset", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "could occur at a particular level of global warming, such as 2°C? This is relevant to\nadaptation policy and planning—exploring the possible outcomes for these levels of\nwarming will help facilitate adaptation and improved resilience to account for a 1.5°C or\n2°C world. It is recognized that many adaptation decisions require information on timing\nof specific impacts or risks, but nevertheless, framing regional impacts assessments in\nterms of associated global warming levels (GWLs) may help provide context of the levels\nof climate change that may be avoidable or unavoidable (and hence require adaptation).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What perdiod is covered by the 12 km resolution projection data of the UKCP18 ?", - "target_page": 4, - "target_passage": "1981-2080", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n10 https://www.ipcc.ch/report/ar5/ \nWhat can users expect from UKCP18?\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\nOBSERVATIONS \nAnnual report: State of the UK Climate. Downloadable data. \nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi-\ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year.\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \nMARINE PROJECTIONS \nSea level rise. Storm surge. Past event case studies.\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events.", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n12 30-year means can be created using the UKCP18 PDF data\n13 http://www.euro-cordex.net/\n60KM GLOBAL PROJECTIONS \n20 plausible climate futures. Latest Hadley Centre climate model. Simulations \nof extreme weather. Simultaneous impacts captured at multiple locations.\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models.\n25KM PROBABILISTIC PROJECTIONS \nCaptures natural variability and climate change . Updated models and \nobservations. Provides seasonal scale projections.\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP09\n11. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided\n12.\nDOWNSCALED HIGH RESOLUTION PROJECTIONS \nDownscaled versions of the global model for the UK. For the most spatially \ndetailed downscaling this includes hourly data. Simultaneous impacts captured \nat multiple UK locations.\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX\n13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.\nPROJECTIONS OVER LAND \nThe land projections comprise three components:", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "Summary of expected outputs \nTable 1 below indicates the likely dimensions of the outputs for each of the components as of July 2017.\n* Data also available for whole UK, administrative regions, devolved administrations and river basin regions. \n†Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/\ndata/uk-network-real-time). \n‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net). \n+Now included due to user request and Peer Review Panel advice. \n++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of \nmodels.\nObservations \n(UK State of \nthe Climate)\nMarine and \ncoastal \nprojections\nGlobal \nprojections\nProbabilistic \nprojections High resolution projections\nCharacteristics \nObserved \ntrends; \nlong-term \nclimatologies; \nweather \nevents for the \npreceding year\nUpdated sea level \nrise and surge \nprojections based \non operational \nstorm surge \nmodel (CS3) \nusing CMIP5, \nEURO-CORDEX‡\nEnsemble of \n~ 20 spatially \ncoherent time \nseries of the Met \nOffice Hadley \nCentre model \nand a similar \nnumber of \nCMIP5 models\nUpdated probability \ndensity functions \npresented as 30-\nyear and monthly \ntime series based on \nMet Office models \n(HadCM3, ESPPE) and \nCMIP5\nDownscaled projections over the \nUK for ~ 10 spatially coherent time \nseries. 2.2 km model provides \nrealistic information on heavy \nrainfall events \nScale UK UK Global UK UK\nSpatial resolution* To match land \nprojections UK Coastline† 60km 25km 12km+ 2.2km\nHighest temporal \nresolution Daily / monthly Annual Daily Monthly Daily Sub-daily\nPeriod of data\nbulk of 20th \ncentury to \npresent day\n1950-2100 1900-2100 1961-2100 1981-2080\n1981-2000\n2021-2040\n2061-2080\nEmissions scenarios N/A\nRCP2.6,\nRCP4.5,\nRCP8.5\nH++\nRCP8.5; \nadditional \nlower scenario \n(for Met Office \nHadley Centre \nmodel only)\nSRES A1B, RCP2.6,\nRCP4.5,\nRCP6.0\nRCP8.5\nRCP8.5 RCP8.5\nVariables available++\nTemperature, \nprecipitation \n(including snow), \nsunshine, wind\nSea level rise, \nstorm surge\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind speed, \nsolar radiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nTemperature, \nprecipitation, \nhumidity, wind \nspeed, wind \ndirection, solar \nradiation\nLand\nHow can I get the information and when? \nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available \nthrough a dedicated website.\nA dedicated user interface will provide users with a means to download the data and produce customised \nvisualisations. The exact nature of these outputs is still the subject of consultation with users.\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the \nlatest information visit: \nhttp://ukclimateprojections.metoffice.gov.uk/24125\nUKCP Project Team\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFIG. 1: Single Crab occultation step in a single GBM NaI\ndetector. Horizontal scale is in seconds centered on the\noccultation time. Vertical scale is in measured counts.\nThe shape of the individual occultation steps de-\npends on energy and occultation angle. Transmis-\nsion as a function of time is modeled as T(t) =\nexp[−µ(E)A(h)], where µ(E) is the mass attenuation\ncoefficient of gamma rays at energy E in air and A(h)\nis the air mass along the line of sight at a given alti-\ntude h(t). Account is taken of the detector response\nas it changes as a function of angle across the fit win-\ndow. For each source, occultation times are predicted.\nEach step is fit over a 4-minute window along with a\nquadratic background and using an assumed spectrum\nto determine the detector count rate due to the source.\nThe instrument response is used to convert the count\nrate to a flux. Up to 31 steps are possible for a given\nsource in a day, and these steps are summed to get a\nsingle daily average flux. The GBM occultation sensi-\ntivity exceeds that of BATSE at energies below ∼ 25\nkeV and above ∼ 1.5 MeV [5].\nThis work uses the GBM CTIME data, with its\n8 broad energy channels and 0.256-second resolution,\nrebinned to 2-second resolution. The occultation tech-\nnique relies on an input catalog of known sources.\nCurrently, we are monitoring 64 sources. Of these\n64 sources, 6 steady sources are detected above 100\nkeV with a signi���cance of at least 5σafter ∼ 490 days\nof observations, and one transient source.\nIII. RESULTS\nThe results presented here are preliminary. We\nhave not completed the fine tuning of our algorithms,\nthough the average fluxes are not expected to change\nmuch. Future work will include using the GBM\nCSPEC data, with its finer energy binning, to exam-\nine the detailed spectra for these sources.\nThe measured 20 - 50 keV GBM light curves are\ncompared to Swift’s 15 - 50 keV light curves for sev-\nFIG. 2: Crab light curve. Horizontal scale is in modified\nJulian days over the 490 day GBM exposure period. Ver-\ntical scale is in photons/cm 2/sec/keV averaged over daily\nintervals. Horizontal lines show the average flux in each of\nfive energy bands increasing from top to bottom\neral sources over the same time intervals in ref. [2],\nwhere it is seen that the results measured by the two\ninstruments compare well. At energies above the up-\nper energy limit of ∼ 195 keV of the Swift 22-month\ncatalog [6], however, the GBM observations provide\nthe only wide-field monitor available of the low en-\nergy gamma ray sky.\nA. Steady Sources\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, and GRS 1915+105 are detected by\nGBM at energies above 100 keV. We show GBM light\ncurves generated from the Earth occultation analysis\nin several energy bands with one day resolution for\nthese six sources in Figures 2 - 7.\nTable I gives the fluxes and significances averaged\nover all the days from Aug. 12, 2008 (the beginning of\nscience operations) to Dec. 15, 2009, approximately\n490 days.\nThe Crab (Fig. 2) spectrum in the hard x-ray/low\nenergy gamma-ray region can be described by a bro-\nken power law, with the spectrum steepening at 100\nkeV and then hardening at 650 keV [7, 8]. While the\nGBM CTIME data do not have the spectral resolution\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "4rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nRather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for\nan improved representation of atmospheric and land surface processes including extremes by\nusing higher spatial resolution [11].\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK\nMet Office Unified Model (MetUM) which has been developed for use for both climate research\nand weather prediction applications. It is the result of converging the development of the Met\nOffice’s weather and climate global atmospheric model components so that, where possible,\natmospheric processes are modelled or parametrized seamlessly across spatial resolutions and\ntimescales.\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere\n(GA) 3.0 model [ 12–14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with\ngridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of\nthe HadGEM3-GC2 coupled climate model [ 15,16], which is part of the HadGEM3 family of\nclimate models [ 12]. This represents the third generation of HadGEM configurations, leading\non from the HadGEM2 family of climate model configurations [ 13]w h i c hw a su s e df o rC M I P 5 .\nKey improvements over the previous model, HadGEM2, include increased vertical levels in the\natmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17].\nThis version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met\nOffice is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution\nfor seasonal and decadal forecasting and clear benefits are emerging from this use at higher\nresolution [18,19].\nWe ran the model using only its atmosphere and land components, with time-varying sea-\nsurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This\napproach was taken for two reasons: (i) to provide a rapid first analysis of the implications\nof the higher resolution for projections of climate extremes and impacts—an atmosphere-\nonly simulation requires considerably less computing time than a coupled ocean–atmosphere\ngeneral circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in\nregional climate changes by using SSTs and SICs from different climate models. To explore these\nuncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric\nsimulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5\nwith the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial\ninfluence on regional patterns of climate change over land, so using a range of SST and SIC\npatterns in a single atmosphere model goes some way towards representing the range of regional\nclimate changes that would arise in a set of different coupled ocean–atmosphere GCMs. This\napproach will not capture the full range of uncertainty affecting regional climate changes over\nland, because it still relies on one atmosphere model and one land surface scheme, so responses\nto radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions\nwill still be constrained by the behaviour of that single model. Nevertheless, we consider that\nour experimental design avoids the reliance on one single realization of climate and hence allows\nsome of the uncertainties in regional climate-change impacts to be illustrated and explored.\nThe SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with\nthe RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 49 of 57", - "page_start": 48, - "page_end": 48, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nFIG. 3: Cen A light curve. Horizontal scale is in modified\nJulian days.\nto observe these breaks, GBM is able to see significant\nemission above 300 keV, consistent with the canonical\nhard spectrum.\nCen A(Fig. 3) is a Sy 2 galaxy that is the brightest\nAGN in hard x-rays/low energy gamma rays. It has\na hard spectrum (Γ = 1 .8) and has been observed at\nenergies > 1 MeV [9]. The GBM results are consis-\ntent with this hard spectrum, though GBM does not\nhave the sensitivity to determine if the hard spectrum\ncontinues beyond 300 keV or if the spectrum cuts off.\nCyg X-1 (Fig. 4) is a HMXB and one of the\nfirst systems determined to contain a black hole. It\nhas been observed to emit significant emission above\n100 keV including a power law tail extending out to\ngreater than 1 MeV [10, 11]. The GBM results show\nsignificant emission above 300 keV, consistent with\nthe power law tail observed when Cyg X-1 is in its\nhard state.\nGRS 1915+105(Fig. 5) is a LMXB with the com-\npact object being a massive black hole. Evidence for\nemission above 100 keV has been seen previously [12]\nwith BATSE. The GBM light curve integrated over\n490 days shows significant emission above 100 keV.\n1E 1740-29 (Fig. 6) is a LMXB very near the\nGalactic Center. It is a microquasar, and spends most\nof its time in the low/hard state. Integral observa-\ntions indicate the presence of a power law tail above\n200 keV [13]. The present GBM results are consis-\ntent with this high energy emission. In the future, we\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\nfied Julian days.\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\nmodified Julian days.\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 30 of 57", - "page_start": 29, - "page_end": 29, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "26rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n2. Murphy JM et al.2009 UK climate projections science report: climate change projections. Exeter, UK:\nMet Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in\nCopenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference\nof the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/\n11a01.pdf.\n4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris,\n30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of\nthe Parties at its twenty-first session. Seehttp://unfccc.int/resource/docs/2015/cop21/eng/\n10a01.pdf.\n5. Hewitson B et al. 2014 Regional context. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment\nreport of the Intergovernmental Panel on Climate Change(eds VR Barros et al.), pp. 1133–1197.\nCambridge, UK: Cambridge University Press.\n6. Dankers R et al.2013 First look at changes in flood hazard in the inter-sectoral impact model\nintercomparison project ensemble. Proc. Natl Acad. Sci. USA111, 3257–3261. ( doi:10.1073/\npnas.1302078110)\n7. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.\n1–32. Cambridge, UK: Cambridge University Press.\n8. Schewe J et al.2014 Multimodel assessment of water scarcity under climate change. Proc. Natl\nAcad. Sci. USA111, 3245–3250. (doi:10.1073/pnas.1222460110)\n9. Schleussner C-F et al. 2015 Differential climate impacts for policy-relevant limits to global\nwarming: the case of 1.5°C and 2°C. Earth Syst. Dynam. Discuss.6, 2447–2505. (doi:10.5194/\nesdd-6-2447-2015)\n10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-a-\ndegree difference: a review of methods for identifying regional climate responses to global\nwarming targets. WIREs Clim Change8, e457. (doi:10.1002/wcc.457)\n11. Haarsma RJ et al.2016 High resolution model intercomparison project (HighResMIP v1.0) for\nCMIP6. Geosci. Model Dev.9, 4185–4208. (doi:10.5194/gmd-9-4185-2016)\n12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke\nEC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation\nMet Office climate modelling system. Geosci. Model Dev. 4, 223–253. ( doi:10.5194/gmd-4-\n223-2011).\n13. Martin GM et al. 2011 The HadGEM2 family of met office unified model climate\nconfigurations. Geosci. Model Dev.4, 723–757. (doi:10.5194/gmd-4-723-2011)\n14. Walters DN et al. 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and\nJULES global land 3.0/3.1 configurations. Geosci. Model Dev.4, 919–941. ( doi:10.5194/gmd-\n4-919-2011)\n15. Williams KD et al.2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. Geosci.\nModel Dev.8, 1509–1524. (doi:10.5194/gmd-8-1509-2015)\n16. Senior CA et al. 2016 Idealized climate change simulations with a high-resolution physical\nmodel: HadGEM3-GC2. J. Adv. Model. Earth Syst.8, 813–830. (doi:10.1002/2015MS000614)\n17. Wood N et al. 2014 An inherently mass-conserving semi-implicit semi-Lagrangian\ndiscretization of the deep-atmosphere global non-hydrostatic equations. Q. J. R. Meteorol. Soc.\n140, 1505–1520. (doi:10.1002/qj.2235)\n18. MacLachlan C et al. 2014 Global seasonal forecast system version 5 (GloSea5): a high-\nresolution seasonal forecast system.Q. J. R. Meteorol. Soc.141, 1072–1084. (doi:10.1002/qj.2396)\n19. Knight J et al. 2014 Predictions of climate several years ahead using an improved decadal", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "resolution seasonal forecast system.Q. J. R. Meteorol. Soc.141, 1072–1084. (doi:10.1002/qj.2396)\n19. Knight J et al. 2014 Predictions of climate several years ahead using an improved decadal\nprediction system. J. Clim.27, 7550–7567. (doi:10.1175/JCLI-D-14-00069.1)\n20. Wyser K et al.2016 Documentation of changes in climate variability and extremes simulated\nby the HELIX AGCMs at the 3 SWLs and comparison to changes in equivalent SST/SIC low-\nresolution CMIP5 projections. HELIX project deliverable 3.1.\n21. Alexander L, Yang H, Perkins S. 2018 ClimPACT—Indices and Software. User Manual.\nSee http://www.wmo.int/pages/prog/wcp/ccl/opace/opace4/meetings/documents/\nETCRSCI_software_documentation_v2a.doc (accessed on 5 February 2018).", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "How many articles compose the Syntec French collective bargaining agreement ?", - "target_page": 2, - "target_passage": "The Syntec French collective bargaining agree- ment comprises around 90 articles", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "74. Home page (https://web.archive.org/web/20060512161815/http://membres.lycos.fr/adlcj/). Association Pour leDeveloppement de la Langue et de la Culture Japonaises. Retrieved on 12 May 2006.\n75. \"Bus 47 - Meyzieu ZI - Aéroport St Exupéry - St-Laurent de Maréchal Juin | TCL\" (https://www.tcl.fr/lignes/bus-47). www.tcl.fr. Retrieved 10 March 2020.\n76. Zeilinger, Stefan (July 2003). \"On the Fast Track: French Railway Modernization and the Origins of the TGV,1944-1983 (review)\" (https://muse.jhu.edu/article/46124). Technology and Culture. 44 (3): 613–614.doi:10.1353/tech.2003.0143 (https://doi.org/10.1353%2Ftech.2003.0143). ISSN 1097-3729 (https://search.worldcat.org/issn/1097-3729). S2CID 109613366 (https://api.semanticscholar.org/CorpusID:109613366).\n77. \"Eurolines - Lyon Tourist Office\" (https://en.visiterlyon.com/stay/access-come-and-move-in-lyon/transport-and-transfers/eurolines). en.visiterlyon.com. Retrieved 28 January 2024.\n78. \"Le réseau TCL | TCL\" (https://www.tcl.fr/a-propos-de-tcl/le-reseau-tcl). www.tcl.fr. Retrieved 28 January 2024.\n79. \"Plan interactif - Carte de Lyon et ses environs | TCL\" (https://www.tcl.fr/se-deplacer/plan-interactif).www.tcl.fr. Retrieved 28 January 2024.\n80. \"Discover the service | Rhônexpress\" (https://www.rhonexpress.fr/en_GB/discover-the-service).www.rhonexpress.fr. Retrieved 28 January 2024.\n81. \"RhônExpress\" (https://www.railway-technology.com/projects/rhonexpress/). Railway Technology. Retrieved28 January 2024.\n82. \"Lyon Public Transportation Statistics\" (https://moovitapp.com/insights/en/Moovit_Insights_Public_Transit_Index_France_Lyon-3483). Global Public Transit Index by Moovit. Retrieved 19 June 2017. \n Material wascopied from this source, which is available under a Creative Commons Attribution 4.0 International License (https://creativecommons.org/licenses/by/4.0/).\n83. Council of Europe (2011). \"Intercultural city: Lyon, France\" (http://www.coe.int/t/dg4/cultureheritage/culture/Cities/lyon_en.asp). coe.int. Retrieved 22 May 2011.\n84. \"Jumelage\" (http://www.economie.grandlyon.com/tous-les-partenariats-internationaux-villes.html).economie.grandlyon.com (in French). Grand Lyon économie. Retrieved 14 November 2019.\n85. \"World Trade Center Saint Louis\" (https://worldtradecenter-stl.com/st-louis-sister-cities-program/lyon-france/).worldtradecenter-stl.com. World Trade Center Saint Louis. Retrieved 18 May 2020.\nOfficial website (http://www.lyon.fr)(in French)\nVisit Lyon, the official website for tourism in France (https://en.visiterlyon.com/)\nLyon’s English Language News and Information (https://thisislyon.fr/)\nRues de Lyon (https://www.ruesdelyon.net/) Streets, Places, Monuments (in French)\nOld maps of Lyon (http://historic-cities.huji.ac.il/france/lyon/lyon.html) Archived (https://web.archive.org/web/20210116220537/http://historic-cities.huji.ac.il/france/lyon/lyon.html) 16 January 2021 at the WaybackMachine, Historic cities site (http://historic-cities.huji.ac.il/historic_cities.html) Archived (https://web.archive.org/web/20220325051637/http://historic-cities.huji.ac.il/historic_cities.html) 25 March 2022 at the WaybackMachine, The National Library of Israel\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Lyon&oldid=1267625203\"\nExternal links", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Document\nid article-14\nurl https://www.syntec.fr/convention-\ncollective/resiliation-du-contrat-\nde-travail/#article-14\ntitle Article 14 : Préavis pendant la péri-\node d’essai\nsection Résiliation du contrat de travail\ncontent Modification Avenant n ° 7 du\n5/07/1991 Au cours de cette péri-\node, les deux parties peuvent se sé-\nparer avec un préavis d’une journée\nde travail pendant le premier mois.\nAprès le premier mois, le temps\nde préavis réciproque sera d’une\nsemaine par mois complet passé\ndans l’entreprise. Après le pre-\nmier mois, le temps de préavis ré-\nciproque sera d’une semaine par\nmois passé dans l’entreprise. Le\npréavis donne droit au salarié de\ns’absenter pour la recherche d’un\nemploi dans les conditions fixées à\nl’article 16. Le salarié sera payé au\nprorata du temps passé pendant la\npériode d’essai.\nQuery\narticle article-14\nquestion Quel est le préavis en période\nd’essai ?\nFigure 5: Extracts of Syntec dataset.\nhal_id Domain Title\nhal-02899209 shs La transformation\ndigitale du manage-\nment des ressources\nhumaines et de ses\nenjeux pour les\nentreprises\ntel-03993881 math Sur l’approximation\nnumérique de\nquelques problèmes\nen mécanique des\nfluides\nFigure 6: Extracts of HAL dataset.\nFigure 7: Distribution of the word count per title in HAL\ndataset, mteb_eval subset.\n\"\"\"\nYou will be given a couple of texts in\nEnglish and their translation in French.\nYour task is to provide a 'rating' score on\nhow well the system translated the\nEnglish text into French.\nGive your answer as a float on a scale of 0\nto 10, where 0 means that the\nsystem_translation is bad and does not\nrepresent what is being said in the\noriginal English text, and 10 means that\nthe translation is good and represents\nthe original English text.\nNo need to mind the quality of the text as\noriginal English text may be of bad\nquality.\nProvide your feedback as follows:\nFeedback:::\nTotal rating: (your rating, as a float\nbetween 0 and 10)\nNow here are the English and French texts.\nOriginal text in English: {english_text}\nTranslation in French: {french_translation}\nFeedback:::\nTotal rating:\n\"\"\"\nFigure 8: Prompt used for LLM as-judge evaluation of\nSummEval dataset translation.\n15", - "page_start": 14, - "page_end": 14, - "source_file": "arxiv4.pdf" - }, - { - "text": "Dataset Syntec HAL SummEvalFr\nSamples 100 queries\n90 documents\n26233 samples\n10 classes\n100 texts\n1100 human summaries\n1600 machine summaries\nCreation process Scraping of Syntec col-\nlective bargaining agree-\nment with articles as doc-\numents. Writing queries\ncorresponding to articles.\nScraping of HAL arti-\ncles with id, title and do-\nmain. Further cleaning\nwith deduplication, lan-\nguage filtering and class\nsubsampling.\nTranslation from English\nto French with Deepl of\nthe SummEval dataset.\nAnnotation process 4 annotators divided into\n2 groups. Each group was\ngiven half of the articles\nand asked to choose an ar-\nticle and ask a question\nabout it. Each annotator\nwrote 25 questions.\nAnnotations provided by\nauthors when submitting\ntheir paper. They choose\nthe domainbetween exist-\ning academic fields.\nDetailed annotation pro-\ncess provided in Fabbri\net al. (2021).\nQuality checks Human verification of an-\nnotations.\nBaseline models for clas-\nsification and topic model-\ning.\nCorrelation between\nBLEU and ROUGE\nscores of the French\nand the original English\ndatasets. LLM as-a-judge\ntranslation rating and\nhuman verification.\nTable 1: New datasets details with the number of samples, the creation process, the annotation process and the\nquality checks. All datasets are test splits.\n• Samples belonging to domain classes with\nless than 500 samples were removed, which\nleads us to keep only 10 classes.\n• Subsampling was performed on 2 classes con-\ntaining more than 10k samples each to lower\nthe number of samples and mitigate the unbal-\nance of the dataset.\nMore details about this process are provided in the\nappendix A.2 along with some extracts in Figure\n6. We make the dataset publicly available in both\ntheir raw and clean versions. We use this dataset in\na clustering setup to cluster publications by their\ntitle and use the domain as ground truth. To ensure\nthe quality of this dataset, we run 3 baseline mod-\nels for classification: TF-IDF + SVM, a fine-tuned\nCamembert (Martin et al., 2019) and GPT-4 lever-\naging In-Context Learning (ICL). Furthermore, we\nrun one baseline model for topic modeling: Latent\nDirichlet Allocation (LDA) (Blei et al., 2003) and\nreport scores in the appendix A.2.\n3.1.3 SummEvalFr (Summarization)\nThe original SummEval dataset (Fabbri et al., 2021)\nconsists of 100 news articles from the CNN/Dai-\nlyMail dataset. Each article has 11 human-written\nsummaries and 16 machine-generated summaries\nannotated by 8 people with a score for coherence,\nconsistency, fluency, and relevance. We trans-\nlated it from English to French using DeepL API6.\nSince MTEB evaluation is based on the embedding\nsimilarity between machine-generated and human-\ngenerated summaries, we propose to compute the\nROUGE (Lin, 2004) and BLEU (Papineni et al.,\n2002) metrics between machine and human sum-\nmaries for both French and English version. In Ta-\nble 2, we report the average of the scores as well as\ntheir correlations between the two languages. The\ncorrelation is high (above 0.7), showing that the\nword and n-gram overlap between human and ma-\nchine summaries is highly preserved in the French\nversion. One may argue that computing the met-\nric on fully translated texts (human and machine\nsummaries are both translated from English) may\nintroduce biases and not assess the quality of the\ntranslations. For this purpose, we ensure the French\nhuman summaries are correctly translated from En-\nglish. We use an LLM as-a-judge (Zheng et al.,\n6https://www.deepl.com\n3", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 30: Production and consumption of chemicals by hazard class in the EU in 2019 – Eurostat . 107 \nTable 31: Development of male and female workforce in the EU27 between 2005 and 2019 ........... 110 \nTable 32: Average age of the EU27 workforce ................................................................................... 110 \nTable 33: Non-EU Migrants – over-represented in certain sectors and occupations in 2019 ............. 113 \nTable 34: EU Directives on Occupational Safety and Health .............................................................. 120", - "page_start": 6, - "page_end": 6, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12).Retrieved 12 July 2024.\n7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13). Retrieved 12 July 2024.\n8. Wells, John C. (2008). Longman Pronunciation Dictionary (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). Lexico UKEnglish Dictionary. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons)on 24 January 2020.\n10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). Cambridge English PronouncingDictionary (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). Merriam-Webster.com Dictionary. Merriam-Webster. Retrieved 8 August 2018.\n12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). Collins English Dictionary. HarperCollins.Retrieved 8 August 2018.\n13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). locongres.org. Retrieved 1 April 2022.\n14. https://about-france.com/tourism/main-towns-cities.htm\n15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n17. \"Lyon entrepreneurship, Lyon company, Invest Lyon – Greater Lyon\" (https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved8 April 2022.\n19. \"GaWC - The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html).www.lboro.ac.uk.\n20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings). mobilityexchange.mercer.com.\n21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). Les Miscellanées des Lyonnais (https://poutan.fr/site/). éditions du poutan.\n22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). Le Figaro (in French). 30 March 2017. Retrieved8 September 2023.\n23. Pokorny, Julius (1959). Indogermanisches Etymologisches Wörterbuch (in German). French & EuropeanPublications, Inc.\n24. Stich, Domenico (2003). Dictionnaire francoprovençal-français et français-francoprovençal (in French). LeCarré. p. 189. ISBN 978-2908150155.\n25. Cassius Dio, Roman History, Book 46: Lepidus and Lucius Plancus [...] founded the town called Lugudunum,now known as Lugdunum", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Flores_fr-en\nFlores_en-fr\nDiaBla_fr-en\nSTSBenchmarkMultilingual\nSTS22\nSICKFr\nSummEvalFr\nBitextMining STS Summarization\nbge-m3 1.00 1.00 0.85 0.82 0.82 0.78 0.31\ndistilbert-base-25lang-cased 0.92 0.91 0.11 0.57 0.41 0.62 0.31\ndistilbert-base-en-fr-cased 0.92 0.91 0.11 0.57 0.42 0.62 0.31\ndistilbert-base-fr-cased 0.63 0.65 0.06 0.57 0.43 0.62 0.31\nsentence-camembert-large 0.99 1.00 0.70 0.86 0.82 0.78 0.31\nsentence-flaubert-base 0.96 0.97 0.47 0.86 0.74 0.78 0.31\nSolon-embeddings-base-0.1 1.00 1.00 0.85 0.79 0.81 0.75 0.31\nSolon-embeddings-large-0.1 1.00 1.00 0.87 0.80 0.83 0.77 0.30\nsentence-croissant-llm-base 1.00 1.00 0.74 0.79 0.79 0.70 0.29\nbert-base-multilingual-cased 0.97 0.98 0.30 0.52 0.39 0.59 0.29\nbert-base-multilingual-uncased 0.95 0.98 0.36 0.55 0.56 0.58 0.31\ncamembert-base 0.26 0.25 0.04 0.55 0.61 0.54 0.30\nsentence-camembert-base 0.90 0.90 0.36 0.82 0.78 0.74 0.29\nsentence-camembert-large 0.99 1.00 0.68 0.86 0.82 0.78 0.31\nembed-multilingual-light-v3.0 1.00 1.00 0.66 0.76 0.83 0.76 0.31\nembed-multilingual-v3.0 1.00 1.00 0.83 0.82 0.83 0.79 0.31\nflaubert_base_cased 0.31 0.36 0.02 0.37 0.65 0.54 0.31\nflaubert_base_uncased 0.25 0.08 0.03 0.33 0.55 0.42 0.29\nflaubert_large_cased 0.15 0.17 0.01 0.16 0.49 0.35 0.29\ne5-mistral-7b-instruct 1.00 1.00 0.85 0.83 0.76 0.79 0.31\nmultilingual-e5-base 1.00 1.00 0.85 0.81 0.78 0.76 0.31\nmultilingual-e5-large 1.00 1.00 0.85 0.83 0.80 0.79 0.31\nmultilingual-e5-small 1.00 1.00 0.82 0.79 0.80 0.76 0.32\nudever-bloom-1b1 0.75 0.78 0.03 0.50 0.77 0.60 0.29\nudever-bloom-560m 0.50 0.37 0.08 0.37 0.61 0.55 0.24\nlaser2 1.00 1.00 0.86 0.70 0.65 0.65 0.31\nbge-m3-custom-fr 1.00 1.00 0.83 0.81 0.82 0.76 0.30\nsentence_croissant_alpha_v0.2 1.00 1.00 0.75 0.73 0.79 0.69 0.30\nsentence_croissant_alpha_v0.3 1.00 1.00 0.77 0.78 0.81 0.72 0.31\nmistral-embed 1.00 1.00 0.75 0.80 0.83 0.76 0.31\nLaBSE 1.00 1.00 0.88 0.75 0.78 0.70 0.30\nall-MiniLM-L12-v2 0.71 0.62 0.10 0.67 0.70 0.63 0.27\nall-MiniLM-L6-v2 0.62 0.56 0.03 0.65 0.77 0.62 0.28\ndistiluse-base-multilingual-cased-v2 1.00 1.00 0.83 0.77 0.76 0.72 0.28\nmulti-qa-MiniLM-L6-cos-v1 0.55 0.50 0.09 0.64 0.75 0.62 0.28\nparaphrase-multilingual-MiniLM-L12-v2 1.00 1.00 0.78 0.80 0.71 0.75 0.29\nparaphrase-multilingual-mpnet-base-v2 1.00 1.00 0.81 0.85 0.74 0.76 0.30\nsentence-t5-base 0.97 0.96 0.55 0.74 0.78 0.72 0.30\nsentence-t5-large 0.99 0.99 0.71 0.78 0.75 0.73 0.30\nsentence-t5-xl 0.99 0.99 0.76 0.79 0.77 0.75 0.32\nsentence-t5-xxl 1.00 1.00 0.83 0.81 0.77 0.77 0.30\ntext2vec-base-multilingual 0.99 0.99 0.78 0.83 0.74 0.77 0.29\ntext-embedding-3-large 1.00 1.00 0.88 0.83 0.82 0.79 0.30\ntext-embedding-3-small 1.00 1.00 0.86 0.81 0.81 0.76 0.30\ntext-embedding-ada-002 0.99 0.99 0.86 0.78 0.81 0.76 0.30\nvoyage-code-2 1.00 0.99 0.60 0.79 0.80 0.74 0.28\nuniversal-sentence-encoder-multilingual-3 1.00 1.00 0.82 0.75 0.78 0.71 0.28\nuniversal-sentence-encoder-multilingual-large-3 1.00 1.00 0.84 0.78 0.71 0.74 0.28\nxlm-roberta-base 0.70 0.53 0.21 0.46 0.57 0.49 0.29\nxlm-roberta-large 0.65 0.26 0.13 0.42 0.55 0.50 0.29\nTable 12: Performance of each model for Bitext Mining, Semantic Textual Similarity (STS) and Summarization.\n24", - "page_start": 23, - "page_end": 23, - "source_file": "arxiv4.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n3 \nTable of Content \n \nTable of Content ................................................................................................. 3 \nI. Special Conditions ........................................................................................ 5 \nI.1. Order of priority of provisions .......................................................................................... 5 \nI.2. Subject matter ............................................................................................................... 5 \nI.3. Entry into force and duration of the FWC ........................................................................... 5 \nI.4. Appointment of the contractor and implementation of the FWC ............................................ 5 \nI.5. Prices............................................................................................................................ 6 \nI.6. Payment arrangements ................................................................................................... 7 \nI.7. Bank account ................................................................................................................. 8 \nI.8. Communication details .................................................................................................... 8 \nI.9. Data controller ............................................................................................................... 9 \nI.10. Exploitation of the results of the FWC .............................................................................. 9 \nI.11. Termination by either party ......................................................................................... 11 \nI.12. Applicable law and settlement of disputes ...................................................................... 11 \nI.13. Interinstitutional FWC ................................................................................................. 11 \nI.14. Service provided on the premises of the contracting authority .......................................... 11 \nI.15. Other special conditions .............................................................................................. 11 \nII. GENERAL CONDITIONS FOR THE FRAMEWORK CONTRACT FOR SERVICES . 13 \nII.1. Definitions .................................................................................................................. 13 \nII.2. Roles and responsibilities in the event of a joint tender .................................................... 15 \nII.3. Severability ................................................................................................................ 15 \nII.4. Provision of services .................................................................................................... 15 \nII.5. Communication between the parties .............................................................................. 16 \nII.6. Liability ...................................................................................................................... 18 \nII.7. Conflict of interest and professional conflicting interests ................................................... 19 \nII.8. Confidentiality ............................................................................................................ 20 \nII.9. Processing of personal data .......................................................................................... 20 \nII.10. Subcontracting .......................................................................................................... 22 \nII.11. Amendments ............................................................................................................ 23 \nII.12. Assignment............................................................................................................... 23", - "page_start": 2, - "page_end": 2, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 109 \n5.3 Workforce structure \nThe workforce was often set identical with employed workers under a permanent contract, on average \nmostly male, mainly national, and most of the skills were achieved during apprenticeships or studying. \nDuring the past three decades a rapid economic, technological and d emographic development took \nplace: the variety of contracts has grown, a nd the share of women and of an international workforce \nincreased; moreover, the average age of the workforce is rapidly increasing; and technological \ndevelopments require repeated and often permanent acquisition of new skills. All these developments \nhave shattered traditional ideas and conceptions of working life. 297 This also has an impact on OSH. \n \nFigure 38: Workforce structure, demography – Eurostat \n \n \nIn 2005, approximately 80 million women and 101 million men were employed in the EU. This was \na rate of female workforce of 44.1%; in 2019, this rate went up to 46.1%, with 90 million women and 106 \nmillion men making up a total of 196 million workers. The employment rate of women between 15 and \n64 years stood in 2019 at 67.9% and the employment rate of men at 78.9%.298 \nDuring the past 15 years the number of women in the Eurostat category ‘Employed persons’ (Employed \npersons = employees and employers including self-employed) grew by 12.9%. The number of female \nemployees grew by 16.3% and the number of male employees by 7.8%.", - "page_start": 108, - "page_end": 108, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "SyntecReranking\nAlloprofReranking\nSyntecRetrieval\nBSARDRetrieval\nAlloprofRetrieval\nReranking Retrieval\nbge-m3 0.88 0.74 0.85 0.60 0.49\ndistilbert-base-25lang-cased 0.39 0.29 0.18 0.11 0.01\ndistilbert-base-en-fr-cased 0.39 0.29 0.18 0.11 0.01\ndistilbert-base-fr-cased 0.39 0.29 0.18 0.11 0.01\nsentence-camembert-large 0.82 0.63 0.79 0.56 0.33\nsentence-flaubert-base 0.81 0.48 0.69 0.42 0.18\nSolon-embeddings-base-0.1 0.85 0.71 0.81 0.00 0.41\nSolon-embeddings-large-0.1 0.87 0.72 0.85 0.58 0.47\nsentence-croissant-llm-base 0.78 0.57 0.74 0.52 0.30\nbert-base-multilingual-cased 0.43 0.32 0.19 0.10 0.02\nbert-base-multilingual-uncased 0.59 0.33 0.35 0.16 0.06\ncamembert-base 0.36 0.26 0.06 0.00 0.00\ncamembert-large 0.36 0.33 0.18 0.01 0.02\nsentence-camembert-base 0.74 0.58 0.69 0.39 0.22\nembed-multilingual-light-v3.0 0.82 0.70 0.77 0.52 0.35\nembed-multilingual-v3.0 0.84 0.74 0.79 0.44 0.38\nflaubert_base_cased 0.43 0.29 0.21 0.02 0.02\nflaubert_base_uncased 0.49 0.30 0.22 0.03 0.02\nflaubert_large_cased 0.32 0.29 0.02 0.00 0.01\ne5-mistral-7b-instruct 0.90 0.74 0.83 0.64 0.45\nmultilingual-e5-base 0.83 0.67 0.80 0.53 0.36\nmultilingual-e5-large 0.83 0.69 0.81 0.59 0.38\nmultilingual-e5-small 0.82 0.65 0.76 0.52 0.27\nudever-bloom-1b1 0.48 0.39 0.41 0.32 0.12\nudever-bloom-560m 0.47 0.31 0.24 0.06 0.02\nlaser2 0.49 0.39 0.29 0.08 0.03\nbge-m3-custom-fr 0.85 0.74 0.79 0.53 0.45\nsentence_croissant_alpha_v0.2 0.82 0.72 0.79 0.60 0.45\nsentence_croissant_alpha_v0.3 0.82 0.74 0.80 0.66 0.49\nmistral-embed 0.81 0.78 0.79 0.68 0.57\nLaBSE 0.68 0.55 0.55 0.23 0.20\nall-MiniLM-L12-v2 0.69 0.67 0.61 0.34 0.33\nall-MiniLM-L6-v2 0.67 0.63 0.60 0.27 0.28\ndistiluse-base-multilingual-cased-v2 0.75 0.62 0.65 0.29 0.27\nmulti-qa-MiniLM-L6-cos-v1 0.65 0.63 0.58 0.30 0.30\nparaphrase-multilingual-MiniLM-L12-v2 0.73 0.62 0.66 0.38 0.27\nparaphrase-multilingual-mpnet-base-v2 0.81 0.67 0.76 0.43 0.31\nsentence-t5-base 0.76 0.63 0.67 0.40 0.28\nsentence-t5-large 0.78 0.68 0.71 0.47 0.35\nsentence-t5-xl 0.81 0.71 0.74 0.50 0.40\nsentence-t5-xxl 0.82 0.75 0.79 0.56 0.46\ntext2vec-base-multilingual 0.63 0.56 0.50 0.26 0.19\ntext-embedding-3-large 0.92 0.80 0.87 0.73 0.60\ntext-embedding-3-small 0.89 0.74 0.87 0.66 0.52\ntext-embedding-ada-002 0.89 0.76 0.86 0.64 0.52\nvoyage-code-2 0.87 0.76 0.83 0.68 0.53\nuniversal-sentence-encoder-multilingual-3 0.74 0.62 0.70 0.00 0.35\nuniversal-sentence-encoder-multilingual-large-3 0.69 0.64 0.64 0.00 0.34\nxlm-roberta-base 0.32 0.28 0.03 0.00 0.00\nxlm-roberta-large 0.39 0.31 0.07 0.01 0.01\nTable 11: Performance of each model for Retrieval and Reranking.\n23", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv4.pdf" - }, - { - "text": "67. \"Le nouveau profil de la population active immigrée\" (http://www.insee.fr/fr/themes/document.asp?reg_id=8&ref_id=19297). Institut national de la statistique et des études économiques.\n68. Bienfait, Jean (1968). \"La population de Lyon à travers un quart de siècle de recensements douteux (1911-1936)\" (https://www.persee.fr/doc/geoca_0035-113x_1968_num_43_1_2625). Géocarrefour. 43 (1). Revuede géographie de Lyon: 80. doi:10.3406/geoca.1968.2625 (https://doi.org/10.3406%2Fgeoca.1968.2625).Retrieved 16 October 2020.\n69. Des villages de Cassini aux communes d'aujourd'hui: Commune data sheet Lyon (http://cassini.ehess.fr/fr/html/fiche.php?select_resultat=20464), EHESS (in French).\n70. EHESS. \"Des villages de Cassini aux communes d'aujourd'hui\" (http://cassini.ehess.fr/fr/html/). Retrieved9 April 2022.\n71. \"Statistiques locales - Métropole de Lyon : Intercommunalité-Métropole - Population municipale (historiquedepuis 1876)\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n72. \"IMG1B - Population immigrée par sexe, âge et pays de naissance en 2020 − Recensement de la population– Résultats pour toutes les communes, départements, régions, intercommunalités... −Étrangers - Immigrés en2020 | Insee\" (https://www.insee.fr/fr/statistiques/7633127?sommaire=7633727&geo=COM-69123).\n73. \"欧州の補習授業校⼀覧（平成 25 年 4 ⽉ 15 ⽇現在） (https://web.archive.org/web/20140330190146/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)\" (Archive (https://web.archive.org/web/20071213144924/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)). Ministry of Education,Culture, Sports, Science and Technology (MEXT). Retrieved on 10 May 2014. Cite Scolaire: \"Cité ScolaireInternationale, 2 place de Montréal,69361 LYON CEDEX 07 FRANCE\" and Lyon: \"Maison Berty Albrecht 14,Place Grandclement, 69100 Viueurbanne, FRANCE\"", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "In the context of research publication, what is HAL ?", - "target_page": 3, - "target_passage": "Hyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "their papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-\nsure the dataset quality is suitable for a benchmark,\nfurther data cleaning has been performed:\n• Duplicates are eliminated, retaining unique\npublications for each field.\n• Irrelevant titles (due to API indexing mistakes)\nor titles in languages other than French have\nbeen manually removed.\n3https://www.syntec.fr/convention-collective/\n4https://huggingface.co./datasets/lyon-nlp/\nmteb-fr-retrieval-syntec-s2p\n5https://huggingface.co./datasets/lyon-nlp/\nclustering-hal-s2s\n2", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "stage. No other blinding was applicable, given the observational study of brain changes in response to advancing gestational week.\nReporting for specific materials, systems and methods\nWe require information from authors about some types of materials, experimental systems and methods used in many studies. Here, indicate whether each material, \nsystem or method listed is relevant to your study. If you are not sure if a list item applies to your research, read the appropriate section before selecting a response.", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed4.pdf" - }, - { - "text": "McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for\nthe Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w\neb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html).\nArchived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.\nhtml) on 26 August 2007. Retrieved 30 August 2007.\nMcCarthy, John (2007), \"From Here to Human-Level AI\", Artificial Intelligence, p. 171\nMcCarthy, John (1999), What is AI? (http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde\nx.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi\ncial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved\n4 December 2022\nMcCauley, Lee (2007). \"AI armageddon and the three laws of robotics\". Ethics and Information\nTechnology. 9 (2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo\nc/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007%\n2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729\n49).\nMcGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge\ndiscovery\". The Knowledge Engineering Review. 20 (1): 39–61.\ndoi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408).\nS2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656).\nMcGaughey, E (2022), Will Robots Automate Your Job Away? 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BBC News. Archived (https://web.archive.org/web/20150129183\n607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved\n30 January 2015.\nReisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering\nGenerative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla\nma-pirated-books/675063/), The Atlantic, archived (https://web.archive.org/web/2024100307\n1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-pirated-", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "found on the web, and this additional information can help contextualize the \nprovenance and veracity of information. \n• Breadth, Diversity, and Mitigating Bias: Books can serve a critical role in ensuring AI \nmodels are inclusive of a broad range of topics and categories that may be under-\nrepresented in other content. For all that the Internet has generated an explosion in \nhuman creativity and information sharing, it generally represents only a few decades \nof information and a small portion of the world’s creative population. A books \ndataset, by comparison, is capable of representing centuries of human knowledge. As \na result such a dataset can help ensure AI systems behavior is based on centuries of \nhistorical information from modern books. It can help ensure broad geographic and \nlinguistic diversity. What’s more, the greater breadth and diversity of high-quality \ncontent help mitigate challenges around bias and misinformation. Using a more \ndiverse pool of training data can help support the production of a model and outputs \nof the model that are more representative of that diversity. Books can be useful in \nevaluation datasets to test existing models for memorization capabilities, which can \nhelp prevent unintended reproduction of existing works. Of course, this is all \ncontingent on actual composition of the corpus; in order to have the bene fits \ndescribed, the books would need to be curated and included with characteristics like \ntime, geographic and linguistic diversity. \n• Other Modalities: Finally, books do not just contain text, they often contain images \nand captions of those images. As such, they can be an important training source for \nmulti-modal LLMs, which can receive and generate data in media other than text. \nLowering Barriers to Entry & Facilitating Competition \nBroad access to books for AI training is critical to ensure powerful AI models are not \nconcentrated in the hands of only a few companies. Access to training data, in general, has \nbeen cited as a potential competitive concern in the AI field because of the performance 11\nbenefits to be gained by training on larger and larger datasets. But this competitive wedge is \neven more acute when we look specifically at access to book datasets. \nThe largest technology companies building commercial AI models have the resources and \ncapacity to mass digitize books for AI training. Google has scanned 40 million books, many \nof which came from digitization partnerships they formed with libraries. They may already \nuse some or all of these books to train their AI systems. It’s unclear to what extent other 12\ncompanies already have acquired books for AI training (for instance, whether Amazon’s \nexisting licenses with publishers or self-published authors may permit such uses); \n See e.g. Trendacosta, Katherine and Doctorow, Cory. “AI Art Generators and the Online Image Market.” 11\nElectronic Frontier Foundation, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-and-\nonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. “An Antimonopoly Approach to \nGoverning Artificial Intelligence.” SSRN Electronic Journal, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/\nuploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/\nssrn.4597080. Accessed 25 Feb. 2024.\n See white paper for Google’s Gemini models https://arxiv.org/pdf/2312.11805.pdf — “Gemini models 12\nare trained on a dataset that is both multimodal and multilingual. Our pretraining dataset uses data from \nweb documents, books, and code, and includes image, audio, and video data.”\nTowards a Books Data Commons for AI Training 6", - "page_start": 6, - "page_end": 6, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "What is the effect of embedding dimension on embedding representation quality ?", - "target_page": 6, - "target_passage": "we observe a performance correla- tion with the embedding dimension and the model’s number of parameters, which are often correlated themselves", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "CamemBERT (Martin et al., 2019),FlauBERT\n(Le et al., 2020) and even the very recent\nCroissantLLM (Faysse et al., 2024).\n• Variety: Diverse model types were included\nto offer an insightful analysis across vari-\nous model characteristics (dimension, training\nstrategy, etc.).\nIn line with the third objective, we explicit below\nthe studied characteristics of embedding models\nthat will be discussed with the results.\n• Embedding dimension:This critical element\ninfluences the expressiveness of the represen-\n4", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv4.pdf" - }, - { - "text": "correlated (see Figure 12). We preferred to propose\ndatasets even if they could introduce biases rather\nthan not address the task in the benchmark. Note\nthat each task type can be considered individually.\nWe hope additional resources will be developed\nin the French-speaking community to enrich our\ncomparison.\nBenchmark validity over time As with all\nbenchmarks, their reliability over time can be dis-\ncussed as the field evolves fast. The models se-\nlected for the analysis conducted in this paper are\nthose available at this time, new outperforming\nmodels will be created and shall be evaluated. Our\nwork extends MTEB and thus simplifies the ad-\ndition of new datasets for evaluation and allows\nrunning new models. With this effort, we hope\nthis will simplify the evaluation of new models pro-\nposed by the community to keep our work up to\ndate.\nData contamination issues Bias may exist for\nmodels that use the training sets of the provided\nevaluation datasets for their training. It consider-\nably improves their performance on the benchmark,\nfavouring them over other models. This is particu-\nlarly worrying for models that do not communicate\nabout the datasets used during training, such as pro-\nprietary models. Generally speaking, it would be\ninteresting to calculate the similarity between the\ndatasets used to train the models and those used to\ntest them to check that they are far enough apart to\ndraw general conclusions.\nFocus on sentence embeddings Finally, like the\noriginal version of MTEB, the comparison focuses\nmainly on sentence embeddings. Other tasks could\nbe added to cover word embeddings and, therefore,\nmore NLP tasks.\nAcknowledgements\nWe would like to thank Wikit 11 and Esker12 for\nproviding compute and funding this research.\nReferences\nDavid Ifeoluwa Adelani, Marek Masiak, Israel Abebe\nAzime, Jesujoba Oluwadara Alabi, Atnafu Lam-\nbebo Tonja, Christine Mwase, Odunayo Ogun-\ndepo, Bonaventure F. P. Dossou, Akintunde\nOladipo, Doreen Nixdorf, Chris C. Emezue,\n11https://www.wikit.ai/\n12https://www.esker.com/\nSana Al-Azzawi, Blessing K. Sibanda, Davis\nDavid, Lolwethu Ndolela, Jonathan Mukiibi,\nTunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian\nOdhiambo, Abraham Toluwase Owodunni, Nnae-\nmeka Obiefuna, Shamsuddeen Hassan Muham-\nmad, Saheed Salahudeen Abdullahi, Mesay Gemeda\nYigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmu-\nmin, Mahlet Taye Bame, Oluwabusayo Olufunke\nAwoyomi, Iyanuoluwa Shode, Tolulope Anu Ade-\nlani, Habiba Abdulganiy Kailani, Abdul-Hakeem\nOmotayo, Adetola Adeeko, Afolabi Abeeb, An-\nuoluwapo Aremu, Olanrewaju Samuel, Clemen-\ncia Siro, Wangari Kimotho, Onyekachi Raphael\nOgbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chuk-\nwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F.\nAwosan, Tadesse Kebede Guge, Sakayo Toadoum\nSari, Pamela Nyatsine, Freedmore Sidume, Oreen\nYousuf, Mardiyyah Oduwole, Ussen Kimanuka,\nKanda Patrick Tshinu, Thina Diko, Siyanda Nx-\nakama, Abdulmejid Tuni Johar, Sinodos Gebre,\nMuhidin A. Mohamed, Shafie Abdi Mohamed,\nFuad Mire Hassan, Moges Ahmed Mehamed, Evrard\nNgabire, and Pontus Stenetorp. 2023. Masakhanews:\nNews topic classification for african languages. In\nInternational Joint Conference on Natural Language\nProcessing.\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab,\nAitor Gonzalez-Agirre, Rada Mihalcea, German\nRigau, and Janyce Wiebe. 2016. SemEval-2016\ntask 1: Semantic textual similarity, monolingual\nand cross-lingual evaluation. In Proceedings of the\n10th International Workshop on Semantic Evaluation\n(SemEval-2016), pages 497–511, San Diego, Califor-\nnia. Association for Computational Linguistics.\nArthur Barbosa, Máverick Ferreira, Rafael Fer-\nreira Mello, Rafael Dueire Lins, and Dragan Ga-\nsevic. 2021. The impact of automatic text transla-\ntion on classification of online discussions for social\nand cognitive presences. In LAK21: 11th Interna-\ntional Learning Analytics and Knowledge Confer-\nence, LAK21, page 77–87, New York, NY , USA.\nAssociation for Computing Machinery.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "tation and, in practical applications, the under-\nlying storage and compute costs. We selected\nmodels with embedding dimensions ranging\nfrom 384 to 4096.\n• Sequence length: Being the number of to-\nkens that a model can consider as input, the\nsequence length is important as it impacts the\nunit that can be encoded (sentence, paragraph,\ndocument). However, encoding overly long\nsequences requires efficiently storing the rele-\nvant information into a single vector. Among\nthe selected methods, this criterion varies\nfrom 128 tokens to 32768.\n• Model parameters:Often correlated with the\ntwo first characteristics, parameter count is im-\nportant for practical applications as it affects\nusability on resource-efficient machines. The\nselected models have a number of parameters\nranging from 20 million (∼100Mb in float32)\nto 7 billion (∼28Gb).\n• Language: This is a major feature of lan-\nguage models. Some are monolingual, and\nothers are multilingual. Language is usually\nacquired during pre-training, but sometimes,\nmodels familiarize themselves with new lan-\nguages at tuning. For the benchmark, we\nselected French models, as well as bilingual\nor multilingual models. We also included a\nfew ones that claimed to be English (e.g. all-\nMiniLM-L12-v29).\n• Model types:There are several strategies to\ngenerate text embeddings such as aggregat-\ning (e.g. with average pooling) token-level\nembeddings from raw pre-trained models, or\nadding an extra contrastive learning step on a\nsentence similarity task with, optionally, ad-\nditional transformation layers. We included\nmodels of all types in our benchmark, summa-\nrizing the model type information under two\nrelevant criteria: finetuned vs pretrained, and\ntrained for sentence similarity or not.\nThe selected models are visible in Figure 1, and\nall of their characteristics are summarized in ap-\npendix Table 7. Overall, the selection includes the\nbest models from the sentence transformers frame-\nwork (Reimers and Gurevych, 2019), the most pop-\nular French NLP models (Le et al., 2020; Martin\n9https://huggingface.co./sentence-transformers/\nall-MiniLM-L12-v2\net al., 2019), their variants optimized for semantic\nsimilarity (Reimers and Gurevych, 2019), numer-\nous multilingual models performing at the top on\nMTEB (e.g E5 and T5), Bloom variants (Zhang\net al., 2023), models based on very recent power-\nful LLMs (Wang et al., 2023; Faysse et al., 2024)\nand finally the proprietary models of OpenAI, Co-\nhere and V oyage. Certain models were selected in\nmultiple sizes to isolate the dimensionality effect\neffectively. We provide information on the mod-\nels’ licenses as reported in the Hugging Face hub10.\nHowever, we encourage readers to conduct further\nresearch before utilizing a model.\n3.3 Evaluation\nFor the sake of homogeneity, models are evalu-\nated using the same metrics per task as in MTEB\n(Muennighoff et al., 2022): Classification (Accu-\nracy), Bitext mining (F1 score), Pair classification\n(AP), Clustering (V measure), Reranking (MAP),\nRetrieval (NDCG@10), Summarization and STS\n(Spearman correlation based on cosine similarity).\nBitextMining tasks are excluded from the aver-\nage performance scores and therefore the figures,\nas this task evaluates 2 languages instead of one,\nand this benchmark focuses only on one language\n(French). We present the results for both DiaBlaBi-\ntextMining and FloresBitextMining in Table 12.\nUsing the overall benchmark results, our goal\nwill be to answer the following research questions:\nQ1: Is a model outstanding on all tasks?\nAs we are trying to find out whether one embed-\nding model is statistically better than the others for\nFrench, the objective will also be to analyze the\nperformance of the models by tasks to facilitate\nmodel choice for specific applications.\nQ2: Are there any links between the model charac-\nteristics and performance?\nIn section 3.2, we undertook the substantial task of\ngathering the characteristics of all evaluated mod-\nels. The goal here will be to analyze their impact", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "Feature Prediction versus Pixel Reconstruction.\nApproaches that predict in pixel space must dedicate\nsignificant model capacity and compute to capture all\nthe low-level detail in the visual input. By contrast, ap-\nproaches that predict in latent space have the flexibility\nto eliminate irrelevant or unpredictable pixel-level details\nfrom the target representation (Vondrick et al., 2016).\nPredicting in representation space has been shown to\nlead to versatile representations that perform well across\nmany downstream tasks through linear probing or low-\nshot adaptation (Assran et al., 2023; Oquab et al., 2023;\nAssran et al., 2022), while demonstrating an efficiency\ngain during pretraining compared to pixel level recon-\nstruction (Assran et al., 2023; Baevski et al., 2022b,a).\nThe works of Baevski et al. (2022a,b) additionally show\nthat predicting in representation space results in compet-\nitive end-to-end fine-tuning performance in the image,\naudio and text domains. In this work, we extend these\nfindings to the video modality.\n3 Methodology: Video-JEPA\nx\nx-encoder\npredictorz\ny\ny-encoder\nD(ˆsy, sy)\nˆsy\nsy\nFigure 2 Joint-Embedding Predictive Architectures are\ntrained to predict the representation of an inputy from\nthe representation of another inputx. The additional vari-\nable z provides the predictor with information about the\ntransformation that computesy from x.\nOur goal is to explore the effectiveness of feature pre-\ndiction as a stand-alone objective for learning visual\nrepresentations from video. To that end, we use a\njoint-embedding predictive architecture (JEPA) (LeCun,\n2022); see Figure 2. The main idea behind a JEPA is\nto learn by predicting the representation of an inputy\nfrom the representation of another inputx. The basic\narchitecture is made up of an encoder,Eθ (·), which com-\nputes the representation of the inputs, and a predictor,\nPϕ (·), which predicts the representation ofy from the\nrepresentation ofx, conditioned on a variablez indicat-\ning the transformation (or corruption) betweenx and\ny. Conditioning onz enables the generation of distinct\npredictions for various transformations ofx.\n3.1 Training Objective\nWe train our visual encoderEθ (·) to satisfy the con-\nstraint that representations computed from one part of\nthe video,y, should be predictable from representations\ncomputed from another part of the video,x. The pre-\ndictor networkPϕ (·), which maps the representation of\nx to the representation ofy, is trained simultaneously\nwith the encoder, and is provided specification of the\nspatio-temporal positions ofy through the conditioning\nvariable z ← ∆y .\nNaively implementing the objective using the regression\nminimizeθ,ϕ ∥Pϕ (Eθ (x), ∆y ) − Eθ (y)∥1,\nwould admit a trivial solution, where the encoder out-\nputs a constant representation, regardless of its input.\nIn practice, we use the following modified objective to\nprevent representation collapse,\nminimizeθ,ϕ ∥Pϕ (Eθ (x), ∆y ) − sg(Eθ (y))∥1, (1)\nwhere sg(·) denotes a stop-gradient operation, which\ndoes not backpropagate through its argument, andEθ (·)\nis an exponential moving average of the networkEθ (·).\nThe use of an exponential-moving average feature ex-\ntractor along with a stop-gradient and a predictor has\nbeen used as a collapse prevention strategy for image pre-\ntraining (Grill et al., 2020), and studied empirically (Xie\net al., 2021) and theoretically (Tian et al., 2021). In\nfact, the objective in equation(1) is similar to the loss\nof Assran et al. (2023) used for image pretraining, but\nwe modify it to use anℓ1 regression, which we found to\nbe more stable.\nTheoretical motivation. A theoretical motivation for\nthe effectiveness of this collapse prevention strategy was\nproposed in Grill et al. (2020) for the BYOL method. We\nprovide a simple adaptation of their analysis for ourℓ1\nloss. For ease of exposition, we will disregard the effect of\nthe conditioning variablez and consider one dimensional\nrepresentations. Denote the representation Eθ (y) by", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "Diagonal Heterogeneous\nVertical Vertical + diagonal Block\n[CLS] [CLS] [SEP] [SEP] [SEP] [SEP] [SEP] [SEP] [CLS] [CLS] [SEP] [SEP] [SEP] [SEP] [CLS] \nFigure 3: Attention patterns in BERT (Kovaleva et al., 2019)\nies) insufficient (Warstadt et al., 2019). A given\nmethod might also favor one model over another,\ne.g., RoBERTa trails BERT with one tree extraction\nmethod, but leads with another (Htut et al., 2019).\nThe choice of linguistic formalism also matters\n(Kuznetsov and Gurevych, 2020).\nIn view of all that, the alternative is to focus on\nidentifying what BERT actually relies on at infer-\nence time. This direction is currently pursued both\nat the level of architecture blocks (to be discussed\nin detail in subsection 6.3), and at the level of in-\nformation encoded in model weights. Amnesic\nprobing (Elazar et al., 2020) aims to specifically\nremove certain information from the model and see\nhow it changes performance, finding, for example,\nthat language modeling does rely on part-of-speech\ninformation.\nAnother direction is information-theoretic prob-\ning. Pimentel et al. (2020) operationalize prob-\ning as estimating mutual information between the\nlearned representation and a given linguistic prop-\nerty, which highlights that the focus should be not\non the amount of information contained in a rep-\nresentation, but rather on how easily it can be ex-\ntracted from it. V oita and Titov (2020) quantify\nthe amount of effort needed to extract information\nfrom a given representation as minimum descrip-\ntion length needed to communicate both the probe\nsize and the amount of data required for it to do\nwell on a task.\n4 Localizing linguistic knowledge\n4.1 BERT embeddings\nIn studies of BERT, the term \"embedding\" refers\nto the output of a Transformer layer (typically, the\nfinal one). Both conventional static embeddings\n(Mikolov et al., 2013) and BERT-style embeddings\ncan be viewed in terms of mutual information max-\nimization (Kong et al., 2019), but the latter are\ncontextualized. Every token is represented by a\nvector dependent on the particular context of occur-\nrence, and contains at least some information about\nthat context (Miaschi and Dell’Orletta, 2020).\nSeveral studies reported that distilled contex-\ntualized embeddings better encode lexical se-\nmantic information (i.e. they are better at tra-\nditional word-level tasks such as word similarity).\nThe methods to distill a contextualized represen-\ntation into static include aggregating the informa-\ntion across multiple contexts (Akbik et al., 2019;\nBommasani et al., 2020), encoding \"semantically\nbleached\" sentences that rely almost exclusively on\nthe meaning of a given word (e.g. \"This is <>\")\n(May et al., 2019), and even using contextualized\nembeddings to train static embeddings (Wang et al.,\n2020d).\nBut this is not to say that there is no room for\nimprovement. Ethayarajh (2019) measure how\nsimilar the embeddings for identical words are in\nevery layer, reporting that later BERT layers pro-\nduce more context-specific representations3. They\nalso find that BERT embeddings occupy a narrow\ncone in the vector space, and this effect increases\nfrom the earlier to later layers. That is, two ran-\ndom words will on average have a much higher\ncosine similarity than expected if embeddings\nwere directionally uniform (isotropic) . Since\nisotropy was shown to be beneficial for static word\nembeddings (Mu and Viswanath, 2018), this might\nbe a fruitful direction to explore for BERT.\nSince BERT embeddings are contextualized, an\ninteresting question is to what extent they cap-\nture phenomena like polysemy and homonymy.\nThere is indeed evidence that BERT’s contextu-\nalized embeddings form distinct clusters corre-\nsponding to word senses(Wiedemann et al., 2019;\nSchmidt and Hofmann, 2020), making BERT suc-\ncessful at word sense disambiguation task. How-\never, Mickus et al. (2019) note thatthe representa-\ntions of the same word depend on the position\nof the sentence in which it occurs , likely due to", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for\nsentence embeddings have been developed by the\nopen-source community2, by fine-tuning models\nlike CamemBERT(Martin et al., 2019) or Crois-\nsantLLM(Faysse et al., 2024).\nBenchmarks Embedding models are generally\ncompared on specific tasks, such as information\nretrieval, STS or reranking (Thakur et al., 2021;\nAgirre et al., 2016; Wang et al., 2021). Other\nworks evaluate embedding models on multiple\ntasks (Wang et al., 2018; et al., 2022; Conneau and\nKiela, 2018) or compare meta-embeddings (García-\nFerrero et al., 2021). The most comprehensive\nbenchmark to date is MTEB (Muennighoff et al.,\n2022). MTEB still has a critical limit: it mainly\nfocuses on English. Some initiatives already ex-\ntended this benchmark to other languages, such as\nChinese (Xiao et al., 2024) and German (Wehrli\net al., 2024). Our work comes with the same am-\nbition for French. It relies on the MTEB structure\nthat provides a solid basis for analysis and extends\nit to a new language.\n3 MTEB for French\nIn this section, we describe the datasets and the\nmodels that we propose for the French extension\nof MTEB. We also list the research questions we\nwant to discuss with the results.\n3.1 New Datasets\nWe identified 7 datasets relevant to French in the ex-\nisting MTEB, which we assume are of good quality.\nWe complemented these with 8 external relevant\ndatasets proposed in the literature, such as BSARD\n(Louis and Spanakis, 2022) and Alloprof (Lefebvre-\nBrossard et al., 2023), which are proven to be good\nquality. We created 3 new ones presented in Table 1\nand assessed their quality with various procedures\nand metrics. In addition to all performed checks,\nwe run multiple models on these datasets and pro-\nvide results to show that they are neither trivial nor\nimpossible to solve (see Tables 10, 11, 12 and 13).\nTherefore, as of today, our French MTEB\nruns on 18 datasets. Some datasets are framed\ndifferently according to the task category they\nare used with. For example, MasakhaNEWS\ndataset (Adelani et al., 2023) is used for\nboth Classification (MasakhaNEWSClassification)\nand Clustering (MasakhaNEWSClusteringS2S and\n2Models on the HuggingFace hub: sentence-camebert,\nsentence_croissant_alpha_v0.3, Solon-embeddings-large-0.1.\nMasakhaNEWSClusteringP2P). Table 3 shows de-\ntails of each task data used for running the bench-\nmark.\nThis section describes the 3 new datasets we in-\ntroduce, quality checks performed and an analysis\nof the semantic similarities between datasets.\n3.1.1 Syntec (Retrieval)\nThe Syntec French collective bargaining agree-\nment3 comprises around 90 articles. Despite its\ntopic, the language used does not feature the speci-\nficity of the legal vocabulary, making the data\nsuitable for benchmarking general-purpose mod-\nels. The articles have been scraped for use as doc-\numents. Four annotators were divided into two\ngroups. Each group was given half of the articles\nand asked to choose an article and write a question\nabout it. Each annotator wrote 25 questions. Thus,\na hundred questions have been manually created\nand paired with the articles containing the answer4.\nExamples of the dataset are available in the ap-\npendix Figure 5. This dataset could also be used\nfor text classification, clustering or topic modeling.\nRegarding quality checks, every article’s integrity\nhas been reviewed while manually creating ques-\ntions. We also manually checked that the questions\ncould only be answered using the annotated article.\n3.1.2 HAL (Clustering)\nHyper Articles en Ligne (HAL) is a French open\narchive of scholarly documents from all academic\nfields. Scrapping this resource, we fetched 85,000\npublications in French5. We extracted IDs, titles\nand the author’s choice among domain labels. The\nlast 2 are provided by authors when submitting\ntheir papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets.We ablate the effect of computing the prediction loss in feature space vs pixel space. All\nmodels are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We\nexamine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single\ncenter view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide\na consistent improvement over pixel space prediction.\nFrozen Evaluation Fine-Tuning\nK400 SSv2 IN1K K400-ft\nTarget Arch. (16×1×1) (16 ×1×1) (16 ×5×3)\nPixels ViT-L/16 68.6 66.0 73.3 85.4\nFeatures ViT-L/16 73.7 66.2 74.8 85.6\nTable 2 Pretraining Data Distribution.We pretrain all models for 90K iterations using a batch size of 3072, and evaluate\ndownstream performance of the frozen backbones with an attentive probe using a single center view. Average performance\nacross tasks increases with the pretraining dataset size.\nFrozen Evaluation\nK400 SSv2 IN1K Avg.\nArch. Data #Samples (16×1×1) (16 ×1×1)\nViT-L/16\nK710 700K 75.8 63.2 73.7 70.9\nK710+SSv2 900K 72.9 67.4 72.8 71.0\nK710+HT 1900K 74.5 64.2 74.8 71.1\nVideoMix2M 2000K 73.7 66.2 74.8 71.5\nViT-H/16 K710+SSv2 900K 75.7 66.8 73.7 72.0\nVideoMix2M 2000K 74.0 68.5 75.9 72.8\nEvaluations. Pretrained models are evaluated on\ndownstream video and image tasks. On video tasks,\nwe use a subset of the VideoGLUE benchmark (Yuan\net al., 2023) to test for various capabilities; specif-\nically, we investigate action recognition on Kinetics-\n400 (K400) (Kay et al., 2017), motion classification on\nSomething-Something-v2 (SSv2) (Goyal et al., 2017),\nand action localization on AVA (Gu et al., 2018). Action\nclassification on Kinetics evaluates the appearance-based\nunderstanding of the model, as many action classes in\nthe dataset can be inferred from the presence of specific\nobjects in the video (Sevilla-Lara et al., 2021). Motion\nclassification on Something-Something-v2 evaluates the\ntemporal understanding of the model, as action classes\nin the dataset are decoupled from the appearance/pres-\nence of specific objects in the video (Goyal et al., 2017).\nFinally, action localization on AVA evaluates the ability\nof the model to understand and localize motions in the\nvideo. We follow standard practice and report accu-\nracy on K400 and SSv2 by sampling several spatial and\ntemporal views. For static image tasks, we explore ob-\nject recognition on ImageNet (Russakovsky et al., 2015),\nscene classification on Places205 (Zhou et al., 2014), and\nfine-grained recognition on iNaturalist 2021 (Van Horn\net al., 2018).\n4 What Matters for Learning Represen-\ntations from Video?\nIn this section we isolate the contributions of several de-\nsign choices, including: a) the use of a feature prediction\nversus pixel prediction objective, b) the construction of\nthe pretraining data distribution, c) the feature pooling\nstrategy for leveraging the model’s representations in\ndownstream tasks, and d) the masking strategy, towards\nidentifying: what to predict from what?\n4.1 Predicting Representations versus Pixels\nWe first ablate the effect of computing the prediction\nloss in representation space. We train a pair of ViT-L/16\nmodels using either aV-JEPA feature prediction loss,\nor a mean-squared error loss with the normalized pixel\nvalues, as in masked autoencoders (He et al., 2021), and\nperform a sweep over the learning rate and weight decay\nschedules for both approaches. All models are pretrained\non VideoMix2M for 90K iterations with a batch size of\n3072 using multi-block masking. We examine perfor-\nmance on Kinetics-400 (K400), Something-Something-v2\n(SSv2), and ImageNet-1K (IN1K), using a frozen back-\nbone with an attentive probe, and report top-1 accuracy\nusing a single center view. We also examine end-to-end\nfine-tuning performance of the models on Kinetics-400.\nResults of this comparison are reported in Table 1 and", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "teristics and performance?\nIn section 3.2, we undertook the substantial task of\ngathering the characteristics of all evaluated mod-\nels. The goal here will be to analyze their impact\non performance and draw conclusions about, for\nexample, the relationship between embedding di-\nmension and model ranking on the benchmark.\nQ3: Do monolingual models have multilingual ca-\npabilities?\nWe interrogate the ability of a model trained exclu-\nsively in one language to perform well in another\nlanguage.\nQ4: Are there any correlations between datasets\n10https://huggingface.co./models\n5", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "are not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly\nperfect; the black-box results are often better but sometimes somewhat worse than those for query-independent gadgets.\nWe conjecture that this is due to some level of overfitting.\n11", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "with respect to model ranking?\nTo go further than the correlation analysis among\ndatasets regarding their topics (see section 3.1.5),\nsubsequent analysis will be conducted regarding\nhow they rank models. Additionally, complemen-\ntary insights will be derived from examining cor-\nrelations of models relative to their strengths and\nweaknesses across different datasets.\n4 Results and discussion\nIn this section, we present the results through the\nprism of our research questions.\nQ1: Is there a model that outstands on all\ntasks?\nModels performances for each task are presented\nin appendix Tables 9, 10, 11, 12 and 13. Figure\n1 shows the critical difference diagram of average\nscore ranks.\nAs in MTEB (Muennighoff et al., 2022), no\nmodel claims state-of-the-art in all tasks even if\nthe text-embedding-3-large model is in first place\non average on all tasks (see Table 9). It ranks\nfirst for the classification and reranking tasks. For\nthe clustering task, text-embedding-ada-002 is the\nbest model. The models voyage-code-2, text-\nembedding-3-small and mistral-embed share the\ntop positions in the retrieval task ranking. For the\npair classification task, laser2 is ahead of its com-\npetitors. Finally, sentence-camembert-large leads\non the STS task and multilingual-e5-small has the\nbest results for summarization.\nFigure 1 shows a global model comparison\nacross all datasets. The models are arranged hori-\nzontally according to their performance, with the\nbest models on the left. The black bars repre-\nsent the statistical equivalence between the mod-\nels’ performances. The statistically equivalent\ntop performers for this benchmark are OpenAI’s\nmodels text-embedding-3-large, text-embedding-3-\nsmall and text-embedding-ada-002. Interestingly,\nmany models do not show a significant perfor-\nmance gap between their base and large flavours.\nSome French models stand out among the multi-\nlingual models, such as Solon-embeddings-large-\n0.1, sentence_croissant_alpha_v0.3 and sentence-\ncamembert-large.\nQ2: Are there any links between model\ncharacteristics and performance?\nThe Spearman correlations between the average\nrank of the models and their characteristics are the\nfollowing:\n• Tuned for sentence similarity: 0.727\n• Finetuned vs pretrained: 0.544\n• Model number of parameters: 0.49\n• Embedding dimension: 0.452\n• Closed source: 0.449\n• Max sequence length: 0.336\n• Multilingual: 0.103\n• English: 0.025\n• English but tuned on other languages: -0.025\n• French: -0.134\n• Bilingual: -0.135\nAdditionally, all cross-correlations between charac-\nteristics are reported in appendix Figure 10.\nAs expected, the score most strongly correlates\nwith whether the evaluated models were trained on\na sentence similarity task. Of course, this criterion\nis connected to the more general Finetuned one.\nThe only top-performing models solely pre-trained\nare from the E5 family, where the pre-training is,\nin fact, contrastive and optimized for similarity.\nConversely, models pre-trained on token-level tasks\nand generating embeddings via pooling appear less\nwell-suited for the benchmark tasks.\nFurthermore, we observe a performance correla-\ntion with the embedding dimension and the model’s\nnumber of parameters, which are often correlated\nthemselves. This appears very clearly on the rela-\ntive ranking of E5 and T5 models (see Figure 1).\nHowever, some small models perform very well\non the benchmark, such as the standard version\nof the multilingual universal sentence encoder or\nSolon-embeddings-base-1.0. Notably, the maxi-\nmum sequence length, while an important criterion\nfor generative tasks with LLMs, is less correlated\nwith performance than the other dimensions. This\ncan be explained by many datasets containing rel-\natively small texts (see appendix Table 3 showing\nthat 14 datasets have less than 50 tokens).\nRegarding language, it is surprising that good\nperformance is not particularly correlated with\nFrench models in particular. In reality, the other", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "What is the maximum amount covered by the FWC of the europeean chemical agency ?", - "target_page": 6, - "target_passage": "The maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is EUR 1 000 000 (one million)", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n44 \nHAVE AGREED \nI.1.1.1.1. Article 1 Subject matter \n1.1 This specific contract implements framework contract (FWC) No ECHA/2019/355 \nsigned by the parties on [complete date]. \n1.2 In accordance with the provisions set out in the FWC and in this specific contract \nand [its][their] annex[es], which form an integral part of it, the contractor must \nprovide the [following services:] [services specified in Annex [complete].] \nI.1.1.1.2. Article 2 Entry into force and duration \n2.1 This specific contract enters into force on the date on which the last party signs it. \n2.2 The provision of the services starts from the date of entry into force of this specific \ncontract. \n2.3 The provision of the services must not exceed [ complete] [days] [months]. The \nparties may extend the duration by written agreement before it elapses and before \nexpiry of the FWC. \nI.1.1.1.3. Article 3 Price \n3.1 The price payable under this specific contract excluding reimbursement of expenses \nis EUR [amount in figures and in words]. \n[The maximum amount covering all services to be provided under this specific \ncontract including reimbursement of expenses and excluding price revision is EUR \n[amount in figures and in words].] \n3.2 [Reimbursement of expenses is not applicable to this specific contract.] [Within the \nmaximum amount, up to EUR [amount in figures and in words ] is earmarked for \nexpenses, which must be reimbursed in accordance with the FWC]. \n*** \nI.1.1.1.4. Article 4 communication details \nFor the purpose of this specific contract, communications must be sent to the following \naddresses: \nContracting authority: \nEuropean Chemicals Agency \n [Directorate [complete]] \n[Unit [complete]] \n[Postcode and city] \nE-mail: [insert functional mailbox]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n8 \n3. The contracting authority may suspend the time limit for payment specified in point 2 \nin accordance with Article II.21.7. Once the suspension is lifted, t he contracting authority \nshall give its approval and pay within the remainder of the ti me-limit indicated in point 2 \nunless it rejects partially or fully the submitted documents. \nI.6.4. Performance guarantee \nPerformance guarantee is not applicable to this FWC. \nI.6.5. Retention money guarantee \nRetention money guarantee is not applicable to this FWC. \nI.7. Bank account \nPayments must be made to the contractor’s (or leader’s in the case of a joint tender) bank \naccount denominated in euro, identified as follows: \nName of bank: \nFull address of branch: \nExact denomination of account holder: \nFull account number including bank codes: \n[IBAN1 code:] \nI.8. Communication details \nFor the purpose of this FWC, communications must be sent to the following addresses: \nContracting authority: \nEuropean Chemicals Agency \nDirectorate and Unit D3, Risk Management I \nTelakkakatu 6 \n00150 Helsinki \nFinland \nE-mail: [insert functional mailbox] \n \nContractor (or leader in the case of a joint tender): \n[Full name] \n[Function] \n[Company name] \n[Full official address] \nE-mail: [complete] \nBy derogation from this Article, different contact details for the contracting authority or the \ncontractor may be provided in specific contracts. \n \n1 BIC or SWIFT code for countries with no IBAN code", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: [complete] Restricted FWC conditions of October 2018 \n \n \n \n \n \nAnnankatu 18, P.O. Box 400, FI -00121 Helsinki, Finland | Tel. +358 9 686180 | Fax +358 9 68618210 | echa.europa.eu \nI am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] \nconcerning intellectual property rights and exploitation of the results and I confirm that I \ntransferred all the relevant rights to [insert name of contractor or other intermediary right \nholder]. \nI declare that [I have received full remuneration] [I agreed to re ceive remuneration by \n[insert date]]. \n[As creator, I also confirm that I do not object to the following: \n(a) that my name be mentioned or not mentioned when the results are presented to \nthe public; \n(b) that the results be divulged or not after they have been del ivered in their final \nversion to the contracting authority; \n(c) that the results be adapted, provided that this is done in a manner which is not \nprejudicial to my honour or reputation.] \nDate, place, signature", - "page_start": 48, - "page_end": 48, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n4 \nII.22. Reimbursements ....................................................................................................... 36 \nII.23. Recovery .................................................................................................................. 37 \nII.24. Checks and audits ..................................................................................................... 37", - "page_start": 3, - "page_end": 3, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n7 \n(a) travel, subsistence, accommodation and shipment expenses; and \n(b) any other expenses provided for in the tender specifications. \nThe daily subsistence allowance referred to in Article II.22.4 (d) and the accommodation \nflat-rate ceiling referred to in Article II.22.4(e) are listed in Annex IV \nI.6. Payment arrangements \nI.6.1. Pre-financing \nPre-financing is not applicable to this FWC. \nI.6.2. Interim payments \nInterim payment is not applicable to this FWC, unless it is provided for under a specific \ncontract. \nIf provided for, the contractor (or leader in the case of a joint tender) may claim the interim \npayment equal to the amount specified in the relevant specific contract in accordance with \nArticle II.21.6. \nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format \nor via e-PRIOR for the interim payment as provided for in the tender specifications, \naccompanied by the following: \n a list of all pre-existing rights to the results or parts of the results or a declaration stating \nthat there are no such pre-existing rights, as provided for in Article II.13.4; \n the relevant progress report or deliverable accepted by ECHA \n statements of reimbursable expenses in accordance with Article II.22. \nThe contracting authority must approve the submitted documents or deliverables and pay \nwithin 30 days from receipt of the invoice. \n \nI.6.3. Payment of the balance \n1. The contractor (or leader in the case of a joint tender) may claim the payment of the \nbalance in accordance with Article II.21.6. \nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format \nor via e-PRIOR for payment of the balance due under a specific contract, as provided for \nin the tender specifications and accompanied by the following: \n a list of all pre-existing rights to the results or parts of the results or a declaration stating \nthat there are no such pre-existing rights, as provided for in Article II.13.4; \n document of acceptance by ECHA of the deliverables as defined in the tender \nspecifications or specific contract \n statements of reimbursable expenses in accordance with Article II.22. \n2. The contracting authority must approve the submitted documents and pay within 30 \ndays from receipt of the invoice.", - "page_start": 6, - "page_end": 6, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n34 \nCommission and published on the website indicated below, applicable on the day when it \nissues the payment order. \nThe contractor make s any conversion bet ween the euro and another currency at the \nmonthly accounting exchange rate, established by the Commission and published on the \nwebsite indicated below, applicable on the date of the invoice. \nhttp://ec.europa.eu/budget/contracts_grants/info_contracts/inforeuro/inforeuro_en.cfm \nII.21.4. Costs of transfer \nThe costs of the transfer are borne as follows: \n(a) the contracting authority bears the costs of dispatch charged by its bank; \n(b) the contractor bears the costs of receipt charged by its bank; \n(c) the party causing repetition of the transfer bears the costs for repeated transfer. \nII.21.5. Pre-financing, performance and money retention guarantees \nIf, as provided for in Article I.6, a financial guarantee is required for the payment of pre -\nfinancing, as performance guarantee or as retention money guarantee, it must fulfil the \nfollowing conditions: \n(a) the financial guarantee is provided by a bank or a financial institution approved by \nthe contracting authority or, at the request of the contractor and with the \nagreement of the contracting authority, by a third party; and \n(b) the guarantee shall have the effect of making the bank or financial institution or the \nthird party provide irrevocable collateral security, or stand as first-call guarantor of \nthe contractor's obligations without requiring that the contracting authority has \nrecourse against the principal debtor (the contractor). \nThe contractor bears the cost of providing such guarantee. \nPre-financing guarantees must remain in force until the pre -financing is cleared against \ninterim payments or payment of the balance. Where the payment of the balance takes the \nform of a debit note, the pre-financing guarantee must remain in force for three months \nafter the debit note is sent to the contractor. The contracting authority must release the \nguarantee within the following month. \nPerformance guarantees cover compliance with substantial contractual obligations until the \ncontracting authority has given its final approval for the service. The performance \nguarantee must not exceed 10 % of the total price of the specific contract. The contracting \nauthority must release the guarantee fully after final approval of the service, as provided \nfor in the specific contract. \nRetention money guarantees cover full delivery of the service in accordance with the \nspecific contract including during the contract liability period and until its final approval by \nthe contracting authority. The retention money guarantee must not exceed 10 % of the \ntotal price of the specific contract. The contracting authority must release the guarantee \nafter the expiry of the contract liability period as provided for in the specific contract. \nThe contracting authority must not request a retention money guarantee for a specific \ncontract where it has requested a performance guarantee.", - "page_start": 33, - "page_end": 33, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n32 \nquality or continuity of the services. The parties may agree to draw up a transition plan \ndetailing the contractor’s assistance unless such plan is already detailed in other \ncontractual documents or in the tender specifications. The contractor must provide such \nassistance at no additional cost, except if it can demonstrate tha t it requires substantial \nadditional resources or means, in which case it must provide an estimate of the costs \ninvolved and the parties will negotiate an arrangement in good faith. \nII.18.4. Effects of termination \nThe contractor is liable for damage incurred by the contracting authority as a result of the \ntermination of the FWC or a specific contract, including the additional cost of appointing \nand contracting another contractor to provide or complete the services, except if the \ndamage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article \nII.18.2. The contracting authority may claim compensation for such damage. \nThe contractor is not entitled to compensation for any loss resulting from the termination \nof the FWC or a specific con tract, including loss of anticipated profits , unless the loss was \ncaused by the situation specified in Article II.18.2. \nThe contractor must take all appropriate measures to minimise costs, prevent damage and \ncancel or reduce its commitments. \nWithin 60 da ys of the date of termination, the contractor must submit any report, \ndeliverable or result and any invoice required for services that were provided before the \ndate of termination. \nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific \ncontract with each member of the group separately on the basis of points (d), (e) or (g) \nof Article II.18.1, under the conditions set out in Article II.11.2 \nII.19. Invoices, value added tax and e-invoicing \nII.19.1. Invoices and value added tax \nInvoices must contain the contractor’s (or leader’s in the case of a joint tender) \nidentification data, the amount, the currency and the date, as well as the FWC reference \nand reference to the specific contract. \nInvoices must indicate the place of taxation of the contractor (or leader in the case of a \njoint tender) for value added tax (VAT) purposes and must specify separately amounts not \nincluding VAT and amounts including VAT. \nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance \nwith Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European \nUnion on the privileges and immunities of the European Union. \nThe contractor (or leader in the case of a joint tender) must complete the necessary \nformalities with the relevant authorities to ensure that the supplies and services required \nfor implementation of the FWC are exempt from taxes and duties, including VAT. \nII.19.2. E-invoicing \nIf provided for in the special conditions, t he contractor (or leader in the case of a joint \ntender) submit s invoices in electronic format if the conditions regarding electronic \nsignature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n43 \nSPECIFIC CONTRACT \nNo [complete] \nimplementing framework contract No ECHA/2019/355 \n \n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of sign ing this specific contract by [ forename, surname, function, \ndepartment of authorising officer], \nand \n2. [Full official name] \n[Official legal form] \n[Statutory registration number or ID or passport number] \n[Full official address] \n[VAT registration number] \n[appointed as leader of the group by the members of the group that submitted the joint \ntender] \n[repeat these data as many times as there are contractors in case of joint tender and \ncontinue numbering] \n([collectively] \"the contractor\"), represented for the purposes of signing this specific \ncontract by [forename, surname and function of legal representative,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n6 \nI.4.2. Period of provision of the services \nThe period for the provision of the services starts to run from the date on which the specific \ncontract is signed by the last party. \nI.4.3. Implementation of FWC in cascade \nThe FWC is implemented as follows: the contracting authority orders services by sending \na request for offer for a specific contract to the contractor who is ranked first in the cascade. \nWithin 5 working days (unless otherwise stated in the request for offer) , the contractor \nmust either: \n(a) send the specific tender back to the contracting authority; or \n(b) send an explanation of why it cannot accept the order. \nIf the contractor does not accept the order or fails to observe the deadline or to submit an \nacceptable offer for the Agency, or if it is in a situation of conflicting interests that may \nnegatively affect the performance of the specific contract (see Article II.7), the contracting \nauthority may place the order with the next contractor on the cascade. \nIf the contractor repeatedly refuses to accept requests for offer or repeatedly fails to send \nthem back on time, the contractor may be considered in breach of its obligations under \nthis FWC as set out in Article II.18.1 (c). \nWithin a maximum of 5 working days of a specific contract or order form being sent by the \nAgency to the contractor, the Agency shall receive it back, duly signed and dated. The \nperiod allowed for the execution of the tasks shall start to run on the date of signa ture of \nthe specific contract or order form by both parties. \nI.5. Prices \nI.5.1. Maximum amount of the FWC and maximum prices \nThe maximum amount covering all purchases under this FWC, including all renewals and \nreimbursement of expenses is EUR 1 000 000 (one million). However, this does not bind \nthe contracting authority to purchase for the maximum amount. \nThe maximum unit prices of the services are: \nSenior experts: [ ] EUR per man-day \nExperts: [ ] EUR per man-day \nI.5.2. Price revision index \nPrice revision is determined by the formula set out in Article II.20 and using the trend in \nthe harmonised indices of consumer prices (HICP) ‘Euro area (19 countries)’ published at \nhttp://ec.europa.eu/eurostat/web/hicp/data/database under HICP (2015 = 100) - monthly \ndata (index) (prc_hicp_midx).] \nI.5.3. Reimbursement of expenses \nIn addition to the maximum price specified in each specific contract, if applicable, t he \ncontracting authority shall reimburse the following in accordance with Article II.22:", - "page_start": 5, - "page_end": 5, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n40 \n \n \nANNEX I – Tender specifications", - "page_start": 39, - "page_end": 39, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "How can I get compensation if the european chemical agency terminates a contract we have ?", - "target_page": 11, - "target_passage": "If the FWC or a specific contract is terminated: a) neither party is entitled to compensation", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n32 \nquality or continuity of the services. The parties may agree to draw up a transition plan \ndetailing the contractor’s assistance unless such plan is already detailed in other \ncontractual documents or in the tender specifications. The contractor must provide such \nassistance at no additional cost, except if it can demonstrate tha t it requires substantial \nadditional resources or means, in which case it must provide an estimate of the costs \ninvolved and the parties will negotiate an arrangement in good faith. \nII.18.4. Effects of termination \nThe contractor is liable for damage incurred by the contracting authority as a result of the \ntermination of the FWC or a specific contract, including the additional cost of appointing \nand contracting another contractor to provide or complete the services, except if the \ndamage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article \nII.18.2. The contracting authority may claim compensation for such damage. \nThe contractor is not entitled to compensation for any loss resulting from the termination \nof the FWC or a specific con tract, including loss of anticipated profits , unless the loss was \ncaused by the situation specified in Article II.18.2. \nThe contractor must take all appropriate measures to minimise costs, prevent damage and \ncancel or reduce its commitments. \nWithin 60 da ys of the date of termination, the contractor must submit any report, \ndeliverable or result and any invoice required for services that were provided before the \ndate of termination. \nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific \ncontract with each member of the group separately on the basis of points (d), (e) or (g) \nof Article II.18.1, under the conditions set out in Article II.11.2 \nII.19. Invoices, value added tax and e-invoicing \nII.19.1. Invoices and value added tax \nInvoices must contain the contractor’s (or leader’s in the case of a joint tender) \nidentification data, the amount, the currency and the date, as well as the FWC reference \nand reference to the specific contract. \nInvoices must indicate the place of taxation of the contractor (or leader in the case of a \njoint tender) for value added tax (VAT) purposes and must specify separately amounts not \nincluding VAT and amounts including VAT. \nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance \nwith Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European \nUnion on the privileges and immunities of the European Union. \nThe contractor (or leader in the case of a joint tender) must complete the necessary \nformalities with the relevant authorities to ensure that the supplies and services required \nfor implementation of the FWC are exempt from taxes and duties, including VAT. \nII.19.2. E-invoicing \nIf provided for in the special conditions, t he contractor (or leader in the case of a joint \ntender) submit s invoices in electronic format if the conditions regarding electronic \nsignature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n30 \na specific contract or any part of it: \n(a) if the procedure for awarding the FWC or a specific contract or the implementation of \nthe FWC proves to have been subject to irregularities, fraud or breach of obligations; \n(b) in order to verify whether the presumed irregularities, fraud or breach of obligations \nhave actually occurred. \nThe contracting authority must formally notify the contractor of the suspension and the \nreasons for it. Suspension takes effect on the date of formal notification, or at a later date \nif the formal notification so provides. \nThe contracting authority must notify the contractor as soon as the verification is \ncompleted whether: \n(a) it is lifting the suspension; or \n(b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or \n(j). \nThe contractor is not entitled to compensation for suspension of any part of the FWC or a \nspecific contract. \nThe contracting authority may in addition suspend the time allowed for payments in \naccordance with Article II.21.7. \nII.18. Termination of the FWC \nII.18.1. Grounds for termination by the contracting authority \nThe contracting authority may terminate the FWC or any on-going specific contract in the \nfollowing circumstances: \n(a) if provision of the services under a n on -going specific contract has not actually \nstarted within 15 days of the scheduled date and the contracting authority considers \nthat the new date proposed, if any, is unacceptable, taking into account \nArticle II.11.2; \n(b) if the contractor is unable, through its own fault, to obtain any permit or licence \nrequired for implementation of the FWC; \n(c) if the contractor does not implement the FWC or perform the specific contract in \naccordance with the tender specifications or request for service or is in breach of \nanother subs tantial contractual obligation or repeatedly refuses to sign specific \ncontracts. Termination of three or more specific contracts in these circumstances \nalso constitutes grounds for termination of the FWC; \n(d) if the contractor or any person that assumes unlimited liability for the debts of the \ncontractor is in one of the situations provided for in points (a) and (b) of Article \n136(1) of the Financial Regulation6; \n(e) if the contractor or any related person is in one of the situations provided for in \npoints (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation; \n(f) if the procedure for awarding the FWC or the implementation of the FWC prove to \nhave been subject to irregularities, fraud or breach of obligations; \n \n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the \nfinancial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) \nNo 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No \n223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No \n966/2012, OJ L 193 of 30.7.2018, p.1 https://eur-lex.europa.eu/legal-\ncontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: [complete] Restricted FWC conditions of October 2018 \n \n \n \n \n \nAnnankatu 18, P.O. Box 400, FI -00121 Helsinki, Finland | Tel. +358 9 686180 | Fax +358 9 68618210 | echa.europa.eu \nI am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] \nconcerning intellectual property rights and exploitation of the results and I confirm that I \ntransferred all the relevant rights to [insert name of contractor or other intermediary right \nholder]. \nI declare that [I have received full remuneration] [I agreed to re ceive remuneration by \n[insert date]]. \n[As creator, I also confirm that I do not object to the following: \n(a) that my name be mentioned or not mentioned when the results are presented to \nthe public; \n(b) that the results be divulged or not after they have been del ivered in their final \nversion to the contracting authority; \n(c) that the results be adapted, provided that this is done in a manner which is not \nprejudicial to my honour or reputation.] \nDate, place, signature", - "page_start": 48, - "page_end": 48, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n31 \n(g) if the contractor does not comply with applicable obligations under environmental, \nsocial and labour law established by Union law, national law, collective agreements \nor by the international environmental, social and labour law provisions listed in \nAnnex X to Directive 2014/24/EU; \n(h) if the contractor is in a situation that could constitute a conflict of interest or a \nprofessional conflicting interest as referred to in Article II.7; \n(i) if a change to the contractor’s legal, financial, technical, organisational or ownership \nsituation is likely to substantially affect the implementation of the FWC or \nsubstantially modify the conditions under which the FWC was initially awarded; \n(j) in the event of force majeure, where either resuming implementation is impossible \nor the necessary ensuing amendments to the FWC or a specific contract would mean \nthat the tender specifications are no longer fulfilled or result in unequal treatment \nof tenderers or contractors; \n(k) if the needs of the contracting authority change and it no longer requires new \nservices under the FWC; in such cases ongoing specific contracts remain unaffected; \n(l) if the termination of the FWC with one or more of the contractors means that the \nmultiple FWC with reopening of competition no longer has the minimum required \nlevel of competition; \n(m) if the contractor is in breach of the data protection obligations resulting from \nArticle II.9.2; \n(n) if the contractor does not comply with the applicable data protection obligations \nresulting from Regulation (EU) 2016/679. \nII.18.2. Grounds for termination by the contractor \nThe contractor may terminate the FWC or any on-going specific contract if the contracting \nauthority fails to comply with its obligations, in particular the obligation to provide the \ninformation needed for the contractor to implement the FWC or to perform a specific \ncontract as provided for in the tender specifications. \nII.18.3. Procedure for termination \nA party must formally notify the other party of its intention to terminate the FWC or a \nspecific contract and the grounds for termination. \nThe other party has 30 days following the date of receipt to submit observations, including \nthe measures it has taken or will take to continue fulfilling its contractual obligations. \nFailing that, the decision to terminate becomes enforceable the day after the time limit for \nsubmitting observations has elapsed. \nIf the other party submits observations, the party intending to terminate must formally \nnotify it either of the withdrawal of its intention to terminate or of its final decision to \nterminate. \nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in \nArticle II.18.2, the date on which the termination takes effect must be specified in the \nformal notification. \nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes \neffect on the day followi ng the date on which the contractor receives notification of \ntermination. \nIn addition, at the request of the contracting authority and regardless of the ground s for \ntermination, the contractor must provide all necessary assistance, including information, \ndocuments and files, to allow the contracting authority to complete, continue or transfer \nthe services to a new contractor or internally, without interruption or adverse effect on the", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n43 \nSPECIFIC CONTRACT \nNo [complete] \nimplementing framework contract No ECHA/2019/355 \n \n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of sign ing this specific contract by [ forename, surname, function, \ndepartment of authorising officer], \nand \n2. [Full official name] \n[Official legal form] \n[Statutory registration number or ID or passport number] \n[Full official address] \n[VAT registration number] \n[appointed as leader of the group by the members of the group that submitted the joint \ntender] \n[repeat these data as many times as there are contractors in case of joint tender and \ncontinue numbering] \n([collectively] \"the contractor\"), represented for the purposes of signing this specific \ncontract by [forename, surname and function of legal representative,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n37 \nunaccompanied luggage if it has given its prior written approval for the expense. \nII.23. Recovery \nII.23.1 If an amount is to be recovered under the terms of the FWC, the contractor must \nrepay the contracting authority the amount in question. \nII.23.2. Recovery procedure \nBefore recovery, the contracting authority must formally notify the contractor of its \nintention to recover the amount it claims, specifying the amount due and the reasons for \nrecovery and inviting the contractor to make any observations within 30 days of receipt. \nIf no observations have been submitted or if, despite the observations submitted, the \ncontracting authority decides to pursue the recovery procedure, it must confirm recovery \nby formally notifying a debit note to the contractor, specifying the date of payment. The \ncontractor must pay in accordance with the provisions specified in the debit note. \nIf the contractor does not pay by the due date, t he contracting authority may, after \ninforming the contractor in writing, recover the amounts due: \n(a) by offsetting them against any amounts owed to the contractor by the contracting \nauthority; \n(b) by calling in a financial guarantee if the contractor has submitted one to the \ncontracting authority; \n(c) by taking legal action. \nII.23.3. Interest on late payment \nIf the contractor does not honour the obligation to pay the amount due by the date set by \nthe contracti ng authority in the debit note , the amount due bears interest at the rate \nindicated in Article II.21.8. Interest on late payments will cover the period starting on the \nday after the due date for payment and ending on the date when the contracting authority \nreceives the full amount owed. \nAny partial payment is first entered against charges and interest on late payment and then \nagainst the principal amount. \nII.23.4. Recovery rules in the case of joint tender \nIf the contract is signed by a group (joint tender), the group is jointly and severally liable \nunder the conditions set out in Article II.6 (liability). The contracting authority shall send \nthe debit note first to the leader of the group. \nIf the leader does not pay by the due date the whole amount, and if the amount due cannot \nbe offset or can only be offset partially in accordance with Article II.23.2 (a), then the \ncontracting authority may claim the amount still due to any other member or members of \nthe group by respectively notifying them with a debit note in conformity with the provisions \nlaid down in Article II.23.2. \nII.24. Checks and audits \nII.24.1 The contracting authority and the European Anti-Fraud Office may check or require \nan audit on the implementation of the FWC . This may be carried out either by", - "page_start": 36, - "page_end": 36, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n8 \n3. The contracting authority may suspend the time limit for payment specified in point 2 \nin accordance with Article II.21.7. Once the suspension is lifted, t he contracting authority \nshall give its approval and pay within the remainder of the ti me-limit indicated in point 2 \nunless it rejects partially or fully the submitted documents. \nI.6.4. Performance guarantee \nPerformance guarantee is not applicable to this FWC. \nI.6.5. Retention money guarantee \nRetention money guarantee is not applicable to this FWC. \nI.7. Bank account \nPayments must be made to the contractor’s (or leader’s in the case of a joint tender) bank \naccount denominated in euro, identified as follows: \nName of bank: \nFull address of branch: \nExact denomination of account holder: \nFull account number including bank codes: \n[IBAN1 code:] \nI.8. Communication details \nFor the purpose of this FWC, communications must be sent to the following addresses: \nContracting authority: \nEuropean Chemicals Agency \nDirectorate and Unit D3, Risk Management I \nTelakkakatu 6 \n00150 Helsinki \nFinland \nE-mail: [insert functional mailbox] \n \nContractor (or leader in the case of a joint tender): \n[Full name] \n[Function] \n[Company name] \n[Full official address] \nE-mail: [complete] \nBy derogation from this Article, different contact details for the contracting authority or the \ncontractor may be provided in specific contracts. \n \n1 BIC or SWIFT code for countries with no IBAN code", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n29 \nII.16. Reduction in price \nII.16.1. Quality standards \nIf the contractor fails to provide the service in accordance with the FWC or a specific \ncontract (‘unperformed obligations’) or if it fails to provide the service in accordance with \nthe expected quality levels specified in the tender specifications (‘low quality delivery’), the \ncontracting authority may reduce or recover payments proportionally to the seriousness of \nthe unperformed obligations or low quality delivery. This includes in particular cases where \nthe contracting authority cannot approve a result, report or deliverable as defined in Article \nI.6 after the contractor has submitted the required additional information, correction or \nnew version. \nA reduction in price may be imposed together with liquidated damages under the conditions \nof Article II.15. \nII.16.2. Procedure \nThe contracting authority must formally notify the contractor of its intention to reduce \npayment and the corresponding calculated amount. \nThe contractor has 30 days following the date of receipt to submit observations. Failing \nthat, the decisio n becomes enforceable the day after the time limit for submitting \nobservations has elapsed. \nIf the contractor submits observations, the contracting authority, taking into account the \nrelevant observations, must notify the contractor: \n(a) of the withdrawal of its intention to reduce payment; or \n(b) of its final decision to reduce payment and the corresponding amount,. \nII.16.3. Claims and liability \nAny reduction in price does not affect the contractor’ s actual or potential liability or the \ncontracting authority’s rights under Article II.18. \nII.17. Suspension of the implementation of the FWC \nII.17.1. Suspension by the contractor \nIf the contractor is affected by force majeure, it may suspend the provision of the services \nunder a specific contract. \nThe contractor must immediately notify the contracting authority of the suspension. The \nnotification must include a description of the force majeure and state when the contractor \nexpects to resume the provision of services. \nThe contractor must notify the contracting authority as soon as it is able to resume \nperformance of the specific contract , unless the contracting authority has already \nterminated the FWC or the specific contract. \nII.17.2. Suspension by the contracting authority \nThe contracting authority may suspend the implementation of the FWC or performance of", - "page_start": 28, - "page_end": 28, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n35 \nII.21.6. Interim payments and payment of the balance \nThe contractor (or leader in the case of a joint tender) must send an invoice for interim \npayment, as provided for in Article I.6 or in the tender specifications or in the specific \ncontract. \nThe contractor (or leader in the case of a joint tender) must send an invoice for payment \nof the balance within 6 0 days of the end of the period of provision of the services, as \nprovided for in Article I.6, in the tender specifications or in the specific contract. \nPayment of the invoice and approval of documents does not imply recognition of the \nregularity, authenticity, completeness and correctness of the declarations and information \nthey contain. \nPayment of the balance may take the form of recovery. \nII.21.7. Suspension of the time allowed for payment \nThe contracting authority may suspend the payment periods specified in Article I.6 at any \ntime by notifying the contractor (or leader in the case of a joint tender) that its invoice \ncannot be processed. The reasons the contracting authority may cite for not being able to \nprocess an invoice are: \n(a) because it does not comply with the FWC; \n(b) because the contractor has not produced the appropriate documents or \ndeliverables; or \n(c) because the contracting authority has observations on the documents or \ndeliverables submitted with the invoice. \nThe contracting authority must notify the contractor (or leader in the case of joint tender) \nas soon as possible of any such suspension, giving the reasons for it. In cases b) and c) \nreferred above, the contracting authority shall notify the contractor (or leader in case of a \njoint tender) the time limits to submit additional information or corrections or a new version \nof the documents or deliverables if the contracting authority requires it. \nSuspension takes effect on the date the contracting authority sends the notification. The \nremaining payment period resumes from the date on which the requested information or \nrevised documents are received or the necessary further verification, including on-the-spot \nchecks, is carried out. Where the suspension period exceeds two months, the co ntractor \n(or leader in the case of a joint tender) may request the contracting authority to justify the \ncontinued suspension. \nWhere the payment periods have been suspended following rejection of a document \nreferred to in the first paragraph of this Article and the ne w document produced is also \nrejected, the contracting authority reserves the right to terminate the specific contract in \naccordance with Article II.18.1(c). \nII.21.8. Interest on late payment \nOn expiry of the payment periods specified in Article I.6, the contractor (or leader in the \ncase of a joint tender) is entitled to interest on late payment at the rate applied by the \nEuropean Central Bank for its main refinancing operations in euros (the reference rate ) \nplus eight points. The reference rate is the rate in force, as published in the C series of the \nOfficial Journal of the European Union, on the first day of the month in which the payment \nperiod ends.", - "page_start": 34, - "page_end": 34, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n19 \nII.6.3 The contractor is liable for any loss or damage caused to the contracting authority \nduring or as a consequence of implementation of the FWC, including in the event of \nsubcontracting, but only up to an amount not exceeding three times the total \namount of the relevant specific contract. However, if the damage or loss is caused \nby the gross negligence or wilful misconduct of the contractor or of its personnel or \nsubcontractors, as well as in the case of an action brought against the contracting \nauthority by a third party for breach of its intellectual property rights, the contractor \nis liable for the whole amount of the damage or loss. \nII.6.4 If a third party brings any action ag ainst the contracting authority in connection \nwith the implementation of the FWC , including any action for alleged breach of \nintellectual property rights, the contractor must assist the contracting authority in \nthe legal proceedings, including by interveni ng in support of the contracting \nauthority upon request. \nIf the contracting authority’s liability towards the third party is established and that \nsuch liability is caused by the contractor during or as a consequence of the \nimplementation of the FWC, Article II.6.3 applies. \nII.6.5 If the c ontractor is composed of two or more economic operators (i.e. who \nsubmitted a joint tender), they are all jointly and severally liable to the contracting \nauthority for the implementation of the FWC. \nII.6.6 The contracting authority is not liable for any loss or damage caused to the \ncontractor during or as a consequence of implementation of the FWC , unless the \nloss or damage was caused by wilful misconduct or gross negligence of the \ncontracting authority. \nII.7. Conflict of interest and professional conflicting interests \nII.7.1 The contractor must take all the necessary measures to prevent any situation of \nconflict of interest or professional conflicting interest. \nII.7.2 The contractor must notify the contracting authority in writ ing as soon as possible \nof any situation that could constitute a conflict of interest or a professional \nconflicting interest during the implementation of the FWC . The contractor must \nimmediately take action to rectify the situation. \nThe contracting authority may do any of the following: \n(a) verify that the contractor’s action is appropriate; \n(b) require the contractor to take further action within a specified deadline; \n(c) decide not to award a specific contract to the contractor. \nII.7.3 The contractor must pass on all the relevant obligations in writing to: \n(a) its personnel; \n(b) any natural person with the power to represent it or take decisions on its \nbehalf; \n(c) third parties involved in the implementation of the FWC , including \nsubcontractors. \nThe contractor must also ensure that the persons referred to above are not placed \nin a situation which could give rise to conflicts of interest.", - "page_start": 18, - "page_end": 18, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "According to the european chemical agency contracts, what is considers a grave professional misconduct ?", - "target_page": 14, - "target_passage": "'Grave professional misconduct': a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n30 \na specific contract or any part of it: \n(a) if the procedure for awarding the FWC or a specific contract or the implementation of \nthe FWC proves to have been subject to irregularities, fraud or breach of obligations; \n(b) in order to verify whether the presumed irregularities, fraud or breach of obligations \nhave actually occurred. \nThe contracting authority must formally notify the contractor of the suspension and the \nreasons for it. Suspension takes effect on the date of formal notification, or at a later date \nif the formal notification so provides. \nThe contracting authority must notify the contractor as soon as the verification is \ncompleted whether: \n(a) it is lifting the suspension; or \n(b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or \n(j). \nThe contractor is not entitled to compensation for suspension of any part of the FWC or a \nspecific contract. \nThe contracting authority may in addition suspend the time allowed for payments in \naccordance with Article II.21.7. \nII.18. Termination of the FWC \nII.18.1. Grounds for termination by the contracting authority \nThe contracting authority may terminate the FWC or any on-going specific contract in the \nfollowing circumstances: \n(a) if provision of the services under a n on -going specific contract has not actually \nstarted within 15 days of the scheduled date and the contracting authority considers \nthat the new date proposed, if any, is unacceptable, taking into account \nArticle II.11.2; \n(b) if the contractor is unable, through its own fault, to obtain any permit or licence \nrequired for implementation of the FWC; \n(c) if the contractor does not implement the FWC or perform the specific contract in \naccordance with the tender specifications or request for service or is in breach of \nanother subs tantial contractual obligation or repeatedly refuses to sign specific \ncontracts. Termination of three or more specific contracts in these circumstances \nalso constitutes grounds for termination of the FWC; \n(d) if the contractor or any person that assumes unlimited liability for the debts of the \ncontractor is in one of the situations provided for in points (a) and (b) of Article \n136(1) of the Financial Regulation6; \n(e) if the contractor or any related person is in one of the situations provided for in \npoints (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation; \n(f) if the procedure for awarding the FWC or the implementation of the FWC prove to \nhave been subject to irregularities, fraud or breach of obligations; \n \n6 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the \nfinancial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) \nNo 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No \n223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No \n966/2012, OJ L 193 of 30.7.2018, p.1 https://eur-lex.europa.eu/legal-\ncontent/EN/TXT/?uri=uriserv:OJ.L_.2016.119.01.0001.01.ENG", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n43 \nSPECIFIC CONTRACT \nNo [complete] \nimplementing framework contract No ECHA/2019/355 \n \n1. The European Chemicals Agency in Helsinki (‘the contracting authority’), represented \nfor the purposes of sign ing this specific contract by [ forename, surname, function, \ndepartment of authorising officer], \nand \n2. [Full official name] \n[Official legal form] \n[Statutory registration number or ID or passport number] \n[Full official address] \n[VAT registration number] \n[appointed as leader of the group by the members of the group that submitted the joint \ntender] \n[repeat these data as many times as there are contractors in case of joint tender and \ncontinue numbering] \n([collectively] \"the contractor\"), represented for the purposes of signing this specific \ncontract by [forename, surname and function of legal representative,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n14 \nUnion budget, ii) the non-disclosure of information in violation of a specific obligation, with \nthe same effect or iii) the misapplication of such funds or assets for purposes other than \nthose for which they were originally granted, which damages the Union's financial interests; \n'Grave professional misconduct': a violation of applicable laws or regulations or ethical \nstandards of the profession to which a contractor or a related person belongs, including \nany conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of \nthe contractor or a related person which has an impact on its professional credibility where \nsuch conduct denotes wrongful intent or gross negligence. \n‘Implementation of the FWC ’: the purchase of services envisaged in the FWC through \nthe signature and performance of specific contracts; \n‘Interface control document’: the guideline document which lays down the technical \nspecifications, message standards, security standards, checks of syntax and semantics , \netc. to facilitate machine-to-machine connection. This document is updated on a regular \nbasis; \n‘Irregularity’: any infringement of a provision of Union law resulting from an act or \nomission by an economic operator, which has, or would have, the effect of prejudicing the \nUnion’s budget. \n‘Notification’ (or ‘notify’): form of communication between the parties made in writing \nincluding by electronic means; \n‘Order form’: a simplified form of specific contract by which the contracting authority \norders services under this FWC; \n‘Performance of a specific contract ’: the execution of tasks and delivery of the \npurchased services by the contractor to the contracting authority; \n‘Personnel’: persons employed directly or indirectly or contracted by the contractor to \nimplement the FWC; \n‘Pre-existing material’: any material, document, technology or know -how which exists \nprior to the contractor using it for the production of a result in the implementation of the \nFWC; \n‘Pre-existing right ’: any industrial and intellectual property right on pre-existing \nmaterial; it may consist in a right of ownership, a licence right and/or right of use belonging \nto the contractor, the creator, the contracting authority as well as to any other third \nparties; \n‘Professional conflicting interest ’: a situation in which the contracto r’s previous or \nongoing professional activities affect its capacity to implement the FWC or to perform a \nspecific contract to an appropriate quality standard. \n‘Related person ’: any natural or legal person who is a member of the administrative, \nmanagement or supervisory body of the contractor, or who has powers of representation, \ndecision or control with regard to the contractor; \n‘Request for services ’: a document from the contracting authority requesting that the \ncontractors in a multiple FWC with re-opening of competition provide a specific tender for \nservices whose terms are not entirely defined under the FWC;", - "page_start": 13, - "page_end": 13, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n19 \nII.6.3 The contractor is liable for any loss or damage caused to the contracting authority \nduring or as a consequence of implementation of the FWC, including in the event of \nsubcontracting, but only up to an amount not exceeding three times the total \namount of the relevant specific contract. However, if the damage or loss is caused \nby the gross negligence or wilful misconduct of the contractor or of its personnel or \nsubcontractors, as well as in the case of an action brought against the contracting \nauthority by a third party for breach of its intellectual property rights, the contractor \nis liable for the whole amount of the damage or loss. \nII.6.4 If a third party brings any action ag ainst the contracting authority in connection \nwith the implementation of the FWC , including any action for alleged breach of \nintellectual property rights, the contractor must assist the contracting authority in \nthe legal proceedings, including by interveni ng in support of the contracting \nauthority upon request. \nIf the contracting authority’s liability towards the third party is established and that \nsuch liability is caused by the contractor during or as a consequence of the \nimplementation of the FWC, Article II.6.3 applies. \nII.6.5 If the c ontractor is composed of two or more economic operators (i.e. who \nsubmitted a joint tender), they are all jointly and severally liable to the contracting \nauthority for the implementation of the FWC. \nII.6.6 The contracting authority is not liable for any loss or damage caused to the \ncontractor during or as a consequence of implementation of the FWC , unless the \nloss or damage was caused by wilful misconduct or gross negligence of the \ncontracting authority. \nII.7. Conflict of interest and professional conflicting interests \nII.7.1 The contractor must take all the necessary measures to prevent any situation of \nconflict of interest or professional conflicting interest. \nII.7.2 The contractor must notify the contracting authority in writ ing as soon as possible \nof any situation that could constitute a conflict of interest or a professional \nconflicting interest during the implementation of the FWC . The contractor must \nimmediately take action to rectify the situation. \nThe contracting authority may do any of the following: \n(a) verify that the contractor’s action is appropriate; \n(b) require the contractor to take further action within a specified deadline; \n(c) decide not to award a specific contract to the contractor. \nII.7.3 The contractor must pass on all the relevant obligations in writing to: \n(a) its personnel; \n(b) any natural person with the power to represent it or take decisions on its \nbehalf; \n(c) third parties involved in the implementation of the FWC , including \nsubcontractors. \nThe contractor must also ensure that the persons referred to above are not placed \nin a situation which could give rise to conflicts of interest.", - "page_start": 18, - "page_end": 18, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n22 \nThe contractor shall assist the controller for the fulfilment of its obligations pursuant to \nArticle 33 to 41 under Regulation (EU) 2018/1725 to: \n(a) ensure compliance with its data protection obligations regarding the security of the \nprocessing, and the confidentiality of electronic communications and directories of users; \n(b) notify a personal data breach to the European Data Protection Supervisor; (c) \ncommunicate a personal data breach without undue delay to the data subject, where \napplicable; (d) carry out data protection impact assessments and prior consultations as \nnecessary. \nThe contractor shall maintain a record of all data processing operations carried on behalf \nof the controller, transfers of personal data, security breaches, responses to requests for \nexercising rights of people whose personal data is processed and requests for access to \npersonal data by third parties. \nThe contracting authority is subject to Protocol 7 of the Treaty on the Functioning of the \nEuropean Union on the privileges and immuniti es of the European Union, particularly as \nregards the inviolability of archives (including the physical location of data and services as \nset out in Article I.9.2) and data security, which includes personal data held on behalf of \nthe contracting authority in the premises of the contractor or subcontractor. \nThe contractor shall notify the contracting authority without delay of any legally binding \nrequest for disclosure of the personal data processed on behalf of the contracting authority \nmade by any national public authority, including an authority from a third country. The \ncontractor may not give such access without the prior written authorisation of the \ncontracting authority. \nThe duration of processing of personal data by the contractor will not exceed the p eriod \nreferred to in Article II.24.2. Upon expiry of this period, the contractor shall, at the choice \nof the controller, return, without any undue delay in a commonly agreed format, all \npersonal data processed on behalf of the controller and the copies the reof or shall \neffectively delete all personal data unless Union or national law requires a longer storage \nof personal data. \nFor the purpose of Article II.10, if part or all of the processing of personal data is \nsubcontracted to a third party, the contracto r shall pass on the obligations referred to in \nArticles I.9.2 and II.9.2 in writing to those parties, including subcontractors. At the request \nof the contracting authority, the contractor shall provide a document providing evidence of \nthis commitment. \n \nII.10. Subcontracting \nII.10.1 The contractor must not subcontract and have the FWC implemented by third \nparties beyond the third parties already mentioned in its tender without prior \nwritten authorisation from the contracting authority. \nII.10.2 Even if the contracting authority authorises subcontracting, the contractor remains \nbound by its contractual obligations and is solely responsible for the \nimplementation of the FWC. \nII.10.3 The contractor must ensure that the subcontract does not affect the rights of the \ncontracting authority under this FWC, particularly those under Articles II.8, II.13 \nand II.24. \nII.10.4 The contracting authority may request the contractor to replace a subcontractor", - "page_start": 21, - "page_end": 21, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n44 \nHAVE AGREED \nI.1.1.1.1. Article 1 Subject matter \n1.1 This specific contract implements framework contract (FWC) No ECHA/2019/355 \nsigned by the parties on [complete date]. \n1.2 In accordance with the provisions set out in the FWC and in this specific contract \nand [its][their] annex[es], which form an integral part of it, the contractor must \nprovide the [following services:] [services specified in Annex [complete].] \nI.1.1.1.2. Article 2 Entry into force and duration \n2.1 This specific contract enters into force on the date on which the last party signs it. \n2.2 The provision of the services starts from the date of entry into force of this specific \ncontract. \n2.3 The provision of the services must not exceed [ complete] [days] [months]. The \nparties may extend the duration by written agreement before it elapses and before \nexpiry of the FWC. \nI.1.1.1.3. Article 3 Price \n3.1 The price payable under this specific contract excluding reimbursement of expenses \nis EUR [amount in figures and in words]. \n[The maximum amount covering all services to be provided under this specific \ncontract including reimbursement of expenses and excluding price revision is EUR \n[amount in figures and in words].] \n3.2 [Reimbursement of expenses is not applicable to this specific contract.] [Within the \nmaximum amount, up to EUR [amount in figures and in words ] is earmarked for \nexpenses, which must be reimbursed in accordance with the FWC]. \n*** \nI.1.1.1.4. Article 4 communication details \nFor the purpose of this specific contract, communications must be sent to the following \naddresses: \nContracting authority: \nEuropean Chemicals Agency \n [Directorate [complete]] \n[Unit [complete]] \n[Postcode and city] \nE-mail: [insert functional mailbox]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n38 \nOLAF’s own staff or by any outside body authorised to do so on its behalf. \nSuch checks and audits may be initiated at any moment during the provision of \nthe services and up to five years starting from the payment of the balance of the \nlast specific contract issued under this FWC \nThe audit procedure is initiated on the date of receipt of the relevant letter sent \nby the contracting authority. Audits are carried out on a confidential basis. \nII.24.2 The contractor must keep all original documents stored on any appropriate \nmedium, including digitised originals if authorised under national law, for a period \nof five years starting from the payment of the balance of the last specific contract \nissued under this FWC. \nII.24.3 The contractor must grant the contracting authority’s staff and outside personnel \nauthorised by the contracting authority the appropriate right of access to sites and \npremises where the FWC is implemented and to all the information, including \ninformation in electronic format, neede d to conduct such checks and audits. The \ncontractor must ensure that the information is readily available at the moment of \nthe check or audit and, if so requested, that information is handed over in an \nappropriate format. \nII.24.4 On the basis of the findi ngs made during the audit, a provisional report is drawn \nup. The contracting authority or its authorised representative must send it to the \ncontractor, who has 30 days following the date of receipt to submit observations. \nThe contractor must receive the final report within 60 days following the expiry of \nthe deadline to submit observations. \nOn the basis of the final audit findings, the contracting authority may recover all \nor part of the payments made in accordance with Article II.23 and may take any \nother measures which it considers necessary. \nII.24.5 In accordance with Council Regulation (Euratom, EC) No 2185/96 of \n11 November 1996 concerning on -the-spot checks and inspection carried out by \nthe Commission in order to protect the European Communities’ financial interests \nagainst fraud and other irregularities and Regulation (EU, Euratom) No 883/2013 \nof the European Parliament and of the Council of 11 September 2013 concerning \ninvestigations conducted by the European Anti -Fraud Office, the European Anti -\nFraud Office may carry out investigations, including on the spot checks and \ninspections, to establish whether there has been fraud, corruption or any other \nillegal activity under the contract affecting the financial interests of the Union. \nFindings arising from an investigation may lead to criminal prosecution under \nnational law. \n The investigations may be carried out at any moment during the provision of the \nservices and up to five years starting from the payment of the balance of the last \nspecific contract issued under this FWC. \nII.24.6 The Court of Auditors, the European Public Prosecutor’s Office established by \nCouncil Regulation (EU) 2017/19397 7 (‘the EPPO’) and, for the processing of \npersonal data, the European Data Protection Supervisor have the same righ ts as \nthe contracting authority, particularly right of access, for the purpose of checks, \n \n7 Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the \nestablishment of the European Public Prosecutor’s Office", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n31 \n(g) if the contractor does not comply with applicable obligations under environmental, \nsocial and labour law established by Union law, national law, collective agreements \nor by the international environmental, social and labour law provisions listed in \nAnnex X to Directive 2014/24/EU; \n(h) if the contractor is in a situation that could constitute a conflict of interest or a \nprofessional conflicting interest as referred to in Article II.7; \n(i) if a change to the contractor’s legal, financial, technical, organisational or ownership \nsituation is likely to substantially affect the implementation of the FWC or \nsubstantially modify the conditions under which the FWC was initially awarded; \n(j) in the event of force majeure, where either resuming implementation is impossible \nor the necessary ensuing amendments to the FWC or a specific contract would mean \nthat the tender specifications are no longer fulfilled or result in unequal treatment \nof tenderers or contractors; \n(k) if the needs of the contracting authority change and it no longer requires new \nservices under the FWC; in such cases ongoing specific contracts remain unaffected; \n(l) if the termination of the FWC with one or more of the contractors means that the \nmultiple FWC with reopening of competition no longer has the minimum required \nlevel of competition; \n(m) if the contractor is in breach of the data protection obligations resulting from \nArticle II.9.2; \n(n) if the contractor does not comply with the applicable data protection obligations \nresulting from Regulation (EU) 2016/679. \nII.18.2. Grounds for termination by the contractor \nThe contractor may terminate the FWC or any on-going specific contract if the contracting \nauthority fails to comply with its obligations, in particular the obligation to provide the \ninformation needed for the contractor to implement the FWC or to perform a specific \ncontract as provided for in the tender specifications. \nII.18.3. Procedure for termination \nA party must formally notify the other party of its intention to terminate the FWC or a \nspecific contract and the grounds for termination. \nThe other party has 30 days following the date of receipt to submit observations, including \nthe measures it has taken or will take to continue fulfilling its contractual obligations. \nFailing that, the decision to terminate becomes enforceable the day after the time limit for \nsubmitting observations has elapsed. \nIf the other party submits observations, the party intending to terminate must formally \nnotify it either of the withdrawal of its intention to terminate or of its final decision to \nterminate. \nIn the cases referred to in points (a) to (d), (g) to (i), (k) and (l) of Article II.18.1 and in \nArticle II.18.2, the date on which the termination takes effect must be specified in the \nformal notification. \nIn the cases referred to in points (e), (f) and (j) of Article II.18.1, the termination takes \neffect on the day followi ng the date on which the contractor receives notification of \ntermination. \nIn addition, at the request of the contracting authority and regardless of the ground s for \ntermination, the contractor must provide all necessary assistance, including information, \ndocuments and files, to allow the contracting authority to complete, continue or transfer \nthe services to a new contractor or internally, without interruption or adverse effect on the", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n1 \n \n \nDRAFT FRAMEWORK CONTRACT FOR SERVICES \nNUMBER — ECHA/2019/355 \n1. The European Chemicals Agency in Helsinki (‘the contracting authority’ ), represented \nfor the purposes of sign ing this framework contract by [ forename, surname, function, \ndirectorate of authorising officer], \nof the one part and \n2. [Full official name] \n[Official legal form ] \n[Statutory registration number or ID or passport number] \n[Full official address] \n[VAT registration number] \n[appointed as the leader of the group by the members of the group that submitted the \njoint tender] \n[For joint tenders, repeat these data as many times as there are contractors and continue \nnumbering] \n([collectively] ‘ the contractor’), represented for the purposes of the signature of this \nframework contract by [forename, surname, function of legal representative and name of \ncompany in the case of a joint tender], \non the other part, \n \n \nHAVE AGREED \n \nto the special conditions, the general conditions for framework contracts for \nservices and the following annexes: \nAnnex I – Tender specifications (reference No [complete] of [insert date]) \nAnnex II – Contractor’s tender (reference No [complete] of [insert date]) \nAnnex III – [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n27 \nII.13.7. Moral rights of creators \nBy delivering the results, the contractor warrants that the creators will not object to the \nfollowing on the basis of their moral rights under copyright: \n(a) that their names be mentioned or not mentioned when the results are presented to \nthe public; \n(b) that the results be divulged or not after they have been delivered in their final \nversion to the contracting authority; \n(c) that the results be adapted, provided that this is done in a manner which is not \nprejudicial to the creator’s honour or reputation. \nIf moral rights on parts of the results protected by copyright may exist, the contractor \nmust obtain the consent of creators regarding the granting or waiver of the relevant moral \nrights in accordance with the applicable legal provisions and be ready to pr ovide \ndocumentary evidence upon request. \nII.13.8. Image rights and sound recordings \nIf natural persons appear in a result or their voice or any other private element is recorded \nin a recognisable manner, the contractor must obtain a statement by these persons (or, in \nthe case of minors, by the persons exercising parental authority) giving their permission \nfor the described use of their image, voice or private element and, on request, submit a \ncopy of the permission to the contracting authority. The contractor must take the necessary \nmeasures to obtain such consent in accordance with the applicable legal provisions. \nII.13.9. Copyright notice for pre-existing rights \nWhen the contractor retains pre-existing rights on parts of the results, reference must be \ninserted to that effect when the result is used as set out in Article I.10.1, with the following \ndisclaimer: ‘© — year — European Union. All rights reserved. Certain parts are licensed \nunder conditions to the EU ’, or with any other equivalent disclaimer as the contracting \nauthority may consider best appropriate, or as the parties may agree on a case -by-case \nbasis. This does not apply where inserting such reference would be impossible, notably for \npractical reasons. \nII.13.10. Visibility of ECHA funding and disclaimer \nWhen making use of the results, the contractor must declare that they have been produced \nunder a contract with the contracting authority and that the opinions expressed are those \nof the contractor only and do not represent the contracting authority’s official position. The \ncontracting authority may waive this obligation in writing or provide the text of the \ndisclaimer. \nII.14. Force majeure \nII.14.1 If a party is affected by force majeure, it must immediately notify the other party, \nstating the nature of the circumstances , their likely duration and foreseeable \neffects. \nII.14.2 A party is not liable for any delay or failure to perform its obligations under the \nFWC if that delay or failure is a result of force majeure. If the contractor is unable \nto fulfil its contractual obligati ons owing to force majeure , it has the right to \nremuneration only for the services actually provided.", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "What or Corning's corporate values ?", - "target_page": 12, - "target_passage": "Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "quality\nintegrity\nthe individual\nperformance\nleadership\ninnovation\nindependence\ni\ni\ni\ni\ni\ni\ni\nC ORPORA TE V ALUES :\nCorning’s V alues provide an unchanging moral and ethical\ncompass that guides the actions of everyone in the company. The\ncorporate values are: Quality, Integrity, Performance, Leadership,\nInnovation, Independence, and The Individual.\nT OTAL Q UALITY :\nIn alignment with the quality policy of the corporation, our policy is\nto achieve Total Quality performance. Total Quality performance\nmeans understanding who the customer is, what the requirements\nare, and meeting those requirements better than anyone else,\nwithout error, on time, every time.\nTHE INTEGRA TION OF OUR BELIEFS , WISDOM , CURIOSITY , & KNOWLEDGE PROVIDES BALANCE & STABILITY .", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\nVICE CHAIRMAN\nAND CHIEF FINANCIAL OFFICER\nPRESIDENT\nAND CHIEF OPERA TING OFFICER\n8\nWe take great pride in saying that Corning continues to be\na financially sound company, thanks to the aggressive\nstrategies we executed throughout 2002. Although it has\nbeen a very painful process, we have dramatically slowed\nthe rate at which we are spending cash. We ended the year\nwith a balance of cash and short-term investments of\n$2.1 billion. And we have access to $2 billion in credit\nthat we haven’t touched — and don’t plan to. We also\ncontinue to pay down debt each quarter. This, combined\nwith our plan to return to profitability in 2003, gives us\na high degree of confidence in our ability to meet any\nfuture financial obligations. So, we feel very good about our\nliquidity position right now.\nThe ongoing economic weakness and uncertainty in world\nevents continue to make the overall business environment\na volatile one. Still, we have greatly improved our ability\nto forecast revenues and expenses quarter-to-quarter, and\nwe are encouraged by the near-term growth potential of\nour non-telecommunications businesses — especially our\nliquid-crystal display, environmental and semiconductor\nbusinesses. If these markets continue to grow as we expect,\nwe are confident that we will be able to meet our goals.\nWe know that our shareholders are most eager to see a\ngreater return on their investment with Corning, and of\ncourse our return to profitability will be key to building back\nWall Street’s confidence. We are 100 percent committed\nto reaching that goal of profitability in 2003 — and doing\nso within the rigorous compliance rules by which we\nhave always been guided. Integrity characterizes all our\nrelationships, both inside and outside of Corning, and we\nwill never compromise that foundation of our reputation.\nIn our business operations during 2002 we invested\na great deal of energy aligning our cost structure and\nbusiness plans with our priority of restoring profitability.\nAfter massive restructuring — following restructuring\nefforts we launched in 2001—we feel we now have our\ncost structure and growth strategies in place to accomplish\nthis goal. \nWe have re-balanced the company to take advantage of\nour broad and diverse set of businesses. And in charting\nour strategies, we have focused on ensuring that both our\nsegments have solid business plans in place, enabling\nthem to grow. Our people are rigorously committed to\nexecuting against these plans.\nAs you saw earlier in this report, our Corning\nTechnologies businesses are in markets with solid growth\npotential. We have leading market positions in attractive\nbusinesses … we are ready to capitalize on that position of\nstrength. Meanwhile, we are making these businesses\neven more cost-effective through significant manufactur-\ning efficiency gains.\nIn telecommunications, we are not planning on a market\nrecovery in 2003. We have aligned our cost structure to\nmeet current demand levels after two very tough years\nof ongoing restructuring.\nWithin the context of our financial realities, however, we\nhave not lost our sense of self. We will meet our\ngoals … but the path we are taking to get there has been,\nand will continue to be, consistent with our V alues.\nIntegrity … quality … treating individuals with dignity\nand respect … these are the guiding principles of the \ndecisions we make. We know that in adhering to our\nV alues, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "7\nC RITICAL T ECHNOLOGIES : CHEMICAL V APOR DEPOSITION\nM A TERIALS R ESEARCH : OPTICAL PROPERTIES\nCorning’s long history of extraordinary innovation continues in\nthe context of managing the sensitive balance between the near-term\nalignment of R&D and business objectives, and longer-range\ndiscovery research and new opportunity creation.\nOver the past year, we adjusted our R&D spending to align\nwith business conditions. At the same time, we carefully preserved\nour core technology capabilities to ensure our capacity to lead our\nmarkets and create life-changing innovations.\nWe have tightened our focus on high-impact projects and have\nstreamlined our processes to develop and commercialize promising\nopportunities more quickly and efficiently. We have emphasized\nour patent processes to ensure strong competitive positions from the\ncritical intellectual assets of our scientific organization.\nOur R&D organization is aligned with our operating goals and\nplays a critical role in meeting them. Our scientists and engineers\nare closely linked to our operations and are focused not only on\nnew product development, but also new process development. They\nare discovering new ways to manufacture innovative products with\nlowered cost and increased quality performance.\nInnovation is one of Corning’s core V alues. It is the everyday\nlanguage and mindset of the company. Even in the face of difficult\neconomic conditions, we will pursue our tradition of developing\nbreakthrough technologies for the markets we serve — from\ntelecommunications to environmental — and will capitalize on the\ncreation of new market opportunities made possible by our strong\ncommitment to research and development.\nS CIENCE & T ECHNOLOGY", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "We will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated’s\nlong history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors,\nI returned to the company as Chairman and Chief Executive Officer. \nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and\nfilled with opportunity.\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in\nrevenue. Y ou, our shareholders — along with our employees and our friends in the communities we serve — felt the pain. We all\nwatched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder\nwhat bad news would be next as our stock value continued its seemingly relentless decline.\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep\nup the costly infrastructure of facilities and staff we had in place. Put simply, we couldn’t spend more than we were making. \nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a\ntelecommunications company. Rather, we are a technology company, with the materials and process expertise to create\nlife-changing products. That’s what we’ve been for all of our 152 years; that’s what we’ll continue to be. \nAnd we knew something else … that our V alues, the historic strength of our company, were alive and well. Quality, Integrity,\nPerformance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us\napart from other companies— especially those caught in the accounting scandals that marred the business world this past year.\nT O O UR S HAREHOLDERS :\nC HAIRMAN AND C HIEF E XECUTIVE O FFICER\n1\nJ AMES R. H OUGHTON", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "One Riverfront Plaza\nCorning, NY 14831-0001\n607 974 9000\nwww.corning.com\n02BR24601EN\nA NNUAL M EETING\nThe annual meeting of shareholders will be held on\nThursday, April 24, 2003, in Corning, NY . A formal notice \nof the meeting together with a proxy statement will be mailed\nto shareholders on or about March 12, 2003. The proxy state-\nment can also be accessed electronically through the Investor\nRelations category of the Corning home page on the Internet\nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon\nwritten request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831.\nA DDITIONAL I NFORMA TION\nA copy of Corning’s 2002 Annual Report on Form 10-K filed\nwith the Securities and Exchange Commission is available\nupon written request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831. The Annual Report on Form 10-K can\nalso be accessed electronically through the Investor Relations\ncategory of the home page on the Internet at:\nwww.corning.com\nI NVESTOR I NFORMA TION\nInvestment analysts who need additional information may\ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations,\nCorning Incorporated, HQ-E2-25, Corning, NY 14831;\nTelephone 607.974.9000\nC OMMON S TOCK\nCorning Incorporated common stock is listed on the \nNew Y ork Stock Exchange and the SWX Swiss Exchange.\nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The\nabbreviated ticker symbol for Corning Incorporated is “GLW.”\nT RANSFER A GENT AND R EGISTRAR\nComputershare Investor Services LLC\nP .O. Box A-3504\nChicago, IL 60690-3504\nTelephone: 800.255.0461\nWebsite: www.computershare.com\nC HANGE OF A DDRESS\nReport change of address to Computershare \nInvestor Services at the above address.\nI NDEPENDENT A CCOUNTANTS\nPricewaterhouseCoopers LLP\n1301 Avenue of the Americas\nNew Y ork, NY 10019\n“Safe Harbor” Statement under the Private\nSecurities Litigation Reform Act of 1995\nThe statements in this annual report that are not historical\nfacts or information are forward-looking statements. These\nforward-looking statements involve risks and uncertainties\nthat may cause the outcome to be materially different. Such\nrisks and uncertainties include, but are not limited to:\n— global economic and political conditions, \n— currency fluctuations,\n— product demand and industry capacity,\n— competitive products and pricing,\n— sufficiency of manufacturing capacity and efficiencies,\n— cost reductions,\n— availability and costs of critical materials,\n— new product development and commercialization,\n— attracting and retaining key personnel,\n— order activity and demand from major customers,\n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments,\n— financial condition of customers,\n— changes in the mix of sales between premium \nand non-premium products,\n— facility expansions and new plant start-up costs,\n— adverse litigation or regulatory developments, including \nfuture or pending tax legislation,\n— adequacy and availability of insurance,\n— capital resource and cash flow activities,\n— capital spending,\n— equity company activities,\n— interest costs,\n— acquisition and divestiture activity,\n— the rate of technology change,\n— the ability to enforce patents,\n— product performance issues,\n— stock price fluctuations, and\n— other risks detailed in Corning’s SEC filings.\nNeither this report nor any statement contained herein is\nfurnished in connection with any offering of securities or for\nthe purpose of promoting or influencing the sale of securities.\nCorning is an equal opportunity employer.\nPrinted in USA\n© Corning Incorporated 2003\nI NVESTOR I NFORMA TION :\nCorning Incorporated", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "The ongoing malaise of the telecommunications industry led\nCorning to initiate significant restructurings during 2002. Optical\nfiber plant closings and workforce reductions were evidence of our\ncomprehensive plan to align expenses with dramatically lowered\nrevenues in our telecommunications businesses. Despite industry\nweakness, we remain the global leader in the manufacturing and sale\nof optical communications products. Our position will serve us well\nwhen the inevitable growth of this dynamic market returns.\nFor the near-term, we are focused on maintaining our leading position\nacross our markets and with our customers. Through our many\ngenerations of manufacturing technology development, we are\nrestoring our businesses to profitability despite continued pricing\npressure and low-volume growth expectations. \nLooking further ahead, we remain committed to creating innovative\noptical communications products that meet even tighter quality,\ncapability and cost requirements for our customers. We are empha-\nsizing metro and access segments of the market as our major oppor-\ntunities. And we are watching carefully for signs of market recovery.\nWhen that time comes, we will be poised for growth once again.\n6\nC ORNING C ABLE S YSTEMS : CABLE AND HARDW ARE\nO PTICAL N ETWORKS : METRO , LOCAL , LAST MILE\nC ORNING T ELECOMMUNICA TIONS", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "4\nF LA T P ANEL D ISPLAY G LASS : LCD TELEVISIONS\nDESKTOP MONITORS AND LAPTOPS\nCorning’s historical success stems from its foundation as an inno-\nvative technology company. Our diverse portfolio of businesses\nspans a wide range of markets, and this is one of the main reasons\nwe are weathering the downturn in the telecommunications sector.\nThe businesses we classify as Corning Technologies — led by our\nliquid-crystal display (LCD) glass, environmental, and semicon-\nductor optics operations — were strong and profitable in 2002,\nwith aggressive plans for significant growth during 2003. \nOur LCD glass business has been a star performer, posting\nyear-over-year volume gains of more than 45 percent. We are the\nleading producer in this market. Our sales of glass for desktop\nmonitors have doubled over the past year alone — and there’s still\nplenty of room for more growth, since only about a quarter of\ndesktop displays sold in 2002 were LCD. And, LCD TVs are\njust beginning to gain popularity — we consider this one of our\nnext big opportunities, as the number of LCD TVs sold annually\nmore than doubled in 2002. Our EAGLE2000™ glass substrates\nand other product and process innovations are enabling manufac-\nturers to produce lighter, larger, thinner and higher-resolution\ndisplays more affordably — exactly what the market is demanding.\nC ORNING T ECHNOLOGIES", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "“We promise that our dedication\nto you will not waver as we \ncontinue to focus on the\nimportance of value and values. ”\nDear Shareholders: The theme of this year’s annual report\nis Value and Values. We firmly believe that values do drive\nvalue. We want to provide value to our shareholders through\nownership of our stock, and value to our customers through\nbanking products and services. We do this by adhering to\nthe principles that have guided this organization since the\nestablishment of First National Bank of Abilene in 1890. In\nparticular, we are committed to doing business profes-\nsionally and ethically and to making sure our financial\ninformation is presented fairly.\nLast year, shareholders saw the value of their stock rise as\nwe achieved higher earnings for the 16th year in a row. Net\nincome reached $34.0 million, a gain of 15.7% from 2001’s\n$29.4 million. Basic earnings per share totaled $2.75, up\nfrom $2.38 in 2001. Over the past 10 years, earnings have\ngrown at a compounded annual rate of 11.9%. The primary\nfactors contributing to 2002’s higher earnings were an\nincrease in average earning assets and an improved net\ninterest margin (the percentage difference between inter-\nest earned and interest paid). Also contributing was the\nelimination of goodwill amortization under a change in\ngenerally accepted accounting principles; this change\nproduced an increase of $.10 in basic earnings per share.\nKey profitability ratios also improved in 2002. Our return on\naverage assets increased to 1.78% from 1.62% in 2001.\nThis result was well above the average of 1.19% achieved\nby our peer group (bank holding companies of similar\nsize). Return on average equity improved to 15.13% from\n14.35% in 2001. Our operating efficiency ratio (the share\nof revenues consumed by operating expenses) improved\nto 51.96% in 2002 from 53.82% in 2001. Again, our ratio\ncompared favorably to our peer group’s average of 59.17%.\nConsolidated assets at year-end 2002 totaled $1.993 bil-\nlion, up 3.3% from $1.930 billion in 2001. Loans increased\nmodestly, by 2.5%, to $964.0 million. The book value of\nour trust assets increased by 2.8%, reaching $986.2 mil-\nlion at December 31, 2002. Deposits grew by 1.6%, to\n$1.712 billion.\nFirst Financial’s balance sheet at year-end was again\nmarked by strong asset quality and capital strength.\nClassified loans (those at risk to some degree) increased\nto 3.7% of total loans from 2.7% a year earlier. However,\ntotal nonperforming assets decreased to .44% of total\nloans from .51% at the end of 2001; by comparison, the\npeer group average was .75%. Shareholders’ equity grew\nto $238.8 million at the end of 2002, yielding an equity-to-\nassets ratio of 11.98%.\nBased on our earnings performance and strong capital posi-\ntion, in April 2002 the Board of Directors approved a 16.7%\nincrease in the quarterly cash dividend, to $.35 per share\nfrom $.30 per share. The total cash dividend for 2002 was\n$1.35 per share. The market price of our common stock at\nyear-end was $38.00 per share, up 26.2% from $30.10 at\nthe end of 2001. The combination of share price appreci-\nation and dividend paid produced a total return to\nshareholders of 31% for 2002.\nOn January 2, 2002, First Financial Bank, N. A., Southlake,\nopened a new branch in Keller. We are encouraged by the\ngrowth of this branch, and are looking for additional oppor-\ntunities in the same northeast Tarrant County area. On\nOctober 15, 2002, First National Bank, Sweetwater,\nacquired the Trent branch of State National Bank of West\nTexas. This branch, with total assets of $6.5 million, is a\n4", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "to serve and value our customers, employees and \nshareholders. Be assured that Nordstrom and \nits wonderful employees are well positioned to \ndeliver the best customer experience possible \nin ever-innovative ways, creating value for our \nshareholders in the years to come.\nOn behalf of the entire Board of Directors, thank \nyou for your continued support of Nordstrom.\nEnrique Hernandez, Jr.\nChairman\n10\n“I’ve found that Nordstrom \nemployees go to great lengths \nto please the customer. \nThat’s hard to find in most \nstores these days.\n”\nOUR CUSTOMER, SUSAN F.\nA NOTE FROM OUR \nCHAIRMAN\n21008 /hyphen.case 037404B 2014 ANNUAL REPORT pg 10 \n8.375 X 10.875 /hyphen.case PDF X1A /hyphen.case KODAK", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "As a Corning's investor, how can I get a summary of the annual meeting of shareholders ?", - "target_page": 11, - "target_passage": "A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "One Riverfront Plaza\nCorning, NY 14831-0001\n607 974 9000\nwww.corning.com\n02BR24601EN\nA NNUAL M EETING\nThe annual meeting of shareholders will be held on\nThursday, April 24, 2003, in Corning, NY . A formal notice \nof the meeting together with a proxy statement will be mailed\nto shareholders on or about March 12, 2003. The proxy state-\nment can also be accessed electronically through the Investor\nRelations category of the Corning home page on the Internet\nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon\nwritten request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831.\nA DDITIONAL I NFORMA TION\nA copy of Corning’s 2002 Annual Report on Form 10-K filed\nwith the Securities and Exchange Commission is available\nupon written request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831. The Annual Report on Form 10-K can\nalso be accessed electronically through the Investor Relations\ncategory of the home page on the Internet at:\nwww.corning.com\nI NVESTOR I NFORMA TION\nInvestment analysts who need additional information may\ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations,\nCorning Incorporated, HQ-E2-25, Corning, NY 14831;\nTelephone 607.974.9000\nC OMMON S TOCK\nCorning Incorporated common stock is listed on the \nNew Y ork Stock Exchange and the SWX Swiss Exchange.\nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The\nabbreviated ticker symbol for Corning Incorporated is “GLW.”\nT RANSFER A GENT AND R EGISTRAR\nComputershare Investor Services LLC\nP .O. Box A-3504\nChicago, IL 60690-3504\nTelephone: 800.255.0461\nWebsite: www.computershare.com\nC HANGE OF A DDRESS\nReport change of address to Computershare \nInvestor Services at the above address.\nI NDEPENDENT A CCOUNTANTS\nPricewaterhouseCoopers LLP\n1301 Avenue of the Americas\nNew Y ork, NY 10019\n“Safe Harbor” Statement under the Private\nSecurities Litigation Reform Act of 1995\nThe statements in this annual report that are not historical\nfacts or information are forward-looking statements. These\nforward-looking statements involve risks and uncertainties\nthat may cause the outcome to be materially different. Such\nrisks and uncertainties include, but are not limited to:\n— global economic and political conditions, \n— currency fluctuations,\n— product demand and industry capacity,\n— competitive products and pricing,\n— sufficiency of manufacturing capacity and efficiencies,\n— cost reductions,\n— availability and costs of critical materials,\n— new product development and commercialization,\n— attracting and retaining key personnel,\n— order activity and demand from major customers,\n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments,\n— financial condition of customers,\n— changes in the mix of sales between premium \nand non-premium products,\n— facility expansions and new plant start-up costs,\n— adverse litigation or regulatory developments, including \nfuture or pending tax legislation,\n— adequacy and availability of insurance,\n— capital resource and cash flow activities,\n— capital spending,\n— equity company activities,\n— interest costs,\n— acquisition and divestiture activity,\n— the rate of technology change,\n— the ability to enforce patents,\n— product performance issues,\n— stock price fluctuations, and\n— other risks detailed in Corning’s SEC filings.\nNeither this report nor any statement contained herein is\nfurnished in connection with any offering of securities or for\nthe purpose of promoting or influencing the sale of securities.\nCorning is an equal opportunity employer.\nPrinted in USA\n© Corning Incorporated 2003\nI NVESTOR I NFORMA TION :\nCorning Incorporated", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\nVICE CHAIRMAN\nAND CHIEF FINANCIAL OFFICER\nPRESIDENT\nAND CHIEF OPERA TING OFFICER\n8\nWe take great pride in saying that Corning continues to be\na financially sound company, thanks to the aggressive\nstrategies we executed throughout 2002. Although it has\nbeen a very painful process, we have dramatically slowed\nthe rate at which we are spending cash. We ended the year\nwith a balance of cash and short-term investments of\n$2.1 billion. And we have access to $2 billion in credit\nthat we haven’t touched — and don’t plan to. We also\ncontinue to pay down debt each quarter. This, combined\nwith our plan to return to profitability in 2003, gives us\na high degree of confidence in our ability to meet any\nfuture financial obligations. So, we feel very good about our\nliquidity position right now.\nThe ongoing economic weakness and uncertainty in world\nevents continue to make the overall business environment\na volatile one. Still, we have greatly improved our ability\nto forecast revenues and expenses quarter-to-quarter, and\nwe are encouraged by the near-term growth potential of\nour non-telecommunications businesses — especially our\nliquid-crystal display, environmental and semiconductor\nbusinesses. If these markets continue to grow as we expect,\nwe are confident that we will be able to meet our goals.\nWe know that our shareholders are most eager to see a\ngreater return on their investment with Corning, and of\ncourse our return to profitability will be key to building back\nWall Street’s confidence. We are 100 percent committed\nto reaching that goal of profitability in 2003 — and doing\nso within the rigorous compliance rules by which we\nhave always been guided. Integrity characterizes all our\nrelationships, both inside and outside of Corning, and we\nwill never compromise that foundation of our reputation.\nIn our business operations during 2002 we invested\na great deal of energy aligning our cost structure and\nbusiness plans with our priority of restoring profitability.\nAfter massive restructuring — following restructuring\nefforts we launched in 2001—we feel we now have our\ncost structure and growth strategies in place to accomplish\nthis goal. \nWe have re-balanced the company to take advantage of\nour broad and diverse set of businesses. And in charting\nour strategies, we have focused on ensuring that both our\nsegments have solid business plans in place, enabling\nthem to grow. Our people are rigorously committed to\nexecuting against these plans.\nAs you saw earlier in this report, our Corning\nTechnologies businesses are in markets with solid growth\npotential. We have leading market positions in attractive\nbusinesses … we are ready to capitalize on that position of\nstrength. Meanwhile, we are making these businesses\neven more cost-effective through significant manufactur-\ning efficiency gains.\nIn telecommunications, we are not planning on a market\nrecovery in 2003. We have aligned our cost structure to\nmeet current demand levels after two very tough years\nof ongoing restructuring.\nWithin the context of our financial realities, however, we\nhave not lost our sense of self. We will meet our\ngoals … but the path we are taking to get there has been,\nand will continue to be, consistent with our V alues.\nIntegrity … quality … treating individuals with dignity\nand respect … these are the guiding principles of the \ndecisions we make. We know that in adhering to our\nV alues, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "36\nCorporate Information\nCorporate Headquarters\nThe Hartford Financial \nServices Group, Inc.\n690 Asylum Avenue\nHartford, Connecticut 06115\n860-547-5000\nInternet Address\nhttp://www.thehartford.com\nAnnual Meeting\nShareholders are cordially invited to attend The Hartford’s\nAnnual Meeting of Shareholders, which will be held on\nThursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens\nTheater at The Hartford Financial Services Group, Inc.’s \nhome office at 690 Asylum Avenue, Hartford, Connecticut.\nShareholders of record as of February 28, 2002 are entitled \nto notice of, and to vote at, the Annual Meeting.\nForm 10-K and Other Information\nShareholders may receive, without charge, a copy of \nThe Hartford’s Form 10-K (without exhibits) filed with the\nSecurities and Exchange Commission for the year ended\nDecember 31, 2001 by contacting 1-888-FACT-HIG. Forms \n10-Q, press releases, and other shareholder communications \nare also available through this toll-free number. \nTransfer Agent/Shareholder Records\nFor information or assistance regarding stock records, \ndividend checks or stock certificates, please contact \nThe Hartford’s transfer agent:\nThe Bank of New York\nShareholder Relations Department–11E\nP .O. Box 11258\nChurch Street Station\nNew York, NY 10286\n800-254-2823\nTo send certificates for transfer and address changes:\nThe Bank of New York\nReceive and Deliver Department–11W\nP .O. Box 11002\nChurch Street Station\nNew York, NY 10286\nAddress inquiries about The Hartford’s Dividend \nReinvestment and Cash Payment Plan to:\nThe Bank of New York\nDividend Reinvestment Department\nP .O. Box 1958\nNewark, NJ 07101-9774\nE-mail: shareowner-svcs@bankofny.com\nInternet address: www.stockbny.com\nInvestor Relations\nThe Hartford Financial \nServices Group, Inc.\nHartford Plaza, HO-1-01\nHartford, Connecticut 06115\nAttn: Investor Relations\n860-547-2537\nMedia Inquiries\nThe Hartford Financial \nServices Group, Inc.\nMedia Relations\nHartford Plaza, T-12-56\nHartford, CT 06115\n860-547-5200 \nCommon Stock and Dividend Information\nThe Hartford’s common stock is traded on the New York \nStock Exchange (NYSE) under the trading symbol “HIG.” \nThe following table presents the high and low closing prices \nfor the common stock of The Hartford on the NYSE for \nthe periods indicated, and the quarterly dividends declared \nper share.\nCommon Stock Price Dividends\nHigh Low Declared\n2001\nFirst quarter $ 67.75 $ 55.15 $0.25\nSecond quarter 70.46 56.88 0.25\nThird quarter 69.28 50.10 0.25\nFourth quarter 62.83 53.91 0.26\n2000\nFirst quarter $ 52.75 $ 29.38 $0.24\nSecond quarter 64.00 44.25 0.24\nThird quarter 73.75 56.38 0.24\nFourth quarter 79.31 65.44 0.25\nAs of February 28, 2002 there were approximately 120,000 \nshareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \n \nNOTE 25 – ISSUED CAPITAL \n \nTotal ordinary shares issued and outstanding at each period end are fully paid. All shares issued are authorized. \nShares have no par value. \n \na) Ordinary Shares Number of Shares \n \nTotal shares issued and outstanding at 31 December 2012 278,765,141 \nShares issued during the year 184,408,527 \nTotal shares issued and outstanding at 31 December 2013 463,173,668 \nShares issued during the year 86,122,171 \nTotal shares issued and outstanding at 31 December 2014 549,295,839 \n \nOrdinary shares participate in dividends and the proceeds on winding up of the Parent Company in proportion to \nthe number of shares held. At shareholders’ meetings each ordinary share is entitled to one vote when a poll is \ncalled, otherwise each shareholder has one vote on a show of hands. \n 2014 2013 \nYear ended 31 December US$’000 US$’000 \n \nb) Issued Capital \nBeginning of the period 237,008 58,694 \nShares issued in connection with: \n Merger with Texon - 132,092 \n Private placement 72,178 47,398 \n Exercise of stock options 260 813 \nTotal shares issued during the period 72,438 180,303 \nCost of capital raising during the period, net of tax benefit (2,593) (1,989) \nClosing balance at end of period 306,853 237,008 \n \nc) Options on Issue \nDetails of the share options outstanding as at 31 December: \n \nGrant Date \n \nExpiry Date \n \nExercise Price A$ \n2014 \nNo. of options \n2013 \nNo. of options \n02 Dec 2010 01 Dec 2015 0.37 - 291,666 \n02 Mar 2011 30 Jun 2014 0.95 - 30,000 \n03 Jun 2011 15 Jan 2016 0.65 500,000 500,000 \n06 Jun 2011 01 Sep 2015 0.95 30,000 30,000 \n06 Sep 2011 31 Dec 2018 0.95 1,200,000 1,200,000 \n05 Dec 2011 05 Mar 2019 0.95 1,000,000 1,000,000 \n01 Nov 2012 01 Feb 2020 1.15 - 350,000 \n03 Dec 2012 03 Mar 2020 1.15 - 350,000 \n01 Apr 2013 01 Jul 2020 1.25 - 350,000 \n24 Sept 2013 23 Dec 2020 1.40 - 950,000 \nTotal share options outstanding \n \n 2,730,000 5,051,666 \n- 89 -", - "page_start": 90, - "page_end": 90, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "CAUTION REGARDING FORWARD-LOOKING INFORMATION AND OTHER RISKS\nThis annual report includes forward-looking statements about the financial condition and prospects of Rogers Communications tha t involve significant risks and uncertainties that are detailed in the \n“Risks and Uncertainties That Could Affect our Businesses” and “Caution Regarding Forward-Looking Statements, Risks and Assumpt ions” sections of the MD&A contained herein, which should be \nread in conjunction with all sections of this annual report.\nCORPORATE AND SHAREHOLDER INFORMATION\nCORPORATE OFFICES \nRogers Communications Inc. \n333 Bloor Street East, 10th Floor \nToronto, ON M4W 1G9 \n416-935-7777\nCUSTOMER SERVICE AND \nPRODUCT INFORMATION \n888-764-3771 or rogers.com\nSHAREHOLDER SERVICES \nIf you are a registered shareholder and \nhave inquiries regarding your account, wish \nto change your name or address, or have \nquestions about lost stock certificates, share \ntransfers, estate settlements or dividends, \nplease contact our transfer agent and registrar:\nCST Trust Company \nP.O. Box 700, Postal Station B \nMontreal, QC H3B 3K3, Canada \n416-682-3860 or 800-387-0825 \ninquiries@canstockta.com\nDuplicate Mailings \nIf you receive duplicate shareholder mailings \nfrom Rogers Communications, please \ncontact CST Trust Company as detailed above \nto consolidate your accounts.\nINVESTOR RELATIONS \nInstitutional investors, securities analysts \nand others requiring additional financial \ninformation can visit rogers.com/investors \nor contact us at:\n1-855-300-7922 or \n416-935-3551 (outside North America) or \ninvestor.relations@rci.rogers.com\nMedia inquiries: 416-935-7777\nCORPORATE PHILANTHROPY \nFor information relating to Rogers various \nphilanthropic endeavours, refer to the \n“About Rogers” section of rogers.com\nSUSTAINABILITY \nRogers is committed to continuing to grow \nresponsibly and we focus our social and \nenvironmental sustainability efforts where we \ncan make the most meaningful impacts on both. \nTo learn more, please visit rogers.com/csr \nSTOCK EXCHANGE LISTINGS \nToronto Stock Exchange (TSX): \nRCI.b – Class B Non-Voting shares \n(CUSIP # 775109200) \nRCI.a – Class A Voting shares \n(CUSIP # 775109101)\nNew York Stock Exchange (NYSE): \nRCI – Class B Non-Voting shares \n(CUSIP # 775109200)\nEquity Index Inclusions: \nDow Jones Canada Titans 60 Index \nDow Jones Telecom Titans 30 Index \nFTSE Global Telecoms Index \nFTSE All-World Index Series \nFTSE4Good Global Index \nJantzi Social Index \nS&P/TSX 60 Index \nS&P/TSX Composite Dividend Index \nS&P/TSX Composite Index \nS&P/TSX Telecom Services Index\n \nDEBT SECURITIES \nFor details of the public debt securities of the \nRogers companies, please refer to the “Debt \nSecurities” section under rogers.com/investors\nINDEPENDENT AUDITORS \nKPMG LLP\nON-LINE INFORMATION \nRogers is committed to open and full financial \ndisclosure and best practices in corporate \ngovernance. We invite you to visit the Investor \nRelations section of rogers.com/investors where \nyou will find additional information about our \nbusiness, including events and presentations, \nnews releases, regulatory filings, governance \npractices, corporate social responsibility and our \ncontinuous disclosure materials, including quarterly \nfinancial releases, annual information forms and \nmanagement information circulars. You may also \nsubscribe to our news by e-mail or RSS feeds \nto automatically receive Rogers news releases \nelectronically.\n \n \nShares Outstanding at December 31, 2013\nClass A 112,462,000\nClass B 402,281,178 \n2014 Expected Dividend Dates\nRecord Date*: Payment Date*:\nMarch 14, 2014 April 4, 2014\nJune 13, 2014 July 4, 2014\nSeptember 12, 2014 October 3, 2014\nDecember 11, 2014 January 2, 2015\n* Subject to Board approval\n Dividends \n Closing Price RCI.b on TSX Declared \n2013 High Low Close per Share\nFirst Quarter $51.89 $44.37 $51.89 $0.435 \nSecond Quarter $52.35 $40.35 $41.20 $0.435 \nThird Quarter $45.36 $40.35 $44.29 $0.435", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "6\n• compliance with debt covenants, availability and cost of credit, changes in interest rates, and trends in debt repayment patterns, \npersonal bankruptcies and bad debt write-offs, and\n• the timing and amounts of share repurchases by the company, if any, or any share issuances by the company, including issuances \nassociated with option exercises or other matters.\nThese and other factors, including those factors described in Item 1A: Risk Factors, could affect our financial results and cause actual results \nto differ materially from any forward-looking information we may provide. We undertake no obligation to update or revise any forward-looking \nstatements to reflect subsequent events, new information or future circumstances.\nSEC FILINGS\nWe file annual, quarterly and current reports, proxy statements and other documents with the Securities and Exchange Commission (“SEC”). \nAll material we file with the SEC is publicly available at the SEC’s Public Reference Room at 100 F Street NE, Washington, DC 20549. You \nmay obtain information on the operation of the Public Reference Room by calling the SEC at 1-800-SEC-0330. In addition, the SEC \nmaintains a website at www.sec.gov that contains reports, proxy and information statements and other information regarding issuers that file \nelectronically with the SEC.\nWEBSITE ACCESS\nOur website address is Nordstrom.com. Our annual and quarterly reports on Form 10-K and Form 10-Q (including related filings in \neXtensible Business Reporting Language (“XBRL”) format), current reports on Form 8-K, proxy statements, our executives’ statements of \nchanges in beneficial ownership of securities on Form 4 and amendments to those reports filed or furnished pursuant to Section 13(a) or 15\n(d) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) are available for free on or through our website as soon as \nreasonably practicable after we electronically file the report with or furnish it to the SEC. Interested parties may also access a webcast of \nquarterly earnings conference calls and other financial events through our website.\nCORPORATE GOVERNANCE\nWe have a long-standing commitment to upholding a high level of ethical standards. In addition, as the listing standards of the New York \nStock Exchange (“NYSE”) and the rules of the SEC require, we have adopted Codes of Business Conduct and Ethics for our employees, \nofficers and directors (“Codes of Ethics”) and Corporate Governance Guidelines. Our Codes of Ethics, Corporate Governance Guidelines \nand Committee Charters for the Audit, Compensation, Corporate Governance and Nominating, Finance and Technology Committees are \nposted on our website. Any amendments to these documents, or waivers of the requirements they contain, will also be available on our \nwebsite.\nFor printed versions of these items or any other inquiries, please contact:\nNordstrom Investor Relations\nPO Box 2737\nSeattle, Washington 98111\n(206) 303-3200\ninvrelations@nordstrom.com\nItem 1A. Risk Factors.\nOur business faces many risks. We believe the risks described below outline the items of most concern to us.\nRISKS DUE TO STRATEGIC AND OPERATIONAL FACTORS\nOur customer strategy focuses on providing a seamless, cohesive and high-quality experience across all Nordstrom channels and \nfailure to successfully execute our plans could negatively impact our current business and future profitability. \nWe are enhancing our customer shopping experience in our stores, online, and in mobile and social channels by pursuing a heightened \nfocus on technology and ecommerce to fuel our growth. With the accelerated pace of change in the retail environment, we may not be able to \nmeet our customers’ changing expectations in how they shop in stores or through ecommerce. If we target the wrong opportunities, fail to \nmake investments at the right time or pace, fail to make the best investments in the right channels or make an investment commitment", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Investor Information 69\nINVESTOR INFORMATION\nThe following table represents the high and low trading prices of the Company’s\ncommon stock:\nFor the years ended December 31, 2004 2003\nHigh Low High Low\nFirst Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 46.18 $ 36.71 $ 34.45 $ 24.09\nSecond Quarter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49.79 40.99 35.50 26.40\nThird Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50.14 39.61 38.59 32.03\nFourth Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73.50 49.15 38.20 34.05\nThe Company’s common stock is listed on the New York Stock Exchange. The\nsymbol is MGG.\nForward-Looking Statements\nThis Annual Report contains some forward-looking statements which are subject to\nchange. Actual results may differ materially from those described in any forward-\nlooking statement. Additional information concerning potential factors that could\naffect our future results is included under the caption “Factors that May Affect Our\nFuture Results” in Item 1 of our Annual Report on Form 10-K for the year ended\nDecember 31, 2004. This statement is provided as permitted by the Private\nSecurities Litigation Reform Act of 1995.\nTransfer Agent and Independent Public\nRegistrar For Common Stock Accountants\nMellon Investor Services LLC Deloitte & T ouche LLP\n85 Challenger Road 3773 Howard Hughes Parkway\nRidgefield Park, NJ 07660 Suite 490, North T ower\nwww.melloninvestor.com Las Vegas, NV 89109\n1-800-358-2066\nForm 10-K\nA copy of the Company’s annual report on Form 10-K, as filed with the Securities\nand Exchange Commission, will be furnished without charge to any stockholder\nupon written request to:\nMr. Bryan L. Wright\nSenior Vice President, Assistant General Counsel and Assistant Secretary\nMGM MIRAGE\n3600 Las Vegas Blvd. South\nLas Vegas, NV 89109", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Table of ContentsPART II. OTHER INFORMATIONITEM 1. LEGAL PROCEEDINGSFor a description of our material pending legal proceedings, please see Note 10, Commitments and Contingencies, to theconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.ITEM 1A. RISK FACTORSOur operations and financial results are subject to various risks and uncertainties, including the factors discussed in PartI, Item 1A, Risk Factors in our Annual Report on Form 10-K for the year ended December 31, 2023, which could adverselyaffect our business, financial conditions and future results.ITEM 2. UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDSIn connection with the offering of 2.00% Convertible Senior Notes due 2024 in May 2019, we sold warrants to each ofSociété Générale, Wells Fargo Bank, National Association, Credit Suisse Capital LLC (later assigned to UBS AG, LondonBranch) and Goldman, Sachs & Co. LLC (together, the “2019 Warrantholders”). Between August 19, 2024 and September 30,2024, we issued an aggregate of 8,506,223 shares of our common stock to the 2019 Warrantholders pursuant to their exercise ofsuch warrants, which were net of the applicable exercise prices. Such shares were issued pursuant to an exemption fromregistration provided by Rule 3(a)(9) of the Securities Act of 1933.ITEM 3. DEFAULTS UPON SENIOR SECURITIESNone.ITEM 4. MINE SAFETY DISCLOSURESNot applicable.ITEM 5. OTHER INFORMATIONNone of the Company’s directors or officers adopted, modified or terminated a Rule 10b5-1 trading arrangement or anon-Rule 10b5-1 trading arrangement during the Company’s fiscal quarter ended September 30, 2024, as such terms aredefined under Item 408(a) of Regulation S-K, except as follows:On July 25, 2024, Robyn Denholm, one of our directors, adopted a Rule 10b5-1 trading arrangement for the potentialsale of up to 674,345 shares of our common stock (all resulting from stock options expiring in June 2025), subject to certainconditions. The arrangement's expiration date is June 18, 2025.On July 31, 2024, Kimbal Musk, one of our directors, adopted a Rule 10b5-1 trading arrangement for the potential saleof up to 152,088 shares of our common stock, subject to certain conditions. The arrangement's expiration date is May 30, 2025.On August 12, 2024, Kathleen Wilson-Thompson, one of our directors, adopted a Rule 10b5-1 trading arrangement forthe potential sale of up to 300,000 shares of our common stock, subject to certain conditions. The arrangement's expiration dateis February 28, 2025.36\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n47 sur 4910/01/2025, 14:33", - "page_start": 46, - "page_end": 46, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n63\nD E S I G N : S E Q U E L S T U D I O , N E W Y O R K\nS C H E D U L E O F Q U A R T E R L Y \nR E S U L T S\nThe Company operates on a fiscal year ending \non the Saturday nearest December 31. Quar-\nterly results are typically announced within 25 \ndays after the end of each quarter, and audited \nresults are typically announced within 40 days \nafter year-end.\nF I S C A L 2 0 0 4 \nQ U A R T E R - E N D D A T E S\n1st Quarter: Saturday, April 3\n2nd Quarter: Saturday, July 3\n3rd Quarter: Saturday, October 2\n4th Quarter: Saturday, January 1\nA N N U A L M E E T I N G\nThe Company’s annual shareholders’ meeting \nwill be held at 10:30 a.m. on May 4, 2004, at \nthe Holiday Inn, Highways 61 & 38 North, \nMuscatine, Iowa. Shareholders and other \ninterested investors are encouraged to attend \nthe meeting.\nI N V E S T O R R E L A T I O N S\nSend inquiries to:\nInvestor Relations\nHON INDUSTRIES Inc.\n414 East Third Street\nMuscatine, IA 52761\nTelephone: 563.264.7400\nFax: 563.264.7655\nE-mail: investorrelations@honi.com\nC O R P O R A T E H E A D Q U A R T E R S\nHON INDUSTRIES Inc.\n414 East Third Street\nP.O. Box 1109\nMuscatine, IA 52761-0071\nTelephone: 563.264.7400\nFax: 563.264.7217\nWebsite: www.honi.com\nI N D E P E N D E N T P U B L I C \nA C C O U N T A N T S\nPricewaterhouseCoopers LLP\nOne North Wacker Drive\nChicago, IL 60606\nC O M M O N S T O C K\nHON INDUSTRIES common stock trades \non the New York Stock Exchange under the \nsymbol: HNI. Stock price quotations can be \nfound in major daily newspapers and The \nWall Street Journal .\nT R A N S F E R A G E N T\nShareholders may report a change of address \nor make inquiries by writing or calling:\nComputershare Investor Services, LLC\n2 North LaSalle Street\nChicago, IL 60602\nTelephone: 312.588.4991\nI N V E S T O R I N F O R M A T I O N\nStatements in this report that are not strictly historical, including statements as to \nplans, objectives, and future financial performance, are “forward-looking” state-\nments that are made pursuant to the safe harbor provisions of the Private Securities \nLitigation Reform Act of 1995. Forward-looking statements involve known and \nunknown risks, which may cause the Company’s actual results in the future to dif-\nfer materially from expected results. These risks include, among others: \n• competition within the office furniture and fireplace industries, including \ncompetition from imported products and competitive pricing; \n• increases in the cost of raw materials, including steel, which is the Company’s \nlargest raw material category;\n• increases in the cost of health care benefits provided by the Company;\n• reduced demand for the Company’s storage products caused by changes in \noffice technology; including the change from paper record storage to electronic \nrecord storage; \n• the effects of economic conditions, on demand for office furniture, customer \ninsolvencies and related bad debts and claims against the Company that it \nreceived preferential payments; \n• changes in demand and order patterns from the Company’s customers, par -\nticularly its top ten customers, which represented approximately 36% of net sales \nin 2003; \n• issues associated with acquisitions and integration of acquisitions; \n• the ability of the Company to realize cost savings and productivity improve -\nments from its cost containment and business simplification initiatives;\n• the ability of the Company to realize financial benefits from investments in new \nproducts; \n• the ability of the Company’s distributors and dealers to successfully market \nand sell the Company’s products; \n• the availability and cost of capital to finance planned growth; and\n• other risks, uncertainties, and factors described from time to time in the \nCompany’s filings with the Securities and Exchange Commission. \nWe caution the reader that the above list of factors may not be exhaustive. The", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "SHAREHOLDER INFORMATION\nSHAREHOLDER INQUIRIES\nRequests to transfer Applied Industrial \nTechnologies, Inc. shares and all \ncorrespondence regarding address change \ninformation, duplicate mailings, missing \ncertificates, failure to receive dividend \nchecks in a timely manner or to participate \nin the Company’s direct stock purchase \nprogram should be directed to the \nCompany’s transfer agent and registrar:\nCOMPUTERSHARE TRUST COMPANY , N.A.\n250 Royall Street \nCanton, MA 02021 \n800/988-5291\nINVESTOR RELATIONS INQUIRIES SHOULD \nBE DIRECTED TO:\nMARK O. EISELE\nVice President – Chief Financial Officer \n & Treasurer \nApplied Industrial Technologies \n1 Applied Plaza \nCleveland, OH 44115-5014 \nTelephone: 216/426-4000, Fax: 216/426-4845\nANNUAL REPORT ON FORM 10-K\nThe Applied Industrial Technologies, Inc. \nAnnual Report on Form 10-K for the fiscal \nyear ended June 30, 2012, including the \nfinancial statements and schedules thereto, \nis available at our website at \nwww.Applied.com. It is also available \nwithout charge upon written request to the \nVice President – Chief Financial Officer & \nTreasurer at the address shown.\nANNUAL MEETING\nThe Annual Meeting of Shareholders will be held \nat 10:00 a.m., Tuesday, October 23, 2012, at the \nCorporate Headquarters of Applied Industrial \nTechnologies, 1 Applied Plaza, East 36th and \nEuclid Avenue, Cleveland, Ohio 44115.\n 2007 2008 2009 2010 2011 2012\nApplied Industrial Technologies, Inc. $100.00 $83.63 $70.22 $92.62 $133.17 $141.07\nStandard & Poor’s 500 100.00 86.88 64.11 73.36 95.88 101.10\nPeer Group 100.00 86.96 74.77 100.34 148.47 170.81\nAssumes $100 invested at the close of trading 6/30/07 in \nApplied Industrial Technologies, Inc. common stock, Standard \n& Poor’s 500, and Peer Group.\nCumulative total return assumes reinvestment of dividends.\nThe returns of the companies in the Peer Group are weighted \nbased on the companies’ relative stock market capitalization.\nPeer Group companies selected on a line-of-business basis \ninclude: DXP Enterprises, Inc.; Fastenal Company; Genuine \nParts Company; W. W. Grainger, Inc.; Kaman Corporation; \nLawson Products, Inc.; MSC Industrial Direct Co., Inc.; and \nWESCO International, Inc. \nSource: Value Line Publishing LLC\nApplied Industrial Technologies, Inc., Standard & Poor’s 500, and Peer Group \n(Performance Results from 7/1/2007 through 6/30/2012)\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most \nfinancial listings as “AppliedIndlTch.”\nBB&T CAPITAL MARKETS \nHolden Lewis, 703/471-3894\nCJS SECURITIES \nJonathan Tanwanteng, 914/287-7600 \nCLEVELAND RESEARCH COMPANY \nAdam Uhlman, 216/649-7241 \nKEYBANC CAPITAL MARKETS \nJeffrey D. Hammond, 216/689-0236 \nSIDOTI & CO. \nJoseph Mondillo, 212/894-3339\nGREAT LAKES REVIEW – Division of \nWellington Shields & Co.\nElliott Schlang, 216/767-1340\nSTEPHENS INC. \nMatt Duncan, 501/377-3723\nWELLS FARGO SECURITIES, LLC\nAllison Poliniak-Cusic, 212/214-5062\nWUNDERLICH SECURITIES\nBrent D. Rakers, 901/251-2236\nRESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:\nCOMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN\n$0.00 \n$50.00 \n$100.00 \n$150.00 \n$200.00 \n2007 2008 2009 2010 2011 2012 \nApplied Industrial Technologies, Inc. \nStandard & Poor's 500 \nPeer Group \n25358_AIT_Report_WT.indd 45 8/23/12 8:33 AM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_AIT_2012.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "How many employees did Corning company count at the end of 2002 ?", - "target_page": 5, - "target_passage": "We are continuing to invest in our people — all 23,200 of them", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "BALA NC E Corning Annual Report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "W ENDELL P. W EEKS J AMES B. F LAWS\nVICE CHAIRMAN\nAND CHIEF FINANCIAL OFFICER\nPRESIDENT\nAND CHIEF OPERA TING OFFICER\n8\nWe take great pride in saying that Corning continues to be\na financially sound company, thanks to the aggressive\nstrategies we executed throughout 2002. Although it has\nbeen a very painful process, we have dramatically slowed\nthe rate at which we are spending cash. We ended the year\nwith a balance of cash and short-term investments of\n$2.1 billion. And we have access to $2 billion in credit\nthat we haven’t touched — and don’t plan to. We also\ncontinue to pay down debt each quarter. This, combined\nwith our plan to return to profitability in 2003, gives us\na high degree of confidence in our ability to meet any\nfuture financial obligations. So, we feel very good about our\nliquidity position right now.\nThe ongoing economic weakness and uncertainty in world\nevents continue to make the overall business environment\na volatile one. Still, we have greatly improved our ability\nto forecast revenues and expenses quarter-to-quarter, and\nwe are encouraged by the near-term growth potential of\nour non-telecommunications businesses — especially our\nliquid-crystal display, environmental and semiconductor\nbusinesses. If these markets continue to grow as we expect,\nwe are confident that we will be able to meet our goals.\nWe know that our shareholders are most eager to see a\ngreater return on their investment with Corning, and of\ncourse our return to profitability will be key to building back\nWall Street’s confidence. We are 100 percent committed\nto reaching that goal of profitability in 2003 — and doing\nso within the rigorous compliance rules by which we\nhave always been guided. Integrity characterizes all our\nrelationships, both inside and outside of Corning, and we\nwill never compromise that foundation of our reputation.\nIn our business operations during 2002 we invested\na great deal of energy aligning our cost structure and\nbusiness plans with our priority of restoring profitability.\nAfter massive restructuring — following restructuring\nefforts we launched in 2001—we feel we now have our\ncost structure and growth strategies in place to accomplish\nthis goal. \nWe have re-balanced the company to take advantage of\nour broad and diverse set of businesses. And in charting\nour strategies, we have focused on ensuring that both our\nsegments have solid business plans in place, enabling\nthem to grow. Our people are rigorously committed to\nexecuting against these plans.\nAs you saw earlier in this report, our Corning\nTechnologies businesses are in markets with solid growth\npotential. We have leading market positions in attractive\nbusinesses … we are ready to capitalize on that position of\nstrength. Meanwhile, we are making these businesses\neven more cost-effective through significant manufactur-\ning efficiency gains.\nIn telecommunications, we are not planning on a market\nrecovery in 2003. We have aligned our cost structure to\nmeet current demand levels after two very tough years\nof ongoing restructuring.\nWithin the context of our financial realities, however, we\nhave not lost our sense of self. We will meet our\ngoals … but the path we are taking to get there has been,\nand will continue to be, consistent with our V alues.\nIntegrity … quality … treating individuals with dignity\nand respect … these are the guiding principles of the \ndecisions we make. We know that in adhering to our\nV alues, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "We will long remember 2002 as one of the most challenging years — if not the most challenging — in Corning Incorporated’s\nlong history. I quickly became even more steeped in these challenges in April when, at the request of our Board of Directors,\nI returned to the company as Chairman and Chief Executive Officer. \nSince that time, I am increasingly convinced that, despite our downturn, the long-term future of Corning remains bright and\nfilled with opportunity.\nBut in the meantime, we have been living in a very difficult reality – one marked by ongoing quarterly losses and drops in\nrevenue. Y ou, our shareholders — along with our employees and our friends in the communities we serve — felt the pain. We all\nwatched our businesses retrench, battered by a weakened global economy and Wall Street turmoil. And we could only wonder\nwhat bad news would be next as our stock value continued its seemingly relentless decline.\nWith the severe drop-off in revenues from our telecommunications customers, we knew we could no longer afford to keep\nup the costly infrastructure of facilities and staff we had in place. Put simply, we couldn’t spend more than we were making. \nWe also knew our strengths — and they were many! We knew we were not — nor had we ever been — merely a\ntelecommunications company. Rather, we are a technology company, with the materials and process expertise to create\nlife-changing products. That’s what we’ve been for all of our 152 years; that’s what we’ll continue to be. \nAnd we knew something else … that our V alues, the historic strength of our company, were alive and well. Quality, Integrity,\nPerformance, Leadership, Innovation, Independence and The Individual continue to guide our every move, and continue to set us\napart from other companies— especially those caught in the accounting scandals that marred the business world this past year.\nT O O UR S HAREHOLDERS :\nC HAIRMAN AND C HIEF E XECUTIVE O FFICER\n1\nJ AMES R. H OUGHTON", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "One Riverfront Plaza\nCorning, NY 14831-0001\n607 974 9000\nwww.corning.com\n02BR24601EN\nA NNUAL M EETING\nThe annual meeting of shareholders will be held on\nThursday, April 24, 2003, in Corning, NY . A formal notice \nof the meeting together with a proxy statement will be mailed\nto shareholders on or about March 12, 2003. The proxy state-\nment can also be accessed electronically through the Investor\nRelations category of the Corning home page on the Internet\nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon\nwritten request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831.\nA DDITIONAL I NFORMA TION\nA copy of Corning’s 2002 Annual Report on Form 10-K filed\nwith the Securities and Exchange Commission is available\nupon written request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831. The Annual Report on Form 10-K can\nalso be accessed electronically through the Investor Relations\ncategory of the home page on the Internet at:\nwww.corning.com\nI NVESTOR I NFORMA TION\nInvestment analysts who need additional information may\ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations,\nCorning Incorporated, HQ-E2-25, Corning, NY 14831;\nTelephone 607.974.9000\nC OMMON S TOCK\nCorning Incorporated common stock is listed on the \nNew Y ork Stock Exchange and the SWX Swiss Exchange.\nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The\nabbreviated ticker symbol for Corning Incorporated is “GLW.”\nT RANSFER A GENT AND R EGISTRAR\nComputershare Investor Services LLC\nP .O. Box A-3504\nChicago, IL 60690-3504\nTelephone: 800.255.0461\nWebsite: www.computershare.com\nC HANGE OF A DDRESS\nReport change of address to Computershare \nInvestor Services at the above address.\nI NDEPENDENT A CCOUNTANTS\nPricewaterhouseCoopers LLP\n1301 Avenue of the Americas\nNew Y ork, NY 10019\n“Safe Harbor” Statement under the Private\nSecurities Litigation Reform Act of 1995\nThe statements in this annual report that are not historical\nfacts or information are forward-looking statements. These\nforward-looking statements involve risks and uncertainties\nthat may cause the outcome to be materially different. Such\nrisks and uncertainties include, but are not limited to:\n— global economic and political conditions, \n— currency fluctuations,\n— product demand and industry capacity,\n— competitive products and pricing,\n— sufficiency of manufacturing capacity and efficiencies,\n— cost reductions,\n— availability and costs of critical materials,\n— new product development and commercialization,\n— attracting and retaining key personnel,\n— order activity and demand from major customers,\n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments,\n— financial condition of customers,\n— changes in the mix of sales between premium \nand non-premium products,\n— facility expansions and new plant start-up costs,\n— adverse litigation or regulatory developments, including \nfuture or pending tax legislation,\n— adequacy and availability of insurance,\n— capital resource and cash flow activities,\n— capital spending,\n— equity company activities,\n— interest costs,\n— acquisition and divestiture activity,\n— the rate of technology change,\n— the ability to enforce patents,\n— product performance issues,\n— stock price fluctuations, and\n— other risks detailed in Corning’s SEC filings.\nNeither this report nor any statement contained herein is\nfurnished in connection with any offering of securities or for\nthe purpose of promoting or influencing the sale of securities.\nCorning is an equal opportunity employer.\nPrinted in USA\n© Corning Incorporated 2003\nI NVESTOR I NFORMA TION :\nCorning Incorporated", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "The ongoing malaise of the telecommunications industry led\nCorning to initiate significant restructurings during 2002. Optical\nfiber plant closings and workforce reductions were evidence of our\ncomprehensive plan to align expenses with dramatically lowered\nrevenues in our telecommunications businesses. Despite industry\nweakness, we remain the global leader in the manufacturing and sale\nof optical communications products. Our position will serve us well\nwhen the inevitable growth of this dynamic market returns.\nFor the near-term, we are focused on maintaining our leading position\nacross our markets and with our customers. Through our many\ngenerations of manufacturing technology development, we are\nrestoring our businesses to profitability despite continued pricing\npressure and low-volume growth expectations. \nLooking further ahead, we remain committed to creating innovative\noptical communications products that meet even tighter quality,\ncapability and cost requirements for our customers. We are empha-\nsizing metro and access segments of the market as our major oppor-\ntunities. And we are watching carefully for signs of market recovery.\nWhen that time comes, we will be poised for growth once again.\n6\nC ORNING C ABLE S YSTEMS : CABLE AND HARDW ARE\nO PTICAL N ETWORKS : METRO , LOCAL , LAST MILE\nC ORNING T ELECOMMUNICA TIONS", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "4\nF LA T P ANEL D ISPLAY G LASS : LCD TELEVISIONS\nDESKTOP MONITORS AND LAPTOPS\nCorning’s historical success stems from its foundation as an inno-\nvative technology company. Our diverse portfolio of businesses\nspans a wide range of markets, and this is one of the main reasons\nwe are weathering the downturn in the telecommunications sector.\nThe businesses we classify as Corning Technologies — led by our\nliquid-crystal display (LCD) glass, environmental, and semicon-\nductor optics operations — were strong and profitable in 2002,\nwith aggressive plans for significant growth during 2003. \nOur LCD glass business has been a star performer, posting\nyear-over-year volume gains of more than 45 percent. We are the\nleading producer in this market. Our sales of glass for desktop\nmonitors have doubled over the past year alone — and there’s still\nplenty of room for more growth, since only about a quarter of\ndesktop displays sold in 2002 were LCD. And, LCD TVs are\njust beginning to gain popularity — we consider this one of our\nnext big opportunities, as the number of LCD TVs sold annually\nmore than doubled in 2002. Our EAGLE2000™ glass substrates\nand other product and process innovations are enabling manufac-\nturers to produce lighter, larger, thinner and higher-resolution\ndisplays more affordably — exactly what the market is demanding.\nC ORNING T ECHNOLOGIES", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "32 | EMPLOYEES\nDana Clayton\nJack Clement Jr.\nBryan Clevinger\nPaul Coffey\nJackie Cole\nRobert W. Coleman\nKevin Collins\nTiffany Collins\nChristian Combs\nDouglas Combs\nGary Compton\nMichele Compton\nBill Connard\nPaul Conway\nPhyllis Copley\nCurtis Corcoran\nMike Cornette\nGeron Cottam\nTim Cottrell\nA.J. Cox\nElsie Cox\nMarisa Craig\nDennis Crisp\nVernon Crumm III\nJoshua Crystal\nCharlotte Cullifer\nLarry Cunningham\nRonnie Cunningham\nArthur Curry\nBilly Curry\nDavid Cutright\nBo Daniel\nChristy Dare\nFred Daugherty\nDonald Davey\nEmily Davis\nJacob Davis\nKhari Davis\nLisa Davis\nRod Davis\nRicky Daw\nIrene Da Rocha\nMario Delao\nAletha Dewbre-King\nHank DeWitt\nBrent Dixon\nDarrell Dollens\nPete Dominguez\nTyler Doolen\nBarney Dosier\nDustin Durkee\nStephen DuBois\nHouston Eagleston\nJoe Earley\nAnthony Earnest\nNate Easter\nMichael Edwards\nWilliam Edwards\nTravis Egner\nEric Eller\nRobert Elliott\nBryan Ellis\nLinda Ellis\nKay Elrod\nAlan Elswick\nRicky Endicott\nAngie England\nRanulfo Escamilla\nAlison Estus\nDavid Eudey\nSara Everett\nStacy Evett\nDeanna Farmer\nK.C. Ferguson\nMark Ferman\nCori-Dawn Fields\nBrad Finley\nDonald Fisher\nDoyle Fisher\nJeff Lane Fisher\nMarc Fleischer\nAdam Flores\nMeara Foreman\nDarcie Foster\nJason Fournier\nRicky French\nVictor Frias\nBret Frie\nMike Friend\nRodney Friend\nMindi Friese\nAndy Fritsch\nRachael Fugate\nToby Fullbright\nDennis Gagliardi\nMichael Gallo\nBeau Galloway\nCleab Gamble\nAlma Garcia\nLori Garcia\nTonya Garrett\nFred Gates\nLiz Gerhard\nJosh Gibson\nJohn Gilbert\nRhonda Giles\nDavid Gilliam\nKeith Glasgow\nDavid Glass\nZane Glasscock\nJason Glassey\nMitch Goble\nDave Gocke\nBrian Goins\nHeather Gomez\nAlex Gonzalez\nMartin Gonzalez\nPaula Grace\nBrian Graefnitz\nDaniel Graham\nHenry Granados\nJay Gray\nKenneth Gray\nStephen Gray\nRodney Greathouse\nMarcus C. Green\nShane Green\nTracy Green\nBrady Greer\nDavid Griffith\nGreg Gromadzki\nRonnie Guerrero\nDave Gum\nTodd Gum\nJim Gumm\nRodney Gunter\nRoberto Gutierrez\nJohn Gwynn\nPatty Haffey\nLea Hain\nRonald Halbert\nDonny Hale\nGarrett Hale\nPaul Hale\nBarb Hall\nDon Hall\nMarcus Hall\nMike Hall\nJoe Halstead\nWheeler Hammit\nBuddy Harbison\nRusty Hardin\nLonnie Harl\nDewey Harless\nMike Harless\nNathan Harless\nShanna Harmon\nEarl Harris\nMichelle Harris\nPhyllis Harris\nTom Harris\nDenise E. Hart\nKenneth Hartfield\nSteve Harvath\nRandy Hatfield\nDaniel Hattaway\nTyler Hawkins\nJoe Hays\nWilliam Hays\nBrian Heckert\nFred Hein\nJustin Heinken\nJill Heitert\nDarin Herndon\nCraig Hicks\nEric Higgins\nJohn Highfield\nDonna Hilderbrandt\nRick Hill\nKay Hillabold\nJuan Hinojosa\nArthur Hoehne\nGary Hohenberger\nThomas Holland\nNathan Holloway\nPat Holman\nAlfred Hooper Jr.\nRandy Hooper\nDrew Hopkins\nTim J. House\nTim M. House\nLindsay Houston\nBrian Howard\nDoyle Howard\nKelli Howard\nGreg Howell\nSonny Htoon\nPaul Hudgins\nJeff Huelskamp\nChristine Hughes\nLarry Hughes\nRodney Hughes\nZachary Humphrey\nJason Ille\nBetsy Ireson\nWilliam Ireson\nJohnny Ison\nBryan Jackson\nMike Jackson\nKris Janzen\nBruce Johnson\nGeorge Johnson\nMark Johnson\nP .J. Johnson\nSteve S. Johnson\nKevin Johnston\nLonnie Johnston\nDavid S. Jones\nFred Jones\nMark Jones\nPat Jones\nGreg Jordan\nJessica Jorns\nFrances Jowers\nJoe Juarez\nLarry Justice\nErin Kaiser\nBrandon Kammerer\nKevin Kappes\nEarl Karickhoff\nRobert Keenan\nJohn Keller\nEarnest Kelough\nBrad Kemp\nRon Kendrick\nMike Key\nTommy Kidd\nDonna King\nGary King\nRyan Klein\nMark Knapp\nBrad Knight\nAndrew Kock\nJennifer Kraszewski\nRusty Kreizenbeck\nKim Kremer\nKris Kuehn\nLinda Kurtz\nJim Kwasny\nAnthony Lafferty\nBill Lafferty\nPaul Lafferty\nSidney Lane\nKaren Langley\nHenry Latimer\nMike Laue\nWill Lawler\nRonnie Lawrence\nGina Lawson\nJoshua Lawson\nLarry Lee\nKeith Lehman\nBrad Lemon\nJames Lenhart\nShannon Lenhart\nMarty Lesley\nJohn Paul Leslie\nDustin Lewis\nAl Leyva\nJason Lierle\nWayne Light Jr.\nDan J. Lopata\nBecky Lorton\nMichael Lovelace\nMichael Lovero\nDwayne Lowe\nJason Lundy\nPaul Lupardus\nShauna Lyon\nSean Macias\nAngie Mackey\nCraig Manaugh\nAmy Marburger\nRobert Marsh III\nJace Marshall\nBilly Martin\nDanny Martin\nDeb Martin\nJames Martin\nRandy Martin\nRobert Martin\nThomas Martin\nChema Martinez\nHomer Martinez\nBill Mathews", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "During 2002, the Company recorded a pretax charge of \napproximately $5.4 million due to the shutdown of an office furniture \nfacility in Jackson, Tennessee. A total of 125 members were terminated \nand received severance due to this shutdown. During the second quar-\nter of 2003, a restructuring credit of approximately $0.6 million was \ntaken back into income relating to this charge. This was due to the fact \nthat the Company was able to exit a lease with the lessor at more favor-\nable terms than previously estimated.\nDuring the second quarter of 2001, the Company recorded a \npretax charge of $24.0 million or $0.26 per diluted share for a restruc-\nturing plan that involved consolidating physical facilities, discontinuing \nlow-volume product lines, and reductions of workforce. Included in the \ncharge was the closedown of three of its office furniture facilities located \nin Williamsport, Pennsylvania; Tupelo, Mississippi; and Santa Ana, \nCalifornia. Approximately 500 members were terminated and received \nseverance due to the closedown of these facilities. During the second \nquarter of 2002, a restructuring credit of approximately $2.4 million \nwas taken back into income relating to this charge. This was mainly due \nto the fact that the Company was able to exit a lease with a lessor at \nmore favorable terms than originally estimated and the Company’s \nability to minimize the number of members terminated as compared to \nthe original plan.\nThe following table details the change in restructuring \nreserve for the last three years:", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "7\nC RITICAL T ECHNOLOGIES : CHEMICAL V APOR DEPOSITION\nM A TERIALS R ESEARCH : OPTICAL PROPERTIES\nCorning’s long history of extraordinary innovation continues in\nthe context of managing the sensitive balance between the near-term\nalignment of R&D and business objectives, and longer-range\ndiscovery research and new opportunity creation.\nOver the past year, we adjusted our R&D spending to align\nwith business conditions. At the same time, we carefully preserved\nour core technology capabilities to ensure our capacity to lead our\nmarkets and create life-changing innovations.\nWe have tightened our focus on high-impact projects and have\nstreamlined our processes to develop and commercialize promising\nopportunities more quickly and efficiently. We have emphasized\nour patent processes to ensure strong competitive positions from the\ncritical intellectual assets of our scientific organization.\nOur R&D organization is aligned with our operating goals and\nplays a critical role in meeting them. Our scientists and engineers\nare closely linked to our operations and are focused not only on\nnew product development, but also new process development. They\nare discovering new ways to manufacture innovative products with\nlowered cost and increased quality performance.\nInnovation is one of Corning’s core V alues. It is the everyday\nlanguage and mindset of the company. Even in the face of difficult\neconomic conditions, we will pursue our tradition of developing\nbreakthrough technologies for the markets we serve — from\ntelecommunications to environmental — and will capitalize on the\ncreation of new market opportunities made possible by our strong\ncommitment to research and development.\nS CIENCE & T ECHNOLOGY", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_GLW_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "What is the shortcut to mute myself in MS teams ?", - "target_page": 3, - "target_passage": "Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Microsoft Teams: Quick Start Guide\nChat Teams and channels\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest.\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \nTo create a new chat, press [CTRL] + [N] (or look for the pen symbol at the \ntop of the chat list) and add the names of anyone you want to include. Type \nyour message and select Send or hit [Enter].\n1:1 Chat\nGroup Chat\nMeeting Chat\nTo share a file select “Attach” under the box where you type messages, select \nthe file location and then the file you want. Depending on the location of the file, \nyou’ll get options for uploading a copy, sharing a link, or other ways to share. \nWhen you create group chats you can edit the name of the group by selecting the pen symbol \nnext to the group icon in the chat. This will help you give it context and make it easier to find. \nAN\nCreate a team for your organization with channels for your leadership team, \neach department, and one just for fun! \nDaichi, Eva, +2 11:00 AM\nYes, that should work for us\nMarketing Sync 10:45 AM\nSharing notes after the meeting\nTip\nTip\nTeams\nA team is a broad group of people that work together to get something \ndone. You can choose who is part of the team, and people can only access \nshared content by invitation. All teams are created with an associated \nGeneral channel that includes all team members by default. \nChannels\nShared Channel\nMarketing\nGeneral\nA channel is a central hub for a specific topic, within the larger team, where \npeople can hold focused conversations and organize a library of files. \nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your \norganization who are not on the team)", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Meeting essentials\nCreate meetings\nSelect + New meeting or double-click on a time in your \ncalendar to create a new meeting. \n3. Send your invite. \n2. Add people, a location and any notes.\nJoin meetings\nFrom the calendar tab, select the meeting you intend to join, \nthen select join. .\n3. Then select join now. .\nA new screen will show up. Here you can choose how you \nwant to appear in the meeting, and your audio preferences. \nPresent in meetings\nScreen share from the Share button at the top of your \nmeeting window. \nWhen you are finished, use the share button at the top of your \nmeeting window to stop sharing. \nChoose what screen or window you want to share. Don't forget \nto include audio if you're sharing something with sound.\nMeeting controls\nWhen you join meetings, a different window will pop-up. These are the controls you need to know: \nUse [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.Tip\n1.\n1.\n2.\n1.\n2.\n3.\nParticipants\nClick to see who has been invited to the meeting, or to add new people. \nChat\nUse chat to share files, ideas, and notes. \nReactions\nStay involved without breaking the flow—you can share an emoji reaction to let the \npresenter know how you feel. Reactions also allow you to raise your hand, which \nwill signal that you'd like an opportunity to speak. \nVideo\nTurn your camera on or off. You can also select the … button near the camera \nto access audio and video settings. \nShare content\nUse this to share your screen with others. \nMicrophone\nMute and unmute your microphone when you want to speak.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n1 2 3 4 5 6", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Activity\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \nChat\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \nTeams\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \nCalendar\nBring up your calendar to view, create, and respond \nto meetings. \nCalls\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \nFiles\nFiles shared in chats, meetings, or channels are \nconsolidated under this tab. Files will appear in a list \nview and can be sorted by type, name, date, or location. \nApps\nSearch for, choose, and integrate apps to optimize how \nyou work in Teams. Apps can appear in chat, channels, \nor meetings. \nHelp\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \nSearch\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \nProfile\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you.\nYour Teams calendar automatically syncs with Outlook, and you can manage meetings through either app.\nTip\nGetting around\nNavigate Teams using the menu along the left side and the top bar of your Teams desktop app.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n7\n8\n1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n9 10", - "page_start": 1, - "page_end": 1, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Compose\nFormat your messages, add bullet points, \ncharts or hyperlinks. \nMark as important to call attention to specific messages. \nAttach files to share with your teammates. \nInclude gifs, emojis, stickers to bring lightness to \nyour conversations. \nRespond\nTag a teammate in a message by typing the @ symbol \nfollowed by their name. They will receive a special \nnotification calling for their attention. \n@\nReact to individual messages or quote them in a response.\nTip Going into format mode will \nprevent your message from sending \nwhen you hit [Enter], so it's a great \nway to draft and preview messages \nbefore sending them. \nConnect through messages\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same. \nTip If you want to revisit an \nimportant message later, hover on \nthat message, select the three d , \nthen choose “Save.” Saved messages \nwill be found under your profile \npicture dropdown menu. \nMicrosoft Teams: Quick Start Guide\nHi @Daichi. Can you coordinate a time to meet with \nChristie to talk coverage on Brandhaus while Alex is out next week?", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Welcome to Microsoft Teams\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \nHit the ground running now! Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!\nDownload the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go.\nOnce you sign in, connect with your team in \nchat, channels, calls, and meetings. \nTry out the different features as you learn about \nthem in this guide. You’ll get the basics in no time! \nSet up Explore Practice\nMicrosoft Teams: Quick Start Guide", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "150 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nAfter the confirmation, click Turn LED Off (see Figure 5-32).\nFigure 5-32 Turning the Identify LED off\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the \nfollowing commands in this sequence:\n1. Enter svctask chenclosure -identify yes 1 (or enter chenclosure -identify yes 1).\n2. Enter svctask chenclosure -identify no 1 (or enter chenclosure -identify no 1).\nTo view internal components (components that cannot be seen from the outside), review the \nbottom of the GUI underneath where the list of external components is displayed. You can \nselect any of these components and details show in the right pane, as with the external \ncomponents.\nFigure 5-33 Viewing internal components", - "page_start": 171, - "page_end": 171, - "source_file": "sg247938.pdf" - }, - { - "text": "Share knowledge\nTeamwork is all about collaboration! Share with your team \nbest practices you learn along the way, tips and tricks for \nhow you can best organize your workflows and ask for their \nown advice to define how you can best use Teams together. \nKeep learning\nTest meetings\nUse the Meet now button in the \nCalendar tab\nThen select “Start meeting” \nAnd then \"Join now” \nNext Steps\nYou will get the most out of Teams when you get to truly connect with your team and \ncollaborate together. Keep practicing until each step of your workflow feels natural. \nNo matter how you like to learn and practice, we've got \nresources to support and inspire you: \nVirtual classes: We have instructors to answer your \nquestions and walk you through all the details. \n•\n•\n•\n•\nTraining series: Complete the beginner series of videos at \nyour own pace. \nSupport articles and step-by-step guides: To get answers to \nyour most common questions. \nFeature overviews, tutorials, and announcements: Our \nYouTube channel has carefully curated content to get you \nexcited and show how you can use Teams effortlessly. \n1.\n2.\n3.\nHere you can try to share your screen, \nstart a whiteboard or even record \nyourself while you are practicing a \npresentation. This is your safe space \nto test everything out! \nMicrosoft Teams: Quick Start Guide", - "page_start": 5, - "page_end": 5, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Chapter 6. Security 143\nUse caution when you set the inactivity timeout. Choose the correct amount of time when you \nspecify this setting. For example, assume that you set the inactivity timeout to 10. Y ou log on \nto Content Manager OnDemand to add an application group. Creating the application group \nmight take you 15 minutes to complete. After you enter all of the information about the \napplication group, you click OK to create the application group. Content Manager OnDemand \nissues a message that a timeout occurred. Y ou must log off the server, and you cannot save \nthe information that you entered about the application group.\nSystem Logging\nThis setting specifies the messages that Content Manager OnDemand saves in the system \nlog. Content Manager OnDemand provides the system log to help you track activity and \nmonitor the system. Content Manager OnDemand saves messages that are generated by the \nvarious programs, such as the ARSLOAD program. Content Manager OnDemand can save a \nmessage in the system log when the following events occur:\n/SM590000A user logs on to the system.\n/SM590000A user logs off the system.\n/SM590000A user logon fails.\n/SM590000Application group data is queried, retrieved, loaded, updated, deleted, or maintained.\nSystem Log Comments\nThis setting specifies whether the Administrator Client displays the System Log Comments \nwindow when you perform an add, update, or delete operation.\nY ou can enable comments and also specify whether the comments are required. If the \ncomments are required, the user must enter one or more characters in the Comments field.\nUser Login Inactivity\nThis setting specifies whether you want to disable users who do not log in after the specified \nnumber of days. Users must contact the system administrator to enable their user IDs.\nQuery Restriction\nThis setting specifies the restriction to access to folders and application groups based on \nindex values. This setting is specified on the Permissions tab of the Update an Application \nGroup window, as shown in Figure 6-9 on page 144. Y ou can set a restriction with the internal \nContent Manager OnDemand security. The access restriction for an application group is \ncontrolled through internal or external permissions (for example, RACF).", - "page_start": 166, - "page_end": 166, - "source_file": "sg246915.pdf" - }, - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "274 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n7.5.1 Defining a volume throttle\nTo set a volume throttle, complete these steps:\n1. From the Volumes → Volumes menu, select the wanted volume to throttle. From the \nActions menu, select Edit Throttle, as shown in Figure 7-27.\nFigure 7-27 Edit throttle\n2. In the Edit Throttle window, define the throttle in terms of number of IOPS or bandwidth. In \nour example, we set an IOPS throttle of 10,000, as shown in Figure 7-28. Click Create.\nFigure 7-28 IOPS throttle on a volume\n3. After the Edit Throttle task completes successfully, the Edit Throttle window is shown \nagain. You can now set throttle based on the different metrics, modify throttle, or close the \nwindow without performing any action by clicking Close.", - "page_start": 295, - "page_end": 295, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I make a channel visible to an invited member ?", - "target_page": 4, - "target_passage": "Channels can be: • Shared (visible to invited team members and external members of your organization who are not on the team)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Microsoft Teams: Quick Start Guide\nChat Teams and channels\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest.\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \nTo create a new chat, press [CTRL] + [N] (or look for the pen symbol at the \ntop of the chat list) and add the names of anyone you want to include. Type \nyour message and select Send or hit [Enter].\n1:1 Chat\nGroup Chat\nMeeting Chat\nTo share a file select “Attach” under the box where you type messages, select \nthe file location and then the file you want. Depending on the location of the file, \nyou’ll get options for uploading a copy, sharing a link, or other ways to share. \nWhen you create group chats you can edit the name of the group by selecting the pen symbol \nnext to the group icon in the chat. This will help you give it context and make it easier to find. \nAN\nCreate a team for your organization with channels for your leadership team, \neach department, and one just for fun! \nDaichi, Eva, +2 11:00 AM\nYes, that should work for us\nMarketing Sync 10:45 AM\nSharing notes after the meeting\nTip\nTip\nTeams\nA team is a broad group of people that work together to get something \ndone. You can choose who is part of the team, and people can only access \nshared content by invitation. All teams are created with an associated \nGeneral channel that includes all team members by default. \nChannels\nShared Channel\nMarketing\nGeneral\nA channel is a central hub for a specific topic, within the larger team, where \npeople can hold focused conversations and organize a library of files. \nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your \norganization who are not on the team)", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Meeting essentials\nCreate meetings\nSelect + New meeting or double-click on a time in your \ncalendar to create a new meeting. \n3. Send your invite. \n2. Add people, a location and any notes.\nJoin meetings\nFrom the calendar tab, select the meeting you intend to join, \nthen select join. .\n3. Then select join now. .\nA new screen will show up. Here you can choose how you \nwant to appear in the meeting, and your audio preferences. \nPresent in meetings\nScreen share from the Share button at the top of your \nmeeting window. \nWhen you are finished, use the share button at the top of your \nmeeting window to stop sharing. \nChoose what screen or window you want to share. Don't forget \nto include audio if you're sharing something with sound.\nMeeting controls\nWhen you join meetings, a different window will pop-up. These are the controls you need to know: \nUse [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.Tip\n1.\n1.\n2.\n1.\n2.\n3.\nParticipants\nClick to see who has been invited to the meeting, or to add new people. \nChat\nUse chat to share files, ideas, and notes. \nReactions\nStay involved without breaking the flow—you can share an emoji reaction to let the \npresenter know how you feel. Reactions also allow you to raise your hand, which \nwill signal that you'd like an opportunity to speak. \nVideo\nTurn your camera on or off. You can also select the … button near the camera \nto access audio and video settings. \nShare content\nUse this to share your screen with others. \nMicrophone\nMute and unmute your microphone when you want to speak.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n1 2 3 4 5 6", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Chapter 8. Hosts 329\nCreating Fibre Channel hosts\nTo create Fibre Channel hosts, complete the following steps:\n1. Select Fibre Channel. The Fibre Channel configuration window opens (see Figure 8-4).\nFigure 8-4 Fibre Channel host configuration", - "page_start": 350, - "page_end": 350, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 8. Hosts 363\nAdding a Fibre Channel port\nTo add a Fibre Channel port, complete the following steps:\n1. Click Fibre Channel Port (see Figure 8-52 on page 362). The Add Fibre Channel Ports \nwindow opens (see Figure 8-53).\nFigure 8-53 Add Fibre Channel Ports window\n2. Click the drop-down menu to display a list of all discovered Fibre Channel WWPNs. If the \nWWPN of your host is not available in the menu, enter it manually or check the SAN \nzoning to ensure that connectivity is configured. Then, rescan storage from the host.", - "page_start": 384, - "page_end": 384, - "source_file": "sg247938.pdf" - }, - { - "text": "362 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n2. A list of all the hosts is displayed. The function icons indicate whether the host is Fibre \nChannel, iSCSI, or SAS attached. The port details of the selected host are shown to the \nright. You can add a new host object by clicking Add Host. If you click Actions (see \nFigure 8-51), the tasks that are described in “Modifying Volume Mappings” on page 346 \ncan be selected. \nFigure 8-51 Ports by Host actions\nAdding a Fibre Channel or iSCSI host port\nTo add a host port, complete the following steps:\n1. Select the host.\n2. Click Add (see Figure 8-52) and select one of the following options:\na. Fibre Channel Port (see “Adding a Fibre Channel port” on page 363)\nb. iSCSI Port (see “Adding an iSCSI host port” on page 366)\nFigure 8-52 Add host ports", - "page_start": 383, - "page_end": 383, - "source_file": "sg247938.pdf" - }, - { - "text": "374 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nCreating Fibre Channel hosts\nTo create a Fibre Channel host, complete the following steps:\n1. Rescan the SAN on Storwize V7000 by using the detectmdisk command (see \nExample 8-14).\nExample 8-14 Rescanning the SAN \nIBM_Storwize:ITSO-V7000:superuser>detectmdisk\nIf the zoning was implemented correctly, any new WWPNs are discovered by the Storwize \nV7000 system after running the detectmdisk command.\n2. List the candidate WWPNs and identify the WWPNs belonging to the new host, as shown \nin Example 8-15.\nExample 8-15 Available WWPNs\nIBM_Storwize:ITSO-V7000:superuser>lsfcportcandidate\nfc_WWPN \n2100000E1E09E3E9 \n2100000E1E30E5E8 \n2100000E1E30E60F \n2100000E1EC2E5A2 \n2100000E1E30E597 \n2100000E1E30E5EC\n3. Run the mkhost command with the required parameters, as shown in Example 8-16.\nExample 8-16 Host creation\nIBM_Storwize:ITSO-V7000:superuser>mkhost -name ITSO-VMHOST-03 -fcwwpn \n2100000E1E30E597:2100000E1E30E5EC\nHost, id [3], successfully created\nIBM_Storwize:ITSO-V7000:superuser>\nCreating iSCSI hosts\nBefore you create an iSCSI host in Storwize V7000, the iSCSI qualified name (IQN) address \nof the host must be known. See your host operating system-specific documentation to find the \nIQN of the host. \nCreate a host by completing the following steps:\n1. Create the iSCSI host by using the mkhost command (see Example 8-17).\nExample 8-17 Creating an iSCSI host by using the mkhost command\nIBM_Storwize:ITSO-V7000:superuser>mkhost -iscsiname \niqn.1994-05.com.redhat:e6ff477b58 -name RHEL-Host-06\nHost, id [4], successfully created\nIBM_Storwize:ITSO-V7000:superuser>\n2. The iSCSI host can be verified by using the lshost command, as shown in Example 8-18.\nExample 8-18 Verifying the iSCSI host by using the lshost command\nIBM_Storwize:ITSO-V7000:superuser>lshost 4\nNote: The detectmdisk command does not return any response.", - "page_start": 395, - "page_end": 395, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 8. Hosts 331\nFigure 8-6 Host type selection\n6. Click Add to create the host object. \n7. Click Close to return to the host window. Repeat these steps for all of your Fibre Channel \nhosts. Figure 8-7 shows the All Hosts window after creating a second host.\nFigure 8-7 Hosts view after creating a host\nAfter you complete the adding of Fibre Channel hosts, see Chapter 7, “Volumes” on page 241 \nto create volumes and map them to the created hosts. \nCreating iSCSI hosts\nWhen creating an iSCSI attached host, consider the following points:\n/SM590000iSCSI IP addresses can fail over to the partner node in the I/O Group if a node fails. This \ndesign reduces the need for multipathing support in the iSCSI host. \n/SM590000The IQN of the host is added to a Storwize V7000 host object in the same way that you \nadd FC WWPNs.\n/SM590000Host objects can have WWPNs and IQNs.", - "page_start": 352, - "page_end": 352, - "source_file": "sg247938.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 19 of 57 \n \n \n3.1.4 How to subscribe to the EDP Newsletter \nOn the Portal Home Page: \n‐ Either Click on the “Newsletter” item in the page header: \nThen, on the “Newsletter subscriptions” page: \n• Enter your E-Mail address \n• Click on the button “Subscribe” \nThe system will display a notification message after successful subscription. \n \n \nOr \n‐ Enter your email address directly in the footer and click on the “Subscribe” button. \n \nThe system will display a notification message after successful subscription.", - "page_start": 18, - "page_end": 18, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "NAVWEPS OO-SOT-80 \nS \n)YE STREAMERS OhI F!ilJ MOnFl \nFtgure 7.33. Staff Patterns (sheet 6 of 8)", - "page_start": 100, - "page_end": 100, - "source_file": "00-80T-80.pdf" - }, - { - "text": "SNOIlVlIWll HlOM3US ONllVU3dO \n08-108-00 Sd3MAVN", - "page_start": 346, - "page_end": 346, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I notify a collegue mentionned in a chat message in Teams ?", - "target_page": 5, - "target_passage": "Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Activity\nFind notifications for all recent actions to stay on top of \nthings. You can manage your notifications according to \nyour preferences. \nChat\nMessage someone or a group of people. This tab brings \nup the list of all your chats. \nTeams\nCreate teams and channels to gather people together \nin focused spaces with conversations and files. This tab \nbrings up a list of all the teams you are a part of. \nCalendar\nBring up your calendar to view, create, and respond \nto meetings. \nCalls\nStart video and audio calls by dialing a phone number \nor placing a call over the internet. View your call history \nand voicemail. \nFiles\nFiles shared in chats, meetings, or channels are \nconsolidated under this tab. Files will appear in a list \nview and can be sorted by type, name, date, or location. \nApps\nSearch for, choose, and integrate apps to optimize how \nyou work in Teams. Apps can appear in chat, channels, \nor meetings. \nHelp\nLearn more about Teams with articles and training \ncontent. Stay up to date with the latest features, \nand report problems when things aren’t working out. \nSearch\nSearch for people, files, meetings, or conversations \nin Teams, then filter results to find just what you need. \nProfile\nSelecting your profile picture shows you a menu where \nyou can customize your profile, find saved messages, or \nset your status and a message people can see when \nthey try to reach you.\nYour Teams calendar automatically syncs with Outlook, and you can manage meetings through either app.\nTip\nGetting around\nNavigate Teams using the menu along the left side and the top bar of your Teams desktop app.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n7\n8\n1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n9 10", - "page_start": 1, - "page_end": 1, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Microsoft Teams: Quick Start Guide\nChat Teams and channels\nWhen you are invited to a new Team, it will automatically appear on the left \npanel along with all its associated channels. You can choose to \"show\" the \nmost relevant chanels and \"hide\" the rest.\nBy default, your chats will be arranged along the left-hand side of the chat \npanel, with the most recent messages at the top. You can right-click on any \nchat and select \"Pin,\" which will keep it at the top of your list for quick access. \nTo create a new chat, press [CTRL] + [N] (or look for the pen symbol at the \ntop of the chat list) and add the names of anyone you want to include. Type \nyour message and select Send or hit [Enter].\n1:1 Chat\nGroup Chat\nMeeting Chat\nTo share a file select “Attach” under the box where you type messages, select \nthe file location and then the file you want. Depending on the location of the file, \nyou’ll get options for uploading a copy, sharing a link, or other ways to share. \nWhen you create group chats you can edit the name of the group by selecting the pen symbol \nnext to the group icon in the chat. This will help you give it context and make it easier to find. \nAN\nCreate a team for your organization with channels for your leadership team, \neach department, and one just for fun! \nDaichi, Eva, +2 11:00 AM\nYes, that should work for us\nMarketing Sync 10:45 AM\nSharing notes after the meeting\nTip\nTip\nTeams\nA team is a broad group of people that work together to get something \ndone. You can choose who is part of the team, and people can only access \nshared content by invitation. All teams are created with an associated \nGeneral channel that includes all team members by default. \nChannels\nShared Channel\nMarketing\nGeneral\nA channel is a central hub for a specific topic, within the larger team, where \npeople can hold focused conversations and organize a library of files. \nChannels can be:\n• Standard (visible to everyone on the team)\n• Private (only visible to select team members)\n• Shared (visible to invited team members and external members of your \norganization who are not on the team)", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Compose\nFormat your messages, add bullet points, \ncharts or hyperlinks. \nMark as important to call attention to specific messages. \nAttach files to share with your teammates. \nInclude gifs, emojis, stickers to bring lightness to \nyour conversations. \nRespond\nTag a teammate in a message by typing the @ symbol \nfollowed by their name. They will receive a special \nnotification calling for their attention. \n@\nReact to individual messages or quote them in a response.\nTip Going into format mode will \nprevent your message from sending \nwhen you hit [Enter], so it's a great \nway to draft and preview messages \nbefore sending them. \nConnect through messages\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same. \nTip If you want to revisit an \nimportant message later, hover on \nthat message, select the three d , \nthen choose “Save.” Saved messages \nwill be found under your profile \npicture dropdown menu. \nMicrosoft Teams: Quick Start Guide\nHi @Daichi. Can you coordinate a time to meet with \nChristie to talk coverage on Brandhaus while Alex is out next week?", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Meeting essentials\nCreate meetings\nSelect + New meeting or double-click on a time in your \ncalendar to create a new meeting. \n3. Send your invite. \n2. Add people, a location and any notes.\nJoin meetings\nFrom the calendar tab, select the meeting you intend to join, \nthen select join. .\n3. Then select join now. .\nA new screen will show up. Here you can choose how you \nwant to appear in the meeting, and your audio preferences. \nPresent in meetings\nScreen share from the Share button at the top of your \nmeeting window. \nWhen you are finished, use the share button at the top of your \nmeeting window to stop sharing. \nChoose what screen or window you want to share. Don't forget \nto include audio if you're sharing something with sound.\nMeeting controls\nWhen you join meetings, a different window will pop-up. These are the controls you need to know: \nUse [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.Tip\n1.\n1.\n2.\n1.\n2.\n3.\nParticipants\nClick to see who has been invited to the meeting, or to add new people. \nChat\nUse chat to share files, ideas, and notes. \nReactions\nStay involved without breaking the flow—you can share an emoji reaction to let the \npresenter know how you feel. Reactions also allow you to raise your hand, which \nwill signal that you'd like an opportunity to speak. \nVideo\nTurn your camera on or off. You can also select the … button near the camera \nto access audio and video settings. \nShare content\nUse this to share your screen with others. \nMicrophone\nMute and unmute your microphone when you want to speak.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n1 2 3 4 5 6", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Welcome to Microsoft Teams\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \nHit the ground running now! Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!\nDownload the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go.\nOnce you sign in, connect with your team in \nchat, channels, calls, and meetings. \nTry out the different features as you learn about \nthem in this guide. You’ll get the basics in no time! \nSet up Explore Practice\nMicrosoft Teams: Quick Start Guide", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Chapter 13. RAS, monitoring, and troubleshooting 725\n– The expanded format provides more details about the event. \n/SM590000Event Notifications\nConsider the following points about event notifications:\n–S e l e c t Error if you want the user to receive messages about problems, such as \nhardware failures, that must be resolved immediately.\n–S e l e c t Warning if you want the user to receive messages about problems and \nunexpected conditions. Investigate the cause immediately to determine whether any \ncorrective action is necessary.\n–S e l e c t Info if you want the user to receive messages about expected events. No action \nis required for these events. \nFigure 13-64 Syslog configuration\nTo remove a syslog server, click the Minus sign (-).\nTo add another syslog server, click the Plus sign (+).\nThe syslog messages can be sent in concise message format or expanded message format.\nExample 13-4 shows a compact format syslog message.\nExample 13-4 Compact syslog message example\nIBM2076 #NotificationType=Error #ErrorID=077102 #ErrorCode=1091 #Description=Node\nDouble fan failed #ClusterName=V7000G2_1 #Timestamp=Wed Jul 02 08:00:00 2017 BST\n#ObjectType=Node #ObjectName=Node1 #CopyID=0 #ErrorSequenceNumber=120\nExample 13-5 shows an expanded format syslog message.\nExample 13-5 Full format syslog message example\nIBM2076 #NotificationType=Error #ErrorID=077102 #ErrorCode=1091 #Description=Node\nDouble fan failed #ClusterName=V7000G2_1 #Timestamp=Wed Jul 02 08:00:00 2017 BST\n#ObjectType=Node #ObjectName=Node1 #CopyID=0 #ErrorSequenceNumber=120 #ObjectID=2\n#NodeID=2 #MachineType=2076624#SerialNumber=1234567 #SoftwareVersion=8.1.0.0\nImportant: Browse to Recommended Actions to run the fix procedures on these \nnotifications.\nImportant: Browse to Recommended Actions to run the fix procedures on these \nnotifications.", - "page_start": 746, - "page_end": 746, - "source_file": "sg247938.pdf" - }, - { - "text": "communication between employees.communication between employees.\nAccepting middle school students\nfor workplace experience programs\nSendai Branch\nPOINT UP MallSumitomo Mitsui\nCard staff\nBOOKOFF CORP Group\nSumitomo Mitsui \nCardholders\n*Research by Nikko Asset Management Co., Ltd. \nSumitomo Mitsui Financial Group CSR Report \nSMFG and \nits Group companies \nparticipate in neighborhood \ncleanup programs\nDonations through \n“The World Bank \nGreen Fund”\nSMBC Nikko Securities’ \n“Green Week”\nSupporting education in \ndeveloping countries, \ntogether with our customers \nand employees\nSMFG as a corporate citizen: Working to create a prosperous society for all\nSocial Contribution \nActivities\nFor further details,\n please see our website.\nMitsui Sumitomo VISA Card\n\u0013\u0016 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0017", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Share knowledge\nTeamwork is all about collaboration! Share with your team \nbest practices you learn along the way, tips and tricks for \nhow you can best organize your workflows and ask for their \nown advice to define how you can best use Teams together. \nKeep learning\nTest meetings\nUse the Meet now button in the \nCalendar tab\nThen select “Start meeting” \nAnd then \"Join now” \nNext Steps\nYou will get the most out of Teams when you get to truly connect with your team and \ncollaborate together. Keep practicing until each step of your workflow feels natural. \nNo matter how you like to learn and practice, we've got \nresources to support and inspire you: \nVirtual classes: We have instructors to answer your \nquestions and walk you through all the details. \n•\n•\n•\n•\nTraining series: Complete the beginner series of videos at \nyour own pace. \nSupport articles and step-by-step guides: To get answers to \nyour most common questions. \nFeature overviews, tutorials, and announcements: Our \nYouTube channel has carefully curated content to get you \nexcited and show how you can use Teams effortlessly. \n1.\n2.\n3.\nHere you can try to share your screen, \nstart a whiteboard or even record \nyourself while you are practicing a \npresentation. This is your safe space \nto test everything out! \nMicrosoft Teams: Quick Start Guide", - "page_start": 5, - "page_end": 5, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "NAVWEPS OO-SOT-80 \nS \n)YE STREAMERS OhI F!ilJ MOnFl \nFtgure 7.33. Staff Patterns (sheet 6 of 8)", - "page_start": 100, - "page_end": 100, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nHERE ARE A FEW GUIDELINES TO KEEP IN MIND WHEN \nSENDING E-MAILS TO YOUR COLLEAGUES:\n• Always use a relevant and descriptive subject line. \nE-mails with blank subject lines may be marked as spam by the \nrecipient’s e-mail client, and e-mails with non-descriptive subject \nlines such as “Hello” or “Meeting” may be ignored.\n• Write your e-mail in clear and simple language. \nDon’t try to sound too formal, and don’t use complicated words \nwhen simple ones would work just fine. As far as possible, write in \nthe active voice.\n• Structure your message clearly, and include only the necessary \ninformation. \nTake care not to confuse the message by including too many topics \nin one e-mail. Respect your colleagues’ time, and try to keep your \nmessages as short as possible.\n• Don’t type your e-mail in ALL CAPS. \nThis is regarded as the online equivalent of shouting.\n• Always proofread your e-mail before you hit ‘send’. \nGrammar and spelling errors come across as unprofessional.\n• If you include a link in your e-mail, make sure that you provide some \ncontext. \nYour recipients are unlikely to click on a link if they don’t have any \nidea as to what they are going to see when they open it.\n• Only mark an e-mail as ‘urgent’ when it really does require immedi-\nate attention. \nWhat’s urgent to you may not always be urgent to your recipients.\n• Don’t use the CC’ or Reply All’ functions unnecessarily. \nOnly send your e-mails to the people who really need to see them.", - "page_start": 52, - "page_end": 52, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are the 3 prerequisites to be elligible as president of Botswana ?", - "target_page": 18, - "target_passage": "A person shall be qualified for election as President if, and shall not be qualified unless, he or she- (a) is a citizen of Botswana by birth or descent; (b) has attained the age of 30 years; and (c) is qualified to be elected as a Member of the National Assembly", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "Copyright Government of Botswana \n (d) if he or she is elected as Speaker; (e) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members of the Assembly; or (f) when the Assembly first sits after any dissolution of Parliament. 61. Qualifications for election to National Assembly Subject to the provisions of section 62 of this Constitution, a person shall be qualified to be elected as a Member of the National Assembly if, and shall not be qualified to be so elected unless- (a) he or she is a citizen of Botswana; (b) he or she has attained the age of 18 years; (c) he or she is qualified for registration as a voter for the purposes of the election of the Elected Members of the National Assembly and is so registered; and (d) he or she is able to speak, and, unless incapacitated by blindness or other physical cause, to read English well enough to take an active part in the proceedings of the Assembly. 62. Disqualifications for membership of National Assembly (1) No person shall be qualified to be elected as a Member of the National Assembly who- (a) is, by virtue of his or her own act, under any acknowledgement of allegiance, obedience or adherence to a foreign power or state; (b) has been declared insolvent or adjudged or otherwise declared bankrupt under any law for the time being in force in Botswana and has not been discharged, or has made a composition with his or her creditors and has not paid his or her debts in full; (c) is certified to be insane or otherwise adjudged or declared to be of unsound mind under any law for the time being in force in Botswana; (d) is a Member of the Ntlo ya Dikgosi; (e) subject to such exceptions as may be prescribed by Parliament, holds any public office, or is acting in any public office by virtue of a contract of service expressed to continue for a period exceeding six months; (f) is under sentence of death imposed on him or her by a court in any part of the Commonwealth, or is under a sentence of imprisonment (by whatever name called) exceeding six months imposed on him or her by such a court or substituted by competent authority for some other sentence imposed on him or her by such a court; (g) holds, or is acting in, any office the functions of which involve any responsibility for, or in connection with, the conduct of any elections to the Assembly or the compilation or revision of any electoral register for the purposes of such elections. (2) Parliament may provide that a person shall not be qualified for election to the National Assembly for such period (not exceeding five years) as may be prescribed if he or she is convicted of any such offence connected with elections to the Assembly as may be prescribed. (3) For the purposes of this section two or more terms of imprisonment that are required to be served consecutively shall be regarded as a single term of imprisonment for the aggregate period of those terms, and no account shall be taken of a sentence of imprisonment imposed as an alternative to or in default of the payment of a fine. 63. Constituencies Botswana shall be divided into as many constituencies as there are Elected Members of the National Assembly and each of those constituencies shall return one Member to the National Assembly.", - "page_start": 27, - "page_end": 27, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nPART III Executive Functions 47. Functions of President 48. Command of armed forces 49. Functions of Vice-President 50. Functions of Cabinet Ministers and Assistant Ministers 51. Attorney-General 51A. Director of Public Prosecutions 52. Permanent Secretaries 53. Prerogative of Mercy 54. Advisory Committee on Prerogative of Mercy 55. Functions of Advisory Committee on Prerogative of Mercy 56. Constitution of offices CHAPTER V Parliament PART I Composition 57. Parliament 58. Composition of National Assembly 59. Speaker 60. Deputy Speaker 61. Qualifications for election to National Assembly 62. Disqualifications for membership of National Assembly 63. Constituencies 64. Delimitation Commission 65. Report of Commission 65A. Appointment of Independent Electoral Commission 66. Appointment of Secretary to Independent Electoral Commission 67. The franchise 68. Tenure of office of members 69. Determination of questions as to membership of National Assembly 70. Clerk of the Assembly PART II General Provisions Relating to Procedure in National Assembly 71. Oaths to be taken by Speaker and Members 72. Presiding in Assembly 73. Quorum in Assembly 74. Voting in Assembly 75. Unqualified persons sitting or voting 76. Regulation of procedure in Assembly PART III Ntlo ya Dikgosi 77. Establishment and composition of Ntlo ya Dikgosi 78. Designation for Member to Ntlo ya Dikgosi 79. Qualifications for Members of Ntlo ya Dikgosi 80. Oath of allegiance 81. Secretary to Ntlo ya Dikgosi 82. Tenure of office of Members of Ntlo ya Dikgosi 83. Rules of Procedure of Ntlo ya Dikgosi 84. Ntlo ya Dikgosi may transact business notwithstanding vacancies 85. Functions of Ntlo ya Dikgosi", - "page_start": 1, - "page_end": 1, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n57. Parliament There shall be a Parliament of Botswana which shall consist of the President and a National Assembly. 58. Composition of National Assembly (1) The President shall be ex-officio a member of the National Assembly, and shall be entitled to speak and to vote in all proceedings of the National Assembly. (2) In addition to the President the National Assembly shall consist of- (a) 57 Elected Members who shall be elected in accordance with the provisions of this Constitution and subject thereto in accordance with the provisions of any Act of Parliament; and (b) four Specially Elected Members who shall be elected in accordance with the First Schedule to this Constitution and subject thereto in accordance with the provisions of any Act of Parliament. (3) If a person who is not a member of the National Assembly is elected to the office of Speaker of the National Assembly, that person shall, by virtue of holding that office, be a member of the Assembly in addition to the members referred to in subsections (1) and (2) of this section. 59. Speaker (1) There shall be a Speaker of the National Assembly who shall be elected by the Members of the Assembly from among persons who are Members of the Assembly or from among persons who are not Members of the Assembly. (2) The President, the Vice-President, a Minister, an Assistant Minister or a public officer shall not be qualified to be elected as Speaker. (3) The Speaker shall vacate his or her office- (a) if, having been elected from among the Members of the National Assembly, he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament or if he or she is required by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly; (b) if any circumstances arise that, if he or she were not Speaker, would disqualify him for election as such; (c) when the Assembly first sits after any dissolution of Parliament; or (d) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members thereof. (4) No business shall be transacted in the National Assembly (other than an election to the office of Speaker) at any time when the office of Speaker is vacant. 60. Deputy Speaker (1) There shall be a Deputy Speaker of the National Assembly who shall be elected from among the persons who are Members of the Assembly other than the President, the Vice-President, Ministers or Assistant Ministers. (2) The Members of the National Assembly shall elect a person to the office of Deputy Speaker when the Assembly first sits after any dissolution and, if the office becomes vacant otherwise than by reason of the dissolution of the Assembly, at the first sitting of the Assembly after the office becomes vacant. (3) The Deputy Speaker shall vacate his or her office- (a) if he or she ceases to be a Member of the National Assembly, otherwise than by reason of a dissolution of Parliament; (b) if any circumstances arise that, if he or she were not Deputy Speaker, would disqualify him or her for election as such; (c) if he or she is required, by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \ncitizenship in force at that time, shall be regarded as a citizen by descent. 34. Tenure of office of President (1) The President shall, subject to the provisions of this section, hold office for an aggregate period not exceeding 10 years beginning from the date of his or her first assumption of office of President after the commencement of this Act. (2) The President shall cease to hold the office of President if at any time during his or her tenure of office any circumstances arise that would, if he or she were not a member of the National Assembly, cause him or her to be disqualified for election thereto. (3) The President shall cease to hold office of President at the expiry of the period prescribed under subsection (1) of this section, or when the person elected at the next election of President following a dissolution of Parliament assumes office. 35. Vacancy in office of President (1) Whenever the President dies, resigns or ceases to hold office, the Vice-President shall assume office as President with effect from the date of the death, resignation or ceasing to be President. (2) If the office of President- (a) becomes vacant in circumstances in which there is no Vice-President; or (b) is vacant whilst the Vice-President is absent from Botswana or is, by reason of physical or mental infirmity unable to perform the functions of his or her office, the functions of the office of President shall, until such time as a new President assumes office in accordance with this section or section 32 of this Constitution, be performed by such Minister as the Cabinet shall appoint. For the purposes of this subsection, a certificate of the Chief Justice that the Vice-President is by reason of physical or mental infirmity unable to discharge the functions of his or her office, shall, in respect of any period for which it is in force, be conclusive and shall not be questioned in any court. (3) Any person performing the functions of the office of President by virtue of subsection (1) or (2) of this section shall not exercise the power of the President to revoke the appointment of Vice-President or to dissolve Parliament. (4) If the office of President becomes vacant, the National Assembly shall, unless Parliament is dissolved, and notwithstanding that it may be prorogued, meet on the seventh day after the office of President becomes vacant, or on such earlier day as may be appointed by the Speaker, and shall elect a person to the office in such manner as is prescribed by the next following subsection and, subject thereto, by or under an Act of Parliament. (5) In an election of a President under this section- (a) the Speaker shall preside at the meeting and conduct the election; (b) a person may be a candidate if and shall not be a candidate unless he or she has been nominated as a candidate with his or her consent prior to the sitting of the National Assembly at which the election takes place, by not less than 10 Members of the National Assembly entitled to vote in that election; (c) at the election every Member of the Assembly except the Speaker shall be entitled to vote; (d) the votes of the Members of the Assembly who are entitled to vote shall be given by ballot in such manner as not to disclose how any particular Member voted, and any person who receives the votes of more than one half of the total number of persons entitled to vote shall be declared elected as President; (e) a person elected as President under this section shall assume the office of President on the day upon which he or she is declared to be elected; (f) not more than three ballots shall be taken unless in the opinion of the Speaker the holding of further ballots is likely to result in the election of a President, in", - "page_start": 18, - "page_end": 18, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (1) The High Court shall have jurisdiction to hear and determine any question whether- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant; (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker. (2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker. (3) Parliament may make provision with respect to- (a) the persons who may apply to the High Court for the determination of any question under this section; (b) the circumstances and manner in which the conditions upon which any such application may be made; and (c) the powers, practice and procedure of the High Court in relation to any such application. 70. Clerk of the Assembly (1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service. (2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service. PART II General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members The Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance. 72. Presiding in Assembly There shall preside at any sitting of the National Assembly- (a) the Speaker; (b) in the absence of the Speaker, the Deputy Speaker; or (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting. 73. Quorum in Assembly If objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly. 74. Voting in Assembly (1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting. (2) ... (3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost. 75. Unqualified persons sitting or voting Any person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (6) For the purposes of the exercise of his or her functions under subsection (3) of this section, the Secretary may give such directions as he or she considers necessary or expedient to any registering officer, presiding officer or returning officer relating to the exercise by that officer of his or her functions under any law regulating the registration of voters or the conduct of elections, and any officer to whom directions are given under this subsection shall comply with those directions. (7) Subject to the provisions of this section, a person holding office as Secretary shall vacate that office on attaining the age of 65 years or such other age as may be prescribed by an Act of Parliament. (8) A holder of the office of Secretary may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or from any other cause) or for misbehaviour, and shall not be so removed except in accordance with the provisions of this section. (9) If the President considers that the question of removing the Secretary ought to be investigated then- (a) he or she shall appoint a tribunal which shall consist of a Chairman and not less than two members who hold or have held high judicial office; (b) the tribunal shall enquire into and report on the facts thereof to the President and advise the President whether the Secretary ought to be removed from office under this section for inability to perform the functions of his or her office or for misbehaviour. (10) Where a tribunal appointed under subsection (9) advises the President that the Secretary ought to be removed for inability to perform the functions of his or her office or for misbehaviour, the President shall remove him or her from office. (11) If the question of removing the Secretary from office has been referred to a tribunal under subsection (9) of this section, the President may suspend him or her from performing the functions of his or her office, and any such suspension may at any time be revoked by the President and shall cease to have effect if the tribunal advises the President that the Secretary ought not to be removed from office. 67. The franchise (1) A person who- (a) is a citizen of Botswana or of any other country to which this section is applied by Parliament; (b) has attained the age of 18 years; and (c) has either resided in Botswana for a continuous period of at least 12 months immediately preceding the date on which he or she applies for registration as a voter or was born in Botswana and is domiciled in Botswana on the date on which he or she applies for registration as a voter, shall, unless he or she is disqualified for registration as a voter under any law, be entitled, upon his or her making application in that behalf at such time and in such manner as may be prescribed by any law, to be registered as a voter for the purposes of elections of Elected Members of the National Assembly, and no other person may be so registered. (2) A person who has not continuously resided in Botswana for the period mentioned in paragraph (c) of subsection (1) of this section but has during the whole period retained his or her residence (or if he or she has more than one residence, his or her principal residence) in Botswana and has been absent therefrom for some temporary purpose only shall be deemed for the purposes of the said paragraph (c) to have been resident in Botswana during such absence. (3) A person shall be entitled to be registered as a voter- (a) in the constituency in which he or she has his or her residence, or if he or she", - "page_start": 31, - "page_end": 31, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n32. Election of President after dissolution of Parliament (1) Whenever Parliament is dissolved an election shall be held to the office of President in such manner as is prescribed by this section and, subject thereto, by or under an Act of Parliament. (2) Nominations in the election of a President shall be delivered to the returning officer on such day and at such time as may be prescribed by or under any law for the time being in force in Botswana; the nomination of a candidate in an election of a President shall not be valid unless it is supported, in such manner as may be prescribed by or under an Act of Parliament, by not less than 1000 persons registered as voters for the purpose of elections to the Assembly. (3) The following provisions shall then apply- (a) a person nominated as a Parliamentary candidate may, at the time of his or her nomination and subject to the provisions of paragraph (b), declare in such manner as may be prescribed by or under an Act of Parliament which of the candidates in the election of President he or she supports, but the nomination of a Parliamentary candidate shall be valid notwithstanding that the nomination paper does not contain such a declaration; (b) such a declaration shall not be made in relation to any Presidential candidate unless that candidate has signified, in such manner as may be prescribed by or under an Act of Parliament, his or her consent to the making of a declaration in his or her favour by that Parliamentary candidate; (c) where the Parliamentary election is contested in any constituency a poll shall be taken in that constituency at which the votes shall be given by ballot, and for the purposes of that poll any Parliamentary candidate who declared support in accordance with paragraph (a) for a particular Presidential candidate shall use the same voting colour and symbol, if any, as may have been allocated under any law for the time being in force in Botswana to that Presidential candidate for the purposes of the Presidential election; (d) the returning officer shall declare to be elected as President any candidate for whom support has been declared in accordance with paragraph (a) above by not less than such number of persons elected as Members of the National Assembly in the Parliamentary election as corresponds to more than half the total number of seats for Elected Members in the Assembly, and if there is no such person the returning officer shall declare that no candidate has been elected. (4) Parliament may make provision whereby the time for nominating Presidential candidates may be extended in the event of there being no qualified candidate nominated at the expiration of the time for the delivery of such nominations. (5) Where, at the expiration of the time for the delivery of nominations in the election of a President, more than one qualified candidate is validly nominated and any of those candidates dies before the commencement of the poll in the Parliamentary election, the poll in the Parliamentary election shall be countermanded, fresh nominations of Parliamentary candidates shall take place in every constituency and a fresh election of a President shall be held in accordance with the foregoing provisions of this section. (6) Where- (a) any candidate in an election of a President dies during the period commencing with the taking of the poll in the Parliamentary election and ending when the result of the election has been ascertained and that candidate would, but for his or her death, have been entitled to have been declared elected as President under subsection (3) of this section; or", - "page_start": 16, - "page_end": 16, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \ndischarging the functions of his or her office and the infirmity is of such a nature that the President is unable to authorize another person under this section to perform the functions of his or her office; or (b) the Vice-President is by reason of physical or mental infirmity unable to discharge the functions of his or her office, shall, in respect of any period for which it is in force, be conclusive and shall not be questioned in any court: Provided that any such certificate as is referred to in paragraph (a) of this subsection shall cease to have effect if the President notifies any person under subsection (4) of this section that he or she is about to resume the functions of the office of President. 37. Oath of President A person assuming the office of President shall, before entering upon the duties of that office, take and subscribe such oaths as may be prescribed by Parliament. 38. Returning officer at elections of President (1) The Chief Justice shall be the returning officer for the purposes of elections to the office of President. (2) Any question which may arise as to whether- (a) any provision of this Constitution or any law relating to the election of a President under section 32 or 35 of this Constitution has been complied with; or (b) any person has been validly elected as President under those sections, shall be referred to and determined by the returning officer whose decision shall not be questioned in any court. 39. Vice President (1) There shall be a Vice-President who shall be appointed by the President from among the Elected Members of the National Assembly who are citizens of Botswana by birth or descent, which appointment shall be endorsed by the said Elected Members. (2) The Vice-President shall continue in office until a person elected at the next election of President under section 32 or 35 of this Constitution assumes office: Provided that the office of Vice-President shall become vacant- (i) if the appointment of the holder of the office is revoked by the President; or (ii) if the holder of the office ceases to be a Member of the National Assembly for any other reason than a dissolution of Parliament. (3) The Vice-President shall not enter upon the duties of his or her office unless he or she has taken and subscribed the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by Parliament. (4) If the Vice-President is absent from Botswana or is incapable by reason of illness or any other cause of discharging the functions of his or her office, the President may appoint a person, from among the Members of the Assembly, to perform the functions of the office of Vice-President and any person so appointed may discharge those functions accordingly: Provided that a person appointed under this subsection shall cease to perform the functions of the office of Vice-President- (i) if his or her appointment is revoked by the President; (ii) if he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament; (iii) upon the assumption by any person of the office of President; or (iv) upon the President giving him or her notice that the Vice-President is about to resume his or her functions. (5) Where the Vice-President is performing the functions of the office of President in accordance with section 35 or 36 of this Constitution he or she may appoint a person,", - "page_start": 20, - "page_end": 20, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nholding or acting in such offices shall, subject to the provisions of sections 113 and 114 of this Constitution, vest in the President. (2) The offices to which this section applies are- (a) Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organisation; (b) Secretary to the Cabinet; (c) Attorney-General; (cA) Director of Public Prosecutions; (d) Permanent Secretary; (e) Commissioner of Police; and (f) any other superscale office (other than an office to which this Constitution makes specific provision for appointment or an office to which appointment is made under the provisions of section 104 of this Constitution) which may be prescribed by Act of Parliament. 113. Tenure of office of Director of Public Prosecutions (1) Subject to the provisions of this section, a person appointed as Director of Public Prosecutions shall hold office for a 5 year renewable term or until he or she attains the age of 60 years, whichever is the earlier. (2) A person holding the office of Director of Public Prosecutions may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour or for incompetence and shall not be so removed except in accordance with the provisions of this section. (3) If the President considers that the question of removing a person holding the office of Director of Public Prosecutions from office ought to be investigated then- (a) he or she shall appoint a tribunal which shall consist of a Chairman and not less than two other members, who hold or have held high judicial office; and (b) the tribunal shall enquire into the matter and report on the facts thereof to the President and advise the President whether the person holding the office of Director of Public Prosecutions ought to be removed from office under this section for inability as aforesaid or for misbehaviour or for incompetence. (4) Where a tribunal appointed under subsection (3) of this section advises the President that a person holding the office of Director of Public Prosecutions ought to be removed from office for inability as aforesaid or for misbehaviour or for incompetence, the President shall remove such person from office. (5) If the question of removing a person holding the office of Director of Public Prosecutions from office has been referred to a tribunal under this section, the President may suspend that person from performing the functions of his or her office, and any such suspension may at any time be revoked by the President and shall in any case cease to have effect if the tribunal advises the President that the person ought not to be removed from office. 114. Tenure of office of Auditor-General (1) Subject to the provisions of this section, a person holding the office of Auditor-General shall vacate his or her office when he or she attains the age of 60 years or such other age as may be prescribed by Parliament. (2) A person holding the office of Auditor-General may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour and shall not be so removed except in accordance with the provisions of this section. (3) If the National Assembly resolves that the question of removing a person holding the office of Auditor-General from office under this section ought to be", - "page_start": 48, - "page_end": 48, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (b) the returning officer declares in accordance with the provisions of subsection (3)(d) of this section that no candidate has been elected, the new National Assembly shall meet on such day (not being more than 14 days after the result of the election is ascertained or, as the case may be, the declaration that no candidate has been elected) as the Speaker shall appoint, and shall elect a person to the office of President in such manner as is prescribed by section 35(5) of this Constitution and subject thereto by or under an Act of Parliament. Such an election shall take place before the election of the Specially Elected Members of the National Assembly. (7) A person elected to the office of President under this section shall assume that office on the day upon which he or she is declared elected. (8) Without prejudice to the provisions of section 92 of this Constitution, an Elected Member of the National Assembly may, in the event of there being one or more successful election petitions following a general election, move, at the first sitting of the Assembly after the resultant by-elections have been decided and the Members thereby elected have taken their seats, that the President does not enjoy the support of the majority of the Elected Members of the Assembly; and in the voting on that question the Specially Elected Members of the Assembly shall have no vote. If it appears as a result of the voting on that question that the President does not enjoy the support of a majority of the elected Members of the Assembly, the office of President shall become vacant. (9) Any Elected Member of the Assembly may give notice to the President that he or she intends to move in the Assembly a motion under subsection (8) and notwithstanding any other provision of this Constitution the President shall not after receipt of any such notice be empowered to dissolve Parliament before the conclusion of the sitting of the Assembly mentioned in the said subsection (8). (10) If the office of President becomes vacant in accordance with subsection (8) of this section the seats of the Specially Elected Members of the Assembly shall also become vacant, and the election of a person to the office of President shall take place before the election of the Specially Elected Members. (11) In this section- \"Parliamentary candidate\" means a candidate in the Parliamentary election; \"the Parliamentary election\" means the general election to elect those Members of the National Assembly who are referred to in section 58(2)(a) of this Constitution following any dissolution of Parliament; \"Presidential candidate\" means a candidate for the office of President; \"the returning officer\" means the returning officer specified in section 38 of this Constitution. 33. Qualification for election as President (1) A person shall be qualified for election as President if, and shall not be qualified unless, he or she- (a) is a citizen of Botswana by birth or descent; (b) has attained the age of 30 years; and (c) is qualified to be elected as a Member of the National Assembly. (2) Notwithstanding any other law to the contrary, for the purposes of this section and section 39- (a) the term \"citizen by birth\" shall be understood to include only those persons who became citizens of Botswana prior to the amendment of the law relating to citizenship by the Citizenship Act; (b) any person who, although his or her father was a citizen of Botswana at the time of that person's birth, had, by virtue of his or her having been born outside Botswana, to be registered as a citizen of Botswana, under the law relating to", - "page_start": 17, - "page_end": 17, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What is the condition to be allowing to access the position of Director of public prosecution in Botswana ?", - "target_page": 25, - "target_passage": "A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Copyright Government of Botswana \nGeneral unless he or she is qualified to be appointed to the Office of a Judge of the High Court. (3) The Attorney-General shall be the principal legal adviser to the Government. (4) A person holding the Office of Attorney-General shall vacate his or her office when he or she attains the age of 60 years or such other age as may be prescribed by Parliament. 51A. Director of Public Prosecutions (1) There shall be a Director of Public Prosecutions appointed by the President whose office shall be a public office and who shall be subject to the administrative supervision of the Attorney-General. (2) A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court. (3) The Director of Public Prosecutions shall have power in any case in which he or she considers it desirable to do so- (a) to institute and undertake criminal proceedings against any person before any court (other than a court martial) in respect of any offence alleged to have been committed by that person; (b) to take over and continue any such criminal proceedings that have been instituted or undertaken by any other person or authority; and (c) to discontinue, at any stage before judgment is delivered, any such criminal proceedings instituted or undertaken by himself or herself or any other person or authority. (4) The powers of the Director of Public Prosecutions under subsection (3) may be exercised by him or her in person or by officers subordinate to him or her acting in accordance with his or her general or special authority. (5) For the purposes of this section any appeal from any judgment in any criminal proceedings before any court, or any case stated or question of law reserved for the purpose of any such proceedings, to any other court shall be deemed to be part of those proceedings: Provided that the power conferred on the Director of Public Prosecutions by subsection (3)(c) of this section shall not be exercised in relation to any appeal by a person convicted in any criminal proceedings or to any case stated or question of law reserved at the instance of such person. (6) In the exercise of the functions vested in him or her by subsection (3) of this section the Director of Public Prosecutions shall not be subject to the direction or control of any other person or authority: Provided that- (a) where any other person or authority has instituted criminal proceedings, nothing in this subsection shall prevent the withdrawal of those proceedings by or at the instance of that person or authority, and with the leave of the court; and (b) before exercising his or her powers in relation to cases considered by the Attorney-General to be of national importance, the Director of Public Prosecutions shall consult the Attorney-General. 52. Permanent Secretaries Where any Minister has been charged with responsibility for any department of Government, he or she shall exercise general direction and control over that department and, subject to such direction and control, the department shall be under the supervision of a Permanent Secretary whose office shall be a public office. 53. Prerogative of Mercy The President may-", - "page_start": 24, - "page_end": 24, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nholding or acting in such offices shall, subject to the provisions of sections 113 and 114 of this Constitution, vest in the President. (2) The offices to which this section applies are- (a) Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organisation; (b) Secretary to the Cabinet; (c) Attorney-General; (cA) Director of Public Prosecutions; (d) Permanent Secretary; (e) Commissioner of Police; and (f) any other superscale office (other than an office to which this Constitution makes specific provision for appointment or an office to which appointment is made under the provisions of section 104 of this Constitution) which may be prescribed by Act of Parliament. 113. Tenure of office of Director of Public Prosecutions (1) Subject to the provisions of this section, a person appointed as Director of Public Prosecutions shall hold office for a 5 year renewable term or until he or she attains the age of 60 years, whichever is the earlier. (2) A person holding the office of Director of Public Prosecutions may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour or for incompetence and shall not be so removed except in accordance with the provisions of this section. (3) If the President considers that the question of removing a person holding the office of Director of Public Prosecutions from office ought to be investigated then- (a) he or she shall appoint a tribunal which shall consist of a Chairman and not less than two other members, who hold or have held high judicial office; and (b) the tribunal shall enquire into the matter and report on the facts thereof to the President and advise the President whether the person holding the office of Director of Public Prosecutions ought to be removed from office under this section for inability as aforesaid or for misbehaviour or for incompetence. (4) Where a tribunal appointed under subsection (3) of this section advises the President that a person holding the office of Director of Public Prosecutions ought to be removed from office for inability as aforesaid or for misbehaviour or for incompetence, the President shall remove such person from office. (5) If the question of removing a person holding the office of Director of Public Prosecutions from office has been referred to a tribunal under this section, the President may suspend that person from performing the functions of his or her office, and any such suspension may at any time be revoked by the President and shall in any case cease to have effect if the tribunal advises the President that the person ought not to be removed from office. 114. Tenure of office of Auditor-General (1) Subject to the provisions of this section, a person holding the office of Auditor-General shall vacate his or her office when he or she attains the age of 60 years or such other age as may be prescribed by Parliament. (2) A person holding the office of Auditor-General may be removed from office only for inability to perform the functions of his or her office (whether arising from infirmity of body or mind or any other cause) or for misbehaviour and shall not be so removed except in accordance with the provisions of this section. (3) If the National Assembly resolves that the question of removing a person holding the office of Auditor-General from office under this section ought to be", - "page_start": 48, - "page_end": 48, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (a) grant to any person convicted of any offence a pardon, either free or subject to lawful conditions; (b) grant to any person a respite, either indefinite or for a specified period, of the execution of any punishment imposed on that person for any offence; (c) substitute a less severe form of punishment for any punishment imposed on any person for any offence; and (d) remit the whole or part of any punishment imposed on any person for any offence or of any penalty or forfeiture otherwise due to the Government on account of any offence. 54. Advisory Committee on Prerogative of Mercy (1) There shall be an Advisory Committee on the Prerogative of Mercy which shall consist of- (a) the Vice-President or a Minister appointed by the President by instrument in writing under his or her hand; (b) the Attorney-General; and (c) a person qualified to practise in Botswana as a medical practitioner, appointed by the President by instrument in writing under his or her hand. (2) A member of the Committee appointed under subsection (1)(a) or (c) of this section shall hold his or her seat thereon for such period as may be specified in the instrument by which he or she was appointed: Provided that his or her seat shall become vacant- (i) in the case of a person who, at the date of his or her appointment, was the Vice-President or a Minister, if he or she ceases to be the Vice-President or a Minister; or (ii) if the President, by instrument in writing under his or her hand, so directs. (3) The Committee shall not be summoned except by the authority of the President who shall, as far as is practicable, attend and preside at all meetings of the Committee, and, in the absence of the President, the member of the Committee appointed under subsection (1)(a) of this section shall preside. (4) The Committee may act notwithstanding any vacancy in its membership and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings. (5) Subject to the provisions of this section, the Committee may regulate its own procedure. 55. Functions of Advisory Committee on Prerogative of Mercy (1) Where any person has been sentenced to death for any offence, the President shall cause a written report of the case from the trial judge, together with such other information derived from the record of the case or elsewhere as he or she may require, to be considered at a meeting of the Advisory Committee on the Prerogative of Mercy; and after obtaining the advice of the Committee he or she shall decide whether to exercise any of his or her powers under section 53 of this Constitution. (2) The President may consult with the Committee before deciding whether to exercise any of his or her powers under the said section 53 in any case not falling within subsection (1) of this section. 56. Constitution of offices Subject to the provisions of this Constitution and of any Act of Parliament, the powers of constituting and abolishing offices for Botswana shall vest in the President. CHAPTER V Parliament (ss 57-94) PART I Composition (ss 57-70)", - "page_start": 25, - "page_end": 25, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \ndetention is authorized; (c) not more than one month after the commencement of his or her detention and thereafter during his or her detention at intervals of not more than six months, his or her case shall be reviewed by an independent and impartial tribunal established by law and presided over by a person, qualified to be enrolled as an advocate in Botswana, appointed by the Chief Justice; and (d) he or she shall be afforded reasonable facilities to consult and instruct, at his or her own expense, a legal representative and he or she and any such legal representative shall be permitted to make written or oral representations or both to the tribunal appointed for the review of his or her case. (3) On any review by a tribunal in pursuance of this section of the case of a detained person, the tribunal may make recommendations, concerning the necessity or expediency of continuing his or her detention, to the authority by which it was ordered but, unless it is otherwise provided by law, that authority shall not be obliged to act in accordance with any such recommendations. 17. Declarations relating to emergencies (1) The President may at any time, by Proclamation published in the Gazette, declare that a state of public emergency exists. (2) A declaration under subsection (1) of this section, if not sooner revoked, shall cease to have effect- (a) in the case of a declaration made when Parliament is sitting or has been summoned to meet within seven days, at the expiration of a period of seven days beginning with the date of publication of the declaration; or (b) in any other case, at the expiration of a period of 21 days beginning with the date of publication of the declaration, unless before the expiration of that period, it is approved by a resolution passed by the National Assembly, supported by the votes of a majority of all the voting members of the Assembly. (3) Subject to the provisions of subsection (4) of this section, a declaration approved by a resolution of the National Assembly under subsection (2) of this section shall continue in force until the expiration of a period of six months beginning with the date of its being so approved or until such earlier date as may be specified in the resolution: Provided that the National Assembly may, by resolution, supported by the votes of a majority of all the voting members of the Assembly, extend its approval of the declaration for periods of not more than six months at a time. (4) The National Assembly may by resolution at any time revoke a declaration approved by the Assembly under this section. 18. Enforcement of protective provisions (1) Subject to the provisions of subsection (5) of this section, if any person alleges that any of the provisions of sections 3 to 16 (inclusive) of this Constitution has been, is being or is likely to be contravened in relation to him or her, then, without prejudice to any other action with respect to the same matter which is lawfully available, that person may apply to the High Court for redress. (2) The High Court shall have original jurisdiction- (a) to hear and determine any application made by any person in pursuance of subsection (1) of this section; or (b) to determine any question arising in the case of any person which is referred to it in pursuance of subsection (3) of this section, and may make such orders, issue such writs and give such direction as it may consider appropriate for the purpose of enforcing or securing the enforcement of any of the", - "page_start": 14, - "page_end": 14, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (1) The High Court shall have jurisdiction to hear and determine any question whether- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant; (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker. (2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker. (3) Parliament may make provision with respect to- (a) the persons who may apply to the High Court for the determination of any question under this section; (b) the circumstances and manner in which the conditions upon which any such application may be made; and (c) the powers, practice and procedure of the High Court in relation to any such application. 70. Clerk of the Assembly (1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service. (2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service. PART II General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members The Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance. 72. Presiding in Assembly There shall preside at any sitting of the National Assembly- (a) the Speaker; (b) in the absence of the Speaker, the Deputy Speaker; or (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting. 73. Quorum in Assembly If objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly. 74. Voting in Assembly (1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting. (2) ... (3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost. 75. Unqualified persons sitting or voting Any person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community; (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons; (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order, and except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society. 10. Provisions to secure protection of law (1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law. (2) Every person who is charged with a criminal offence- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty; (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged; (c) shall be given adequate time and facilities for the preparation of his or her defence; (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice; (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge, and except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence. (3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n 113. Tenure of office of Director of Public Prosecutions 114. Tenure of office of Auditor-General 115. Pensions laws and protection of pensions rights 116. Power of Commissions in relation to pensions, etc. CHAPTER VIII Finance 117. Consolidated Fund 118. Withdrawals from Consolidated Fund or other public funds 119. Authorization of expenditure 120. Authorization of expenditure in advance of appropriation 121. Contingencies Fund 122. Remuneration of certain officers 123. Public debt 124. Auditor-General CHAPTER IX Miscellaneous 125. Resignations 126. Reappointments and concurrent appointments 127. Interpretation First Schedule - Election of Specially Elected Members of the National Assembly Second Schedule - Division of Districts into regions for the purpose of selecting Members of Ntlo ya Dikgosi L.N. 83, 1966, Act 30, 1969, Act 43, 1969, Act 25, 1970, Act 28, 1972, Act 24, 1973, Act 28, 1978, S.I. 25, 1980, Act 32, 1982, Act 1, 1983, Act 22, 1987, S.I. 37, 1991, Act 27, 1992, S.I. 51, 1993, S.I. 119, 1993, Act 16, 1997, Act 18, 1997, Act 1, 1999, Act 2, 2002, Act 12, 2002, Act 9, 2005, S.I. 91, 2006. [Date of Commencement: 30th September, 1966] CHAPTER I", - "page_start": 3, - "page_end": 3, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nher lawful detention shall not be held to be inconsistent with or in contravention of this section. (3) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision- (a) for the imposition of restrictions that are reasonably required in the interests of defence, public safety, public order, public morality or public health or the imposition of restrictions on the acquisition or use by any person of land or other property in Botswana and except so far as that provision or, as the case may be, the thing done under the authority thereof, is shown not to be reasonably justifiable in a democratic society; (b) for the imposition of restrictions on the freedom of movement of any person who is not a citizen of Botswana; (c) for the imposition of restrictions on the entry into or residence within defined areas of Botswana of persons who are not Bushmen to the extent that such restrictions are reasonably required for the protection or well-being of Bushmen; (d) for the imposition of restrictions upon the movement or residence within Botswana of public officers; or (e) ....... (4) If any person whose freedom of movement has been restricted by order under such a provision as is referred to in subsection (3)(a) of this section (other than a restriction which is applicable to persons generally or to general classes of persons) so requests at any time during the period of that restriction not earlier than six months after the order was made or six months after he or she last made such request, as the case may be, his or her case shall be reviewed by an independent and impartial tribunal presided over by a person, qualified to be enrolled as an advocate in Botswana, appointed by the Chief Justice. (5) On any review by a tribunal in pursuance of this section of the case of a person whose freedom of movement has been restricted, the tribunal may make recommendations, concerning the necessity or expediency of continuing the restriction to the authority by which it was ordered but, unless it is otherwise provided by law, that authority shall not be obliged to act in accordance with any such recommendations. 15. Protection from discrimination on the grounds of race, etc. (1) Subject to the provisions of subsections (4), (5) and (7) of this section, no law shall make any provision that is discriminatory either of itself or in its effect. (2) Subject to the provisions of subsections (6), (7) and (8) of this section, no person shall be treated in a discriminatory manner by any person acting by virtue of any written law or in the performance of the functions of any public office or any public authority. (3) In this section, the expression \"discriminatory\" means affording different treatment to different persons, attributable wholly or mainly to their respective descriptions by race, tribe, place of origin, political opinions, colour, creed or sex whereby persons of one such description are subjected to disabilities or restrictions to which persons of another such description are not made subject or are accorded privileges or advantages which are not accorded to persons of another such description. (4) Subsection (1) of this section shall not apply to any law so far as that law makes provision- (a) for the appropriation of public revenues or other public funds; (b) with respect to persons who are not citizens of Botswana; (c) with respect to adoption, marriage, divorce, burial, devolution of property on death or other matters of personal law;", - "page_start": 12, - "page_end": 12, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nown procedure. (14) Except as may be otherwise provided in its rules or procedure, the Commission may act notwithstanding any vacancy in its membership or the absence of any member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings. (15) Any decision of the Commission shall require the concurrence of a majority of all the members thereof. (16) A member of the Commission shall not, during the tenure of his or her office or during the three years immediately following such tenure, be eligible for appointment to any public office other than that of Ambassador, High Commissioner or other principal representative of Botswana in any other country or accredited to any international organization. 110. Appointment, etc., of public officers (1) Subject to the provisions of this section and of sections 111, 113 and 114 of this Constitution, power to appoint persons to hold or to act in any office in the public service, to exercise disciplinary control over persons holding or acting in such offices and to remove from such offices shall vest in such person or persons as may be prescribed by Act of Parliament. (2) The provisions of this section shall not apply in relation to the following offices, that is to say- (a) the office of judge of the Court of Appeal or of the High Court; (b) any office to which section 104 or 112 of the Constitution applies. (3) Before any person or persons as may have been prescribed under the provisions of subsection (1) exercise power to appoint to or to act in any public office any person who holds or is acting in any office the power to make appointments to which is vested by this Constitution in the President acting in accordance with the advice of the Judicial Service Commission such person shall consult with the Judicial Service Commission. 111. Appeals to President (1) Any person other than a member of the Botswana Police Force or the Prison Service who has been removed from office or subjected to any other punishment by the exercise of any powers conferred on any person under the provisions of section 110 of this Constitution may appeal to the Public Service Commission who may dismiss such appeal or allow it wholly or in part. (2) Subject to the provisions of subsection (3) every decision of the Public Service Commission under the provisions of this section shall be final. (3) Notwithstanding anything contained in subsection (2) if the Public Service Commission dismisses an appeal or allows it in part only the person who appealed may appeal to the President. (4) If any person appeals to the President in accordance with the provisions of subsection (3) of this section the President shall either dismiss the appeal or shall order that it be heard by a tribunal appointed by the President, the Chairman of which shall be a person who holds or has held high judicial office or is qualified to be appointed as a judge of the High Court. (5) If the President appoints a tribunal to hear an appeal in accordance with subsection (4) of this section the tribunal shall hear the appeal and shall advise the President whether or not the appeal should be allowed either wholly or in part, and the President shall act in accordance with that advice. 112. Powers of President in relation to certain public offices (1) The power to appoint a person to hold or act in offices to which this section applies and to remove from office and to exercise disciplinary control over persons", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nany member and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings. (6) The decisions of the Commission shall be by the vote of a majority of the members present, and in the event of an equality of votes, the Chairman shall have a casting vote. 104. Appointment, etc., of judicial officers (1) Power to appoint persons to hold or act in offices to which this section applies, to exercise disciplinary control over persons holding or acting in such offices and to remove such persons from office shall vest in the President acting in accordance with the advice of the Judicial Service Commission. (2) The offices to which this section applies are- (a) the office of Registrar of the Court of Appeal and High Court; (b) all offices of magistrate; (c) such other offices of President or member of any court or connected with any court as may be prescribed by or under an Act of Parliament. (3) In this section references to a court do not include references to a court martial. PART IV Interpretation of the Constitution (ss 105-106) 105. Reference to High Court of cases involving interpretation of Constitution (1) Where any question as to the interpretation of this Constitution arises in any proceedings in any subordinate court and the court is of the opinion that the question involves a substantial question of law, the court may, and shall, if any party to the proceedings so requests, refer the question to the High Court. (2) Where any question is referred to the High Court in pursuance of this section, the High Court shall give its decision upon the question and the court in which the question arose shall, subject to any appeal, dispose of the case in accordance with that decision. 106. Appeal to Court of Appeal An appeal shall lie as of right to the Court of Appeal from any decision of the High Court which involves the interpretation of this Constitution, other than a decision of the High Court under section 69(1) of this Constitution: Provided that no appeal shall lie from a determination of the High Court under this section dismissing an application on the ground that it is frivolous or vexatious. PART V Judicial Committee (s 107: repealed) 107. [Repealed.] CHAPTER VII The Public Service (ss 108-116) 108. Power to specify qualifications for certain offices Subject to the provisions of this Constitution and of any Act of Parliament, power to specify the qualifications and disqualifications for holding such public offices as he or she may constitute shall vest in the President. 109. Public Service Commission (1) There shall be a Public Service Commission for Botswana which shall consist of a Chairman and not less than two nor more than four other members. (2) The members of the Public Service Commission shall be appointed by the President. (3) A person shall not be qualified for appointment as a member of the Public Service Commission if he or she is a Member of the National Assembly or a public officer, or is or has within the two years immediately preceding his or her appointment", - "page_start": 45, - "page_end": 45, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are considered \"disciplined force\" according to Botswana constitution ?", - "target_page": 16, - "target_passage": "\"disciplined force\" means- (a) a naval, military or air force; (b) a police force; or (c) a prison service", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Copyright Government of Botswana \nprovisions of sections 3 to 16 (inclusive) of this Constitution. (3) If in any proceedings in any subordinate court any question arises as to the contravention of any of the provisions of sections 3 to 16 (inclusive) of this Constitution, the person presiding in that court may, and shall if any party to the proceedings so requests, refer the question to the High Court unless, in his or her opinion, the raising of the question is merely frivolous or vexatious. (4) Parliament may confer upon the High Court such powers in addition to those conferred by this section as may appear to be necessary or desirable for the purpose of enabling that court more effectively to exercise the jurisdiction conferred upon it by this section. (5) Rules of court making provision with respect to the practice and procedure of the High Court for the purposes of this section may be made by the person or authority for the time being having power to make rules of court with respect to the practice and procedure of that court generally. 19. Interpretation and savings (1) In this Chapter, unless the context otherwise requires- \"court\" means any court of law having jurisdiction in Botswana other than a court established by a disciplinary law, and in sections 4 and 6 of this Constitution a court established by a disciplinary law; \"disciplinary law\" means a law regulating the discipline of any disciplined force; \"disciplined force\" means- (a) a naval, military or air force; (b) a police force; or (c) a prison service; \"legal representative\" means a person entitled to practise in Botswana as an advocate or attorney; \"member\", in relation to a disciplined force, includes any person who, under the law regulating the discipline of that force, is subject to that discipline. (2) In relation to any person who is a member of a disciplined force raised under an Act of Parliament, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter other than sections 4, 6 and 7. (3) In relation to any person who is a member of a disciplined force raised otherwise than as aforesaid and lawfully present in Botswana, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent with or in contravention of any of the provisions of this Chapter. CHAPTER III Citizenship (ss 20-29: repealed) 20 to 29 inclusive. [Repealed.] CHAPTER IV The Executive (ss 30-56) PART I The President and the Vice-President (ss 30-41) 30. Office of President There shall be a President of the Republic of Botswana who shall be the Head of State. 31. First President (1) The first President shall be the person who immediately before 30th September, 1966 holds the office of Prime Minister under the Constitution. (2) The first President shall be deemed to have assumed office at the coming into operation of this Constitution.", - "page_start": 15, - "page_end": 15, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \ncourt to try a member of a disciplined force for a criminal offence notwithstanding any trial and conviction or acquittal of that member under the disciplinary law of that force, so, however, that any court so trying such a member and convicting him or her shall in sentencing him or her to any punishment take into account any punishment awarded him or her under that disciplinary law; (e) subsection (8) of this section to the extent that the law in question authorizes a court to convict a person of a criminal offence under any customary law to which, by virtue of that law, such person is subject. (13) In the case of any person who is held in lawful detention, the provisions of subsection (1), subsection (2)(d) and (e) and subsection (3) of this section shall not apply in relation to his or her trial for a criminal offence under the law regulating the discipline of persons held in such detention. (14) In this section \"criminal offence\" means a criminal offence under the law in force in Botswana. 11. Protection of freedom of conscience (1) Except with his or her own consent, no person shall be hindered in the enjoyment of his or her freedom of conscience, and for the purposes of this section the said freedom includes freedom of thought and of religion, freedom to change his or her religion or belief, and freedom, either alone or in community with others, and both in public and in private, to manifest and propagate his or her religion or belief in worship, teaching, practice and observance. (2) Every religious community shall be entitled, at its own expense, to establish and maintain places of education and to manage any place of education which it wholly maintains; and no such community shall be prevented from providing religious instruction for persons of that community in the course of any education provided at any place of education which it wholly maintains or in the course of any education which it otherwise provides. (3) Except with his or her own consent (or, if he or she is a minor, the consent of his or her guardian) no person attending any place of education shall be required to receive religious instruction or to take part in or attend any religious ceremony or observance if that instruction, ceremony or observance relates to a religion other than his or her own. (4) No person shall be compelled to take any oath which is contrary to his or her religion or belief or to take any oath in a manner which is contrary to his or her religion or belief. (5) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision which is reasonably required- (a) in the interests of defence, public safety, public order, public morality or public health; or (b) for the purpose of protecting the rights and freedoms of other persons, including the right to observe and practise any religion without the unsolicited intervention of members of any other religion, and except so far as that provision or, as the case may be, the thing done under the authority thereof is shown not to be reasonably justifiable in a democratic society. 12. Protection of freedom of expression (1) Except with his or her own consent, no person shall be hindered in the enjoyment of his or her freedom of expression, that is to say, freedom to hold opinions without interference, freedom to receive ideas and information without interference, freedom to communicate ideas and information without interference (whether the", - "page_start": 10, - "page_end": 10, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (d) for the application in the case of members of a particular race, community or tribe of customary law with respect to any matter whether to the exclusion of any law in respect to that matter which is applicable in the case of other persons or not; or (e) whereby persons of any such description as is mentioned in subsection (3) of this section may be subjected to any disability or restriction or may be accorded any privilege or advantage which, having regard to its nature and to special circumstances pertaining to those persons or to persons of any other such description, is reasonably justifiable in a democratic society. (5) Nothing contained in any law shall be held to be inconsistent with or in contravention of subsection (1) of this section to the extent that it makes reasonable provision with respect to qualifications for service as a public officer or as a member of a disciplined force or for the service of a local government authority or a body corporate established directly by any law. (6) Subsection (2) of this section shall not apply to anything which is expressly or by necessary implication authorized to be done by any such provision of law as is referred to in subsection (4) or (5) of this section. (7) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision whereby persons of any such description as is mentioned in subsection (3) of this section may be subjected to any restriction on the rights and freedoms guaranteed by sections 9, 11, 12, 13 and 14 of this Constitution, being such a restriction as is authorized by section 9(2), 11(5), 12(2) 13(2), or 14(3), as the case may be. (8) Nothing in subsection (2) of this section shall affect any discretion relating to the institution, conduct or discontinuance of civil or criminal proceedings in any court that is vested in any person by or under this Constitution or any other law. (9) Nothing contained in or done under the authority of any law shall be held to be inconsistent with the provisions of this section- (a) if that law was in force immediately before the coming into operation of this Constitution and has continued in force at all times since the coming into operation of this Constitution; or (b) to the extent that the law repeals and re-enacts any provision which has been contained in any written law at all times since immediately before the coming into operation of this Constitution. 16. Derogation from fundamental rights and freedoms (1) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of section 5 or 15 of this Constitution to the extent that the law authorizes the taking during any period when Botswana is at war or any period when a declaration under section 17 of this Constitution is in force, of measures that are reasonably justifiable for the purpose of dealing with the situation that exists during that period. (2) Where a person is detained by virtue of such an authorization as is referred to in subsection (1) of this section the following provisions shall apply- (a) he or she shall, as soon as reasonably practicable and in any case not more than five days after the commencement of his or her detention, be furnished with a statement in writing in a language that he or she understands specifying in detail the grounds upon which he or she is detained; (b) not more than 14 days after the commencement of his or her detention, a notification shall be published in the Gazette stating that he or she has been detained and giving particulars of the provision of law under which his or her", - "page_start": 13, - "page_end": 13, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community; (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons; (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order, and except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society. 10. Provisions to secure protection of law (1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law. (2) Every person who is charged with a criminal offence- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty; (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged; (c) shall be given adequate time and facilities for the preparation of his or her defence; (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice; (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge, and except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence. (3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (a) grant to any person convicted of any offence a pardon, either free or subject to lawful conditions; (b) grant to any person a respite, either indefinite or for a specified period, of the execution of any punishment imposed on that person for any offence; (c) substitute a less severe form of punishment for any punishment imposed on any person for any offence; and (d) remit the whole or part of any punishment imposed on any person for any offence or of any penalty or forfeiture otherwise due to the Government on account of any offence. 54. Advisory Committee on Prerogative of Mercy (1) There shall be an Advisory Committee on the Prerogative of Mercy which shall consist of- (a) the Vice-President or a Minister appointed by the President by instrument in writing under his or her hand; (b) the Attorney-General; and (c) a person qualified to practise in Botswana as a medical practitioner, appointed by the President by instrument in writing under his or her hand. (2) A member of the Committee appointed under subsection (1)(a) or (c) of this section shall hold his or her seat thereon for such period as may be specified in the instrument by which he or she was appointed: Provided that his or her seat shall become vacant- (i) in the case of a person who, at the date of his or her appointment, was the Vice-President or a Minister, if he or she ceases to be the Vice-President or a Minister; or (ii) if the President, by instrument in writing under his or her hand, so directs. (3) The Committee shall not be summoned except by the authority of the President who shall, as far as is practicable, attend and preside at all meetings of the Committee, and, in the absence of the President, the member of the Committee appointed under subsection (1)(a) of this section shall preside. (4) The Committee may act notwithstanding any vacancy in its membership and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings. (5) Subject to the provisions of this section, the Committee may regulate its own procedure. 55. Functions of Advisory Committee on Prerogative of Mercy (1) Where any person has been sentenced to death for any offence, the President shall cause a written report of the case from the trial judge, together with such other information derived from the record of the case or elsewhere as he or she may require, to be considered at a meeting of the Advisory Committee on the Prerogative of Mercy; and after obtaining the advice of the Committee he or she shall decide whether to exercise any of his or her powers under section 53 of this Constitution. (2) The President may consult with the Committee before deciding whether to exercise any of his or her powers under the said section 53 in any case not falling within subsection (1) of this section. 56. Constitution of offices Subject to the provisions of this Constitution and of any Act of Parliament, the powers of constituting and abolishing offices for Botswana shall vest in the President. CHAPTER V Parliament (ss 57-94) PART I Composition (ss 57-70)", - "page_start": 25, - "page_end": 25, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n57. Parliament There shall be a Parliament of Botswana which shall consist of the President and a National Assembly. 58. Composition of National Assembly (1) The President shall be ex-officio a member of the National Assembly, and shall be entitled to speak and to vote in all proceedings of the National Assembly. (2) In addition to the President the National Assembly shall consist of- (a) 57 Elected Members who shall be elected in accordance with the provisions of this Constitution and subject thereto in accordance with the provisions of any Act of Parliament; and (b) four Specially Elected Members who shall be elected in accordance with the First Schedule to this Constitution and subject thereto in accordance with the provisions of any Act of Parliament. (3) If a person who is not a member of the National Assembly is elected to the office of Speaker of the National Assembly, that person shall, by virtue of holding that office, be a member of the Assembly in addition to the members referred to in subsections (1) and (2) of this section. 59. Speaker (1) There shall be a Speaker of the National Assembly who shall be elected by the Members of the Assembly from among persons who are Members of the Assembly or from among persons who are not Members of the Assembly. (2) The President, the Vice-President, a Minister, an Assistant Minister or a public officer shall not be qualified to be elected as Speaker. (3) The Speaker shall vacate his or her office- (a) if, having been elected from among the Members of the National Assembly, he or she ceases to be a Member of the Assembly otherwise than by reason of a dissolution of Parliament or if he or she is required by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly; (b) if any circumstances arise that, if he or she were not Speaker, would disqualify him for election as such; (c) when the Assembly first sits after any dissolution of Parliament; or (d) if he or she is removed from office by a resolution of the Assembly supported by the votes of not less than two-thirds of all the Members thereof. (4) No business shall be transacted in the National Assembly (other than an election to the office of Speaker) at any time when the office of Speaker is vacant. 60. Deputy Speaker (1) There shall be a Deputy Speaker of the National Assembly who shall be elected from among the persons who are Members of the Assembly other than the President, the Vice-President, Ministers or Assistant Ministers. (2) The Members of the National Assembly shall elect a person to the office of Deputy Speaker when the Assembly first sits after any dissolution and, if the office becomes vacant otherwise than by reason of the dissolution of the Assembly, at the first sitting of the Assembly after the office becomes vacant. (3) The Deputy Speaker shall vacate his or her office- (a) if he or she ceases to be a Member of the National Assembly, otherwise than by reason of a dissolution of Parliament; (b) if any circumstances arise that, if he or she were not Deputy Speaker, would disqualify him or her for election as such; (c) if he or she is required, by virtue of section 68(2) to (3) of this Constitution, to cease to perform his or her functions as a Member of the Assembly;", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nperson or authority. (3) Nothing in this section shall prevent Parliament from conferring functions on persons or authorities other than the President. 48. Command of armed forces (1) The supreme command of the armed forces of the Republic shall vest in the President and he or she shall hold the office of Commander in Chief. (2) The powers conferred on the President by subsection (1) of this section shall include- (a) the power to determine the operational use of the armed forces; (b) the power to appoint members of the armed forces, to make appointments on promotion to any office in the armed forces and to dismiss any member of the armed forces. (3) The President may, by directions in writing and subject to such conditions as he or she may think fit, delegate to any member of the armed forces any of the powers mentioned in subsection (2) of this section. (4) Parliament may regulate the exercise of the powers conferred by or under this section. 49. Functions of Vice-President The Vice-President shall be the principal assistant of the President in the discharge of his or her executive functions and shall be responsible, under the directions of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her. 50. Functions of Cabinet Ministers and Assistant Ministers (1) The Cabinet shall be responsible for advising the President with respect to the policy of the Government and with respect to such other matters as may be referred to it by the President and shall, subject to the provisions of this Constitution, be responsible to the National Assembly for all things done by or under the authority of the President, Vice-President or any Minister in the execution of his or her office. (2) The President shall, so far as practicable and subject to the provisions of this Constitution, consult the Cabinet on matters of policy and the exercise of his or her functions. (3) The obligation of the President to consult his or her Cabinet and for the Cabinet to accept responsibility under this section shall not apply to the exercise by the President of his or her powers in relation to the appointment or removal of the Vice-President, Ministers and Assistant Ministers, the dissolution of Parliament, the Prerogative of Mercy, the assignment of responsibility to the Vice-President or any Minister and the specification of the functions of an Assistant Minister. (4) A Minister shall be responsible, under the direction of the President, for such business of the government of Botswana (including the administration of any department of Government) as the President may assign to him or her. (5) An Assistant Minister shall- (a) assist the President or the Vice-President in the discharge of such of the functions of the office of President or Vice-President as the President may specify; or (b) assist such Minister in the discharge of the functions assigned to him or her under subsection (4) of this section as the President may specify. 51. Attorney-General (1) There shall be an Attorney-General appointed by the President whose office shall be a public office. (2) A person shall not be qualified to be appointed to the Office of Attorney-", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (4) No person shall be held to be guilty of a criminal offence on account of any act or omission that did not, at the time it took place, constitute such an offence, and no penalty shall be imposed for any criminal offence that is severer in degree or description than the maximum penalty that might have been imposed for that offence at the time when it was committed. (5) No person who shows that he or she has been tried by a competent court for a criminal offence and either convicted or acquitted shall again be tried for that offence or for any other criminal offence of which he or she could have been convicted at the trial for that offence, save upon the order of a superior court in the course of appeal or review proceedings relating to the conviction or acquittal. (6) No person shall be tried for a criminal offence if he or she shows that he or she has been pardoned for that offence. (7) No person who is tried for a criminal offence shall be compelled to give evidence at the trial. (8) No person shall be convicted of a criminal offence unless that offence is defined and the penalty therefor is prescribed in a written law: Provided that nothing in this subsection shall prevent a court of record from punishing any person for contempt of itself notwithstanding that the act or omission constituting the contempt is not defined in a written law and the penalty therefor is not so prescribed. (9) Any court or other adjudicating authority prescribed by law for the determination of the existence or extent of any civil right or obligation shall be established or recognized by law and shall be independent and impartial; and where proceedings for such a determination are instituted by any person before such a court or other adjudicating authority, the case shall be given a fair hearing within a reasonable time. (10) Except with the agreement of all the parties thereto, all proceedings of every court and proceedings for the determination of the existence or extent of any civil right or obligation before any other adjudicating authority, including the announcement of the decision of the court or other authority, shall be held in public. (11) Nothing in subsection (10) shall prevent the court or other adjudicating authority from excluding from the proceedings persons other than the parties thereto and their legal representatives to such extent as the court or other authority- (a) may consider necessary or expedient in circumstances where publicity would prejudice the interests of justice or in interlocutory proceedings; or (b) may be empowered by law to do so in the interests of defence, public safety, public order, public morality, the welfare of persons under the age of 18 years or the protection of the private lives of persons concerned in the proceedings. (12) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of- (a) subsection (2)(a) of this section to the extent that the law in question imposes upon any person charged with a criminal offence the burden of proving particular facts; (b) subsection (2)(d) or (2)(e) of this section to the extent that the law in question prohibits legal representation before a subordinate court in proceedings for an offence under customary law (being proceedings against any person who, under that law, is subject to that law); (c) subsection (2)(c) of this section to the extent that the law in question imposes reasonable conditions that must be satisfied if witnesses called to testify on behalf of an accused person are to be paid their expenses out of public funds; (d) subsection (5) of this section to the extent that the law in question authorizes a", - "page_start": 9, - "page_end": 9, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (d) any labour required during any period of public emergency or in the event of any other emergency or calamity that threatens the life and well-being of the community, to the extent that the requiring of such labour is reasonably justifiable in the circumstances of any situation arising or existing during that period or as a result of that other emergency or calamity, for the purpose of dealing with that situation; or (e) any labour reasonably required as part of reasonable and normal communal or other civic obligations. 7. Protection from inhuman treatment (1) No person shall be subjected to torture or to inhuman or degrading punishment or other treatment. (2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question authorizes the infliction of any description of punishment that was lawful in the country immediately before the coming into operation of this Constitution. 8. Protection from deprivation of property (1) No property of any description shall be compulsorily taken possession of, and no interest in or right over property of any description shall be compulsorily acquired, except where the following conditions are satisfied, that is to say- (a) the taking of possession or acquisition is necessary or expedient- (i) in the interests of defence, public safety, public order, public morality, public health, town and country planning or land settlement; (ii) in order to secure the development or utilization of that, or other, property for a purpose beneficial to the community; or (iii) in order to secure the development or utilization of the mineral resources of Botswana; and (b) provision is made by a law applicable to that taking of possession or acquisition- (i) for the prompt payment of adequate compensation; and (ii) securing to any person having an interest in or right over the property a right of access to the High Court, either direct or on appeal from any other authority, for the determination of his or her interest or right, the legality of the taking of possession or acquisition of the property, interest or right, and the amount of any compensation to which he or she is entitled, and for the purpose of obtaining prompt payment of that compensation. (2) No person who is entitled to compensation under this section shall be prevented from remitting, within a reasonable time after he or she has received any amount of that compensation, the whole of that amount (free from any deduction, charge or tax made or levied in respect of its remission) to any country of his or her choice outside Botswana. (3) Subsection (1)(b)(i) of this section shall be deemed to be satisfied in relation to any Law applicable to the taking of possession of minerals or the acquisition of rights to minerals if that law makes provision for the payment at reasonable intervals of adequate royalties. (4) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of subsection (2) of this section to the extent that the law in question authorizes- (a) the attachment, by order of a court, of any amount of compensation to which a person is entitled in satisfaction of the judgment of a court or pending the determination of civil proceedings to which he or she is a party; or (b) the imposition of reasonable restrictions on the manner in which any amount of", - "page_start": 6, - "page_end": 6, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nPART III Executive Functions 47. Functions of President 48. Command of armed forces 49. Functions of Vice-President 50. Functions of Cabinet Ministers and Assistant Ministers 51. Attorney-General 51A. Director of Public Prosecutions 52. Permanent Secretaries 53. Prerogative of Mercy 54. Advisory Committee on Prerogative of Mercy 55. Functions of Advisory Committee on Prerogative of Mercy 56. Constitution of offices CHAPTER V Parliament PART I Composition 57. Parliament 58. Composition of National Assembly 59. Speaker 60. Deputy Speaker 61. Qualifications for election to National Assembly 62. Disqualifications for membership of National Assembly 63. Constituencies 64. Delimitation Commission 65. Report of Commission 65A. Appointment of Independent Electoral Commission 66. Appointment of Secretary to Independent Electoral Commission 67. The franchise 68. Tenure of office of members 69. Determination of questions as to membership of National Assembly 70. Clerk of the Assembly PART II General Provisions Relating to Procedure in National Assembly 71. Oaths to be taken by Speaker and Members 72. Presiding in Assembly 73. Quorum in Assembly 74. Voting in Assembly 75. Unqualified persons sitting or voting 76. Regulation of procedure in Assembly PART III Ntlo ya Dikgosi 77. Establishment and composition of Ntlo ya Dikgosi 78. Designation for Member to Ntlo ya Dikgosi 79. Qualifications for Members of Ntlo ya Dikgosi 80. Oath of allegiance 81. Secretary to Ntlo ya Dikgosi 82. Tenure of office of Members of Ntlo ya Dikgosi 83. Rules of Procedure of Ntlo ya Dikgosi 84. Ntlo ya Dikgosi may transact business notwithstanding vacancies 85. Functions of Ntlo ya Dikgosi", - "page_start": 1, - "page_end": 1, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "How much does AWS lambda charge when the function is not running ?", - "target_page": 52, - "target_passage": "there is no charge when your code is not running", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Serverless Developer Guide\n“No Server Is Easier To Manage Than No Server” - Werner Vogels, VP and CTO\nThe Lambda service runs instances of your function only when needed and scales automatically \nfrom zero requests per day to thousands per second. You pay only for the compute time that’s \nactually used — there is no charge when your code is not running.\nFundamentals\nServerless solutions are based on event-driven architecture, or EDA, where services send and receive\nevents, which represent an update or change in state. The primary activity of Lambda functions is \nto process events.\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a \ncontainer image. All interaction with the code occurs through the Lambda API. There is no direct \ninvocation of functions from outside of the Lambda service.\nWhat you will learn on your journey to building applications with Lambda:\n• How the event-driven programming model invokes Lambda functions\n• How to create, invoke, test, update, package, and secure functions\n• How the execution and runtime environment runs your functions\n• How to view logs and monitor your functions\n• Where to find hands-on opportunities to learn how to invoke functions\nFundamentals 48", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\ncould be listening. The handler function might create and send another event to an SNS queue so \nthat alerts for high temperature are sent to users through SMS messages.\nThe function finally wraps up the JSON weather data into a new event and sends it back to API \ngateway. Afterward, the function continues to handle hundreds of additional requests. Request \nfrom users slow down after 2AM, so after some time the Lambda service will tear down the \nfunction execution environment to conserve resources. As a Customer, you will only be charged for \nfunction usage.\nTypical microservice example 35", - "page_start": 38, - "page_end": 38, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nAfter the handler finishes processing the first event, the runtime sends it another, and another. \nEach instance of your function could process thousands of requests.\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by \nan event, this is called an invocation. Lambda functions are limited to 15 minutes in duration, but \non average, across all AWS customers, most invocations last for less than a second.\nThere are many types of invocation events. Some examples:\n• HTTP request from API Gateway\n• Schedule managed by an EventBridge rule\n• Message from an IOT device\n• Notification that a file was uploaded to an S3 bucket\nEven the smallest Lambda-based application uses at least one event that invokes your function.\nHow Lambda invokes your function (runtime environment)\nLambda invokes your function in an execution environment, which contains a secure and isolated\nruntime environment.\n• A runtime provides a language-specific environment which relays invocation events, context \ninformation, and responses between the Lambda and your functions.\n• An execution environment manages the processes and resources that are required to run the \nfunction.\nFundamentals 52", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nMany traditional systems are designed to run periodically and process batches of transactions that \nhave built up over time. For example, a banking application may run every hour to process ATM \ntransactions into central ledgers. In Lambda-based applications, the custom processing should be \ntriggered by every event, allowing the service to scale up concurrency as needed, to provide near-\nreal time processing of transactions.\nWhile you can run cron tasks in serverless applications by using Amazon EventBridge Scheduler, \nconsider the size of each batch of data that your event sends to Lambda. In this scenario, there \nis potential for the volume of transactions to grow beyond what can be processed within the 15-\nminute Lambda timeout. If the limitations of external systems force you to use a scheduler, you \nshould generally schedule for the shortest reasonable recurring time period.\nFor example, it’s not best practice to use a batch process that triggers a Lambda function to fetch \na list of new Amazon S3 objects. This is because the service might receive more new objects in \nbetween batches than can be processed within a 15-minute Lambda function.\nServerless development on AWS 21", - "page_start": 24, - "page_end": 24, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nRelated resources:\n• Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and \nlogs asynchronously while your Lambda function executes.\n• Lambda Extensions - official documentation\nLaunch functions faster with SnapStart\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \ntypically with no changes to your function code. The largest contributor to startup latency (often \nreferred to as cold start time) is the time that Lambda spends initializing the function, which \nincludes loading the function's code, starting the runtime, and initializing the function code.\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \nenvironment, encrypts the snapshot, and caches it for low-latency access.\nNote: You can use SnapStart only on published function versions and aliases that point to versions. \nYou can't use SnapStart on a function's unpublished version ($LATEST).\nRelated resources:\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \nsix seconds init time to 142 milliseconds of restore time with SnapStart\nAdvanced Topics 59", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\n• Policies that grant least privilege to your functions\nWorkshop - Intro to Serverless - Before diving too deep, you can choose to try out serverless in \na workshop or tutorial. Connect to a data source and create a REST API with your first Lambda \nfunction.”\n• Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\nProgramming Model\nThe Lambda service provides the same event-based programming model for all languages. The \nLambda runtime passes an invocation event and context to your Lambda function handler which \ndoes some work and produces a resulting event:\nThe invocation event contains data, as a JSON packet, which varies from service to service. For \nexample, API gateway events include path, HTTP method, query string parameters, headers, \ncookies, and more. DynamoDB events could contain updated or delete record data. S3 events \ninclude the bucket name and object key, among other things.\nThe context contains information about the environment the function is running inside. Additional \ncontextual information can be set in familiar environment variables (ENV).\nThe function handler is a method in your function code that processes the inbound event. The \nhandler, which is a standard function in your language of choice, does some work and emits a result \nevent.\nFundamentals 51", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\ninitialization duration, and other details. If your function throws an error, the runtime returns that \nerror to the invoker.\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has \na command called sam logs which will show you CloudWatch Logs generated by your Lambda \nfunction.\nFor example, the following terminal command would show the live tail of logs generated by the\nYourLambdaFunctionName Lambda function:\nsam logs -n YourLambdaFunctionName --tail\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for \ndebugging.\nSecuring functions\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. \nLambda is fully integrated with IAM, allowing you to control precisely what each Lambda function \ncan do within the AWS Cloud. There are two important things that define the scope of permissions \nin Lambda functions:\n• resource policy: Defines which events are authorized to invoke the function.\n• execution role policy: Limits what the Lambda function is authorized to do.\nUsing IAM roles to describe a Lambda function’s permissions, decouples security configuration \nfrom the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\nA Lambda function’s resource and execution policy should be granted the minimum required \npermissions for the function to perform it’s task effectively. This is sometimes referred to as the \nrule of least privilege. As you develop a Lambda function, you expand the scope of this policy to \nallow access to other resources as required.\nFundamentals 56", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nNext, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda \nfunction code parses the parameters in the inbound event, connects to the data store, and retrieves \nthe cart. The function queries the database API through an SDK library. Because the DynamoDB \ndatabase is also serverless and built to respond with low latency, there is no need for a connection \npool.\nAfter converting currency to USD and removing unavailable items, the function sends the result as \na new event to API Gateway.\nFinally, API Gateway converts the event into a response to send to the waiting client.\nThe method with which a function is invoked should be informed by your application archecture \nand needs. For example, batch-processing patterns have different applications to on-demand data \nprocessing. Understanding these paradigm differences can also help customers decide between \nAWS services.\nDeploying a microservice as a containerized application on Fargate could be more appropriate if \nthe microservice is primarily used for batch data processing. Whereas a Lambda function would be \nmuch more straight-forward to deploy and maintain in applications that require on-demand data \nprocessing.\n26", - "page_start": 29, - "page_end": 29, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\n{ \n public string FunctionHandler(string input, ILambdaContext context) \n { \n context.Logger.LogLine($\"Transforming {input} to upper case\"); \n return input.ToUpper(); \n }\n}\nHandlers in interpreted languages can be deployed directly through the web-based AWS \nManagement Console. Compiled languages, such as Java and C#, or functions that use external \nlibraries are deployed using .zip file archives or container images. Because of that additional \nprocess, this guide will focus on Python for examples.\nRegardless of language, Lambda functions will generally return a response event on successful \ncompletion. The following program listing is an example response event to send back to API \nGateway so that it can handle a request:\n{ \n \"statusCode\": 200, \n \"headers\": { \n \"Content-Type\": \"application/json\" \n }, \n \"isBase64Encoded\": false, \n \"multiValueHeaders\": { \n \"X-Custom-Header\": [\"My value\", \"My other value\"], \n }, \n \"body\": \"{\\n \\\"TotalCodeSize\\\": 104330022,\\n \\\"FunctionCount\\\": 26\\n}\"\n}\nHow to write logs with serverless applications\nYou might have noticed the logging statements in the preceding handler code. Where do those log \nmessages go?\nDuring invocation, the Lambda runtime automatically captures function output to Amazon \nCloudWatch.\nIn addition to logging your function's output, the runtime also logs entries when function \ninvocation starts and ends. This includes a report log with the request ID, billed duration, \nFundamentals 55", - "page_start": 58, - "page_end": 58, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer.\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \nthat matches your programming language. For a container image, you include the runtime when \nyou build the image.\nHow to process events with a Lambda handler\nConceptually, there are only three steps to processing events with Lambda:\n1. Configure the entry point to your function, known as the handler, and deploy the function.\n2. Lambda service initializes the function, then it invokes the handler with an invocation event and \ncontext.\n3. Your handler function processes the event and returns a response event.\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \nthe function stays in memory, so clients and variables declared outside of the handler method can \nbe reused.\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \nof reasons; some examples: scaling down to conserve resources, updating the function, updating \nthe runtime.\nThe function handler is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \nis keeping the handler sparse and doing the actual processing in other functions in your code.\nHere are some example handlers:\nPython\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\nFundamentals 53", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "What is the role of resource policies of lambda functions ?", - "target_page": 60, - "target_passage": "resource policy: Defines which events are authorized to invoke the function.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Serverless Developer Guide\n“No Server Is Easier To Manage Than No Server” - Werner Vogels, VP and CTO\nThe Lambda service runs instances of your function only when needed and scales automatically \nfrom zero requests per day to thousands per second. You pay only for the compute time that’s \nactually used — there is no charge when your code is not running.\nFundamentals\nServerless solutions are based on event-driven architecture, or EDA, where services send and receive\nevents, which represent an update or change in state. The primary activity of Lambda functions is \nto process events.\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a \ncontainer image. All interaction with the code occurs through the Lambda API. There is no direct \ninvocation of functions from outside of the Lambda service.\nWhat you will learn on your journey to building applications with Lambda:\n• How the event-driven programming model invokes Lambda functions\n• How to create, invoke, test, update, package, and secure functions\n• How the execution and runtime environment runs your functions\n• How to view logs and monitor your functions\n• Where to find hands-on opportunities to learn how to invoke functions\nFundamentals 48", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nAfter the handler finishes processing the first event, the runtime sends it another, and another. \nEach instance of your function could process thousands of requests.\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by \nan event, this is called an invocation. Lambda functions are limited to 15 minutes in duration, but \non average, across all AWS customers, most invocations last for less than a second.\nThere are many types of invocation events. Some examples:\n• HTTP request from API Gateway\n• Schedule managed by an EventBridge rule\n• Message from an IOT device\n• Notification that a file was uploaded to an S3 bucket\nEven the smallest Lambda-based application uses at least one event that invokes your function.\nHow Lambda invokes your function (runtime environment)\nLambda invokes your function in an execution environment, which contains a secure and isolated\nruntime environment.\n• A runtime provides a language-specific environment which relays invocation events, context \ninformation, and responses between the Lambda and your functions.\n• An execution environment manages the processes and resources that are required to run the \nfunction.\nFundamentals 52", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\n• Policies that grant least privilege to your functions\nWorkshop - Intro to Serverless - Before diving too deep, you can choose to try out serverless in \na workshop or tutorial. Connect to a data source and create a REST API with your first Lambda \nfunction.”\n• Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\nProgramming Model\nThe Lambda service provides the same event-based programming model for all languages. The \nLambda runtime passes an invocation event and context to your Lambda function handler which \ndoes some work and produces a resulting event:\nThe invocation event contains data, as a JSON packet, which varies from service to service. For \nexample, API gateway events include path, HTTP method, query string parameters, headers, \ncookies, and more. DynamoDB events could contain updated or delete record data. S3 events \ninclude the bucket name and object key, among other things.\nThe context contains information about the environment the function is running inside. Additional \ncontextual information can be set in familiar environment variables (ENV).\nThe function handler is a method in your function code that processes the inbound event. The \nhandler, which is a standard function in your language of choice, does some work and emits a result \nevent.\nFundamentals 51", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\n• Resizing images\n• Generating dynamic PDFs from customer data\nIn traditional applications, you write code to do these tasks. You organize that code into functions. \nYou put the function code inside an application framework. Whichever framework you picked will \nrun inside a language dependent runtime environment. Finally, that runtime environment will be \nhosted on a virtual or physical server.\nSetting up, configuring and maintaining the frameworks, runtime environments, and virtual or \nphysical infrastructure slows down your delivery of features, bug fixes, and improvements.\nWhat is Lambda?\nIn Lambda, you write function code. Lambda runs the functions. That’s it. There are no servers.\nWhat is Lambda? 47", - "page_start": 50, - "page_end": 50, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\ninitialization duration, and other details. If your function throws an error, the runtime returns that \nerror to the invoker.\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has \na command called sam logs which will show you CloudWatch Logs generated by your Lambda \nfunction.\nFor example, the following terminal command would show the live tail of logs generated by the\nYourLambdaFunctionName Lambda function:\nsam logs -n YourLambdaFunctionName --tail\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for \ndebugging.\nSecuring functions\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. \nLambda is fully integrated with IAM, allowing you to control precisely what each Lambda function \ncan do within the AWS Cloud. There are two important things that define the scope of permissions \nin Lambda functions:\n• resource policy: Defines which events are authorized to invoke the function.\n• execution role policy: Limits what the Lambda function is authorized to do.\nUsing IAM roles to describe a Lambda function’s permissions, decouples security configuration \nfrom the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\nA Lambda function’s resource and execution policy should be granted the minimum required \npermissions for the function to perform it’s task effectively. This is sometimes referred to as the \nrule of least privilege. As you develop a Lambda function, you expand the scope of this policy to \nallow access to other resources as required.\nFundamentals 56", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nNext, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda \nfunction code parses the parameters in the inbound event, connects to the data store, and retrieves \nthe cart. The function queries the database API through an SDK library. Because the DynamoDB \ndatabase is also serverless and built to respond with low latency, there is no need for a connection \npool.\nAfter converting currency to USD and removing unavailable items, the function sends the result as \na new event to API Gateway.\nFinally, API Gateway converts the event into a response to send to the waiting client.\nThe method with which a function is invoked should be informed by your application archecture \nand needs. For example, batch-processing patterns have different applications to on-demand data \nprocessing. Understanding these paradigm differences can also help customers decide between \nAWS services.\nDeploying a microservice as a containerized application on Fargate could be more appropriate if \nthe microservice is primarily used for batch data processing. Whereas a Lambda function would be \nmuch more straight-forward to deploy and maintain in applications that require on-demand data \nprocessing.\n26", - "page_start": 29, - "page_end": 29, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\ncould be listening. The handler function might create and send another event to an SNS queue so \nthat alerts for high temperature are sent to users through SMS messages.\nThe function finally wraps up the JSON weather data into a new event and sends it back to API \ngateway. Afterward, the function continues to handle hundreds of additional requests. Request \nfrom users slow down after 2AM, so after some time the Lambda service will tear down the \nfunction execution environment to conserve resources. As a Customer, you will only be charged for \nfunction usage.\nTypical microservice example 35", - "page_start": 38, - "page_end": 38, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nRelated resources:\n• Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and \nlogs asynchronously while your Lambda function executes.\n• Lambda Extensions - official documentation\nLaunch functions faster with SnapStart\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \ntypically with no changes to your function code. The largest contributor to startup latency (often \nreferred to as cold start time) is the time that Lambda spends initializing the function, which \nincludes loading the function's code, starting the runtime, and initializing the function code.\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \nenvironment, encrypts the snapshot, and caches it for low-latency access.\nNote: You can use SnapStart only on published function versions and aliases that point to versions. \nYou can't use SnapStart on a function's unpublished version ($LATEST).\nRelated resources:\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \nsix seconds init time to 142 milliseconds of restore time with SnapStart\nAdvanced Topics 59", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nConnect to functions with Function URLs\nA function URL is a dedicated HTTP(S) endpoint for your Lambda function. You can create and \nconfigure a function URL through the Lambda console or the Lambda API. When you create a \nfunction URL, Lambda automatically generates a unique URL endpoint for you. Once you create a \nfunction URL, its URL endpoint never changes. Function URL endpoints have the following format:\nhttps://.lambda-url..on.aws\nAfter you configure a function URL for your function, you can invoke your function through its \nHTTP(S) endpoint with a web browser, curl, Postman, or any HTTP client.\nRelated resources:\n• Function URLs - official documentation\nAdditional resources\nOfficial AWS documentation:\n• AWS Lambda Developer Guide - extensive and complete documentation for Lambda\nNext steps\nLearn serverless techniques in an online workshop\nLearn by doing in the Serverless Patterns Workshop. The first module introduces a \nserverless microservice to retrieve data from DynamoDB with Lambda and API Gateway. \nAdditional modules provide practical examples of unit and integration testing, using \ninfrastructure as code to deploy resources, and how to build common architectural patterns \nused in serverless solutions.\nAdditional resources 60", - "page_start": 63, - "page_end": 63, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer.\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \nthat matches your programming language. For a container image, you include the runtime when \nyou build the image.\nHow to process events with a Lambda handler\nConceptually, there are only three steps to processing events with Lambda:\n1. Configure the entry point to your function, known as the handler, and deploy the function.\n2. Lambda service initializes the function, then it invokes the handler with an invocation event and \ncontext.\n3. Your handler function processes the event and returns a response event.\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \nthe function stays in memory, so clients and variables declared outside of the handler method can \nbe reused.\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \nof reasons; some examples: scaling down to conserve resources, updating the function, updating \nthe runtime.\nThe function handler is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \nis keeping the handler sparse and doing the actual processing in other functions in your code.\nHere are some example handlers:\nPython\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\nFundamentals 53", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "Why can't I use SnapStart on my function tagged with $LATEST ?", - "target_page": 63, - "target_passage": " You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Serverless Developer Guide\nRelated resources:\n• Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and \nlogs asynchronously while your Lambda function executes.\n• Lambda Extensions - official documentation\nLaunch functions faster with SnapStart\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, \ntypically with no changes to your function code. The largest contributor to startup latency (often \nreferred to as cold start time) is the time that Lambda spends initializing the function, which \nincludes loading the function's code, starting the runtime, and initializing the function code.\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda \ntakes a Firecracker microVM snapshot of the memory and disk state of the initialized execution \nenvironment, encrypts the snapshot, and caches it for low-latency access.\nNote: You can use SnapStart only on published function versions and aliases that point to versions. \nYou can't use SnapStart on a function's unpublished version ($LATEST).\nRelated resources:\n• Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by \nJeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly \nsix seconds init time to 142 milliseconds of restore time with SnapStart\nAdvanced Topics 59", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "Serverless Developer Guide\nYou can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, \nPython, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a \ncontainer.\nIf you package your code as a .zip file archive, you must configure your function to use a runtime \nthat matches your programming language. For a container image, you include the runtime when \nyou build the image.\nHow to process events with a Lambda handler\nConceptually, there are only three steps to processing events with Lambda:\n1. Configure the entry point to your function, known as the handler, and deploy the function.\n2. Lambda service initializes the function, then it invokes the handler with an invocation event and \ncontext.\n3. Your handler function processes the event and returns a response event.\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, \nthe function stays in memory, so clients and variables declared outside of the handler method can \nbe reused.\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety \nof reasons; some examples: scaling down to conserve resources, updating the function, updating \nthe runtime.\nThe function handler is the essential component of your function code. As noted previously, the \nhandler is the entry point, but it may not be the only function in your code. In fact, a best practice \nis keeping the handler sparse and doing the actual processing in other functions in your code.\nHere are some example handlers:\nPython\n# Example handler method in Python\ndef lambda_handler(event, context): \n message = 'Hello {} {}!'.format(event['first_name'], event['last_name']) \n return { \n 'message' : message \n }\nFundamentals 53", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - }, - { - "text": "730 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n4. The procedure to generate the snap on a Storwize V7000 system, including the most \nrecent statesave from each node canister, starts. This process might take a few minutes \n(see Figure 13-70).\nFigure 13-70 Task detail window\n13.9.2 Collecting logs using the CLI\nThe CLI can be used to collect and upload a support package as requested by IBM Support \nby performing the following steps:\n1. Log in to the CLI and issue the svc_snap command that matches the type of snap \nrequested by IBM Support:\n– Standard logs (type 1):\nsvc_snap upload pmr=ppppp,bbb,ccc gui1\n– Standard logs plus one existing statesave (type 2):\nsvc_snap upload pmr=ppppp,bbb,ccc gui2\n– Standard logs plus most recent statesave from each node (type 3):\nsvc_snap upload pmr=ppppp,bbb,ccc gui3\n– Standard logs plus new statesaves:\nsvc_livedump -nodes all -yes\nsvc_snap upload pmr=ppppp,bbb,ccc gui3", - "page_start": 751, - "page_end": 751, - "source_file": "sg247938.pdf" - }, - { - "text": "480 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nTo create and start a snapshot, complete the following steps:\n1. Open the FlashCopy window from the Copy Services → FlashCopy menu. \n2. Select the Volume that you want to create a snapshot of, and right-click it or click \nActions → Create Snapshot, as shown in Figure 11-32.\nFigure 11-32 Single-click snapshot creation and start\n3. You can select multiple volumes at a time, which creates as many snapshots \nautomatically. The system then automatically groups the FlashCopy mappings in a new \nconsistency group, as shown in Figure 11-33.\nFigure 11-33 Selection single-click snapshot creation and start\n4. For each selected source volume, the following actions occur:\n– A FlashCopy mapping is automatica lly created. It is named by default fcmapXX.\n– A target volume is created. By default the source name is appended with a _XX suffix.\n– A consistency group is created for each mapping, unless multiple volumes were \nselected. Consistency groups are named by default fccstgrpX.\nThe newly created consistency group is automatically started.\n11.2.5 Single-click clone\nThe clone preset creates a replica of the volume, which can be changed without affecting the \noriginal volume. After the copy completes, the mapping that was created by the preset is \nautomatically deleted.\nThe clone preset uses the following parameters:\n/SM590000Background copy rate: 50\n/SM590000Incremental: No\n/SM590000Delete after completion: Yes", - "page_start": 501, - "page_end": 501, - "source_file": "sg247938.pdf" - }, - { - "text": "Serverless Developer Guide\nNode.js\n# Example handler method for Node.js\nexports.handler = async function(event, context) { \n console.log(\"EVENT: \\n\" + JSON.stringify(event, null, 2)) \n return context.logStreamName \n }\nJava\n# Example handler method in Java\npackage example;\nimport com.amazonaws.services.lambda.runtime.Context\nimport com.amazonaws.services.lambda.runtime.RequestHandler\nimport com.amazonaws.services.lambda.runtime.LambdaLogger\n// Handler value: example.Handler\npublic class Handler implements RequestHandler, String>{ \n Gson gson = new GsonBuilder().setPrettyPrinting().create(); \n \n @Override \n public String handleRequest(Map event, Context context) \n { \n LambdaLogger logger = context.getLogger(); \n String response = new String(\"200 OK\"); \n logger.log(\"EVENT: \" + gson.toJson(event)); \n return response; \n }\n}\nC#\n// Example handler method in C#\nusing Amazon.Lambda.Core;\n// Assembly attribute to enable the Lambda function's JSON input to be converted \n into a .NET class.\n[assembly: \n LambdaSerializer(typeof(Amazon.Lambda.Serialization.SystemTextJson.DefaultLambdaJsonSerializer))]\nnamespace HelloWorld;\npublic class Function\nFundamentals 54", - "page_start": 57, - "page_end": 57, - "source_file": "serverless-core.pdf" - }, - { - "text": "262 IBM Content Manager OnDemand Guide\n else \n let log=$log+001 \n typeset -Z3 log \n fi \n #################################### \n # Set date after log count # \n #################################### \n datum=`date +%Y-%m-%d` \n blank=\" \" \n #################################### \n # Update this document with count # \n # of reprints and current date # \n #################################### \n arsdoc update -h $host -g $applgrp -f $folder -n log=\"$log$blank$datum\" -n \nreprint=I -u admin -p ondemand -i \"where account-number='$account-number'\" -v \n fi \n #################################### \n # Done, remove the .cntl file # \n #################################### \n done \n rm $mine \n fi \n fi\nelse\n(\nif [[ ${OS} = AIX ]] ; then\necho /bin/enq -r -P \"$1\" -N $2 -T \"${TITLE}\" $6 ${EXTRA_OPTIONS} ${PRT_OPTIONS} \n${FILE}\nelse\necho ${BASE_DIR}/lprafp -p \"$1\" -s \"${ARSPRT_HOSTNAME}\" -o \"COPIES=${2}\" -o \n\"JOBNAME=${TITLE}\" -o \"TITLE=${TITLE}\" $6 ${EXTRA_OPTIONS} ${PRT_OPTIONS} ${FILE}\nfi\necho \"$(date)-->OnDemand Failed Print File >${FILE}< to Queue >$1<\"\n) >/dev/console\nexit ${RC}\nfi\n#\n# If there is an options file, wait until the file has been\n# printed before removing it.\n#\nif [[ ${DEL} != 0 ]] ; then\nwhile(( 1 ))\ndo\nif [[ -f \"${FILE}\" ]] ; then\nsleep 30\nelse\n${RM} -f ${OPTS_FILE} ${NOTES_FILE}\nbreak\nfi\ndone\nfi\nexit 0", - "page_start": 285, - "page_end": 285, - "source_file": "sg246915.pdf" - }, - { - "text": "728 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n13.9.1 Collecting information by using the GUI\nTo collect information using the GUI, complete the following steps:\n1. Click Settings → Support and the Support Package tab (see Figure 13-68). \nFigure 13-68 Support Package option\n2. Click the Upload Support Package button.\nAssuming that the problem encountered was an unexpected node restart that logged a \n2030 error, we collect the default logs and the most recent statesave from each node to \ncapture the most relevant data for support.\nNote: When a node unexpectedly reboots, it first dumps its current statesave \ninformation before it restarts to recover from an error condition. This statesave is critical \nfor IBM Support to analyze what occurred. Collecting a snap type 4 creates statesaves \nat the time of the collection, which is not useful for understanding the restart event.", - "page_start": 749, - "page_end": 749, - "source_file": "sg247938.pdf" - }, - { - "text": "Serverless Developer Guide\ndeploy functions, invoke and test, update and package, and monitor the logs and troubleshoot \nerrors.\nProgramming Model\n• Event plus Context and Environment variables (ENV) are inputs to a Handler function\n• ENV variables\n• Runtime environment\nCreate & Deploy\n• Management Console\n• Infrastructure as Code (IaC) - AWS CloudFormation (CFN), AWS SAM (SAM), AWS Cloud \nDevelopment Kit (AWS CDK)\n• Deploy .zip file archives — when you need additional libraries, or compiled languages.\n• Versions - by publishing a version of your function, you can store your code and configuration as \nseparate stable resources\nInvoke/Test\n• Synchronous invocation\n• Testing locally and in the cloud with the help of AWS SAM templates and AWS SAM CLI\nUpdate / Package\n• Updating code and dependencies\n• Packaging with the help of AWS SAM templates and AWS SAM CLI\nMonitor\n• Logs in CloudWatch\n• Errors and tracing in X-Ray\n• Metrics\nSecure\n• Execution role\nFundamentals 50", - "page_start": 53, - "page_end": 53, - "source_file": "serverless-core.pdf" - }, - { - "text": "450 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nFigure 11-11 Incremental FlashCopy example\n11.1.10 Starting FlashCopy mappings and Consistency Groups\nYou can perform the actions of preparing, starting, or stopping FlashCopy on a stand-alone \nmapping or a Consistency Group.\nWhen using the CLI to perform FlashCopy on volumes, before you start a FlashCopy \n(regardless of the type and options specified), issue a prestartfcmap or \nprestartfcconsistgrp command. These commands put the cache into write-through mode \nand provides a flushing of the I/O that is bound for your volume. After FlashCopy is started, an \neffective copy of a source volume to a target volume is created.\nThe content of the source volume is presented immediately on the target volume and the \noriginal content of the target volume is lost.\nFlashCopy commands can then be issued to the FlashCopy Consistency Group and \ntherefore, simultaneously for all of the FlashCopy mappings that are defined in the \nConsistency Group. For example, when a FlashCopy start command is issued to the \nConsistency Group, all of the FlashCopy mappings in the Consistency Group are started at \nthe same time. This simultaneous start results in a point-in-time copy that is consistent across \nall of the FlashCopy mappings that are contained in the Consistency Group.\nRather than using prestartfcmap or prestartfcconsistgrp, you can also use the -prep \nparameter in the startfcmap or startfcconsistgrp command to prepare and start \nFlashCopy in one step.", - "page_start": 471, - "page_end": 471, - "source_file": "sg247938.pdf" - }, - { - "text": "st r13,4(,r1) 00700000\n st r1,8(,r13) 00710000\n lr r13,r1 00720000\n using workarea,r13 00730000\n* 00740000\n* Determine the message length 00750005\n* 00760000\n slr r1,r1 Number of bytes 00770005\n l r15,msgtxta get starting address 00780005\nnulloop ds 0h 00790006\n cli 0(r15),x'00' Is it zero? 00800005\n je nomore Yes - quit 00810005\n la r1,1(,r1) Bump count 00820005", - "page_start": 278, - "page_end": 278, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At Shentel company, what determines an employees pension ?", - "target_page": 22, - "target_passage": "Pension benefits are based primarily on the employee's compensation and years of service", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "SHENTEL SERVICE AREAS", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 32\nNote 9. Retirement Plans (Continued)\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210\nthousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively.\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named\nexecutives. The plan was established to provide retirement benefits in addition to those provided under the Retirement\nPlan that covers all employees. The following table presents the actuarial information for the plan.\n2003\nChange in benefit obligation: (in thousands)\n Benefit obligation, beginning $-\nService cost 22\nInterest cost 23\nActuarial loss 278\nPlan adoption 546\n Benefit obligation, ending $ 869\nFunded status (869)\nUnrecognized net loss 278\nAdditional minimum liability (380)\nIntangible asset 380\nUnrecognized prior service cost 521\nAccrued benefit cost $ (70)\nComponents of net periodic benefit costs:\nService cost $ 22\nInterest cost 23\nAmortization of prior service costs 25\nNet periodic benefit cost $ 70\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted\nof the following at December 31, 2003:\n2003\nDiscount rate 6.00%\nRate of increase in compensation levels 4.50%\nNote 10. Stock Incentive Plan\nThe Company has a shareholder approved Company Stock Incentive Plan (the “Plan”), providing for the grant of\nincentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options\nto purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all\ngrants has been at the current market price at the time of the grant. The grants have generally provided that one-half of\nthe options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five\nyears after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period\nbeginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant\nafter each anniversary date through the eighth year, with the options expiring after ten years.\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the\nfollowing weighted average assumptions:\n(in thousands)\n2003\n$\n$", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Qualified Defined Benefit Retire ment Plan \nThe Company has a qualified defined benefit retirement plan that provides benefi ts to certain hourly associates at retirement . \nThese associates do not participate in the Retirement Savings Plan. The benefits are based on length of service and date of \nretirement. \n \n31Applied Industrial Technologies, Inc. and Subsidiaries\n25358_AIT_Report_WT.indd 31 8/23/12 8:33 AM", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Qualified Defined Benefit Retirement Plan \nThe Company has a qualified defined benefit retirement plan that provides benefi ts to certain hourly associates at retirement . \nThese associates do not participate in the Retirement Savings Plan. The benefits are based on length of service and date of \nretirement. \n \n30 Applied Industrial Technologies, Inc. and Subsidiaries\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)\n(In thousands, except per share amounts)\n25358_AIT_Report_WT.indd 30 8/23/12 8:33 AM", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier\nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee.\nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues\nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 62", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "FINANCIAL SECTION\nNissan Annual Report 200482\n9. RETIREMENT BENEFIT PLANS\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), t ax-qualified\npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts\nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain\nforeign consolidated subsidiaries have defined benefit and contribution plans.\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balan ce sheets as\nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans:\nThousands of\nMillions of yen U.S. dollars\n2004 2003 2004\nAs of Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2005\nRetirement benefit obligation....................................................................................................................................... ¥(1,217,260) ¥(1,041,483) $(11,376,262)\nPlan assets at fair value.................................................................................................................................................... 500,815 377,169 4,680,514\nUnfunded retirement benefit obligation............................................................................................................... (716,445) (664,314) (6,695,748)\nUnrecognized net retirement benefit obligation at transition ........................................................... 120,718 131,666 1,128,206\nUnrecognized actuarial gain or loss........................................................................................................................ 154,689 152,867 1,445,691\nUnrecognized prior service cost................................................................................................................................. (66,720) (61,833) (623,551)\nNet retirement benefit obligation.............................................................................................................................. (507,758) (441,614) (4,745,402)\nPrepaid pension cost........................................................................................................................................................... 445 652 4,159\nAccrued retirement benefits.......................................................................................................................................... ¥ (508,203) ¥ (442,266) $ (4,749,561)\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\nThe Company received the approval from the Minister of Health, Labor and Welfare (“MHLW”) in the year ended March 31, 2003 with respect\nto its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP.\nCertain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accord ance with\nthe transitional provision stipulated in “Practical Guidelines for Accounting for Retirement Benefits,” the Company and the dom estic consolidated\nsubsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation\nunder their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional\nportion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Compan y recognized a\nloss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate ga in of ¥3,669", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "31 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 9. Retirement Plans (Continued)\n2003 2002 2001\nFunded status $ (3,797) $ (2,880) $ (1,163)\nUnrecognized net (gain) loss 2,229 1,505 (124)\nUnrecognized prior service cost 252 283 315\nUnrecognized net transition asset (9) (38) (67)\nAccrued benefit cost $ (1,325) $ (1,130) $ (1,039)\nComponents of net periodic benefit costs:\nService cost $ 486 $ 420 $ 313\nInterest cost 615 591 507\nExpected return on plan assets (494) (582) (640)\nAmortization of prior service costs 31 31 31\nAmortization of net gain 32 - (102)\nAmortization of net transition asset (29) (29) (29)\nNet periodic benefit cost $ 641 $ 431 $ 80\nThe accumulated benefit obligation for the qualified retirement plan was $7,872, $6,551 and $5,399 at December 31,\n2003, 2002 and 2001, respectively.\nWeighted average assumptions used by the Company in the determination of benefit obligations at December 31, 2003,\n2002 and 2001 were as follows:\nInvestment Policy\nThe investment policy of the Company’s Pension Plan is for assets to be invested in a manner consistent with the\nfiduciary standards of ERISA. More specifically, the investment focus is to preserve capital which includes\ninflationary protection as well as protection of the principal amounts contributed to the Plan. Of lesser importance is\nthe consistency of growth, which will tend to minimize the annual fluctuations in the normal cost. It is anticipated that\ngrowth of the fund will result from both capital appreciation and the re-investment of current income.\nContributions\nThe Company expects to contribute $0.5 million to the noncontributory defined benefit plan in 2004, and contributed\n$0.4 million in 2003, and $0.3 million in 2002.\nAsset Category 2003 2002\nEquity securities 69.8% 62.9%\nDebt securities 26.6% 32.2%\nCash and cash equivalents 3.6% 4.9%\n100.0% 100.0%\n2003 2002 2001\nDiscount rate 6.00% 6.50% 7.00%\nRate of increase in compensation levels 4.50% 4.50% 5.00%\nWeighted average assumptions used by the Company in the determination of net pension cost for the years ended\nDecember 31, 2003, 2002, and 2001 were as follows:\n2003 2002 2001\nDiscount Rate 6.50% 7.00% 7.50%\nRate of increase in compensation level 4.50% 5.00% 5.00%\nExpected long-term rate of return on plan assets 7.50% 8.00% 8.00%\nThe Company’s pension plan asset allocations based on market value at December 31, 2003 and 2002, by asset\ncategory were as follows:\n2003\n6.00%\n4.50%\n2002\n6.50%\n4.50%\n2001\n7.00%\n5.00%\n2001\n7.50%\n5.00%\n8.00%\n2002\n7.00%\n5.00%\n8.00%\n2003\n6.50%\n4.50%\n7.50%\n2003 2002\n69.8% 62.9%\n26.6% 32.2%\n3.6% 4.9%\n100.0% 100.0%", - "page_start": 32, - "page_end": 32, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "through other comprehensive income, if the derivatives are effective\nand until we recognize the hedged asset or liability in net income.\nDefined Benefit Pension Plans\nOur defined benefit pension plan obligation is actuarially determined at\nthe end of the year, and we recognize remeasurements in other\ncomprehensive income and retained earnings.\n120 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 123, - "page_end": 123, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "into an ATM services agreement whereby the Company will provide ATM management and other related services to RBA for an initial term\nof 15 years. \n(27) Employee Benefit Plans \nE u ronet has established a Profit Sharing and 401(k) plan for all employees who have completed six months of service and are not otherw i s e\nc o v e red by a r e t i rement benefit plan (national or private) outside of the US. Each plan participant can contribute up to the maximum\namount allowed by the Internal Revenue Service to the Plan through payroll deductions. Eur o n e t ’s matching contribution to the plan is\nd i s c re t i o n a ry and is determined each year by the Board of Directors. The employee’s vested percentage re g a rding the employer’s contribution\nvaries according to years of service. Euro n e t ’s contribution accrual to the Plan for the years ended December 31, 2000, 1999 and 1998 was\n$213,000, $159,000 and $26,000 re s p e c t i v e l y. \nE u ronet maintains both a fully funded and self-funded health insurance programs, which cover all full-time employees and their families at\nno charge to the employees. In order to administer the self-funded program, Euronet has entered into a contractual agreement with a third\np a rty administrator by which Euronet pays a monthly service fee to the administrator based upon employee enrollment participating in the\nself-funded plan. Euronet has also purchased a stop/loss insurance policy to limit Euro n e t ’s self-funded liability to $25,000 per employee per\nyear and a total loss on all claims to approximately $31,000 per month. \n4 4", - "page_start": 45, - "page_end": 45, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "customers within the Company's geographic service area and large telecommunications companies. The Company's\nallowance for uncollectable receivables related to continuing operations was $477 thousand, $914 thousand and $650\nthousand at December 31, 2003, 2002 and 2001, respectively.\nSecurities and investments: The classifications of debt and equity securities are determined by management at the date\nindividual investments are acquired. The appropriateness of such classification is continually reassessed. The\nCompany monitors the fair value of all investments, and based on factors such as market conditions, financial\ninformation and industry conditions, the Company will reflect impairments in values as is warranted. The\nclassification of those securities and the related accounting policies are as follows:\nAvailable-for-Sale Securities: Debt and equity securities classified as available-for-sale consist of securities which the\nCompany intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a\nsecurity classified as available-for-sale would be based on various factors, including changes in market conditions,\nliquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted\nAvailable-for-Sale Securities: Debt and equity securities classified as available-for-sale consist of securities which the\nCompany intends to hold for an indefinite period of time, but not necessarily to maturity. Any decision to sell a\nsecurity classified as available-for-sale would be based on various factors, including changes in market conditions,\nliquidity needs and similar criteria. Available-for-sale securities are recorded at fair value as determined by quoted\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 18\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nAvailable-for-Sale Securities: Debt and equity securities classified as available-for-sale consist of securities\nwhich the Company intends to hold for an indefinite period of time, but not necessarily to maturity. Any\ndecision to sell a security classified as available-for-sale would be based on various factors, including\nchanges in market conditions, liquidity needs and similar criteria. Available-for-sale securities are recorded\nat fair value as determined by quoted market prices. Unrealized holding gains and losses, net of the related\ntax effect, are excluded from earnings and are reported as a separate component of other comprehensive", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At the end of 2003, how many available-for-sales investments did Shenandoah company count in its portfolio ?", - "target_page": 53, - "target_passage": "The Company’s available-for-sale portfolio at December 31, 2003 is made up of two investments", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Note 3. Securities and Investments (Continued)\n25 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n2003 2002 2001\nAvailable-for-sale securities: (in thousands)\nBeginning Balance $ (7) $ 68 $ 9,153\nUnrealized holding gains (losses) during the year, net 48 (75) 5,615\nReclassification of recognized (gains) during the year, net - - (14,700)\n41 (7) 68\nDeferred tax effect related to net unrealized gains 15 (3) 26\nEnding Balance $ 26 $ (4) $ 42\nAs of December 31, other investments, comprised of equity securities, which do not have readily determinable\nfair values, consist of the following:\n2003 2002 2001\nCost method: (in thousands)\nRural Telephone Bank $ 796 $ 796 $ 796\nNECA Services, Inc. 500 500 500\nCoBank 1,321 1,126 768\nNTC Communications (equity method in 2003 and 2002) - - 500\nOther 182 241 254\n$ 2,799 $ 2,663 $ 2,818\nEquity method:\nSouth Atlantic Venture Fund III L.P. $8 9 $ 263 $ 393\nSouth Atlantic Private Equity Fund IV L.P. 541 707 891\nDolphin Communications Parallel Fund, L.P. 184 273 441\nDolphin Communications Fund II, L.P. 1,290 1,024 518\nBurton Partnership 1,149 988 970\nNTC Communications (cost method in 2001) 971 1,089 -\nVirginia Independent Telephone Alliance 228 248 400\nValleyNet 17 17 7\n$ 4,469 $ 4,609 $ 3,620\nTotal investments $ 7,268 $ 7,272 $ 6,438\nThe Company’s investment in CoBank increased $195 thousand in 2003 and $358 thousand in 2002, due to the\nongoing patronage earned from the outstanding investment and loan balances the Company has with CoBank. For\n2003 and 2002, the Company’s allocated portions of losses, recorded on the investment in NTC were $118 thousand\nand $171 thousand, respectfully.\nIn 2003, the Company received distributions from its equity investments totaling $0.5 million in cash and invested $0.7\nmillion in two equity investments, Dolphin Communications Parallel Fund, LP and Dolphin Communications Fund II,\nLP. These two investments recorded losses of approximately $0.4 million for the 2003 year. The Company recorded a\nloss from the Virginia Independent Telephone Alliance investment of $19 thousand, for 2003. The Company recorded\na gain from the ValleyNet partnership of $84 thousand and received distributions of $84 thousand. Other equity\ninvestments lost an additional $0.4 million for 2003.\nThe Company was committed to invest an additional $1.8 million at December 31, 2003 in various equity method\ninvestees pursuant to capital calls from the fund managers. It is not practical to estimate the fair value of the other\ninvestments due to their limited market and restrictive nature of their transferability.\nThe Company’s ownership interests in Virginia Independent Telephone Alliance and ValleyNet are approximately\n22% and 20%, respectively. The Company purchases services from Virginia Independent Telephone Alliance and\nValleyNet at rates comparable with other customers. The Company’s ownership in NTC Communications is\napproximately 18%. Other equity method investees are investment limited partnerships which are approximately 2%\nowned each.\n2003 2002 2001\n(in thousands)\n$ 796 $ 796 $ 796\n500 500 500\n1,321 1,126 768\n2) - - 500\n182 241 254\n$ 2,799 $ 2,663 $ 2,818\n$8 9 $ 263 $ 393\n541 707 891\n184 273 441\n1,290 1,024 518\n1,149 988 970\n971 1,089 -\n228 248 400\n17 17 7\n$ 4,469 $ 4,609 $ 3,620\n$ 7,268 $ 7,272 $ 6,438\n$ 263\n707\n273\n1,024\n988\n1,089\n248\n17\n$ 4,609\n$ 7,272\n$ 2,663\n$ 796\n500\n1,126\n-\n241\n$\n$\nsecurities, which do not have readily determinable\nfair values, consist of the following:\nAs of December 31, other investments, comprised of equity", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "SHENANDOAH TELECOMMUNICATIONS COMPANY ■ 24\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 3. Securities and Investments\nThe Company has three classifications of investments; available for sale securities, investments carried at cost, and\nequity method investments. See Note 1 for specific definitions of each classification of investment. The following\ntables present the investments of the Company for the three-year period ended December 31, 2003:\nAvailable-for-sale securities at December 31 consist of the following:\nCost\nGross\nUnrealized\nHolding\nGains\nGross\nUnrealized\nHolding\nLosses\nFair\nValue\n(in thousands)\n2003\nDeutsche Telekom, AG $ 85 $ 64 $ - $ 149\nOther 73 - 23 50\n$ 158 $ 64 $ 23 $ 199\n2002\nDeutsche Telekom, AG $ 85 $ 20 $ - $ 105\nOther 73 - 27 46\n$ 158 $ 20 $ 27 $ 151\n2001\nVeriSign, Inc. $11,798 $ - $ - $11,798\nDeutsche Telekom, AG 85 10 - 95\nOther 74 58 - 132\n$11,957 $ 68 $ - $12,025\nDuring 2001, the Company liquidated its holdings of Loral Space and Communications, LTD and ITC^DeltaCom, Inc.\nfor proceeds of $0.2 million and a realized loss of $1.4 million. Additionally, the Company sold 130,000 shares of\nIlluminet Holdings, Inc. (Illuminet) for proceeds of $5.3 million and a realized gain of $5.0 million. In September\n2001, Illuminet notified the Company that VeriSign, Inc. (VeriSign) made an offer to acquire Illuminet. The Company\nreceived VeriSign stock valued at $13.2 million, for the Illuminet investment, and based on the fair value of the new\nasset received, recorded a realized gain of $12.7 million in 2001 on the transaction through net gain on investments in\nthe other income (expense) section of the income statement. Subsequent to the close of the transaction, the VeriSign\nstock declined in value and the Company recognized an impairment of $1.5 million, as management viewed the decline\nto be other than temporary.\nIn 2002, the Company liquidated its holdings of VeriSign, Inc, for proceeds of $2.8 million and a realized loss of $9.0\nmillion. The VeriSign stock was valued at $38 per share at December 31, 2001, and declined over the ensuing months\nto approximately $6 per share in early July 2002. The Company liquidated all of its holdings in the stock early in the\nthird quarter 2002. The Company’s original investment in VeriSign’s predecessor companies was approximately $1.0\nmillion. Total proceeds from all sales of stock in VeriSign and its predecessor companies were $8.1 million, or more\nthan eight times the original investment.\nThere were no gross realized gains on available-for-sale securities included in income in 2003 or 2002, while there\nwere $17.7 million for 2001. Gross realized losses included in income in 2003, 2002 and 2001 were $3 thousand, $9.0\nmillion and $3.0 million, respectively.\nChanges in the unrealized gains (losses) on available-for-sale securities during the years ended December 31, 2003,\n2002 and 2001 reported as a separate component of shareholders' equity are as follows:\n.\n$\n$\n$\n$\n$\n$", - "page_start": 25, - "page_end": 25, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "23 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 1. Summary of Significant Accounting Policies (Continued)\nReclassifications: Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to\nconform with the 2003 presentation, with no effect on net income or shareholders' equity.\nNote 2. Discontinued Operations\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10\nRSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place\nat the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million\nheld in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post\nclosing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand\ncharge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues\nthat may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003\nconsolidated balance sheet. The Company’s gain on the transaction was approximately $35 million. Post closing, the\nCompany provided transition services to Verizon for a period of approximately three months, with compensation for\nthose services being approximately $40 thousand per month during the transition period.\nThe assets and liabilities attributable to the cellular operation have been classified as held for sale in the consolidated\nbalance sheets and consist of the following at December 31, 2002 and 2001:\n2002 2001\nAssets (in thousands)\nAccounts receivable $ 2,608 $ 2,759\nOther current assets 309 214\nProperty, plant and equipment, (net) 2,631 3,272\nTotal assets $ 5,548 $ 6,245\nLiabilities and minority interest\nAccounts payable and accrued expenses $ 381 $ 499\nDeferred revenue and deposits 161 236\nMinority interest 1,666 1,838\nTotal liabilities and minority interest $ 2,208 $ 2,573\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued\noperations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the\nsale of the discontinued operations are summarized as follows:\n2003 2002 2001\n$ $5 $\nRevenues $ 3,056 $ 20,895 $ 20,012\nOperating expenses 453 3,618 4,674\nOther income - 31 6\nIncome before minority interest and taxes $ 2,603 $ 17,280 $ 15,354\nMinority interests (773) (5,200) (4,526)\nSale of partnership interest 34,973 --\nIncome taxes (14,414) (4,668) (4,150)\nNet income from discontinued operations $ 22,389 $ 7,412 $ 6,678\n(in thousands)\n20012002\n(in thousands)\n2002 2001\n(in thousands)\n$ 2,608 $ 2,759\n309 214\n2,631 3,272\n$ 5,548 $ 6,245\n$ 381 $ 499\n161 236\n1,666 1,838\n$ 2,208 $ 2,573\n$\n$\n$\n$\n$ 2,608\n309\n2,631\n$ 5,548\n$ 381\n161\n1,666\n$ 2,208\n$\n$\n2003\n(in thousands)\n$\n$\n20012002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "17 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nCONSOLIDATED STATEMENTS OF CASH FLOWS\nYears Ended December 31, 2003, 2002 and 2001\nin thousands\n2003 2002 2001\nCash Flows From Financing Activities\nProceeds from issuance of long-term debt $ $ - $ 24,641\nPrincipal payments on long-term debt (8,697) (4,393) (23,692)\nNet proceeds from (payments of) lines of credit (3,503) (2,697) 6,200\nDebt issuance costs - - (175)\nDividends paid (2,960) (2,794) (2,635)\nProceeds from exercise of incentive stock options 487 296 133\nNet cash provided by (used in) financing\nactivities $ (14,673) $ (9,588) $ 4,472\nNet cash used in continuing operations $ 3,477 $ (7,573) $ (6,952)\nNet cash provided by discontinued operations 23,010 7,745 6,444\nNet increase (decrease) in cash and cash\nequivalents $ 26,487 $ 172 $ (508)\nCash and cash equivalents:\nBeginning 2,209 2,037 2,545\nEnding $ 28,696 $ 2,209 $ 2,037\nSupplemental Disclosures of Cash Flow Information\nCash payments for:\nInterest, net of capitalized interest of $26 in 2003;\n$93 in 2002, and $134 in 2001 $ 3,577 $ 4,274 $ 4,217\nIncome taxes $ 15,569 $ 1,045 $ 506\nNon-cash transactions:\nDuring 2002, the Company issued 4,654 shares of Company stock to employees valued at $0.1 million\nin recognition of the Company’s 100th year anniversary.\nIn December 2001, the Company received 310,158 shares of VeriSign Inc. common stock in exchange\nfor 333,504 shares of Illuminet Holdings, Inc. stock as a result of the merger of the two entities.\nThe Company completed the sale of its GSM network equipment in January 2001, for approximately\n$6.5million of which approximately $4.9 million was escrowed as part of a like-kind exchange\ntransaction. The escrowed funds were disbursed as new equipment was received during the first six\nmonths of 2001.\n$(14,673)\nSee accompanying notes to consolidated financial statements.", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million,\n$7.4 million and $6.7 million, respectively.\nDISCONTINUED OPERATIONS\nIncome from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income\nfrom discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the\ntwo months of its operations in 2003.\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a\nresult recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating\nresults in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "31 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 9. Retirement Plans (Continued)\n2003 2002 2001\nFunded status $ (3,797) $ (2,880) $ (1,163)\nUnrecognized net (gain) loss 2,229 1,505 (124)\nUnrecognized prior service cost 252 283 315\nUnrecognized net transition asset (9) (38) (67)\nAccrued benefit cost $ (1,325) $ (1,130) $ (1,039)\nComponents of net periodic benefit costs:\nService cost $ 486 $ 420 $ 313\nInterest cost 615 591 507\nExpected return on plan assets (494) (582) (640)\nAmortization of prior service costs 31 31 31\nAmortization of net gain 32 - (102)\nAmortization of net transition asset (29) (29) (29)\nNet periodic benefit cost $ 641 $ 431 $ 80\nThe accumulated benefit obligation for the qualified retirement plan was $7,872, $6,551 and $5,399 at December 31,\n2003, 2002 and 2001, respectively.\nWeighted average assumptions used by the Company in the determination of benefit obligations at December 31, 2003,\n2002 and 2001 were as follows:\nInvestment Policy\nThe investment policy of the Company’s Pension Plan is for assets to be invested in a manner consistent with the\nfiduciary standards of ERISA. More specifically, the investment focus is to preserve capital which includes\ninflationary protection as well as protection of the principal amounts contributed to the Plan. Of lesser importance is\nthe consistency of growth, which will tend to minimize the annual fluctuations in the normal cost. It is anticipated that\ngrowth of the fund will result from both capital appreciation and the re-investment of current income.\nContributions\nThe Company expects to contribute $0.5 million to the noncontributory defined benefit plan in 2004, and contributed\n$0.4 million in 2003, and $0.3 million in 2002.\nAsset Category 2003 2002\nEquity securities 69.8% 62.9%\nDebt securities 26.6% 32.2%\nCash and cash equivalents 3.6% 4.9%\n100.0% 100.0%\n2003 2002 2001\nDiscount rate 6.00% 6.50% 7.00%\nRate of increase in compensation levels 4.50% 4.50% 5.00%\nWeighted average assumptions used by the Company in the determination of net pension cost for the years ended\nDecember 31, 2003, 2002, and 2001 were as follows:\n2003 2002 2001\nDiscount Rate 6.50% 7.00% 7.50%\nRate of increase in compensation level 4.50% 5.00% 5.00%\nExpected long-term rate of return on plan assets 7.50% 8.00% 8.00%\nThe Company’s pension plan asset allocations based on market value at December 31, 2003 and 2002, by asset\ncategory were as follows:\n2003\n6.00%\n4.50%\n2002\n6.50%\n4.50%\n2001\n7.00%\n5.00%\n2001\n7.50%\n5.00%\n8.00%\n2002\n7.00%\n5.00%\n8.00%\n2003\n6.50%\n4.50%\n7.50%\n2003 2002\n69.8% 62.9%\n26.6% 32.2%\n3.6% 4.9%\n100.0% 100.0%", - "page_start": 32, - "page_end": 32, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nCONSOLIDATED BALANCE SHEETS\nDecember 31, 2003, 2002 and 2001\nin thousands\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 12\nASSETS (Note 5) 2003 2002 2001\nCurrent Assets\nCash and cash equivalents $ 28,696 $ 2,209 $ 2,037\nAccounts receivable, net (Notes 1 and 8) 6,488 7,536 5,739\nIncome taxes receivable 1,526 12 1,205\nMaterials and supplies 2,062 1,787 2,934\nPrepaid expenses and other 1,669 2,205 1,146\nDeferred income taxes (Note 6) 522 1,197 575\nAssets held for sale (Note 2) - 5,548 2,973\nTotal current assets $ 40,963 $ 20,494 $ 16,609\nSecurities and Investments (Notes 3 and 8)\nAvailable-for-sale securities $ 199 $ 151 $ 12,025\nOther investments 7,268 7,272 6,438\nTotal securities and investments $ 7,467 $ 7,423 $ 18,463\nProperty, Plant and Equipment\nPlant in service (Note 4) $ 197,431 $184,069 $154,345\nPlant under construction 2,261 5,209 14,960\n$ 199,692 $189,278 $169,305\nLess accumulated depreciation 72,006 57,126 44,473\nNet property, plant and equipment $ 127,686 $132,152 $124,832\nOther Assets\nAssets held for sale (Note 2) $- $ - $ 3,272\nCost in excess of net assets of business acquired 5,105 5,105 5,105\nDeferred charges and other assets (Notes 1 and 2) 5,999 667 1,452\n$ 11,104 $ 5,772 $ 9,829\nLess accumulated amortization 1,856 1,837 2,361\nNet other assets $ 9,248 $ 3,935 $ 7,468\nTotal assets $ 185,364 $164,004 $167,372\nSee accompanying notes to consolidated financial statements.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "35 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 14. Segment Reporting\nThe Company, as a holding company with various operating subsidiaries, has identified ten reporting segments based on\nthe products and services each provides. Each segment is managed and evaluated separately because of differing\ntechnologies and marketing strategies.\nThe reporting segments and the nature of their activities are as follows:\nShenandoah Telecommunications Company (Holding) Holding company, which invests in both aff iliated\nand non-affiliated companies.\nShenandoah Telephone Company (Telephone) Provides both regulated and unregulated telephone\nservices and leases fiber optic facilities primarily\nthroughout the Northern Shenandoah Valley.\nShenandoah Cable Television Company (CATV) Provides cable television service in Shenandoah\nCounty.\nShenTel Service Company (ShenTel) Provides Internet access to a multi-state region\nsurrounding the Northern Shenandoah Valley, hosts\nTravel 511 for Virginia, and sells and services\ntelecommunication equipment.\nShenandoah Valley Leasing Company (Leasing) Finances purchases of telecommunications\nequipment to customers of other segments.\nShenandoah Mobile Company (Mobile) Provides tower rental space in the Company’s PCS\nmarkets and paging services throughout the Northern\nShenandoah Valley.\nShenandoah Long Distance Company (Long Distance) Provides long distance services.\nShenandoah Network Company (Network) Leases interstate fiber optic fac ilities.\nShenTel Communications Company (Shen Comm) Provides DSL services as a CLEC operation.\nShenandoah Personal Communications Company (PCS) As a PCS Affiliate of Sprint, provides digital wireless\nservice to a portion of a four-state area covering the\nregion from Harrisburg, York and Altoona,\nPennsylvania, to Harrisonburg, Virginia.\nThe accounting policies of the segments are the same as those described in the summary of significant accounting\npolicies. Each segment accounts for inter-segment sales and transfers as if the sales or transfers were to outside parties.\nIncome (loss) recognized from equity method nonaffiliated investees by segment is as follows:\nYear Holding Telephone\nConsolidated\nTotals\n(in thousands)\n2003 $ (441) $ 65 $ (376)\n2002 $ (822) $ 45 $ (777)\n2001 $ (1,218) $104 $ (1,114)", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "33 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 10. Stock Incentive Plan (Continued)\n 2003 2002 2001\nDividend rate 1.68% to 2.35% 1.52% 1.78%\nRisk-free interest rate 3.00% to 3.18% 4.24% 4.31%\nExpected lives of options 5 to 10 years 5 years 5 years\nPrice volatility 38.83% to 51.02% 30.03% 38.29%\nA summary of the status of the Plan at December 31, 2003, 2002 and 2001 and changes during the years ended on\nthose dates is as follows:\nShares\nWeighted\nAverage Grant\nPrice Per Share\nFair Value\nPer Share\nOutstanding January 1, 2001 117,122 $ 12.50\nGranted 39,938 15.79 $ 5.51\nCancelled (6,580) 14.86\nExercised (12,426) 10.72\nOutstanding December 31, 2001 138,054 13.51\nGranted 47,646 17.59 4.08\nCancelled (19,758) 13.95\nExercised (16,238) 11.27\nOutstanding December 31, 2002 149,704 14.99\nGranted 75,396 18.89 4.24 to 11.37\nCancelled (11,892) 16.62\nExercised (40,988) 11.89\nOutstanding December 31, 2003 172,220\nThere were 85,670, 91,658 and 83,114 shares exercisable at December 31, 2003, 2002 and 2001, at weighted average\nexercise prices per share of, $15.94, $13.70, and $11.71, respectively. During 2002, the Company issued 4,654 shares\nof Company stock to employees valued at $100 thousand in recognition of the Company’s 100th year anniversary.\nThe following table summarizes information about stock options outstanding at December 31, 2003:\nExercise\nPrices\nShares\nOutstanding\nOption Life\nRemaining\nShares\nExercisable\n1999 $ 9.97 9,700 1 year 9,700\n2000 17.19 25,900 2 years 25,900\n2001 15.79 31,626 3 years 31,626\n2002 17.59 36,888 4 years 18,444\n2003 17.98-22.01 68,106 5 to 10 years -\nNote 11. Major Customers\nThe Company has one major customer and relationship that is a significant source of revenue. In 2003, as during the\npast number of years, the Company's relationship with Sprint continued to increase, due to growth in the PCS business\nsegment. Approximately 61.2% of total revenues in 2003 were generated by or through Sprint and its customers using\nthe Company's portion of Sprint’s nationwide PCS network. This was compared to 57.6% in 2002, and 47.1% of total\nrevenue in 2001. No other customer relationship on a stand-alone basis generates more than 2.5% of the Company’s\ntotal revenue for 2003, 2002 and 2001.\n$\n$\n$", - "page_start": 34, - "page_end": 34, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "2003 2002\nQuarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 Quarter 2 Quarter 3 Quarter 4\nHigh price $ 24.31 $ 24.98 $ 25.48 $ 27.50 $ 20.06 $ 27.25 $ 27.25 $ 25.95\nLow price $ 13.64 $ 14.33 $ 19.25 $ 19.74 $ 16.50 $ 19.69 $ 22.75 $ 21.61\nAll share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004.\nThe Company historically has paid an annual cash dividend on or about December 1 st of each year. The cash dividend\nper share was $0.39 in 2003 and $0.37 in 2002. The Company’s ability to pay dividends is restricted by its long-term\nloan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has\npaid.\n As of February 15, 2004, there were approximately 3,930 holders of record of the Company’s common stock.\n CORPORATE HEADQUARTERS INDEPENDENT AUDITOR\nShenandoah Telecommunications Company KPMG LLP\n124 South Main Street 1021 EastCary Street\nEdinburg, VA 22824 Richmond, VA 23219\nSHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS\nCALL (540) 984-5200\nTransfer Agent - Common Stock\nShenandoah Telecommunications Company\nP.O. Box 459\nEdi b VA 22824\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides\nvarious telecommunications services through its operating subsidiaries. These services include: wireline telephone\nservice, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in\nVirginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services;\nonline information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of\nVirginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern\nShenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network;\nwireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg,\nVirginia to the Harrisburg, York and Altoona, Pennsylvania markets.\nANNUAL MEETING\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The\nmeeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company’s offices at the Shentel\nCenter, 500 Mill Road, Edinburg, Virginia.\nFORMS 10-K, 10-Q, and 8-K\nThe Company files periodic reports with the Securities and Exchange Commission. The Company's Annual\nReport on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any\namendments to these reports, are available to shareholders through the Company’s website, www.shentel.com.\nThis website also has recent news releases and other information potentially of interest to shareholders.\nA copy of the Company’s Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by\nwriting to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia\n22824, Attention: Secretary.\nMARKET AND DIVIDEND INFORMATION\nThe Company's stock is traded on the NASDAQ National Market under the symbol “SHEN.” Information on the\nhigh and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years\nis set forth below:\nOUR BUSINESS\n2003 2002\nQuarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 Quarter 2 Quarter 3 Quarter 4\nHigh price $ 24.31 $ 24.98 $ 25.48 $ 27.50 $ 20.06 $ 27.25 $ 27.25 $ 25.95", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "What was the main reason of the decrease of customer base of the Shenandoah and Virginia 10 RSA partnership ?", - "target_page": 51, - "target_passage": "he decline was the result of competition with digital technologies and increased competition from national carriers in the area", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "23 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 1. Summary of Significant Accounting Policies (Continued)\nReclassifications: Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to\nconform with the 2003 presentation, with no effect on net income or shareholders' equity.\nNote 2. Discontinued Operations\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10\nRSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place\nat the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million\nheld in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post\nclosing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand\ncharge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues\nthat may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003\nconsolidated balance sheet. The Company’s gain on the transaction was approximately $35 million. Post closing, the\nCompany provided transition services to Verizon for a period of approximately three months, with compensation for\nthose services being approximately $40 thousand per month during the transition period.\nThe assets and liabilities attributable to the cellular operation have been classified as held for sale in the consolidated\nbalance sheets and consist of the following at December 31, 2002 and 2001:\n2002 2001\nAssets (in thousands)\nAccounts receivable $ 2,608 $ 2,759\nOther current assets 309 214\nProperty, plant and equipment, (net) 2,631 3,272\nTotal assets $ 5,548 $ 6,245\nLiabilities and minority interest\nAccounts payable and accrued expenses $ 381 $ 499\nDeferred revenue and deposits 161 236\nMinority interest 1,666 1,838\nTotal liabilities and minority interest $ 2,208 $ 2,573\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued\noperations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the\nsale of the discontinued operations are summarized as follows:\n2003 2002 2001\n$ $5 $\nRevenues $ 3,056 $ 20,895 $ 20,012\nOperating expenses 453 3,618 4,674\nOther income - 31 6\nIncome before minority interest and taxes $ 2,603 $ 17,280 $ 15,354\nMinority interests (773) (5,200) (4,526)\nSale of partnership interest 34,973 --\nIncome taxes (14,414) (4,668) (4,150)\nNet income from discontinued operations $ 22,389 $ 7,412 $ 6,678\n(in thousands)\n20012002\n(in thousands)\n2002 2001\n(in thousands)\n$ 2,608 $ 2,759\n309 214\n2,631 3,272\n$ 5,548 $ 6,245\n$ 381 $ 499\n161 236\n1,666 1,838\n$ 2,208 $ 2,573\n$\n$\n$\n$\n$ 2,608\n309\n2,631\n$ 5,548\n$ 381\n161\n1,666\n$ 2,208\n$\n$\n2003\n(in thousands)\n$\n$\n20012002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Migration to wireless and DSL services are believed to be driving this change. Based on industry experience, the\nCompany anticipates this trend may continue for the foreseeable future.\nOther revenues include Internet services, both dial-up and DSL high-speed service. The Company has seen a decline in\ndial up subscriptions over the last year. The DSL service has grown over 100% in the last year driven by customer\ndesire for faster Internet connections.\nThe Company is facing competition for revenues it generates in the other lines of business, which will require the\nCompany to differentiate itself from other providers through its service levels and evolving technologies that are more\nreliable and cost effective for the customer.\n43 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 44, - "page_end": 44, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million,\n$7.4 million and $6.7 million, respectively.\nDISCONTINUED OPERATIONS\nIncome from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income\nfrom discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the\ntwo months of its operations in 2003.\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a\nresult recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating\nresults in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "compared to 18,050 at the end of the previous year. During 2003, the Company’s DSL high-speed Internet access\nsubscriber count increased to 1,298 from 646. Total Internet service revenue was $4.5 million, an increase of $0.3\nmillion or 10.7%. The 511Virginia contract with the Virginia Department of Transportation contributed $1.3 million to\nother revenues, an increase of $0.4 million or 41.3%. Telecommunications equipment sales, services and lease\nrevenues were $1.1 million, which reflects a $0.1 million decrease from 2002 results.\nWireline revenues from cable television services were $4.4 million, an increase of $0.1 million or 1.7%. The number\nof subscribers and service plan prices remained relatively constant during 2003.\nBilling and collection services and other revenues contributed $0.4 million to wireline revenues, which was the same as\n2002 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a\ngreater proportion of their bills directly to their customers.\nFacility lease revenue contributed $5.5 million to wireline revenues, a decrease of $0.2 million or 3.5%. The decrease\nwas primarily the result of the prolonged decline of lease rates associated with competitive pricing pressures and the\neconomic downturn in the telecommunications industry. During 2002 the Company completed a second, diverse fiber\nroute to its existing interconnection point in the Dulles airport area of Northern Virginia. This fiber route provides\nincreased reliability for customers in the event of fiber cuts or breaks, and extends the availability of the Company’s\nfiber network to additional market locations but to date has not added additional revenue to the Company’s operation.\n47 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 48, - "page_end": 48, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "53 ■ 2003 ANNUAL REPORT\nThe $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be\nreleased after February 28, 2005. There are no known claims that have been filed against the amount in escrow.\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the\nyear. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of\nthe second phase of renovations on the Shentel Center in Edinburg, Virginia.\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving\nunconsolidated, limited purpose entities or commodity contracts.\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for\nadditional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and\nreplacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers\nbuilding renovations, vehicles, office equipment, and other miscellaneous capital needs.\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures\nand the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the\ntax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal\ntax payments will be due based on anticipated profits expected to be generated in the operation.\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of\ncontinuing operations in 2003, although there are events outside the control of the Company that could have an adverse\nimpact on cash flows from operations. The events that could adversely impact operating cash flow results include, but\nare not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies,\navailability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon\nSprint’s ability to execute certain functions such as billing, customer care, and collections; their ability to develop and\nimplement successful marketing programs and new products and services; and their ability to effectively and\neconomically manage other operating activities under the Company's agreements with Sprint. Additionally, the\nCompany's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from\noperations. These items individually and/or collectively could impact the Company’s results.\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working\ncapital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand,\noperating cash flow, and amounts expected to be available under the Company’s existing financing facilities and its\nanticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to\ngenerate additional cash for its capital needs as market conditions allow.\nRecently Issued Accounting Standards\nIn December 2003, the FASB issued FASB Interpretation No. 46 (revised December 2003),“Consolidation of Variable\nInterest Entities,” which addresses how a business enterprise should evaluate whether it has a controlling financial\ninterest in an entity through means other than voting rights and accordingly should consolidate the entity. FIN 46R\nreplaces FASB Interpretation No. 46, “Consolidation of Variable Interest Entities,” (VIE), which was issued in January\n2003. The Company will be required to apply FIN 46R to variable interests in VIEs created after December 31, 2003.", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "General\nShenandoah Telecommunications Company is a diversified telecommunications company providing both regulated and\nunregulated telecommunications services through its nine wholly owned subsidiaries. These subsidiaries provide local\nexchange telephone services, wireless personal communications services (PCS), as well as cable television, paging,\nInternet access, long distance, fiber optics facilities, and leased tower facilities. The Company is the exclusive provider\nof wireless mobility communications network products and services under the Sprint brand from Harrisonburg,\nVirginia to Harrisburg, York and Altoona, Pennsylvania. The Company refers to the Hagerstown, Maryland;\nMartinsburg, West Virginia; and Harrisonburg and Winchester, Virginia markets as its Quad State markets. The\nCompany refers to the Altoona, Harrisburg, and York, Pennsylvania markets as its Central Penn markets. Competitive\nlocal exchange carrier (CLEC) services were established on a limited basis during 2002. In addition, the Company\nsells and leases equipment, mainly related to services it provides, and also participates in emerging services and\ntechnologies by direct investment in non-affiliated companies.\nThe Company reports revenues as wireless, wireline and other revenues. These revenue classifications are defined as\nfollows: Wireless revenues are made up of the Personal Communications Company (a PCS Affiliate of Sprint), and the\nMobile Company. Wireline revenues include the following subsidiary revenues in the financial results: Telephone\nCompany, Network Company, Cable Television Company, and the Long Distance Company. Other revenues are\ncomprised of the revenues of ShenTel Service Company, the Leasing Company, ShenTel Communications Company\nand the Holding Company. For additional information on the Company's business segments, see Note 14 to audited\nconsolidated financial statements appearing elsewhere in this report.\nThe Company participates in the telecommunications industry, which requires substantial investment in fixed assets or\nplant. This significant capital requirement may preclude profitability during the initial years of operation. The strategy\nof the Company is to grow and diversify the business by adding services and geographic areas that can leverage the\nexisting plant, but to do so within the opportunities and constraints presented by the industry. For many years the\nCompany focused on reducing reliance on the regulated telephone operation, which up until 1981 was the primary\nbusiness within the Company. This initial diversification was concentrated in other wireline businesses, such as the\ncable television and regional fiber facility businesses, but in 1990 the Company made its first significant investment in\nthe wireless sector through its former investment in the Virginia 10 RSA Limited partnership. By 1998, revenues of\nthe regulated telephone operation had decreased to 59.2% of total revenues. In that same year more than 76.6% of the\nCompany’s total revenue was generated by wireline operations, and initiatives were already underway to make wireless\na more significant contributor to total revenues.\nDuring the 1990’s significant investments were made in the cellular and PCS (wireless) businesses. The VA 10 RSA\ncellular operation, in which the Company held a 66% interest and was the general partner, experienced rapid revenue\ngrowth and excellent margins in the late 1990’s. The cellular operation covered only six counties, and became\nincreasingly dependent on roaming revenues. Management believed the roaming revenues and associated margins\nwould be unsustainable as other wireless providers increasingly offered nationally-branded services with significantly\nreduced usage charges. To position it to participate in the newer, more advanced, digital wireless services, in 1995 the\nCompany entered the PCS business through an affiliation with American Personal Communications (APC), initiating", - "page_start": 40, - "page_end": 40, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Significant Transactions\nThe Company had several significant transactions during 2003. The largest was the sale of its 66% interest in the\nVirginia 10 RSA cellular operation, as described above. The Company originally entered into the agreement with\nVerizon Wireless in November 2002. The Company was the general partner of the limited partnership which operated\nan analog cellular network in the six-county area of Northwestern Virginia, including Clarke, Frederick, Page,\nRappahannock, Shenandoah, and Warren counties, and the city of Winchester. The sales price was $37.0 million plus\nthe Company’s 66% share of the partnership’s working capital, which was approximately $1.7 million. The Company\nwas required to do a working capital true up following the closing, from which the Company recorded a charge for $23\nthousand after taxes. In the fourth quarter the Company recorded an additional charge for taxes of $0.2 million to\nreflect the consolidated effective tax rate based on the final operating results for the year.\nThe wireless industry in the late 1990’s became increasingly competitive and the Company was not immune to these\nindustry issues. The Clear PaySM program, introduced by Sprint as a no-deposit offering in 2001, attracted high credit\nrisk customers in the Company’s markets. As the results began to materialize, the Company implemented deposits on\nthis program (mid-April 2002), and experienced high levels of customer turnover (churn) and uncollectable accounts.\nThe write-offs of uncollectable accounts peaked in the third quarter of 2002. During the fourth quarter of 2002 there\nwas some evidence that the strengthened credit policy was having a favorable impact. Nonetheless, the 2002 net loss\nin the PCS operation was $5.4 million, as compared to $5.5 million in 2001. Despite the disappointing financial results\nfor 2002, the PCS customer base grew by over 40%. While the PCS operation was adding customers, the cellular\noperation continued to lose its local customer base.\nThe growing belief that national branding was critical to our wireless operations, the expectation that roaming revenues\nfrom our analog cellular operation would not continue to grow, and the increase in the number of wireless competitors\nin our markets, prompted the Company to exit the cellular business in order to focus on our PCS operations. The\nCompany entered into an agreement on November 21, 2002, to sell its 66% ownership interest in the Virginia 10 RSA\ncellular operation which was classified as a discontinued operation. The closing occurred February 28, 2003. The\nCompany received $37.0 million in proceeds, including $5.0 million in escrow for two years and $1.7 million for\nworking capital.\nIn many respects, 2003 was a successful year. Churn and levels of uncollectable accounts in the PCS operation\nreturned to more acceptable levels. PCS revenues reached $67.0 million, and total revenues reached $105.9 million.\nThe PCS operation recognized a small profit for the year, including favorable adjustments associated with settlement of\ndisputed items with Sprint. Excluding the favorable adjustments, the PCS operation recognized a profit in the fourth\nquarter. With improved operating cash flow and reduced capital spending in 2003, the Company prepaid $4.6 million\nin debt, selecting those notes with nominal prepayment penalties. Additionally, after receiving the cash and paying\ntaxes on the gain of the sale of the Virginia 10 partnership interest, the Company invested the remaining proceeds in\nliquid financial instruments, available for future deployment. Additionally, the Company has been successful at\ndecreasing its dependency on wireline revenues. Wireline revenues, at $29.0 million in 2003 compared to $18.6 million\nin 1998, were 27.4% of total revenues in 2003 compared to 76.6% in 1998.\nEntering 2004, the Company is pleased with the milestone of a profitable quarter in the PCS operation, but recognizes", - "page_start": 41, - "page_end": 41, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "in 1998, were 27.4% of total revenues in 2003 compared to 76.6% in 1998.\nEntering 2004, the Company is pleased with the milestone of a profitable quarter in the PCS operation, but recognizes\nthat much work remains to ultimately earn a reasonable return on this investment. The recently announced signing of\nan addendum to the management and services agreements with Sprint is expected to lead to cost savings and greater\ncertainty in fees paid to Sprint. However, the consolidation predicted for the wireless industry in recent years,\nincluding the recently announced Cingular/ATT deal and anticipated improvements in the overall economics of\nwireless services, has not yet materialized. Future Sprint marketing efforts, designed to meet the competition, could\npotentially have an unfavorable impact on the Company and lead to additional losses. The risks associated with the\nSprint PCS affiliation are described in further detail elsewhere in this document. The Company is now reviewing\nalternatives for other businesses to further diversify our revenue base, from either a services platform or a geographic\nconcentration.\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 40\nThe sale of this business is reflected in the discontinued operations section of the income statement along with the\nresults of operations for the two months of 2003 that the operation remained a part of the Company.", - "page_start": 41, - "page_end": 41, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "SHENANDOAH TELECOMMUNICATIONS COMPANY ■ 26\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nNote 4. Plant in Service\nPlant in service consists of the following at December 31:\nEstimated\nUseful Lives 2003 2002 2001\n(in thousands)\nLand $ 802 $ 792 $ 775\nBuildings and structures 15 – 40 years 30,956 28,949 20,375\nCable and wire 15 – 50 years 51,041 49,495 45,188\nEquipment and software 3 – 16.6 years 114,632 104,833 88,007\n$197,431 $184,069 $ 154,345\nNote 5. Long-Term Debt and Revolving Lines of Credit\nTotal debt consists of the following at December 31:\nWeighted\nAverage\nInterest Rate 2003 2002 2001\n(in thousands)\nRural Telephone Bank (RTB) Fixed 6.02% $ 5,599 $ 10,645 $ 11,428\nRural Utilities Service (RUS) Fixed 5.00% 149 159 224\nCoBank (term loan) Fixed 7.57% 37,398 41,039 44,584\nRUS Development Loan Interest free 200 200 200\n$ 43,346 $ 52,043 $ 56,436\nCurrent maturities 4,230 4,482 4,387\nTotal long-term debt $ 39,116 $ 47,561 $ 52,049\nCoBank 1-year revolver Variable 2.79% - 5.03% $- $ 3,200 $ 6,200\nSunTrust Bank revolver Variable 2.05% - 2.53% $- $ 303 $ -\nThe RTB loans are payable $67 thousand monthly including interest. RUS loans are payable $4 thousand quarterly,\nincluding interest. The RUS and RTB loan facilities have maturities through 2019. The CoBank term facility requires\nmonthly payments of $550 thousand, including interest. The final maturity of the CoBank facility is 2013.\nThe CoBank revolver was a $20.0 million facility, which the Company cancelled in May 2003 due to the receipt of the\ncash proceeds from the sale of the Virginia 10 RSA partnership interest.\nThe $2.5 million SunTrust Banks revolver was cancelled in May 2003. It was replaced in August 2003 with a\nSunTrust Bank Revolver facility of $0.5 million, which the Company uses to fund short-term liquidity variations due to\nthe timing of customer receipts and vendor payments for services. This facility matures May 31, 2004, and is priced at\nthe 30-day LIBOR rate plus 1.25%. The Company has not borrowed on this facility.\nSubstantially all of the Company’s assets serve as collateral for the long-term debt. The Company's outstanding long-\nterm CoBank debt is $37.4 million, all of which is at fixed rates ranging from approximately 6% to 8%. The stated rate\nexcludes patronage credits that are received from CoBank. These patronage credits are a distribution of CoBank’s\nprofits, as it is a cooperative and is required to distribute its profits to its members. During the first quarter of 2003, the\nCompany received patronage credits of approximately 60 basis points on its outstanding CoBank debt balance. The\nCompany accrued a similar amount in the current year, in anticipation of the early 2004 distribution of the credits by\nCoBank. Repayment of the CoBank long-term debt facilities requires monthly payments on the debt through\nSeptember 2013. The Company is required to meet financial covenants measured at the end of each quarter, based on a\ntrailing 12-month basis and are calculated on continuing operations. At December 31, 2003, the covenant calculations\nwere as follows. The ratio of total debt to operating cash flow, which must be 3.5 or lower, was 1.2. The equity to\ntotal assets ratio, which must be 35% or higher, was 57.3%. The ratio of operating cash flow to scheduled debt service,\nwhich must exceed 2.0, was 4.29. The Company was in compliance with all other covenants related to its debt\nagreements at December 31, 2003.\n-\n-\n$ $\n$\n$\n$\n$\n$\n$", - "page_start": 27, - "page_end": 27, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "2003 2002\nQuarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 Quarter 2 Quarter 3 Quarter 4\nHigh price $ 24.31 $ 24.98 $ 25.48 $ 27.50 $ 20.06 $ 27.25 $ 27.25 $ 25.95\nLow price $ 13.64 $ 14.33 $ 19.25 $ 19.74 $ 16.50 $ 19.69 $ 22.75 $ 21.61\nAll share and per share figures are restated to reflect the 2 for 1 stock split effected February 23, 2004.\nThe Company historically has paid an annual cash dividend on or about December 1 st of each year. The cash dividend\nper share was $0.39 in 2003 and $0.37 in 2002. The Company’s ability to pay dividends is restricted by its long-term\nloan agreements. The loan agreements are not expected to limit dividends in amounts that the Company historically has\npaid.\n As of February 15, 2004, there were approximately 3,930 holders of record of the Company’s common stock.\n CORPORATE HEADQUARTERS INDEPENDENT AUDITOR\nShenandoah Telecommunications Company KPMG LLP\n124 South Main Street 1021 EastCary Street\nEdinburg, VA 22824 Richmond, VA 23219\nSHAREHOLDERS' QUESTIONS AND STOCK TRANSFERS\nCALL (540) 984-5200\nTransfer Agent - Common Stock\nShenandoah Telecommunications Company\nP.O. Box 459\nEdi b VA 22824\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides\nvarious telecommunications services through its operating subsidiaries. These services include: wireline telephone\nservice, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in\nVirginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services;\nonline information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of\nVirginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern\nShenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network;\nwireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg,\nVirginia to the Harrisburg, York and Altoona, Pennsylvania markets.\nANNUAL MEETING\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The\nmeeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company’s offices at the Shentel\nCenter, 500 Mill Road, Edinburg, Virginia.\nFORMS 10-K, 10-Q, and 8-K\nThe Company files periodic reports with the Securities and Exchange Commission. The Company's Annual\nReport on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any\namendments to these reports, are available to shareholders through the Company’s website, www.shentel.com.\nThis website also has recent news releases and other information potentially of interest to shareholders.\nA copy of the Company’s Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by\nwriting to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia\n22824, Attention: Secretary.\nMARKET AND DIVIDEND INFORMATION\nThe Company's stock is traded on the NASDAQ National Market under the symbol “SHEN.” Information on the\nhigh and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years\nis set forth below:\nOUR BUSINESS\n2003 2002\nQuarter 1 Quarter 2 Quarter 3 Quarter 4 Quarter 1 Quarter 2 Quarter 3 Quarter 4\nHigh price $ 24.31 $ 24.98 $ 25.48 $ 27.50 $ 20.06 $ 27.25 $ 27.25 $ 25.95", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "As a product manager, how can I reject an inventory in NAIIS ?", - "target_page": 38, - "target_passage": "Log in as PM. Click on “View Inventories Progress” under sub menu “Submission Management”. The “View Inventories Progress” screen appears. Select the appropriate inventory by clicking the Inventory name under column “Name” Press the “Reject” button ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "NAIIS-User-Manual.Docx Page 41 10/02/2013 \n10.5.2\tRejection\tof\tan\tinventory\t\n \n1. Log in as NFP. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking t he Inventory name under column “Name” (figure 66). \n5. Press the “Send for Reject ion” button (figure 66, b). \n \nOnce the “Send for Rejection” button was pressed, the status of the selected inventory changes to \n“awaiting_rejection” (figure 67, a). \n \n*** Note: A notification email will be sent to the PM that the inventory has been rejected. Therefore, the PM \nwill be able to reject the submission. Proceed to section 10.4.2. \n \nFigure 66. Work on Inventories screen – Rejection of an inventory - Status = awaiting_approval \n \n \n \n \n \nFigure 67. Work on Inventories screen – Rejection of an inventory - Status = rejected_approval", - "page_start": 40, - "page_end": 40, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 38 10/02/2013 \n10.4\tSend\tfor\tapproval/rejection\tof\tan\tInventory\t(PM)\t\n \nThis section describes on how the PM approves or rejects an inventory after being checked by the PM. \n \n10.4.1\tSend\tfor\tapproval\tof\tan\tInventory\t\t\n \n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 60, a). \n5. Press the “Send for Approval” button to send it to NFP for his/her review and approval of the inventory \n(figure 60, b). \n \n*** Note: A notification email will be sent to the PM, once the “Send for Approval” has been pressed. And the \nstatus changed to “Awaiting_approval” (figure 61). \n \nFigure 60. Work on Inventories screen – Send for Approval - Status = check \n \n \n \nFigure 61. Work on Inventories screen – Status = awaiting_approval \n \n \n \n \n10.4.2\tRejection\tof\tan\tInventory\t\n \n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the Inventory name under column “Name” (figure 62, a). \n5. Press the “Reject” button (figure 62, b). \n \n*** Note: A notification email will be sent to the PM, once the “Reject” button has been pressed. And the \nstatus changed to “Awaiting_rejection_check” (figure 63).", - "page_start": 37, - "page_end": 37, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 40 10/02/2013 \n10.5\tApproval\tor\tRejection\tof\tan\tinventory\t(NFP)\t\n \nThis section describes how the NFP approves or rejects an inventory after being sent for approval by the PM \n(See section 10.4). \n10.5.1\tApproval\tof\tan\tinventory\t\n \n1. Log in as NFP. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking t he Inventory name under column “Name” (figure 64). \n5. Press the “Approve” button (figure 64, b). \n \nOnce the “Approve” button was pressed, the status of the selected inventory changes to “approved” (figure \n65, b). \n \n*** Note: A notification email will be sent to the PM that the inventory has been approved. Therefore, the PM \nmay proceed to selecting the tables for preparing the official submission (See section 10.6). \n \n \nFigure 64. Work on Inventories screen – Approve an inventory - Status = awaiting_approval \n \n \n \nFigure 65. Work on Inventories screen – Approve an inventory - Status = approved", - "page_start": 39, - "page_end": 39, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 42 10/02/2013 \n10.6\tSubmit\tinventory\t(PM)\t\n \nThis section describes on how the PM submits the inventory by selecting tables for the general submission after \nbeing approved by the NFP (See section 10.5). \n10.6.1\tSubmit\tselect\ttables\tfor\tpreparing\tthe\tgeneral\tsubmission\t\n \n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the box under column “Working inventory” (figure 68, a). \n*** Note: The selected inventory year to be submitted should be in status “approved” (figure 68, b). \n5. Click on “Work on Inventories” under Submission Management (figure 68, c). \nThis opens the Submit Inventory initial screen (figure 69). \n \n6. Click the inventory year to be submitted (figure 69, a). \n7. Press the “Generate Official S ubmission” button (figure 69, c). \n \nFigure 68. View Inventories Progress screen – select inventory for the preparation for the general submission \n \n \n \nFigure 69. Submit select tables for the preparation for the general submission", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 3 10/02/2013 \n10.1 Workflow .......................................................................................................................... 35 \n10.2 Start of inventory/submission (NFP or PM) ..................................................................... 35 \n10.3 Send for checking (PM) .................................................................................................... 37 \n10.4 Send for approval/rejection of an Inventory (PM) ............................................................ 38 \n10.4.1 Send for approval of an Inventory .............................................................................. 38 \n10.4.2 Rejection of an Inventory ........................................................................................... 38 \n10.5 Approval or Rejection of an inventory (NFP) ................................................................... 40 \n10.5.1 Approval of an inventory ........................................................................................... 40 \n10.5.2 Rejection of an inventory ........................................................................................... 41 \n10.6 Submit inventory (PM) ...................................................................................................... 42 \n10.6.1 Submit select tables for preparing the general submission ........................................ 42 \nGlossary of terms and abbreviations ............................................................................................. 44 \nAnnex 1: Non-Annex I (NAI) Parties .......................................................................................... 45 \nAnnex 2: Fuel categories .............................................................................................................. 47 \nAnnex 3: Global Warming Potentials (GWPs) ............................................................................ 48 \nAnnex 4: Default values ............................................................................................................... 49", - "page_start": 2, - "page_end": 2, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 36 10/02/2013 \n \n \n \n \nFigure 54. View Inventories Progress screen \n \n \n \n4. Click on “Work on Inventories” under “Submission” (figure 55). \n \nFigure 55. Work on Inventories sub menu \n \n \n \n5. Click the appropriate Inventory year on “Work on Inventories” under “Submission” (figure 56, a). \n6. Press the “Start Inventory” button to start the inventory (figure 56, b). Once pressed, the status changes to \n“started” (figure 57). \n \n*** Once the “Start Inventory” button has been pressed by the NFP or PM, a notification email will be sent to all \nSE’s with the information that a new inventory was created. SE’s and PM’s can start entering their data into the \nNAIIS software. More details on how to do the data entry please see section 4.1 above. \n \nFigure 56. Work on Inventories screen \n \n \n \nFigure 57. Work on Inventories screen – Status = Started", - "page_start": 35, - "page_end": 35, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 35 10/02/2013 \n10\tSubmission\tmanagement\t\n10.1\tWorkflow\t\n \nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting \nsubmission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating \nto the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG \ninventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web \napplication (figure 52). \n \n \nFigure 52: Non-Annex I Inventory Software workflow \n \n \n \n \n10.2\tStart\tof\tinventory/submission\t(NFP\tor\tPM)\t\n \nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year \nidentified will be made available in the new inventory/submission. \n \nThese are the steps to start a new inventory: \n \n1. Click on “View Inventories Progress” under sub menu “Submission Management” (figure 53). \n \nFigure 53. View Inventories Progress sub menu \n \n \n \n \n2. The “View Inventories Progre ss” screen appears (figure 54). \n3. Select the appropriate inventory by clicking the bo x under column “Working Inventory” (figure 54, a). \n \n*** Note: The selected appropriate inventory should be in status “created” (figure 54, b)", - "page_start": 34, - "page_end": 34, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 10 10/02/2013 \n3.2.2.2\tAdd\ta\tnew\tGHG\tinventory\tyear\tor\tedit\tgeneral\tproperties/sectors\t(only\tNFP\tand\t\nPM’s)\t\n Log in as NFP or PM. \n Click on “Work on Inventories” under Submission Management (figure 10). \n \nFigure 10: Sub menu “Work on Inventories” \n \n \nOnce “Work on Inventories” has been clicked, the initial screen will be displayed, which shows the following boxes \n(figure 11): \na. Existing Inventory (with all options) \nb. General properties – include the nam e, submission year, creator, creation date, status, updater and submission \ndate \nc. Sectors \nd. Inventory years \n \nFigure 11. Initial screen of “Work on Inventories” \n \n \nFollow the steps to add/remove an inventory year: \n Click on the inventory year (figure 12a) \n Select the inventory year unde r General properties (figure 12b) \n Select or deselect the appropriate Sectors (figure 12c) \n To add or remove an inventory year, select or deselect the relevant year under Inventory Years box (figure 12d)", - "page_start": 9, - "page_end": 9, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 39 10/02/2013 \nFigure 62. Work on Inventories screen –Reject - Status = check \n \n \nFigure 63. Work on Inventories screen – Propose Rejection - Status = awaiting_rejection_check", - "page_start": 38, - "page_end": 38, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 43 10/02/2013 \n \n \n \n \n \nOnce the “Generate Official Submission” button has been pressed the “Submit Inventory” initial screen for selecting \nthe tables appears (figure 70). \n \n8. Select or deselect by clicking the appropriate year(s) under “Inventory Years” box (figure 70, c) or the sector \ngrids under the “Table” box (figure 70, d) to generate the official submission. \n9. Press the “Submit” button (figure 70, e). An offici al submission will be generated in the NAIIS system. \n \nFigure 70. Submit – select tables and grids for the general submission", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "What is the global warming potential of Perfluorohexane ?", - "target_page": 48, - "target_passage": "7,400", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "NAIIS-User-Manual.Docx Page 48 07/08/2013 \nAnnex\t3:\t\tGlobal\tWarming\tPotentials\t(GWPs)\t\n \nGreenhouse gas Chemical formula 1995 IPCC GWP\nCarbon dioxide CO 2 1 \nMethane CH 4 21 \nNitrous oxide N 2O 310 \nHFC-23 CHF 3 11,700 \nHFC-32 CH 2F2 650 \nHFC-41 CH 3F 150 \nHFC-43-10mee C 5H2F10 1,300 \nHFC-125 C 2HF5 2,800 \nHFC-134 C 2H2F4 1,000 \nHFC-134a CH 2FCF3 1,300 \nHFC-152a C 2H4F2 140 \nHFC-143 C 2H3F3 300 \nHFC-143a CF 3CH3 3,800 \nHFC-227ea C 3HF7 2,900 \nHFC-236fa C 3H2F6 6,300 \nHFC-254ca C 3H3F5 560 \nPerfluoromethane CF 4 6,500 \nPerfluroethane C 2F6 9,200 \nPerfluoropropape C 3F8 7,000 \nPerfluorobutane C 2F10 7,000 \nPerfluorocyclobutane c-c 4F8 8,700 \nPerfluoropentane C 5F12 7,500 \nPerfluorohexane C 6F14 7,400 \nSulphur hexafluoride SF 6 23,900 \nSource: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical \nSummary of the Working Group I Report, page 22.", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "the RCP8.5 scenario from 1979 to 2100—the CMIP5 members were selected as representative of a\nrange of outcomes for future climate change, including high and low climate sensitivity, different\nbiases in baseline precipitation climatology, and different global patterns of precipitation change.\nSpecific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global\nmean temperature in the original CMIP5 projections. The time of reaching a specific level of global\nwarming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected,\nwhich means that the results here may be sensitive to systematic errors arising from biases in the\npresent-day SST patterns.\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5\nconcentration scenario. Aerosol concentrations were calculated within the model, with aerosol\nemissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse\ngas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.\n1–32. Cambridge, UK: Cambridge University Press.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 8 of 22\nTable 1. Cont.\nNo. #Climatechange #Globalwarming\nHashtag Centrality Hashtag Centrality\n23 co2 0.174 snow 0.161\n24 weather 0.169 world 0.157\n25 solar 0.165 gop * 0.156\n26 economy 0.164 arctic 0.150\n27 auspol 0.163 * winter 0.145\n28 education 0.155 p2 * 0.144\n29 news 0.152 drought 0.142\n30 drought 0.150 epa * 0.141\n31 coal 0.147 global 0.137\n32 sustainable 0.147 eco 0.137\n33 cdnpoli 0.144 * actonclimate 0.136\n34 sdgs 0.143 * health 0.134\n35 china 0.143 un * 0.133\n36 gop 0.143 * solar 0.132\n37 food 0.141 economy 0.131\n38 un 0.141 * hoax 0.131\n39 cop24 * 0.140 california 0.130\n40 agriculture 0.138 politics 0.129\n41 environmental 0.136 india 0.128\n42 fossilfuels 0.134 china 0.127\n43 arctic 0.134 planet 0.127\n44 epa * 0.133 parisagreement * 0.126\n45 biodiversity 0.132 heatwave 0.125\n46 future 0.131 summer 0.121\n47 canada 0.128 nyc * 0.118\n48 emissions 0.128 nasa 0.118\n49 obama 0.127 future 0.118\n50 politics 0.125 oil 0.117\n4.2. Association Network Analysis\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes\nare labelled with the hashtags and the undirected edges are weighted to reflect the frequency of\nco-occurrence. The modularity analysis identified four clusters in the #climatechange network and\nfive in the #globalwarming network, where clusters are differentiated by color (resolution is 0.75 for\nclimate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each\ncluster are also summarized and represented in the network depicted in Figure 2.\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer\nto general facts about global climate issues, sharing words about the causes or e ffects concerning\nsustainability. The difference is that the largest cluster of #globalwarming (46% of the network) includes\nmore slogan words, such as “world”, “planet”, “global”, and “climatechangeisreal”, whereas the\nlargest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as\nagriculture, biodiversity, education, and politics.\nFor the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses\non the responsibility to tackle climate change, where several global action hashtags are included, such\nas “un”, “parisagreement”, “cop21”, and “cop24”. The theme of the third largest cluster (20%) in\nthe climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the\ncentral part of the network with a mixed theme composed of three highly ranked hashtags, including\n“environment” (No. 2), “climateaction” (No. 3), and “energy” (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity platform [76]\nfor climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions\nof climate issues and evolution on social media. Although Twitter’s ecosystem has been changing\nin terms of the number of active users, user demographics, and tweeting conventions in the past\nyears [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter\nis one of the most popular social websites, we defined our study as characterizing the perception of\nclimate issues among social media users rather than all the netizens or the whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global\nwarming) as query hashtags in our research because we think that this refers to global warming in\na defined category so cannot be regarded in parallel with the two considered hashtags. We limited the\nscope of the search to English-language tweets generated between 1 January 2009 and 31 December\n2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather\nthan those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or\nquoted texts cannot directly represent the tweeter’s usage pattern of the two terminologies.\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to\nselect hashtags, language, start date, and end date as inputs. Once the first request was completed,\nthe server responded with a file in json format and the first 20 qualified tweets in a time-descending\norder. By parsing the json file, we obtained a string for the crawler to build the next request and obtain\nthe next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler\nwas automatically terminated when all the qualified tweets publicly available were collected. Our\ncrawler respected Twitter’s robot.txt and we did not collect, analyze or display any user information in\nour study.\nGiven our goal of exploring the di fference between the two discourses, the 615,816 tweets\ncontaining both hashtags simultaneously were excluded to di fferentiate between the two datasets\nfollowing [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange,\nand 887,731 contained “#globalwarming”. The number of qualified tweets containing #climatechange\nand #globalwarming in each year is displayed in Figure 1a.\nInt. J. Environ. Res. Public Health 2020, xx, 5 5 of 22\n3. Methods\n3.1. Data Source\nAs Twitter has been recognized as a popular discussion forum [ 75] and a social activity\nplatform [76] for climate issues, we followed the literature [ 5,8,18] and used tweets to investigate\ndistinct perceptions of climate issues and evolution on social media. Although Twitter’s ecosystem\nhas been changing in terms of the number of active users, user demographics, and tweeting\nconventions in the past years [77,78], the problem is unavoidable for all the information ecosystems\non the Internet. As Twitter is one of the most popular social websites, we defined our study as\ncharacterizing the perception of climate issues among social media users rather than all the netizens or\nthe whole population.\n3.2. Data\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\nas these two hashtags exactly correspond to climate change and global warming, respectively, the two\ncompeting definitions of climate issues. We did not follow [ 79] to include #AGW (anthropogenic", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "25rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nA detailed investigation of these factors is beyond the scope of this paper; nevertheless, this\nresult illustrates the important point that the nature and patterns of the climate forcing at a\nparticular level of global warming can play an important role in determining the patterns of\nregional impacts.\n5. Conclusion\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related\nextremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the\nglobal annual mean. There is a higher degree of spatial variation in our projections compared\nwith CMIP5-based studies.\nIn the model projections examined here, changes relating to the water cycle are complex, both\nin their geographical pattern and in the variation between different models. The length of flooding\nevents generally increases across world in all models, but maximum rainfall can either increase or\ndecrease depending on locations. Global patterns of increase and decrease show some consistency\nbetween the different GWLs, but also some local differences. Worldwide, most impacts broadly\ntend to increase with global warming in most areas. For global mean changes, even when the sign\nof change is uncertain, individual realizations generally show reduced impact at 1.5°C compared\nwith 2°C. However, this does not always hold even at the scale of major global river basins.\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in\napproximately three-quarters of countries assessed. The vulnerability increase can arise from\nincreases in either flooding or drought. Reduced drought leads to decreased vulnerability in a\nlimited number of cases.\nMost simulations here project a general increase in mean streamflow in most of the basins\nexamined, but with a number of notable exceptions in the tropics. While flows in the Ganges are\nconsistently projected to increase by 30–110% at 2°C, Amazon flows could either increase by 3%\nor decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of\nthe magnitude of changes that may be possible, so adaptation planning in particular should not\nrely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low\nstreamflows also increase in many basins, but not as many as for the mean flows—many basins\nsee decreased low flows in some or all projections.\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scaling-\nback the impacts at 2°C, if this is done with individual ensemble members rather than the\nensemble mean. However, this was not always the case for impacts that depend on more complex\nprocess or interactions between more than one climate variable, such as run-off and an indicator\nof vulnerability to food insecurity.\nDataaccessibility. This article has no additional data.\nCompetinginterests. We declare we have no competing interests.\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007–\n2013 under grant agreement no. 603864 (HELIX: ‘High-End cLimate Impacts and eXtremes’; www.\nhelixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint\nUK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion,\nAlissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous\nreviewers whose comments substantially improved the paper.\nReferences\n1. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n12 30-year means can be created using the UKCP18 PDF data\n13 http://www.euro-cordex.net/\n60KM GLOBAL PROJECTIONS \n20 plausible climate futures. Latest Hadley Centre climate model. Simulations \nof extreme weather. Simultaneous impacts captured at multiple locations.\nThis resolution will enable more realistic simulations of climate for the UK and capture the \ndrivers of extreme weather, a significant advance on the 300 km-resolution simulations of \nUKCP09. A set of 20 plausible global projections of 21st century climate will be generated \nusing an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These \nprojections will be selected to represent a wide range of possible future climate states \nto reflect key uncertainties, informing a risk-based approach to planning. They will be \ngenerated to provide spatially coherent daily data at a horizontal resolution of 60 km for \ntwo greenhouse gas concentration scenarios. These will be compared with an ensemble of \nCMIP5 models to provide additional information on uncertainties in the projections relative \nto other climate models.\n25KM PROBABILISTIC PROJECTIONS \nCaptures natural variability and climate change . Updated models and \nobservations. Provides seasonal scale projections.\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for \nestimating uncertainty for use in risk-based analysis. Probabilistic projections will be \nupdated using an up-to-date collection of Met Office climate simulations and the latest \nIPCC-assessed simulations to estimate the model uncertainties, incorporate the latest \nobservations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for \nthe UK at monthly intervals for several emission scenarios, including one used in UKCP09\n11. \nThe new probabilistic projections will indicate the range of uncertainty in our knowledge \nof the climate system and natural variability through the 21st century, using probability \ndensity functions to provide information on how climate varies from month to month. This \ncontrasts with UKCP09 for which only 30-year means were provided\n12.\nDOWNSCALED HIGH RESOLUTION PROJECTIONS \nDownscaled versions of the global model for the UK. For the most spatially \ndetailed downscaling this includes hourly data. Simultaneous impacts captured \nat multiple UK locations.\nThe high resolution projections will provide information on types of weather of relevance \nto adaptation at two different resolutions. The 12 km model provides a downscaled \nproduct that is similar to UKCP09’s 25 km simulations but driven by an improved global \nmodel and at a higher resolution. This may be especially useful for those interested in \nwater availability and some aspects of agriculture. A key reason for providing this data is \nthat users will be able to compare it directly with EURO-CORDEX\n13. \nThe global projections will also be downscaled to 2.2 km using a process of nesting \nmodels at finer resolution that maintains the integrity of the representation of evolving \natmospheric processes. Key benefits of simulations at this resolution will be the \ninformation provided on high impact events such as localised heavy rainfall in summer and \npotential improvements in the diurnal cycle. \nThe output will be available at a time resolution of 3-hourly, possibly higher for some \noutput, for a high emission scenario. Spatial coherence will be maintained. Specific time \nslices (e.g. 2061-2080) will be made available with the exact nature of these still to be \nconfirmed.\nPROJECTIONS OVER LAND \nThe land projections comprise three components:", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 16 of 22\nmake global action salient for people talking about global warming than people talking about climate\nchange [40], even though the facts of climate issues are highly recognized in both discourses.\n6. Conclusions\nAs social media is gradually overtaking the role of legacy media providing a forum for public\ndiscussion, the semantic associations contained in social media discussions reflect and reinforce how\nindividuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter\nbetween 2009 and 2018, we identified distinct climate perceptions hidden behind two competing\nclimate discourses and discovered how these two discourses evolved.\nWe found that broad scientific, social, political, and international discussions are the topics\nof public climate discourse. Although the semantic di fference between climate change and global\nwarming seems subtle, the di fferences in their cognitive associations are not trivial. Despite some\nshared concerns between the two discourses, “global warming” is more politicized and focuses more on\ngeneral phenomena, especially temperature abnormalities, whereas climate change is a more compact\ntopic with a more scientific perspective and tends to refer to specific issues. The temporal analysis\nrevealed that traditional political discussions decreased in both discourses but climate change started to\nbuild a discourse alliance with diverse domestic issues to show political intentions. Global warming’s\nassociations to extreme events and temperature change were suddenly strengthened around 2012.\nClimate change is becoming dominant compared with global warming in public discussions. Although\nthe two discourses are becoming increasingly similar in the rank order of climate concepts, a notable\ndiscrepancy still exists in the way in which they get concepts associated. These observations may\nprovide climate communicators with theoretical and practical hints to narrow the discrepancy between\ndiverse climate perceptions.\nLimitation and Future Directions\nThough big data allowed us to decrease the bias by dealing with the whole set of social media\ndata rather than samples, discrepancies still exist between social media users and the public. As most\nTwitter users do not disclose their age, education, income, and gender in users’ profile, demographics\nwere not introduced as moderator factors in this study. Previous studies noted that in 1970s, global\ncooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer\ndepletion, species extinction and rainforest destruction became salient on the mass media agenda [106].\nConsidering the historical background of climate issues, age might influence how individuals perceive\nclimate issues. According to the statistics in 2017 [ 107], only 16 % of older people (older than 60)\nin America use Twitter, while the proportion is 39% for people between 30–59 years old and 47%\nfor people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of\nolder people who use Twitter, as well as younger people amongst whom Twitter is more popular.\nAlthough some scholars reported that it is statistically reliable to take data on Twitter as a substitute\nand supplement for polling [108], we thought our results should be further examined before being\ngeneralized to the whole population.\nIn this study, we characterized the di fferences between two popular climate discourses and\nexamined how two discourses evolved over a 10-year period. We did not focus on the interactions\nbetween public climate discourse and external factors. However, the evolution of climate discourse\nmight be driven by several external forces such as scientific e fforts, natural events, politics and\nonline information (or misinformation) campaigns. The prevalence of certain climate concepts may\ninverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance,", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "23rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nIPSL-CM5A-LR GFDL-ESM2M\nIPSL-CM5A-MR\n0\n%\n5–5–10–15–20 10 15 20\nensemble mean\nMIROC-ESM-CHEM ACCESS1-0\nHadGEM2-ES\nFigure20. Differencebetween2°Cand1.5 °Cglobalwarminginpercentagechangesinmean(top)run-offinJULESsimulations\ndrivenbytheensembleofHadGEM3simulations.Notethattheuseofpercentagechangesemphasizeschangesinregionswhere\nthebaselinestreamflowissmall.\nThe largest regional differences between 2°C and 1.5°C global warming tend to be in the\nregions where the local impact is largest relative to the baseline. For TXx this is generally the mid-\nlatitudes, whereas for TX90p it is generally the tropics. So, broadly, the impacts at 1.5°C global\nwarming could be estimated by scaling-back the impacts at 2°C.\nThese results show some similarities with those from the CMIP5 models [ 9,38], but also some\nnotable differences. The CMIP5 models were at lower spatial resolution than the models used\nhere. Although the general patterns of change in TXx are broadly similar in our study and\nCMIP5, with greater warming in many continental interiors, is notable that our results show more\nmarked geographical variation than those from CMIP5 projections ([ 9], among others), with the\ncontinental interior warming being more intense in our projections. In particular, our results with\nHadGEM3 show more intense increases in maximum temperature in North America and Europe.\nOur projections of changes in consecutive dry days (CDD) broadly consistent with those found\nin a subset of the CMIP5 ensemble [ 9], although there are some differences. Our ensemble mean\nsuggests shorter dry spells in the central Amazon, whereas ISIMIP-indicated longer dry spells.\nAlso, as with the temperature indices, our results show greater geographical differentiation in the\nintensity of changes.\nThe decrease in Rx5day in some regions in our simulations contrasts with the subset of\nCMIP5 models used for the ISIMIP Fast-Track projections [ 9] which suggested an increase in\nRx5day almost everywhere where at least 66% of the model ensemble agreed on the sign of the\nchange, including all of northern South America. The reasons for these differences require further\ninvestigation, but some insight into possible reasons may be gained by examining the similarities\nand differences between our own individual ensemble members.\nFor all the CLIMPAct variables, the variations in global means between the ensemble members\nwere consistent at 1.5°C and 2°C. That is, the members with the largest changes at 2°C also showed\nthe largest changes at 1.5°C, and the same was true for the smallest changes, and the relative\nproportions of changes in other ensemble members. This suggests that variations between the\nensemble members at any particular GWL were not merely a consequence of internal variability", - "page_start": 22, - "page_end": 22, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "How can I request access to NAIIS ?", - "target_page": 5, - "target_passage": "Requests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address naiisapp@unfccc.int.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "NAIIS-User-Manual.Docx Page 7 10/02/2013 \nPress the ‘Enter key’ and the non-Annex I Greenhouse Gas Inventories web page appears. \n \nTo access the NAIIS application, click on the image NAIIS Web Application, the right hand side of the screen. (figure \n3, number 1) and the log-in page will be displayed. (figure 4) \n \nFigure 3. UNFCCC non-Annex I Greenhouse Gas Inventories web page \n \n \nFigure 4. Log-in page of the NAIIS Web Application \n \nTo log-in, enter the username and password and click on the “Sign in” button.", - "page_start": 6, - "page_end": 6, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 5 10/02/2013 \n2.2\t Pending\tNAIIS\tfeatures\t\n \nList of pending functionalities in NAIIS: \n----------------------------------------- \n1. Web services integration for help desk \n2. Display of information in 5 remaining UN languages. \n \n \n \n2.3\tContact\t\nRequests for access to, inquiries on the use of the soft ware, and comments on the design and functionalities of the \napplication should be sent to the dedicated e-mail address naiisapp@unfccc.int.", - "page_start": 4, - "page_end": 4, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 6 10/02/2013 \n3\tGetting\tstarted\t\n3.1\tUser\tAccess,\tRoles\tand\tPrivileges\t\nThe users of the application are the members of the national team(s) of non-Annex I Parties involved in the \npreparation of their national GHG inventories, and each user is assigned a role. \nThe table below explains the different levels of the access rights and corresponding explanation for each role. It is \nimportant to note that the roles are not necessarily identical to a person’s title (e.g. National Focal Point) and that a \nperson can take on several roles (which may be necessary for some countries). \nThere are three types of access rights (roles) to the NAIIS application: \n Type of access rights for specific roles Process to gain access rights \nNational Focal Point (NFP): Will be responsible for \nidentifying the members of the team and is the only \none who has the right to approve the submission of \nany GHG inventory. \n \nNFPs will have the option to create, edit, update or \ndelete all of their country’s GHG data entries, and \ngrant access rights to the ‘Project Manager’ and \n'Sectoral Experts' for their country if they choose. \nParties that have not already requested and received \naccess rights can obtain them by having their National \nFocal Point contact: naiisapp@unfccc.int \n(Note: Some Parties may have more than one individual \nacting as the NFP; however the system can \naccommodate only one account per Party). \nProject Manager (PM): Will have the right to \nenter/edit data in all sectors, as well as to generate \nan official submission to the UNFCCC, and grant \naccess rights to the 'Sectoral Experts' for their \ncountry. \nEntities will be provided these rights by their NFP. If a Party \ndecides to grant access to a PM, their NFP will be able to \ncreate such user account on the NAIIS application. \nSectoral Experts (SE): Will have the right to \nenter/edit data in respective sector(s). \nExperts will be provided these rights by their NFP and PM. If \na Party decides to grant access to Sectoral Experts, the NFP \nwill be able to create such user accounts and assign them in \nrespective sector(s). \n \nAccess for the NFP will be provided by the secretariat, upon request; however, the accounts of the other users within \nthe country shall only be created by the NFP. \n \n \n3.2\tHow\tto\taccess/\tlog\tout\t/\tcreate\ta\tGHG\tinventory\t\n3.2.1\tHow\tto\taccess\tthe\tNAIIS\tapplication\t\nOpen any internet browser (i.e. Internet Explorer, Firefox, etc.) and type in the following URL http://unfccc.int/7627 on \nthe browser’s address bar. (figure 1 and figure 2) \nFigure 1. Using Internet Explorer browser \n \n \nFigure 2. Using Firefox browser", - "page_start": 5, - "page_end": 5, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 24 10/02/2013", - "page_start": 23, - "page_end": 23, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 15 10/02/2013 \nFill-in User Information \n \nThere are two options to fill in the information of a new user \n \n(a) by entering the data on the same row of the new user (figure 20a) or; \n(b) by entering the data in the General Properties, Sector and Role boxes (figure 20b, 20c and 20d). \n \nFigure 20. New user created screen \n \n \n \nFill in the following fields: \n First Name \n Last Name \n Name (optional) \n Email address \n Password (must have 1 capital letter, 1 numeric and 8 characters long) \n User Role \n Sectors \n Change password (tick the box prompts t he user to change his/her password) \n \nThe functionality to change password is not fully implemented in this release. Please do not tick the “Change \npassword” box under General Properties! (See figure 20 b). \n \n Enable user (Proceed to section 3.3.2 Disable/Enable User) \n \n3.3.2\tDisable/Enable\tUser\t\n \nThis function allows the NFP and PM to activate and/or de-activate users of their country. \n \n \n Log in as NFP or PM \n Hover the cursor on the “Users Management” tab and click on the “Users Administration” button. (see figure 21); \nthis opens the Disable/Enable User screen (figure 22). \n \nFigure 21. Users Administration \n \n \n3.3.2.1\tEnable\tUser\t\nOn the Disable/Enable screen, search for the user whose account should be activated and \nun-tick the ‘Disabled’ box. (figure 22a). \n \n3.3.2.2\tDisable\tUser\t\nOn the Disable/Enable screen, search for the user whose account should be de-activated and tick the ‘Disabled’ box \n(figure 22a).", - "page_start": 14, - "page_end": 14, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 14 10/02/2013 \n3.3\tUser\tmanagement\t\n \n3.3.1\tAdd\tUser\t\n \nNote: This function is ONLY available for NFP’s and PM’s! \n \n Log in as NFP or PM \n Hover the cursor on the “Users Management” tab and click on the “Users Administration” button. (see figure 18); \nthis opens the Users Administration screen (figure 19). \n \nFigure 18. Users Administration \n \n \n \n Figure 19. Initial screen of Users Administration \n \n \n Click the “+” sign (figure 19a) creates a new user (figure 20 new User). \n Double click on the cell of the newly created user name and enter a new user name (must be unique and contain at \nleast 3 characters). \nOnce done, press the enter key and the new user name will be saved in the respective table of the NAIIS database. \n \nNote: New user name(s) will be generated by the system as default [Non-Annex I Party name] + “newUser” \n(e.g. UgandanewUser, PhilippinesnewUser, ArgentinanewUser)", - "page_start": 13, - "page_end": 13, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 43 10/02/2013 \n \n \n \n \n \nOnce the “Generate Official Submission” button has been pressed the “Submit Inventory” initial screen for selecting \nthe tables appears (figure 70). \n \n8. Select or deselect by clicking the appropriate year(s) under “Inventory Years” box (figure 70, c) or the sector \ngrids under the “Table” box (figure 70, d) to generate the official submission. \n9. Press the “Submit” button (figure 70, e). An offici al submission will be generated in the NAIIS system. \n \nFigure 70. Submit – select tables and grids for the general submission", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 16 10/02/2013 \n \n \n \nFigure 22. Disable/Enable User screen \n \n \n \n \n3.3.3\tView\tUser\t\n \nThis function enables NFP and PM to view all users of their country. \n \n Log in as NFP or PM \n Hover the cursor on the “Users Management” tab and click on the “Users Administration” button. (see figure 21); \nthis opens the Users Administration screen (figure 22). \n \nFigure 21. Users Administration \n \n \n Click on the row of the respective user to be viewed (fi gure 22a). All information of the selected user will be \ndisplayed on the General Properties, Sector and Role boxes (figure 22b). \n \nFigure 22. Users Administration", - "page_start": 15, - "page_end": 15, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 2 10/02/2013 \nContents\t\n1 Introduction .................................................................................................................................. 4 \n2 General information ..................................................................................................................... 4 \n2.1  System overview ............................................................................................................... 4 \n2.2  Pending NAIIS features .................................................................................................... 5 \n2.3 Contact .................................................................................................................................. 5 \n3 Getting started .............................................................................................................................. 6 \n3.1 User Access, Roles and Privileges ........................................................................................ 6 \n3.2 How to access/ log out / create a GHG inventory ................................................................. 6 \n3.2.1 How to access the NAIIS application ............................................................................ 6 \n3.2.2 Create, Start, Add new and View GHG inventory year ................................................. 8 \n3.2.3 Initial screen / menu tab of the NFP, PM and SE ........................................................ 13 \n3.2.4 How to log out .............................................................................................................. 13 \n3.3 User management ................................................................................................................ 14 \n3.3.1 Add User ...................................................................................................................... 14 \n3.3.2 Disable/Enable User ..................................................................................................... 15 \n3.3.3 View User ..................................................................................................................... 16 \n4 Using the system ........................................................................................................................ 17 \n4.1 Data Entry ........................................................................................................................... 17 \n4.2 Navigation tree .................................................................................................................... 17 \n4.3 Grids .................................................................................................................................... 17 \n4.4 Data input ............................................................................................................................ 18 \n4.5 Add/delete new nodes – user defined source categories ..................................................... 18 \n4.5.1 Add new nodes ............................................................................................................. 18 \n4.5.2 Delete nodes – user defined nodes ............................................................................... 20 \n4.6 Backup of data files ............................................................................................................. 20 \n5 Key Category Analysis ............................................................................................................... 21 \n5.1 Using the default list ........................................................................................................... 22 \n5.2 Customizing the list ............................................................................................................. 22 \n5.3 Delete subnodes ................................................................................................................... 23", - "page_start": 1, - "page_end": 1, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 36 10/02/2013 \n \n \n \n \nFigure 54. View Inventories Progress screen \n \n \n \n4. Click on “Work on Inventories” under “Submission” (figure 55). \n \nFigure 55. Work on Inventories sub menu \n \n \n \n5. Click the appropriate Inventory year on “Work on Inventories” under “Submission” (figure 56, a). \n6. Press the “Start Inventory” button to start the inventory (figure 56, b). Once pressed, the status changes to \n“started” (figure 57). \n \n*** Once the “Start Inventory” button has been pressed by the NFP or PM, a notification email will be sent to all \nSE’s with the information that a new inventory was created. SE’s and PM’s can start entering their data into the \nNAIIS software. More details on how to do the data entry please see section 4.1 above. \n \nFigure 56. Work on Inventories screen \n \n \n \nFigure 57. Work on Inventories screen – Status = Started", - "page_start": 35, - "page_end": 35, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What is the problem regarding the use of the Book3 dataset ?", - "target_page": 2, - "target_passage": "The Books3 dataset contains text from over 170,000 books,2 which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "found on the web, and this additional information can help contextualize the \nprovenance and veracity of information. \n• Breadth, Diversity, and Mitigating Bias: Books can serve a critical role in ensuring AI \nmodels are inclusive of a broad range of topics and categories that may be under-\nrepresented in other content. For all that the Internet has generated an explosion in \nhuman creativity and information sharing, it generally represents only a few decades \nof information and a small portion of the world’s creative population. A books \ndataset, by comparison, is capable of representing centuries of human knowledge. As \na result such a dataset can help ensure AI systems behavior is based on centuries of \nhistorical information from modern books. It can help ensure broad geographic and \nlinguistic diversity. What’s more, the greater breadth and diversity of high-quality \ncontent help mitigate challenges around bias and misinformation. Using a more \ndiverse pool of training data can help support the production of a model and outputs \nof the model that are more representative of that diversity. Books can be useful in \nevaluation datasets to test existing models for memorization capabilities, which can \nhelp prevent unintended reproduction of existing works. Of course, this is all \ncontingent on actual composition of the corpus; in order to have the bene fits \ndescribed, the books would need to be curated and included with characteristics like \ntime, geographic and linguistic diversity. \n• Other Modalities: Finally, books do not just contain text, they often contain images \nand captions of those images. As such, they can be an important training source for \nmulti-modal LLMs, which can receive and generate data in media other than text. \nLowering Barriers to Entry & Facilitating Competition \nBroad access to books for AI training is critical to ensure powerful AI models are not \nconcentrated in the hands of only a few companies. Access to training data, in general, has \nbeen cited as a potential competitive concern in the AI field because of the performance 11\nbenefits to be gained by training on larger and larger datasets. But this competitive wedge is \neven more acute when we look specifically at access to book datasets. \nThe largest technology companies building commercial AI models have the resources and \ncapacity to mass digitize books for AI training. Google has scanned 40 million books, many \nof which came from digitization partnerships they formed with libraries. They may already \nuse some or all of these books to train their AI systems. It’s unclear to what extent other 12\ncompanies already have acquired books for AI training (for instance, whether Amazon’s \nexisting licenses with publishers or self-published authors may permit such uses); \n See e.g. Trendacosta, Katherine and Doctorow, Cory. “AI Art Generators and the Online Image Market.” 11\nElectronic Frontier Foundation, 3 Apr. 2023, www.eff.org/deeplinks/2023/04/ai-art-generators-and-\nonline-image-market; Narechania, Tejas N., and Sitaraman, Ganesh. “An Antimonopoly Approach to \nGoverning Artificial Intelligence.” SSRN Electronic Journal, 2023, cdn.vanderbilt.edu/vu-URL/wp-content/\nuploads/sites/412/2023/10/09151452/Policy-Brief-2023.10.08-.pdf, https://doi.org/10.2139/\nssrn.4597080. Accessed 25 Feb. 2024.\n See white paper for Google’s Gemini models https://arxiv.org/pdf/2312.11805.pdf — “Gemini models 12\nare trained on a dataset that is both multimodal and multilingual. Our pretraining dataset uses data from \nweb documents, books, and code, and includes image, audio, and video data.”\nTowards a Books Data Commons for AI Training 6", - "page_start": 6, - "page_end": 6, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "7. Conclusion \nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of \nexisting work. The concept of mass digitization of books, including to support text and data \nmining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its \ntransformative use makes questions about how we digitize, preserve, and make accessible \nknowledge and cultural heritage salient in a distinct way. \nAs such, efforts to build a books data commons need not start from scratch; there is much \nto glean from studying and engaging existing and previous efforts. Those learnings might \ninform substantive decisions about how to build a books data commons for AI training. For \ninstance, looking at the design decisions of HathiTrust may inform how the technical \ninfrastructure and data management practices for AI training might be designed, as well as \nhow to address challenges to building a comprehensive, diverse, and useful corpus. In \naddition, learnings might inform the process by which we get to a books data commons — \nfor example, illustrating ways to attend to the interests of those likely to be impacted by the \ndataset’s development. 41\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or \npaths) to extend access to books for AI training is critical. In the status quo, large swaths of \nknowledge contained in books are effectively locked up and inaccessible to most everyone. \nGoogle is an exception — it can reap the bene fits of their 40 million books dataset for \nresearch, development, and deployment of AI models. Large, well-resourced entities could \ntheoretically try to replicate Google’s digitization efforts, although it would be incredibly \nexpensive, impractical, and largely duplicative for each entity to individually pursue their own \nefforts. Even then, it isn’t clear how everyone else — independent researchers, entrepreneurs, \nand smaller entities — will have access. The controversy around the Books3 dataset \ndiscussed at the outset should not, then, be an argument in favor of preserving the status \nquo. Instead, it should highlight the urgency of building a books data commons to support an \nAI ecosystem that provides broad benefits beyond the privileged few. \n For other existing and past examples, one might look to the work of Europeana, https://41\nwww.europeana.eu/en, as well as the mountain of commentary on the failed class action settlement \nbetween Google, the Authors Guild, and the Association of American Publishers — see e.g. the excellent \ncollection of court filings created by James Grimmelmann and colleagues (now archived at the Internet \nArchive) — https://web.archive.org/web/20140425012526/http://thepublicindex.org/. The Settlement \nexpressly would have set up a “Research Corpus” for non-consumptive research. HathiTrust created a \nResearch Center, with the intention of becoming one of the hosts for the “Research Corpus.” The \nSettlement was criticized and was ultimately rejected by the district court for both substantive reasons \n(that is, what the settlement would specifically do) and procedural (in the sense of violating class-action \nlaw, but also in a broader sense of representing a “backroom deal” without sufficient participation from \nimpacted interests). The Research Corpus was not a core locus of critique, though it did receive concern \nin terms of providing too much control to Google, for example. Our purpose in mentioning this is not to \nrelitigate the issue, but rather to call out that design decisions of this sort have been considered in the \npast.\nTowards a Books Data Commons for AI Training 20", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "5. Examining approaches to building a books data \ncommons \nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n5a. Public domain and permissively licensed books \nExisting Project Example : The Pile v2 27\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29\nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non- fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n This is an illustrative example, and there are also other projects of this ilk. For instance, see the 27\nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/\nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”)\n See Gao et al, supra note 8.28\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and 29\n“Substantially Better.” VentureBeat, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai-\ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 12", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "1. Introduction 1\nWhile the field of arti ficial intelligence research and technology has a long history, broad \npublic attention grew over the last year in light of the wide availability of new generative AI \nsystems, including large language models (LLMs) like GPT-4, Claude, and LLaMA-2. These \ntools are developed using machine learning and other techniques that analyze large datasets \nof written text, and they are capable of generating text in response to a user’s prompts. \nWhile many large language models rely on website text for training, books have also played \nan important role in developing and improving AI systems. Despite the widespread use of e-\nbooks and growth of sales in that market, books remain di fficult for researchers and \nentrepreneurs to access at scale in digital form for the purposes of training AI. \nIn 2023, multiple news publications reported on the availability and use of a dataset of books \ncalled “Books3” to train LLMs. The Books3 dataset contains text from over 170,000 books, 2\nwhich are a mix of in-copyright and out-of-copyright works. It is believed to have been \noriginally sourced from a website that was not authorized to distribute all of the works \ncontained in the dataset. In lawsuits brought against OpenAI, Microsoft, Meta, and \nBloomberg related to their LLMs, the use of Books3 as training data was specifically cited. 3\nThe Books3 controversy highlights a critical question at the heart of generative AI: what role \ndo books play in training AI models, and how might digitized books be made widely \naccessible for the purposes of training AI? What dataset of books could be constructed and \nunder what circumstances? \nIn February 2024, Creative Commons, Open Future and Proteus Strategies convened a series \nof workshops to investigate the concept of a responsibly designed, broadly accessible \ndataset of digitized books to be used in training AI models. Conducted under the Chatham \nHouse Rule, we set out to ask if there is a possible future in which a “books data commons \nfor AI training” might exist, and what such a commons might look like. The workshops \nbrought together practitioners on the front lines of building next-generation AI models, as \nwell as legal and policy scholars with expertise in the copyright and licensing challenges \nsurrounding digitized books. Our goal was also to bridge the perspective of stewards of \n Authored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello (Proteus 1\nStrategies) in collaboration with Creative Commons. We are grateful to participants in the workshops, \nincluding Luis Villa, Tidelift and openml.fyi; Jonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, \nCornell; Lila Bailey, Internet Archive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, \nLibrary Futures/NYU Engelberg Center, Nicholas P . Garcia, Public Knowledge; Sayeed Choudhury; Erik \nStallman, UC Berkeley School of Law. The paper represents the views of the authors, however, and \nshould not be attributed to the workshop as a whole. All mistakes or errors are the authors’.\n See e.g. Knibbs, Kate. “The Battle over Books3 Could Change AI Forever.” Wired, 4 Sept. 2023, 2\nwww.wired.com/story/battle-over-books3/.\n For key documents in these cases, see the helpful compendium at “Master List of Lawsuits v. AI, 3\nChatGPT, OpenAI, Microsoft, Meta, Midjourney & Other AI Cos.” Chat GPT Is Eating the World, 27 Dec. \n2023, chatgptiseatingtheworld.com/2023/12/27/master-list-of-lawsuits-v-ai-chatgpt-openai-microsoft-\nmeta-midjourney-other-ai-cos. See also “Fair Use Week 2024: Day Two with Guest Expert Brandon \nButler.” Fair Use Week, sites.harvard.edu/fair-use-week/2024/02/26/fair-use-week-2024-day-two-with-\nguest-expert-brandon-butler/. Accessed 20 Mar. 2024 (arguing that use of this dataset is not \nconsequential for the fair use analysis).\nTowards a Books Data Commons for AI Training 1", - "page_start": 1, - "page_end": 1, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the \nspecific design choices and technical constraints are not adequate to justify a finding of fair \nuse. \nThis sort of books dataset could be built by expanding use of in-copyright books that have \nalready been digitized from existing libraries and other sources. Speci fically, workshop \nparticipants mentioned that the Internet Archive, HathiTrust, and Google as entities that have \ndigitized books and could repurpose their use to build a books commons, although \nchallenges with using these datasets were noted. The Internet Archive is in the midst of \nlitigation brought by book publishers for its program for lending digital books; while not \ndirectly relevant to the issue of AI training using their corpus of books, this sort of litigation \ncreates a chilling effect on organizations seeking to make new uses of these digitized books. \nMeanwhile, Google encumbered HathiTrust’s digital copies with certain contractual \nrestrictions, which would need to be addressed to develop a books dataset for AI training, \nand Google itself is unlikely to share its own copies while it provides them a competitive \nadvantage. \nPerhaps as a matter of public policy, these existing copies could be made more freely \navailable. For instance, to ensure robust competition around AI and advance other public \ninterests, policymakers could remove legal obstacles to the sharing of digitized book files for \nuse in AI training. Alternatively, policymakers could go further and a ffirmatively compel \nsharing access to these digital book files for AI training. \nIt's possible that there could be a new mass digitization initiative, turning physical books into \nnew digital scans. At least in theory, one could try to replicate the existing corpora of \nHathiTrust, for example, without Google’s contractual limitations. At the same time, such an \neffort would take many years, and it seems unlikely that many libraries would want to go to \nthe trouble to have their collections digitized a second time. Moreover, while new scans may \nprovide some incremental bene fit over use of existing ones (e.g., by using the most modern \ndigitization and OCR tools and thus improving accuracy), there is no inherent social value to \nmaking every entity that wants to do or allow AI training invest in their own redundant \nscanning. \nA new digitization effort could target works that have not been yet digitized. This may be \nparticularly useful given that previous book digitization efforts, and the Google Books project \nin particular, have focused heavily (though not exclusively) on libraries in English-speaking \ncountries. Additional digitization efforts might make more sense for books in those \nlanguages that have not yet been digitized at a meaningful scale. Any new digitization effort \nmight therefore start with a mapping of the extent to which a books corpus in a given \nlanguage has been digitized. \nTowards a Books Data Commons for AI Training 16", - "page_start": 16, - "page_end": 16, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "What dataset management practices are necessary? \nNo matter how a books data commons gets built, it will be important to consider broader \naspects of data governance. For example: \n• Dataset documentation and transparency: Transparent documentation is important \nfor any dataset used for AI training. A datasheet is a standardized form of \ndocumentation that includes information about provenance and composition of data, \nand includes information on management practices, recommended uses or collection \nprocess. \n• Quality assurance: Above, we note the many features that make books useful for AI \ntraining, as compared with web data, for example. That said, the institution managing \na books commons dataset may still want to collect and curate the collection to meet \nthe particular purposes of its users. For instance, it may want to take steps to \nmitigate biases inherent in the dataset, by ensuring books are representative of a \nvariety of languages and geographies. \n• Understanding uses: The institution managing a books commons dataset could \nmeasure and study how the dataset is used, to inform future improvements. Such \nmonitoring may also enable accountability measures with respect to uses of the \ndataset. Introducing community norms for disclosing datasets used in AI training and \nother forms of AI research would facilitate such monitoring. \n• Governance mechanisms: In determining matters like acceptable and ethical use, the \nfundamental question is “who decides.” While this might be settled simply by whoever \nsets up and operates the dataset and related infrastructure, participatory \nmechanisms — such as advisory bodies bringing together a broad range of users and \nstakeholders of a collection — could also be incorporated. \nTowards a Books Data Commons for AI Training 19", - "page_start": 19, - "page_end": 19, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Implications of the The Overall Approach \nStepping back from The Pile v2 speci fically, or any particular existing collection of books or \ndataset built on their basis, we want to understand the implications of relying on public \ndomain works and expressly licensed works in building a books commons. \nThe benefits are relatively straightforward. Both categories, by de finition come with express \npermission to use the books in AI training. The cost of acquiring the books for this use may \nbe effectively zero or close to it, when considering public domain and “openly” licensed \nbooks that allow redistribution and that have already been digitized. \nBut this approach comes with some clear limitations. First, as noted above, for many books \nin the public domain, their status as such is not always clear. And with respect to \npermissively licensed books, it is not always clear whether and how to comply with the \nlicense obligations in this context. \nSetting aside those challenges, the simple fact is that relying on public domain and existing \npermissively licensed books would limit the quantity and diversity of data available for \ntraining, impacting performance along different dimensions. Only a small fraction of books \never published fall into this category, and the corpus of books in this category is likely to be \nskewed heavily towards older public domain books. This skew would, in turn, impact the \ncontent available for AI training. For instance, relying on books from before 1929 would not 30\nonly incorporate outdated language patterns, but also a range of biases and misconceptions \nabout race and gender, among other things. Efforts could be made to get people to \npermissively license more material — a book drive for permissive licensing, so to speak; this \napproach would still not encompass most books, at least when it comes to past works. 31\n5b. Limitations & Exceptions \nExisting Project Example: HathiTrust Research Center (HTRC) \nThe HathiTrust Research Center provides researchers with the ability to perform \ncomputational analysis across millions of books. While it is not suited speci fically for AI \ntraining, it is an existence proof for what such a resource might look like. \n For instance, AI researchers note that the recently released Common Corpus dataset is an “invaluable 30\nresource” but “comes with limitations. A lot of public domain data is antiquated—in the US, for example, \ncopyright protection usually lasts over seventy years from the death of the author—so this type of \ndataset won’t be able to ground an AI model in current affairs or, say, how to spin up a blog post using \ncurrent slang” and the “dataset is tiny.” Thus, while it is possible to train an AI model on the data, those \nmodels will have more limited utility on some dimensions than current frontier models trained on a \nbroader array of data. See Knibbs, Kate, Here’s Proof You Can Train an AI Model Without Slurping \nCopyrighted Content | WIRED. (2024, March 20), at https://www.wired.com/story/proof-you-can-train-ai-\nwithout-slurping-copyrighted-content/.\n Our workshop discussion did note that some widely available datasets for AI training have also 31\npursued more direct licensing agreements. For instance, the SILO LLM was created by working with \nscientific journal publishers to make works available for both download and AI training. While this might \nbe viable in the context of particular, narrow classes of works, the barriers to efficient licensing \nmentioned above would remain a problem for any broader efforts. See Min, Sewon, et al. “SILO \nLanguage Models: Isolating Legal Risk in a Nonparametric Datastore.” ArXiv (Cornell University), 8 Aug. \n2023, https://doi.org/10.48550/arxiv.2308.04430. Accessed 14 Dec. 2023.\nTowards a Books Data Commons for AI Training 13", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "A Supplementary materials for datasets\nA.1 All datasets\nTable 3 displays the size of each dataset along with\nthe average number of tokens per sample and their\nreferences. The dataset’s content was tokenized\nusing cl100k_base encoding. For Retrieval, the\ntwo numbers refer to the queries and the docu-\nments. For Reranking, the three numbers refer to\nthe queries, the pairs of queries with relevant docu-\nments and the pairs of queries with irrelevant ones,\nrespectively. The pairs of queries and documents\nare obtained from the 90 documents extracted. For\nSummEvalFr, the three numbers refer to the texts,\nhuman and machine summaries, respectively.\nFigure 3 represents the semantic similarity be-\ntween each dataset. The methodology was as fol-\nlows: 90 random samples per dataset are embedded\nusing the multilingual-e5-large model. The embed-\ndings of each dataset’s samples are averaged. The\nsimilarity between each dataset is then calculated\nusing cosine similarity as in (Muennighoff et al.,\n2022).\nWe complement this analysis by observing the\ndataset’s clouds of embedding in a 2D plane using\nPCA in Figure 4.\nA.2 Created datasets\nSyntec Figure 5 shows an extract from the Syntec\ndataset with a document and a query relative to this\ndocument.\nHAL Figure 6 is an extract from the HAL\ndataset. Table 4 lists the distribution of classes\n(domain field) for the HAL dataset on raw\nsubset and mteb_eval subset, which is used\nfor MTEB evaluation. Labels descriptions\ncan be found at this URL: https://api.archives-\nouvertes.fr/ref/domain/?q=*:*&rows=393 or in Ta-\nble 4. After pre-processing, mteb_eval covers titles\nfrom 10 domains as classes with less than 500 sam-\nples were removed. In the MTEB evaluation subset\nof the dataset, titles composed of 2 words or less\nhave been removed (371 samples), resulting in an\naverage word count of 13.4. Figure 7 shows the\nword count distribution per title. Furthermore, the\ndataset has been cleaned up by manually remov-\ning all non-French titles. Additionally, it can be\nobserved in Table 4 that in the original raw dataset,\nthe shs and sdv classes represent by far the majority\nof the dataset samples with respectively 58706 sam-\nples (73%) and 11049 samples (13%). In order to\nmitigate the class imbalance while preserving the\nmajority of those classes, they have been randomly\nsubsampled to 6701 and 4803 samples. Further-\nmore, baseline models have been trained and tested\nto assess the usability of this dataset in other tasks,\nsuch as classification and topic modeling. Table 5\nshows the results obtained.\nSummEvalFr Extracts of humans and machine\nsummaries translated in French from SummEvalFr\nand the original ones in English from SummEval\n(Fabbri et al., 2021) are shown in Figure 9. As ex-\nplained in section 3.1.3, we use a LLM to evaluate\nthe quality of translations for human summaries,\nwe provide the prompt used with GPT-4 for this\nevaluation in Figure 8.\nTable 6 shows the distribution of ratings given\nby the LLM. With the scale being 10, we man-\nually verify random samples rated above 9. We\nverify all samples with ratings under 9 and those\nwith no provided rating (N/A) due to the triggering\nof the OpenAI content management policy. The\nLLM suggests that 60 samples are not correctly\ntranslated. These were verified manually, and after\nchecking, less than 10 samples only needed to be\ncorrected.\nB Supplementary materials for\ncorrelation analysis\nThis section presents various correlations computed\nbased on the model results on the proposed bench-\nmark.\nFigure 10 represents cross-correlations between\nmodels’ performances and their studied character-\nistics as a heatmap.\nFigure 11 represents the Spearman correlations\nin terms of performance across models.\nFigure 12 represents the Spearman correlations\nin terms of performance across datasets.\nC Supplementary materials for models\nWe present in this section the model characteristics\nwe collected for the 46 evaluated models.\nFor evaluating prompt-based models such as", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "their papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-\nsure the dataset quality is suitable for a benchmark,\nfurther data cleaning has been performed:\n• Duplicates are eliminated, retaining unique\npublications for each field.\n• Irrelevant titles (due to API indexing mistakes)\nor titles in languages other than French have\nbeen manually removed.\n3https://www.syntec.fr/convention-collective/\n4https://huggingface.co./datasets/lyon-nlp/\nmteb-fr-retrieval-syntec-s2p\n5https://huggingface.co./datasets/lyon-nlp/\nclustering-hal-s2s\n2", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "In the United States, before which date is book out of copyright for sure ?", - "target_page": 9, - "target_passage": "In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most \nare not actively managed by their rightsholders. There is no o fficial registry of copyrighted \nworks and their owners, and existing datasets can be incomplete or erroneous. 16\nAs a result, there may be no way to license the vast majority of in-copyright books, especially \nthose that have or have had limited commercial value. Put differently, the barrier to using 17\nmost books is not simply to pay publishers; even if one had signi ficant financial resources, \nlicensing would not enable access to most works. \nPermissively licensed works \nThere are books that have been permissively licensed in an easily identi fiable way, such as \nworks placed under Creative Commons (CC) licenses. Such works explicitly allow particular \nuses of works subject to various responsibilities (e.g., requiring attribution by the user in their \nfollow-on use). \nWhile such works could be candidates for inclusion in a books data commons, their inclusion \ndepends on whether the license’s terms can be complied with in the context of AI training. \nFor instance, in the context of CC licensed works, there are requirements for proper \nattribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public \nDomain Mark (PDM) are not licenses and do not require attribution). 18\n See e.g. Heald, Paul J. “How Copyright Makes Books and Music Disappear (and How Secondary 16\nLiability Rules Help Resurrect Old Songs).” Illinois Program in Law, Behavior and Social Science Paper \nNo. LBSS14-07 Illinois Public Law Research Paper No. 13-54 https://doi.org/10.2139/ssrn.2290181. \nAccessed 4 Jan. 2020, at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181; Rosen, \nRebecca J. “Why Are so Few Books from the 20th Century Available as Ebooks?” The Atlantic, 18 Mar. \n2014, www.theatlantic.com/business/archive/2014/03/why-are-so-few-books-from-the-20th-century-\navailable-as-ebooks/284486/. See also “Google Book Search Settlement and Access to Out of Print \nBooks.” Google Public Policy Blog, publicpolicy.googleblog.com/2009/06/google-book-search-\nsettlement-and.html. Accessed 20 Mar. 2024 (discussing this issue in the context of the failed class-\naction settlement between Google, the Authors Guild, and the Association of American Publishers). \nGoogle’s final brief in the settlement proceedings notes the “prohibitive transaction costs of identifying \nand locating individual Rightsholders of these largely older, out-of-print books” — see this brief at https://\nweb.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/\ngoogle_final_approval_support.pdf. The Authors Guild and Association of American Publishers also \njustified the settlement’s terms in light of the fact that “the transaction costs involved in finding \ncopyright owners and clearing the rights are too high”; while they argued that most works are not truly \n“orphans,” they note that total transaction costs as a whole (including, for example, determining whether \nthe author or publisher holds the rights and then negotiating rates) are so high as to block uses of out-\nof-print works anyway — see this brief at https://web.archive.org/web/20130112060213/http://\nthepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf. \n In the EU, the 2019 Copyright Directive introduced specific provisions on the \"use of out-of-commerce 17\nworks and other subject matter by cultural heritage institutions\" (Articles 8-11 CDSMD). These \nprovisions allow cultural heritage institutions to \"make available, for non-commercial purposes, out-of-\ncommerce works or other subject matter permanently in their collections\". The limitation to non-\ncommercial purposes means that works made available under these provisions would be of limited use \nin building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "4. Copyright, Licensing, & Access to Books for \nTraining \nEven if books can be acquired, digitized, and made technically useful for AI training, the \ndevelopment of a books data commons would necessarily need to navigate and comply with \ncopyright law. \nOut-of-Copyright Books: A minority of books are old enough to be in the public domain and \nout of copyright, and an AI developer could use them in training without securing any \ncopyright permission. In the United States, all books published or released before 1929 are in \nthe public domain. While use of these books provides maximal certainty for the AI developer \nto train on, it is worth noting that the status of whether a book is in the public domain can be \ndifficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14\nout of copyright if they were not subject to a copyright renewal; however, data on copyright \nrenewals is not easily accessible. \nWhat’s more, copyright de finitions and term lengths vary among countries. Even if a work is \nin the public domain in the US, it may not be in other countries. Countries generally use the 15\nlife of the last living author + “x” years to determine the term of copyright protection. For \nmost countries, “x” is either 50 years (the minimum required by the Berne Convention) or 70 \nyears (this is the case for all member states of the European Union and for all works \npublished in the U.S. after 1978). This approach makes it di fficult to determine copyright \nterms with certainty because it requires information about the date of death of each author, \nwhich is often not readily available. \nIn-Copyright Books: The vast majority of books are in copyright, and, insofar as the training \nprocess requires making a copy of the book, the use in AI training may implicate copyright \nlaw. Our workshop covered three possible paths for incorporating such works. \nDirect licensing \nOne could directly license books from rightsholders. There may be some publishers who are \nwilling to license their works for this purpose, but it is hard to determine the scale of such \naccess, and, in any event, there are signi ficant limits on this approach. Along with the \nchallenge (and expense) of reaching agreements with relevant rightsholders, there is also the \npractical difficulty of simply identifying and finding the rightsholder that one must negotiate \n For a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler. Finding the Public Domain: 14\nCopyright Review Management System Toolkit. 2016, quod.lib.umich.edu/c/crmstoolkit/\n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. “LibGuides: Copyright at Cornell Libraries: \nCopyright Term and the Public Domain.” guides.library.cornell.edu/copyright/publicdomain; \nMannapperuma, Menesha, et al. Is It in the Public Domain? A HANDBOOK for EVALUATING the \nCOPYRIGHT STATUS of a WORK CREATED in the UNITED STATES. 1923.\n See e.g. Moody, Glyn. “Project Gutenberg Blocks Access in Germany to All Its Public Domain Books 15\nbecause of Local Copyright Claim on 18 of Them.” Techdirt, 7 Mar. 2018, www.techdirt.com/\n2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-local-\ncopyright-claim-18-them/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 8", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "ma-pirated-books/675063/), The Atlantic, archived (https://web.archive.org/web/2024100307\n1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-pirated-\nbooks/675063/) from the original on 3 October 2024, retrieved 5 October 2024", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "ibm.com/redbooks\nSG24-6915-04\nISBN 0738440957\nPrinted in U.S.A.\nBack cover", - "page_start": 439, - "page_end": 439, - "source_file": "sg246915.pdf" - }, - { - "text": "© Copyright IBM Corp. 2011, 2018, 2019. All rights reserved. iii\nContents\nNotices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii\nTrademarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiv\nPreface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xv\nAuthors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xv\nNow you can become a published author, too! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii\nComments welcome. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi ii\nStay connected to IBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii\nSummary of changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix\nMay 2019, Eighth Edition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x ix\nChapter 1. Introduction to storage virtualization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1\n1.1 Storage virtualization terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2\n1.2 Benefits of using IBM Spectrum Virtualize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5\n1.3 Latest changes and enhancements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6\n1.4 Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7\nChapter 2. System overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9\n2.1 IBM Spectrum Virtualize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10\n2.2 Storage virtualization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10\n2.3 IBM Storwize V7000 overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12\n2.3.1 IBM Storwize V7000 models. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13\n2.3.2 IBM Storage Utility offerings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14\n2.3.3 IBM Storwize V7000 functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16\n2.3.4 IBM Storwize V7000 licensing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18\n2.4 IBM Storwize V7000 hardware . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19\n2.5 IBM Storwize V7000 components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19\n2.5.1 Hosts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.2 Host cluster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.3 Nodes or canisters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.4 I/O groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.5 Cache . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21\n2.5.6 Clustered system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23", - "page_start": 4, - "page_end": 4, - "source_file": "sg247938.pdf" - }, - { - "text": "Reliance on Copyright Limitations and Exceptions \nEven if a book is in copyright, it’s possible that copying books for AI training may be covered \nby existing limitations and exceptions to copyright law in particular jurisdictions. For \nexample: \n• In the United States, many argue using existing works to train generative AI is “fair \nuse,” consistent with existing law and legal precedents. This is the subject of a 19\nnumber of currently active court cases, and different actors and tools may yield \ndifferent results, as fair use is applied case-by-case using a flexible balancing test. \n• In the European Union, there are explicit exceptions in the law for “text and data \nmining” uses of in-copyright works, both for non-commercial research and for \ncommercial purposes. However, for commercial uses and for users outside of \nresearch and heritage institutions, they must respect the rights of rightsholders who \nchoose to “reserve their rights” (i.e., opt-out of allowing text and data mining) via \nmachine readable mechanisms. The exception also requires that users have “lawful 20\naccess” to the works. \n• Finally, Japan provides a speci fic text and data mining exception, without any \ncomparable opt-out requirement for commercial uses as is embedded in EU law. 21\n \nWhile exceptions that allow AI training exist in several other countries, such as Singapore and \nIsrael, most countries do not provide exceptions that appear to permit AI training. Even where \npotentially available, as in the United States, legal uncertainty and risk create a hurdle for \nanyone building a books commons. 22\n See e.g. Comments from Sprigman, Samuelson, Sag to Copyright Office, October 2023, at https://19\nwww.regulations.gov/comment/COLC-2023-0006-10299 as well as many other submissions to the US \ncopyright office; see also Advocacy, Katherine Klosek, Director of Information Policy and Federal \nRelations, Association of Research Libraries (ARL), and Marjory S. Blumenthal, Senior Policy Fellow, \nAmerican Library Association (ALA) Office of Public Policy and. “Training Generative AI Models on \nCopyrighted Works Is Fair Use.” Association of Research Libraries, 23 Jan. 2024, www.arl.org/blog/\ntraining-generative-ai-models-on-copyrighted-works-is-fair-use/.\n See Articles 3 and 4 of the EU’s Directive on Copyright and Related Rights in the Digital Single Market 20\n— https://eur-lex.europa.eu/eli/dir/2019/790/oj.\n Japan clarified its laws in 2018 to make clear that this type of use is permitted — see discussion in 21\nTestimony of Matthew Sag, July 2023, https://www.judiciary.senate.gov/imo/media/doc/\n2023-07-12_pm_-_testimony_-_sag.pdf, see also Fiil-Flynn, S. et al. (2022) Legal reform to enhance global \ntext and Data Mining Research, Science. Available at: https://www.science.org/doi/10.1126/\nscience.add6124 (Accessed: 28 Sept. 2023). \n See supra note 22. See also Jonathan Band, Copyright Implications of the Relationship between 22\nGenerative Artificial Intelligence and Text and Data Mining | Infojustice. infojustice.org/archives/45509. In \naddition, for an in-depth look at the cross-border legal challenges involved see: Wrapping up Our NEH-\nFunded Project to Help Text and Data Mining Researchers Navigate Cross-Border Legal and Ethical \nIssues. 2 Oct. 2023, buildinglltdm.org/2023/10/02/wrapping-up-our-neh-funded-project-to-help-text-and-\ndata-mining-researchers-navigate-cross-border-legal-and-ethical-issues/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 10", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "It is also important to note two other issues that can affect the application of limitations and \nexceptions, in particular, their application to e-books. \nThe first important limitation is that almost every digital book published today comes with a \nset of contractual terms that restrict what users can do with it. In many cases, those terms \nwill explicitly restrict text data mining or AI uses of the content, meaning that even where \ncopyright law allows for reuse (for example, under fair use), publishers by contract can \nimpose restrictions anyway. In the United States, those contract terms are generally thought \nto override the applicability of fair use or other limitations and exceptions. O t h e r 23\njurisdictions, such as those in the EU, provide that certain limitations and exceptions cannot \nbe contractually overridden, though experience to date varies with how those anti-contractual \noverride protections work in practice. 24\nThe second limitation is the widespread adoption of “anti-circumvention” rules in copyright \nlaws and the interplay of these with a choice to rely on copyright limitations and exceptions. \nDigital books sold by major publishers are generally encumbered with “digital rights \nmanagement” (DRM) that limits how someone can use the digital file. For instance, DRM can \nlimit the ability to make a copy of the book, or even screenshot or excerpt from it, among \nother things. Anti-circumvention laws restrict someone's ability to evade these technical \nrestrictions, even if it is for an ultimately lawful use. \nWhat this means for our purposes is that even if one acquires a digital book from, for \nexample, Amazon, and it is lawful under copyright law to use that book in AI training, it can \nstill generally be unlawful to circumvent the DRM to do so, outside narrow exceptions. 25\nThus, the ability to use in-copyright books encumbered by DRM — that is, most all books sold \nby major publishers — is generally limited. 26\nPractically, using in-copyright books to build a books commons for AI training — while relying \non copyright’s limitations and exceptions — requires turning a physical book into digital form, \nor otherwise engaging in the laborious process of manually re-creating a book’s text (i.e., re-\ntyping the full text of the book) without circumventing the technical restrictions themselves. \n See Hansen, Dave. “Fair Use Week 2023: How to Evade Fair Use in Two Easy Steps.” Authors Alliance, 23\n23 Feb. 2023, www.authorsalliance.org/2023/02/23/fair-use-week-2023-how-to-evade-fair-use-in-two-\neasy-steps/. Accessed 20 Mar. 2024.\n See Band, Jonathan. “Protecting User Rights against Contract Override.” Joint PIJIP/TLS Research 24\nPaper Series, 1 May 2023, digitalcommons.wcl.american.edu/research/97/. Accessed 20 Mar. 2024.\n In the U.S. the Copyright Office has recognized the importance of allowing particular exceptions for 25\nresearchers engaged in text and data mining. See their rulemaking in 2021 https://\nwww.federalregister.gov/documents/2021/10/28/2021-23311/exemption-to-prohibition-on-\ncircumvention-of-copyright-protection-systems-for-access-control. These rules are reviewed triennially \nand are currently under review, with submissions suggesting both contraction and expansion; see the \nAuthors’ Alliance comments in January 2024 https://www.authorsalliance.org/2024/01/29/authors-\nalliance-submits-long-form-comment-to-copyright-office-in-support-of-petition-to-expand-existing-text-\nand-data-mining-exemption/. It is possible that one could argue for these exceptions to be expanded, \nand then work to renew that exception every three years. The EU’s text and data mining exception may \nalso limit use of DRM to impede data mining, but only for particular covered research and heritage \ninstitutions; commercial and other users are not covered, however.\n Note that CC licenses forbid use of DRM — but that doesn’t address most all books sold by publishers.26\nTowards a Books Data Commons for AI Training 11", - "page_start": 11, - "page_end": 11, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "ibm.com/redbooks\nPrinted in U.S.A.\nBack cover\nISBN 0738457779\nSG24-7938-07\n®", - "page_start": 825, - "page_end": 825, - "source_file": "sg247938.pdf" - }, - { - "text": "ibm.com/redbooks\nPrinted in U.S.A.\nBack cover\nISBN 0738458376\nSG24-8459-00\n®", - "page_start": 269, - "page_end": 269, - "source_file": "sg248459.pdf" - }, - { - "text": "It is also an example predicated on copyright’s limitations and exceptions — in this case, on \nU.S. fair use. While the Authors Guild filed a copyright infringement suit against HathiTrust, \nfederal courts in 2012 and 2014 ruled that HathiTrust’s use of books was fair use. 32\nA nonprofit founded in 2008, HathiTrust grew out of a partnership among major US university \nlibraries and today is “an international community of research libraries committed to the \nlong-term curation and availability of the cultural record.” It started in what it calls the “early 33\ndays of mass digitization” — that is, at a time when it started to become economical to take \nexisting physical artifacts in libraries and turn them into digital files at a large scale. \nThe founding members of HathiTrust were among the initial partners for Google’s Book \nSearch product, which allows people to search across and view small snippets of text from \nin-copyright books and read full copies of public domain books scanned from libraries’ 34\ncollections. The libraries provided Google with books from their collections, Google would \nthen scan the books for use in Book Search, and return to the libraries a digital copy for their \nown uses. These uses included setting up HathiTrust not only to ensure long-term \npreservation of the digital books and their metadata, but also to facilitate other uses, \nincluding full text search of books and accessibility for people with print disabilities. In \nseparate court cases, both Google and HathiTrust’s uses of the books were deemed \nconsistent with copyright law. \nThe uses most relevant to this paper are those enabled by what HathiTrust refers to today as \nthe Research Center. The Center grew in part out of a research discipline called “digital \nhumanities,” which, among other things, seeks to use computational resources or other \ndigital technologies to analyze information and contribute to the study of literature, media, \nhistory, and other areas. For instance, imagine you want to understand how a given term \n(e.g., “war on drugs”) became used; one might seek to analyze when the term was first used \nand how often it was used over time by analyzing a vast quantity of sources, searching out \nthe term’s use. The insight here is that there is much to be learned not just from reading or \notherwise consuming speci fic material, but also from “non-consumptive research,” or \n\"research in which computational analysis is performed on one or more volumes (textual or \nimage objects)\" to derive other sorts of insights. AI training is a type of non-consumptive use. \nToday, the Center “[s]upports large-scale computational analysis of the works in the \nHathiTrust Digital Library to facilitate non-profit and educational research.” It includes over 18 \nmillion books in over 400 languages from the HathiTrust Digital Library collection. Roughly \n58% of the corpus is in copyright. HathiTrust notes that, while this corpus is large, it has \nlimitations in terms of its representation across subject matter, language, geography, and \nother dimensions. In terms of subject matter, the corpus is skewed towards humanities \n(64.9%) and social sciences (14.3%). In terms of language, 51% of the books are in English, \n Authors Guild v. HathiTrust, 902 F.Supp.2d 445 (SDNY October 10, 2012) and Authors Guild v. 32\nHathiTrust, 755 F.3d 87 (2d Cir. 2014).\n See https://www.hathitrust.org/member-libraries/member-list/ — the membership is principally US 33\ninstitutions, and most of the non-US members are from English speaking countries or institutions that \nuse English as the primary language of operations.\n This functionality is limited to scanned books provided by library partners in the US.34\nTowards a Books Data Commons for AI Training 14", - "page_start": 14, - "page_end": 14, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What of the main imporvement of the Pile v2 dataset in comparison to its first version ?", - "target_page": 13, - "target_passage": "Among other things, v2 would “have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.” At the same time, it would only seek to include public domain books and permissively licensed content", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Dataset x Task Average # tokens# samples Reference LicenseAmazonReviewsClassification49.6 5000 McAuley and Leskovec (2013) N/AMasakhaNEWSClassification1398.2 422 Adelani et al. (2023) AFL-3.0MassiveIntentClassification11.4 2974 FitzGerald et al. (2023) N/AMassiveScenarioClassification11.4 2974 FitzGerald et al. (2023) N/AMTOPDomainClassification12.5 3193 Li et al. (2021) N/AMTOPIntentClassification 12.5 3193 Li et al. (2021) N/AAlloProfClusteringP2P 1021.8 2556 Lefebvre-Brossard et al. (2023) MITAlloProfClusteringS2S 8.8 2556 Lefebvre-Brossard et al. (2023) MITHALClusteringS2S 25.6 26233 Introduced by our paper Apache-2.0MasakhaNEWSClusteringP2P1398.1 422 Adelani et al. (2023) AFL-3.0MasakhaNEWSClusteringS2S21.7 422 Adelani et al. (2023) AFL-3.0MLSUMClusteringP2P 1062.1 15828 Scialom et al. (2020) OtherMLSUMClusteringS2S 20.8 15828 Scialom et al. (2020) OtherOpusparcusPC 9.7 1007 Creutz (2018) CC-BY-NC-4.0PawsX 34.9 2000 Yang et al. (2019) OtherSTSBenchmarkMultilingualSTS18.4 1379 May (2021) N/ASTS22 722.1 104 Chen et al. (2022) N/ASICKFr 15.1 4906 https://huggingface.co./datasets/Lajavaness/SICK-frApache-2.0DiaBLaBitextMining 12.02 5748 Bawden et al. (2021) CC-BY-SA-4.0FloresBitextMining 33.42 1012 Goyal et al. (2021) CC-BY-SA-4.0AlloprofReranking 48.3 - 1179.4 - 1196.42316 - 2975 - 22064 Lefebvre-Brossard et al. (2023) MITSyntecReranking 19.2 - 402.2 - 467.2100 - 100 - 917 Introduced by our paper Apache-2.0AlloprofRetrieval 48.31 - 1117.912316 - 2556 Lefebvre-Brossard et al. (2023) MITBSARDRetrieval 144.03 - 24530.8222 - 22600 Louis and Spanakis (2022) CC-BY-NC-SA-4.0SyntecRetrieval 19.22 - 295.65 100 - 90 Introduced by our paper Apache-2.0SummEvalFr 657.08 - 71.18 - 107.56100 - 1100 - 1600 Created from Fabbri et al. (2021) MIT\nTable 3: Details of the data used for each task. The average number of tokens of texts is computed using the\ncl100k_base tokenizer. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant\ndocuments and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are\nobtained from the 90 dataset’s documents. For Retrieval datasets, the two numbers refer to the queries and the\ndocuments, respectively. For SummEvalFr, the three numbers refer to the texts, human and machine summaries.\nReferences to all the datasets used are available.\nAmazonReviewsClassification\nMasakhaNEWSClassification\nMassiveIntentClassification\nMassiveScenarioClassification\nMTOPDomainClassification\nMTOPIntentClassification\nAlloProfClusteringP2P\nAlloProfClusteringS2S\nHALClusteringS2S\nMasakhaNEWSClusteringP2P\nMasakhaNEWSClusteringS2S\nMLSUMClusteringP2P\nMLSUMClusteringS2S\nAlloprofRetrieval\nBSARDRetrieval\nSyntecRetrieval\nOpusparcusPC\nPawsX\nAlloprofReranking\nSyntecReranking\nSICKFr\nSTS22\nSTSBenchmarkMultilingualSTS\nSummEvalFr\nAmazonReviewsClassification\nMasakhaNEWSClassification\nMassiveIntentClassification\nMassiveScenarioClassification\nMTOPDomainClassification\nMTOPIntentClassification\nAlloProfClusteringP2P\nAlloProfClusteringS2S\nHALClusteringS2S\nMasakhaNEWSClusteringP2P\nMasakhaNEWSClusteringS2S\nMLSUMClusteringP2P\nMLSUMClusteringS2S\nAlloprofRetrieval\nBSARDRetrieval\nSyntecRetrieval\nOpusparcusPC\nPawsX\nAlloprofReranking\nSyntecReranking\nSICKFr\nSTS22\nSTSBenchmarkMultilingualSTS\nSummEvalFr\n0.95\n0.96 0.95\n0.97 0.95 1\n0.96 0.95 0.99 0.99\n0.96 0.94 0.99 0.99 1\n0.96 0.97 0.95 0.95 0.94 0.94\n0.96 0.94 0.98 0.98 0.97 0.97 0.95\n0.96 0.95 0.97 0.97 0.97 0.96 0.96 0.98\n0.95 1 0.95 0.95 0.94 0.94 0.97 0.94 0.95\n0.95 0.97 0.97 0.97 0.97 0.96 0.95 0.97 0.97 0.97\n0.95 0.98 0.94 0.95 0.94 0.94 0.97 0.94 0.95 0.98 0.96\n0.95 0.98 0.94 0.94 0.94 0.94 0.97 0.94 0.95 0.98 0.96 1\n0.96 0.97 0.95 0.95 0.95 0.95 1 0.96 0.96 0.97 0.95 0.96 0.97\n0.95 0.95 0.94 0.95 0.94 0.94 0.96 0.95 0.96 0.95 0.95 0.94 0.94 0.96\n0.93 0.94 0.93 0.93 0.93 0.92 0.95 0.93 0.94 0.94 0.93 0.94 0.94 0.95 0.97\n0.96 0.93 0.97 0.97 0.97 0.97 0.94 0.97 0.96 0.93 0.96 0.93 0.93 0.94 0.94 0.92", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv4.pdf" - }, - { - "text": "correlated (see Figure 12). We preferred to propose\ndatasets even if they could introduce biases rather\nthan not address the task in the benchmark. Note\nthat each task type can be considered individually.\nWe hope additional resources will be developed\nin the French-speaking community to enrich our\ncomparison.\nBenchmark validity over time As with all\nbenchmarks, their reliability over time can be dis-\ncussed as the field evolves fast. The models se-\nlected for the analysis conducted in this paper are\nthose available at this time, new outperforming\nmodels will be created and shall be evaluated. Our\nwork extends MTEB and thus simplifies the ad-\ndition of new datasets for evaluation and allows\nrunning new models. With this effort, we hope\nthis will simplify the evaluation of new models pro-\nposed by the community to keep our work up to\ndate.\nData contamination issues Bias may exist for\nmodels that use the training sets of the provided\nevaluation datasets for their training. It consider-\nably improves their performance on the benchmark,\nfavouring them over other models. This is particu-\nlarly worrying for models that do not communicate\nabout the datasets used during training, such as pro-\nprietary models. Generally speaking, it would be\ninteresting to calculate the similarity between the\ndatasets used to train the models and those used to\ntest them to check that they are far enough apart to\ndraw general conclusions.\nFocus on sentence embeddings Finally, like the\noriginal version of MTEB, the comparison focuses\nmainly on sentence embeddings. Other tasks could\nbe added to cover word embeddings and, therefore,\nmore NLP tasks.\nAcknowledgements\nWe would like to thank Wikit 11 and Esker12 for\nproviding compute and funding this research.\nReferences\nDavid Ifeoluwa Adelani, Marek Masiak, Israel Abebe\nAzime, Jesujoba Oluwadara Alabi, Atnafu Lam-\nbebo Tonja, Christine Mwase, Odunayo Ogun-\ndepo, Bonaventure F. P. Dossou, Akintunde\nOladipo, Doreen Nixdorf, Chris C. Emezue,\n11https://www.wikit.ai/\n12https://www.esker.com/\nSana Al-Azzawi, Blessing K. Sibanda, Davis\nDavid, Lolwethu Ndolela, Jonathan Mukiibi,\nTunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian\nOdhiambo, Abraham Toluwase Owodunni, Nnae-\nmeka Obiefuna, Shamsuddeen Hassan Muham-\nmad, Saheed Salahudeen Abdullahi, Mesay Gemeda\nYigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmu-\nmin, Mahlet Taye Bame, Oluwabusayo Olufunke\nAwoyomi, Iyanuoluwa Shode, Tolulope Anu Ade-\nlani, Habiba Abdulganiy Kailani, Abdul-Hakeem\nOmotayo, Adetola Adeeko, Afolabi Abeeb, An-\nuoluwapo Aremu, Olanrewaju Samuel, Clemen-\ncia Siro, Wangari Kimotho, Onyekachi Raphael\nOgbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chuk-\nwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F.\nAwosan, Tadesse Kebede Guge, Sakayo Toadoum\nSari, Pamela Nyatsine, Freedmore Sidume, Oreen\nYousuf, Mardiyyah Oduwole, Ussen Kimanuka,\nKanda Patrick Tshinu, Thina Diko, Siyanda Nx-\nakama, Abdulmejid Tuni Johar, Sinodos Gebre,\nMuhidin A. Mohamed, Shafie Abdi Mohamed,\nFuad Mire Hassan, Moges Ahmed Mehamed, Evrard\nNgabire, and Pontus Stenetorp. 2023. Masakhanews:\nNews topic classification for african languages. In\nInternational Joint Conference on Natural Language\nProcessing.\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab,\nAitor Gonzalez-Agirre, Rada Mihalcea, German\nRigau, and Janyce Wiebe. 2016. SemEval-2016\ntask 1: Semantic textual similarity, monolingual\nand cross-lingual evaluation. In Proceedings of the\n10th International Workshop on Semantic Evaluation\n(SemEval-2016), pages 497–511, San Diego, Califor-\nnia. Association for Computational Linguistics.\nArthur Barbosa, Máverick Ferreira, Rafael Fer-\nreira Mello, Rafael Dueire Lins, and Dragan Ga-\nsevic. 2021. The impact of automatic text transla-\ntion on classification of online discussions for social\nand cognitive presences. In LAK21: 11th Interna-\ntional Learning Analytics and Knowledge Confer-\nence, LAK21, page 77–87, New York, NY , USA.\nAssociation for Computing Machinery.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods.We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-\nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using\na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205,\niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning.\nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from\nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream\ntasks, except ImageNet, where the model achieves74.8% compared to75.1% of an OmniMAE model trained directly on\nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on\nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\nFrozen Evaluation w/ Att. Pooling Fine-Tuning\n#Samples K400 SSv2 AVA IN1K Places205 iNat21 K400-ft SSv2-ft\nMethod Arch. Seen Iter. (16×8×3) (16 ×2×3) (16 ×5×3) (16 ×2×3)\nMethods pretrained using pixel prediction\nOmniMAE ViT-L/16 2400M 1170K 65.6 60.6 14.4 75.1 59.8 66.1 84.0 74.2\nVideoMAE ViT-L/16 410M 400K 77.8 65.5 21.6 71.1 59.3 64.6 85.4 74.3\nHiera Hiera-L 770M 1500K 75.5 64.2 15.8 68.9 58.5 56.9 87.3 75.1\nV-JEPA ViT-L/16 270M 90K 80.8 69.5 25.6 74.8 60.3 67.8 85.6 75.1\nTable 6 Comparison with State-of-the-Art Models.We compare V-JEPA with state-of-the-art baselines in frozen evaluation\nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models\nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution512 and\n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views\nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks.\nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on\ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks\nrequiring static appearance-based features.\nVideo Tasks Image Tasks\nK400 SSv2 AVA IN1K Places205 iNat21\nMethod Arch. Params. Data (16×8×3) (16 ×2×3)\nMethods pretrained on Images\nI-JEPA ViT-H/16 512 630M IN22K 79.7 50.0 19.8 84.4 66.5 85.7\nOpenCLIP ViT-G/14 1800M LAION 81.8 34.8 23.2 85.3 70.2 83.6\nDINOv2 ViT-g/14 1100M LVD-142M 83.4 50.6 24.3 86.2 68.4 88.8\nMethods pretrained on Videos\nMVD ViT-L/16 200M IN1K+K400 79.4 66.5 19.7 73.3 59.4 65.7\nOmniMAE ViT-H/16 630M IN1K+SSv2 71.4 65.4 16.0 76.3 60.6 72.4\nVideoMAE ViT-H/16 630M K400 79.8 66.2 20.7 72.3 59.1 65.5\nVideoMAEv2 ViT-g/14 1100M Un.Hybrid 71.2 61.2 12.9 71.4 60.6 68.3\nHiera Hiera-H 670M K400 77.0 64.7 17.5 71.4 59.5 61.7\nV-JEPA\nViT-L/16 200M\nVideoMix2M\n80.8 69.5 25.6 74.8 60.3 67.8\nViT-H/16 630M 82.0 71.4 25.8 75.9 61.7 67.9\nViT-H/16384 630M 81.9 72.2 25.0 77.4 62.8 72.6\n5 Comparison with Prior Work\nIn Section 5.1, we investigate the impact of feature pre-\ndiction by comparing V-JEPA with video approaches\nthat rely on pixel prediction, while using a similar ar-\nchitecture for all baselines. Subsequently, in Section 5.2,\nwe remove the architectural constraint and report the\nbest performance across architectures for self-supervised\nvideo and image pretraining approaches. Finally, we ex-\nplore the label-efficiency ofV-JEPA relative to other self-\nsupervised video pretraining approaches in Section 5.3.\nWe further detail the evaluation setup in Appendix D.\n5.1 Comparison with Pixel Prediction\nTo investigate the effectiveness of feature prediction pre-\ntraining, we first compareV-JEPAto video masked mod-\nelingmodelsrelyingonapixelpredictionloss. Wecontrol", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "5. Examining approaches to building a books data \ncommons \nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n5a. Public domain and permissively licensed books \nExisting Project Example : The Pile v2 27\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29\nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non- fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n This is an illustrative example, and there are also other projects of this ilk. For instance, see the 27\nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/\nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”)\n See Gao et al, supra note 8.28\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and 29\n“Substantially Better.” VentureBeat, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai-\ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 12", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "102.4 102.6 102.8 103 103.2 103.4\n74\n74.5\n75\nSOTA fine-tuned task-specific\nmodel on SSv 2 (MVD)\nV-JEPA\nViT-L/16\nVideoMAE\nViT-L/16\nHiera\nHiera-L\nOmniMAE\nViT-L/16\nSamples Seen (M)\nSomething-Something-v2 End-to-End Fine-Tuning\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen.We\nreport SSv2 fine-tuning for V-JEPA and pixel-reconstruction\nbaselines using a ViT-L/16 or Hiera-L architecture. V-JEPA\noutperforms all pixel-reconstruction methods using a ViT-\nL/16 and matches the Hiera-L performance while seeing\nsignificantly less samples during pretraining.\nageNet; hence,V-JEPA achieves comparable ImageNet\nperformance despite only pretraining on video.\nUnder the fine-tuning protocol,V-JEPAalso achieves the\nbest performance of any model trained with a ViT-L/16,\nand matches the performance of the Hiera-L on SSv2,\nwhichbenefitsfromahierachicalprior (Ryali etal.,2023).\nThe V-JEPA models achieve this result while processing\nsignificantly fewer samples during pretraining (Figure 4),\ndemonstrating the efficiency of feature prediction as a\nlearning principle.\n5.2 Comparison with State-of-the-Art\nNext, in Table 6, we inspect how theV-JEPA models\npretrained on video stack up next to the largest state-\nof-the-art self-supervised image and video models when\nfreezing the backbone encoder and training an attentive\nprobe on top. Our image pretrained baselines include\nOpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al.,\n2023), and I-JEPA (Assran et al., 2023). The Open-\nCLIP model is trained with a contrastive image-text\nalignment objective, DINOv2 and I-JEPA are trained\nwith self-supervision. These models are known to excel\nin their frozen-evaluation performance (Oquab et al.,\n2023); i.e., their ability to produce visual features that\ncan be applied to many downstream tasks simultane-\nously, without end-to-end fine-tuning, and thus pro-\nvide highly competitive baselines. Our video pretrained\nbaselines include VideoMAE (Tong et al., 2022), Omni-\nMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023),\nVideoMAEv2 (Wang et al., 2023a), and MVD (Wang\net al., 2023b). The OpenCLIP, DINOv2 and Video-\nMAEv2 models are parameterized as Giant/Gigantic\nvision transformer architectures containing over 1B pa-\nrameters trained on large-scale image or video datasets.\nComparison with video models. Compared to\nlarge-scale video baselines, theV-JEPA models outper-\nform all previous models on every downstream video\n50 100 150 200 250 300 350\n60\n65\n70\n75 V-JEPA\nViT-H/16384\nVideoMAE\nViT-H/16\nVideoMAEv2\nViT-g/14\nPretraining Time (Hrs.)\nSomething-Something-v2 Frozen Evaluation\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining\nTime. Wallclock times for all methods are measured on a\nsingle GPU with a batch size of 10 clips, using the official\ncodebases for VideoMAE and VideoMAEv2, and linearly\nextrapolated assuming a global batch size of 2400 samples.\nHowever, note that the SSv2 accuracies of video pixel pre-\ndiction methods are actually obtained with small batch sizes\nand significantly longer training schedules. V-JEPA out-\nperforms pixel-reconstruction methods while training signifi-\ncantly faster.\nand image task with notable margin (see Table 6). Our\nH/16 model outperforms the largest publicly available\nVideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera\nmodels by at least+5 points in motion understanding\n(Something-Something-v2), +2 points in action recogni-\ntion (Kinetics-400),+5 points on action detection (AVA),\n+1 point on object recognition (ImageNet-1K),+2 points\nin scene recognition (Places205), and+0.2 points on fine-\ngrained recognition (iNaturalist). Moreover, when com-\nparing pretraining wallclock time in Figure 5, we see that\nV-JEPA achieves this performance with a roughly2×\nspeedup compared to the large pixel prediction models.\nComparison with image models. On tasks that re-\nquire a fine-grained understanding of motion (Something-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets.We ablate the effect of computing the prediction loss in feature space vs pixel space. All\nmodels are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We\nexamine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single\ncenter view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide\na consistent improvement over pixel space prediction.\nFrozen Evaluation Fine-Tuning\nK400 SSv2 IN1K K400-ft\nTarget Arch. (16×1×1) (16 ×1×1) (16 ×5×3)\nPixels ViT-L/16 68.6 66.0 73.3 85.4\nFeatures ViT-L/16 73.7 66.2 74.8 85.6\nTable 2 Pretraining Data Distribution.We pretrain all models for 90K iterations using a batch size of 3072, and evaluate\ndownstream performance of the frozen backbones with an attentive probe using a single center view. Average performance\nacross tasks increases with the pretraining dataset size.\nFrozen Evaluation\nK400 SSv2 IN1K Avg.\nArch. Data #Samples (16×1×1) (16 ×1×1)\nViT-L/16\nK710 700K 75.8 63.2 73.7 70.9\nK710+SSv2 900K 72.9 67.4 72.8 71.0\nK710+HT 1900K 74.5 64.2 74.8 71.1\nVideoMix2M 2000K 73.7 66.2 74.8 71.5\nViT-H/16 K710+SSv2 900K 75.7 66.8 73.7 72.0\nVideoMix2M 2000K 74.0 68.5 75.9 72.8\nEvaluations. Pretrained models are evaluated on\ndownstream video and image tasks. On video tasks,\nwe use a subset of the VideoGLUE benchmark (Yuan\net al., 2023) to test for various capabilities; specif-\nically, we investigate action recognition on Kinetics-\n400 (K400) (Kay et al., 2017), motion classification on\nSomething-Something-v2 (SSv2) (Goyal et al., 2017),\nand action localization on AVA (Gu et al., 2018). Action\nclassification on Kinetics evaluates the appearance-based\nunderstanding of the model, as many action classes in\nthe dataset can be inferred from the presence of specific\nobjects in the video (Sevilla-Lara et al., 2021). Motion\nclassification on Something-Something-v2 evaluates the\ntemporal understanding of the model, as action classes\nin the dataset are decoupled from the appearance/pres-\nence of specific objects in the video (Goyal et al., 2017).\nFinally, action localization on AVA evaluates the ability\nof the model to understand and localize motions in the\nvideo. We follow standard practice and report accu-\nracy on K400 and SSv2 by sampling several spatial and\ntemporal views. For static image tasks, we explore ob-\nject recognition on ImageNet (Russakovsky et al., 2015),\nscene classification on Places205 (Zhou et al., 2014), and\nfine-grained recognition on iNaturalist 2021 (Van Horn\net al., 2018).\n4 What Matters for Learning Represen-\ntations from Video?\nIn this section we isolate the contributions of several de-\nsign choices, including: a) the use of a feature prediction\nversus pixel prediction objective, b) the construction of\nthe pretraining data distribution, c) the feature pooling\nstrategy for leveraging the model’s representations in\ndownstream tasks, and d) the masking strategy, towards\nidentifying: what to predict from what?\n4.1 Predicting Representations versus Pixels\nWe first ablate the effect of computing the prediction\nloss in representation space. We train a pair of ViT-L/16\nmodels using either aV-JEPA feature prediction loss,\nor a mean-squared error loss with the normalized pixel\nvalues, as in masked autoencoders (He et al., 2021), and\nperform a sweep over the learning rate and weight decay\nschedules for both approaches. All models are pretrained\non VideoMix2M for 90K iterations with a batch size of\n3072 using multi-block masking. We examine perfor-\nmance on Kinetics-400 (K400), Something-Something-v2\n(SSv2), and ImageNet-1K (IN1K), using a frozen back-\nbone with an attentive probe, and report top-1 accuracy\nusing a single center view. We also examine end-to-end\nfine-tuning performance of the models on Kinetics-400.\nResults of this comparison are reported in Table 1 and", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "the mean across sessions. Across-session variability estimates for all \n400 regions were then averaged across eight participants, and a global \nmeasure of cortical GMV variability was computed by averaging across \nthe 400 regions. This approach was repeated independently for the \nT2 hippocampal scans, wherein we computed across-session variability \nfor each parcel of the ASHS parcellation scheme (n = 7 bilateral sub-\nfields). However, it is important to note that raw subfield values (that \nis, no manual retouching) were used for Day2Day variability assess-\nments and should be interpreted with caution. Finally, to better com-\npare against our own data, we repeated this approach using our", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "their papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-\nsure the dataset quality is suitable for a benchmark,\nfurther data cleaning has been performed:\n• Duplicates are eliminated, retaining unique\npublications for each field.\n• Irrelevant titles (due to API indexing mistakes)\nor titles in languages other than French have\nbeen manually removed.\n3https://www.syntec.fr/convention-collective/\n4https://huggingface.co./datasets/lyon-nlp/\nmteb-fr-retrieval-syntec-s2p\n5https://huggingface.co./datasets/lyon-nlp/\nclustering-hal-s2s\n2", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "49. Hoogenboom, G., et al. Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6 (DSSAT Foundation, 2015). \nhttp:// dssat. net (2015).\n 50. Sacks, W . J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. Glob. Ecol. Biogeogr. 19, \n607–620 (2010).\n 51. Batjes, H.N. A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profiles (Version \n1.0). Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "(2023).\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation \nof low-coverage sequencing data using large reference panels. Nat. Genet. 53, 120–126 \n(2021).\n74. The 1000 Genomes Project Consortium. A global reference for human genetic variation. \nNature 526, 68–74 (2015).\n75. Mallick, S. et al. The Simons Genome Diversity Project: 300 genomes from 142 diverse \npopulations. Nature 538, 201–206 (2016).\n76. Speidel, L. leospeidel/twigstats: Twigstats v1.0.1. Zenodo https://doi.org/10.5281/zenodo. \n13833119 (2024).\n77. Skoglund, P. et al. Genetic evidence for two founding populations of the Americas. Nature \n525, 104–108 (2015).\n78. Prüfer, K. et al. The complete genome sequence of a Neanderthal from the Altai Mountains. \nNature 505, 43–49 (2014).\n79. Prüfer, K. et al. A high-coverage Neandertal genome from Vindija Cave in Croatia. Science \n358, 655–658 (2017).\nAcknowledgements L.S. was supported by a Sir Henry Wellcome Fellowship (220457/Z/20/Z). \nP.S. was supported by the European Molecular Biology Organization, the Vallee Foundation, \nthe European Research Council (852558), the Wellcome Trust (217223/Z/19/Z) and Francis \nCrick Institute core funding (FC001595) from Cancer Research UK, the UK Medical Research \nCouncil and the Wellcome Trust. B.R. was supported by the Swedish Research Council \n(2021-03333).\nAuthor contributions P.S. supervised the study. L.S. and P.S. developed the method. L.S, M.S. \nand P.S. curated the dataset. L.S. and P.S. analysed the data and wrote the manuscript. L.S., \nM.S., T.B., B.R., K.A., C.B., A.G., P.H. and P.S. interpreted the results and edited the manuscript.\nFunding Open Access funding provided by The Francis Crick Institute.\nCompeting interests The authors declare no competing interests.\nAdditional information\nSupplementary information The online version contains supplementary material available at \nhttps://doi.org/10.1038/s41586-024-08275-2.\nCorrespondence and requests for materials should be addressed to Leo Speidel or \nPontus Skoglund.\nPeer review information Nature thanks Jerome Kelleher, Duncan Sayer and the other, \nanonymous, reviewer(s) for their contribution to the peer review of this work. Peer reviewer \nreports are available.\nReprints and permissions information is available at http://www.nature.com/reprints.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "Where will the 2024 AI + Energy summit take place ?", - "target_page": 1, - "target_passage": "The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Log in\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\nNew Artificial Intelligence Summit Series Begins With\nEnergy\n \n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit\nSeries.\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington,\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant\nenergy future. The event also aims to address the implications of AI and energy for national security and promote\npartnerships between AI and energy stakeholders.\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research.\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy,\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American\nadversaries could gain the upper hand in AI leadership, according to SCSP experts.\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan.\nArticle Link\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\nARTS AND ENTERTAINMENT\n07/31/2024\nCelebrate St. Patrick's Day with\nNo Booze, Just Pure Irish Fun and\nEntertainment\nMar 06, 2024\nSay Hello to Your Big Break at the\nStapleton Library Job Fair in\nVocation, Trade, or Civil Service\nMar 06, 2024\nLocal Artists Collaborate for a\nUnique Fusion of Groove and\nCollage\nMar 06, 2024\nExplore Downtown San Pedro\nwith Flair: Ride the Iconic Red Car\nTrolley for Free\nMar 06, 2024\nRetrain Your Emotional Brain: A\nNatural Alternative to Weight\nLoss Drugs\nFeb 22, 2024\nSerial Entrepreneur Teaches Us\nHow to Go the Distance in\nBusiness and in Life\nFeb 21, 2024\nFASHION\nBUSINESS\nINFOGRAPHIC\nENVIRONMENT\nHEALTH\nMONEY\nFOOD\nTRAVEL\nBRIDAL\nRECREATION\nTECHNOLOGY\nHOME\nEDUCATION\nARTS & ENTERTAINMENT\nAUTO\nCHILDREN\nFITNESS\nHOLIDAY\nINSURANCE\nLAWN & GARDEN\nLISTICLE\nNUTRITION\nPARENTING\nPETS\nSEASONAL\nSENIORS\nSPANISH\nTIPS AND HOW TO\nENTERTAINMENT\nCAREER\nCOMMUNITY\nFAMILY\nTIPS\nINTERNET\nHUMAN_INTEREST\nBEAUTY\nARTS\nREALESTATE\nSAFETY\nMEDICINE\nBOOK_REVIEW\nRECIPE\nAFRICAN_AMERICANS\nHOW_TO\nBYLINED_COLUMN\nCHARITY\nSPORTS\nHOME_IMPROVEMENT\nTECH\nWELLNESS\nARTS AND ENTERTAINMENT\nFOOD & DRINK\nREAL_ESTATE\nVETERANS\nOUTDOORS\nREAL ESTATE\nHUMAN INTEREST\nMONEY & FINANCE\nFASHION & BEAUTY\nMONEY AND FINANCE\nBOOKS & ENTERTAINMENT\nBOOKS\nARTS & ENTERTAINMENT  \nCATEGORIES\nRECENT POSTS\nSchool Choice Combines Nature And\nNuture for Success\nThink Outside the (Gift) Box, Contribute to\na 529 Plan\nBlack Friday Bonanza—Don’t Miss These\nHot Gifts\nSelf-Publishing Helps Parents Share New\nBooks with Kids\nFive Tips to Safely Manage Medications\nSelf-care on Your Schedule with Mental\nWellness App\nEntrepreneur Inspires Youth\nwith Community Projects\nWho Celebrates National\nSchool Choice Week?\nNo Arms, No Legs, No Worries\nScent-imental: Holiday Smells\nEvoke Happy Memories\nTechnology Breakthroughs\nDrive Clean Energy Success\nSafety App Empowers", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "211. Hiller, Jennifer (20 September 2024). \"Three Mile Island's Nuclear Plant to Reopen, Help\nPower Microsoft's AI Centers\" (https://www.wsj.com/business/energy-oil/three-mile-islands-n\nuclear-plant-to-reopen-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults_pos\n1&page=1). Wall Street Journal. Dow Jones. Archived (https://web.archive.org/web/2024100\n5170152/https://www.wsj.com/business/energy-oil/three-mile-islands-nuclear-plant-to-reope\nn-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults_pos1&page=1) from the\noriginal on 5 October 2024. Retrieved 5 October 2024.\n212. Niva Yadav (19 August 2024). \"Taiwan to stop large data centers in the North, cites\ninsufficient power\" (https://www.datacenterdynamics.com/en/news/taiwan-to-stop-large-data\n-centers-in-the-north-cites-insufficient-power/). DatacenterDynamics.\n213. 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Retrieved 23 May 2024.\n319. Russell & Norvig 2021, p. 9.\n320. Copeland, J., ed. (2004). The Essential Turing: the ideas that gave birth to the computer\nage. Oxford, England: Clarendon Press. ISBN 0-1982-5079-7.\n321. \"Google books ngram\" (https://books.google.com/ngrams/graph?content=electronic+brain&\nyear_start=1930&year_end=2019&corpus=en-2019&smoothing=3). Archived (https://web.ar\nchive.org/web/20241005170209/https://books.google.com/ngrams/graph?content=electronic\n+brain&year_start=1930&year_end=2019&corpus=en-2019&smoothing=3) from the original\non 5 October 2024. Retrieved 5 October 2024.\n322. AI's immediate precursors: McCorduck (2004, pp. 51–107), Crevier (1993, pp. 27–32),\nRussell & Norvig (2021, pp. 8–17), Moravec (1988, p. 3)\n323. Turing's original publication of the Turing test in \"Computing machinery and intelligence\":\nTuring (1950) Historical influence and philosophical implications: Haugeland (1985, pp. 6–\n9), Crevier (1993, p. 24), McCorduck (2004, pp. 70–71), Russell & Norvig (2021, pp. 2, 984)\n324. Crevier (1993), pp. 47–49.\n325. Russell & Norvig (2003), p. 17.\n326. Russell & Norvig (2003), p. 18.\n327. Newquist (1994), pp. 86–86.\n328. Simon (1965, p. 96) quoted in Crevier (1993, p. 109)\n329. Minsky (1967, p. 2) quoted in Crevier (1993, p. 109)\n330. Russell & Norvig (2021), p. 21.\n331. Lighthill (1973).\n332. NRC 1999, pp. 212–213.\n333. Russell & Norvig (2021), p. 22.\n334. Expert systems: Russell & Norvig (2021, pp. 23, 292), Luger & Stubblefield (2004, pp. 227–\n331), Nilsson (1998, chpt. 17.4), McCorduck (2004, pp. 327–335, 434–435), Crevier (1993,\npp. 145–162, 197–203), Newquist (1994, pp. 155–183)", - "page_start": 47, - "page_end": 47, - "source_file": "wikipedia3.pdf" - }, - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the\nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314]\n28 countries including the United States, China, and the European Union issued a declaration at the start\nof the summit, calling for international co-operation to manage the challenges and risks of artificial\nintelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety\ncommitments on the development of AI.[317][318]\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity.\nThe study of logic led directly to Alan Turing's theory of computation, which suggested that a machine,\nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical\nreasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and\nneurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They\ndeveloped several areas of research that would become part of AI,[322] such as McCullouch and Pitts\ndesign for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery\nand Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was\nplausible.[323][320]\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees\nbecame the leaders of AI research in the 1960s.[t] They and their students produced programs that the\npress described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems\nin algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were\nset up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320]\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in\ncreating a machine with general intelligence and considered this the goal of their field.[327] In 1965\nHerbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can\ndo\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating\n'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty\nof the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in\nresponse to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund\nmore productive projects.[332] Minsky's and Papert's book Perceptrons was understood as proving that\nartificial neural networks would never be useful for solving real-world tasks, thus discrediting the\napproach altogether.[333] The \"AI winter\", a period when obtaining funding for AI projects was difficult,\nfollowed.[9]\nIn the early 1980s, AI research was revived by the commercial success of expert systems,[334] a form of\nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for\nAI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired\nthe U.S. and British governments to restore funding for academic research.[8] However, beginning with\nthe collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer-\nlasting winter began.[10]\nHistory", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The first global AI Safety Summit was held\nin 2023 with a declaration calling for\ninternational cooperation.\nPromotion of the wellbeing of the people and communities that these technologies affect requires\nconsideration of the social and ethical implications at all stages of AI system design, development and\nimplementation, and collaboration between job roles such as data scientists, product managers, data\nengineers, domain experts, and delivery managers.[300]\nThe UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations\navailable under a MIT open-source licence which is freely available on GitHub and can be improved with\nthird-party packages. It can be used to evaluate AI models in a range of areas including core knowledge,\nability to reason, and autonomous capabilities.[301]\nThe regulation of artificial intelligence is the development\nof public sector policies and laws for promoting and\nregulating AI; it is therefore related to the broader regulation\nof algorithms.[302] The regulatory and policy landscape for\nAI is an emerging issue in jurisdictions globally.[303]\nAccording to AI Index at Stanford, the annual number of\nAI-related laws passed in the 127 survey countries jumped\nfrom one passed in 2016 to 37 passed in 2022\nalone.[304][305] Between 2016 and 2020, more than 30\ncountries adopted dedicated strategies for AI.[306] Most EU\nmember states had released national AI strategies, as had\nCanada, China, India, Japan, Mauritius, the Russian\nFederation, Saudi Arabia, United Arab Emirates, U.S., and\nVietnam. Others were in the process of elaborating their own AI strategy, including Bangladesh, Malaysia\nand Tunisia.[306] The Global Partnership on Artificial Intelligence was launched in June 2020, stating a\nneed for AI to be developed in accordance with human rights and democratic values, to ensure public\nconfidence and trust in the technology.[306] Henry Kissinger, Eric Schmidt, and Daniel Huttenlocher\npublished a joint statement in November 2021 calling for a government commission to regulate AI.[307]\nIn 2023, OpenAI leaders published recommendations for the governance of superintelligence, which they\nbelieve may happen in less than 10 years.[308] In 2023, the United Nations also launched an advisory\nbody to provide recommendations on AI governance; the body comprises technology company\nexecutives, governments officials and academics.[309] In 2024, the Council of Europe created the first\ninternational legally binding treaty on AI, called the \"Framework Convention on Artificial Intelligence\nand Human Rights, Democracy and the Rule of Law\". It was adopted by the European Union, the United\nStates, the United Kingdom, and other signatories.[310]\nIn a 2022 Ipsos survey, attitudes towards AI varied greatly by country; 78% of Chinese citizens, but only\n35% of Americans, agreed that \"products and services using AI have more benefits than drawbacks\".[304]\nA 2023 Reuters/Ipsos poll found that 61% of Americans agree, and 22% disagree, that AI poses risks to\nhumanity.[311] In a 2023 Fox News poll, 35% of Americans thought it \"very important\", and an additional\n41% thought it \"somewhat important\", for the federal government to regulate AI, versus 13% responding\n\"not very important\" and 8% responding \"not at all important\".[312][313]\nRegulation", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia3.pdf" - }, - { - "text": "In 2023, we convened hundreds viaroundtables, community conferences(e.g. MozFest, Wikimania), and publicevents (e.g. symposium on GenerativeAI & Creativity)to debate copyright law,the ethics of open sharing, and otherrelevant areas that touch AI. \nAt our CC Global Summit, participantsdrafted community-driven principleson AI that are a valuable input and willhelp inform the organization’s thinkingas we determine CC’s exact role in the AIspace. \n“The Pillars of Creation” by James Webb Space Telescope is licensed under CC BY 2.0. \nAreas of Exploration\nSupport for Creators in the Time of Artificial Intelligence", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2\n6/big-tech-and-the-pursuit-of-ai-dominance). The Economist. 26 March 2023. Archived (http\ns://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/\nbig-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww\nw.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). CNN Business. Archived\n(https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloud-\ncompetition-and-ai/index.html) from the original on 13 January 2024.\n202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w\nww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). The\nNew York Times. Archived (https://web.archive.org/web/20240708214644/https://www.nytim\nes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original\non 8 July 2024. Retrieved 5 October 2024.\n203. \"Electricity 2024 – Analysis\" (https://www.iea.org/reports/electricity-2024). IEA. 24 January\n2024. Retrieved 13 July 2024.\n204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's\nonly the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener\ngy-experts-expect-it-to-double-in-just-a-few-years). Vox. New York, New York. Archived (http\ns://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172\n1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original\non 3 July 2024. Retrieved 5 October 2024.\n205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech\nfirms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2\n1/artificial-intelligence-nuclear-fusion-climate/?utm_campaign=wp_post_most&utm_medium\n=email&utm_source=newsletter&wpisrc=nl_most&carta-url=https%3A%2F%2Fs2.washingto\nnpost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f\n20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). Washington Post.\n206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web.\narchive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res\nearch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf)\n(PDF). Goldman Sachs. Archived from the original (https://www.goldmansachs.com/intellige\nnce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg\ne/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http\ns://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). Wall Street\nJournal. Dow Jones.\n208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https://\nwww.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7\n5316?mod=djem10point). Wall Street Journal. Dow Jones. Archived (https://web.archive.or\ng/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc\nk-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October\n2024. Retrieved 5 October 2024.\n209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to\nFeed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s\nays-nuclear-power-an-option-to-feed-data-centers). Bloomberg.\n210. Halper, Evan (20 September 2024). \"Microsoft deal would reopen Three Mile Island nuclear\nplant to power AI\" (https://www.washingtonpost.com/business/2024/09/20/microsoft-three-mi\nle-island-nuclear-constellation). Washington Post.", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "AI & ML in Fusion (https://suli.pppl.gov/2023/course/Rea-PPPL-SULI2023.pdf)\nAI & ML in Fusion, video lecture (https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpAN\nuQZFMzKPh/view?usp=drive_link) Archived (https://web.archive.org/web/20230702164332/\nhttps://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpANuQZFMzKPh/view?usp=drive\n_link) 2 July 2023 at the Wayback Machine\nAlter, Alexandra; Harris, Elizabeth A. (20 September 2023), \"Franzen, Grisham and Other\nProminent Authors Sue OpenAI\" (https://www.nytimes.com/2023/09/20/books/authors-open\nai-lawsuit-chatgpt-copyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103\n259&nl=todaysheadlines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae\n0ec44284a38bb4a88f1d), The New York Times, archived (https://web.archive.org/web/2024\n0914155020/https://www.nytimes.com/2023/09/20/books/authors-openai-lawsuit-chatgpt-co\npyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103259&nl=todaysheadl\nines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae0ec44284a38bb4a88\nf1d) from the original on 14 September 2024, retrieved 5 October 2024\nAltman, Sam; Brockman, Greg; Sutskever, Ilya (22 May 2023). \"Governance of\nSuperintelligence\" (https://openai.com/blog/governance-of-superintelligence). openai.com.\nArchived (https://web.archive.org/web/20230527061619/https://openai.com/blog/governanc\ne-of-superintelligence) from the original on 27 May 2023. Retrieved 27 May 2023.\nAnderson, Susan Leigh (2008). \"Asimov's \"three laws of robotics\" and machine metaethics\". AI\n& Society. 22 (4): 477–493. doi:10.1007/s00146-007-0094-5 (https://doi.org/10.1007%2Fs0\n0146-007-0094-5). S2CID 1809459 (https://api.semanticscholar.org/CorpusID:1809459).\nAnderson, Michael; Anderson, Susan Leigh (2011). Machine Ethics. Cambridge University\nPress.\nArntz, Melanie; Gregory, Terry; Zierahn, Ulrich (2016), \"The risk of automation for jobs in OECD\ncountries: A comparative analysis\", OECD Social, Employment, and Migration Working\nPapers 189\nAsada, M.; Hosoda, K.; Kuniyoshi, Y.; Ishiguro, H.; Inui, T.; Yoshikawa, Y.; Ogino, M.; Yoshida,\nC. (2009). \"Cognitive developmental robotics: a survey\". IEEE Transactions on Autonomous\nMental Development. 1 (1): 12–34. doi:10.1109/tamd.2009.2021702 (https://doi.org/10.110\n9%2Ftamd.2009.2021702). S2CID 10168773 (https://api.semanticscholar.org/CorpusID:101\n68773).\n\"Ask the AI experts: What's driving today's progress in AI?\" (https://www.mckinsey.com/business\n-functions/mckinsey-analytics/our-insights/ask-the-ai-experts-whats-driving-todays-progress-\nin-ai). McKinsey & Company. Archived (https://web.archive.org/web/20180413190018/http\ns://www.mckinsey.com/business-functions/mckinsey-analytics/our-insights/ask-the-ai-expert\ns-whats-driving-todays-progress-in-ai) from the original on 13 April 2018. Retrieved 13 April\n2018.\nBarfield, Woodrow; Pagallo, Ugo (2018). Research handbook on the law of artificial intelligence.\nCheltenham, UK: Edward Elgar Publishing. ISBN 978-1-7864-3904-8. OCLC 1039480085\n(https://search.worldcat.org/oclc/1039480085).\nBeal, J.; Winston, Patrick (2009), \"The New Frontier of Human-Level Artificial Intelligence\",\nIEEE Intelligent Systems, vol. 24, pp. 21–24, doi:10.1109/MIS.2009.75 (https://doi.org/10.11\n09%2FMIS.2009.75), hdl:1721.1/52357 (https://hdl.handle.net/1721.1%2F52357),\nS2CID 32437713 (https://api.semanticscholar.org/CorpusID:32437713)\nBerdahl, Carl Thomas; Baker, Lawrence; Mann, Sean; Osoba, Osonde; Girosi, Federico (7\nFebruary 2023). \"Strategies to Improve the Impact of Artificial Intelligence on Health Equity:\nScoping Review\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC11041459). JMIR AI. 2:\ne42936. doi:10.2196/42936 (https://doi.org/10.2196%2F42936). ISSN 2817-1705 (https://se\narch.worldcat.org/issn/2817-1705). PMC 11041459 (https://www.ncbi.nlm.nih.gov/pmc/articl\nes/PMC11041459). PMID 38875587 (https://pubmed.ncbi.nlm.nih.gov/38875587).\nS2CID 256681439 (https://api.semanticscholar.org/CorpusID:256681439).", - "page_start": 52, - "page_end": 52, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed\napproach is to envision a separate sui generis system of protection for creations generated by AI to ensure\nfair attribution and compensation for human authors.[197]\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple\nInc., Meta Platforms, and Microsoft.[198][199][200] Some of these players already own the vast majority of\nexisting cloud infrastructure and computing power from data centers, allowing them to entrench further in\nthe marketplace.[201][202]\nIn January 2024, the International Energy Agency (IEA) released Electricity 2024, Analysis and Forecast\nto 2026, forecasting electric power use.[203] This is the first IEA report to make projections for data\ncenters and power consumption for artificial intelligence and cryptocurrency. The report states that power\ndemand for these uses might double by 2026, with additional electric power usage equal to electricity\nused by the whole Japanese nation.[204]\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay\nclosings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of\ndata centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon)\ninto voracious consumers of electric power. Projected electric consumption is so immense that there is\nconcern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the\nelectrical energy as a Google search. The large firms are in haste to find power sources – from nuclear\nenergy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually\nkinder to the environment, but they need the energy now. AI makes the power grid more efficient and\n\"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to\ntechnology firms.[205]\nA 2024 Goldman Sachs Research Paper, AI Data Centers and the Coming US Power Demand Surge,\nfound \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that,\nby 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for\nthe electrical power generation industry by a variety of means.[206] Data centers' need for more and more\nelectrical power is such that they might max out the electrical grid. The Big Tech companies counter that\nAI can be used to maximize the utilization of the grid by all.[207]\nIn 2024, the Wall Street Journal reported that big AI companies have begun negotiations with the US\nnuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a\nPennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said\nnuclear power is a good option for the data centers.[209]\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three\nMile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the\nplant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in\n1979, will require Constellation to get through strict regulatory processes which will include extensive\nsafety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US\nre-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of\nDominance by tech giants\nPower needs and environmental impacts", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - }, - { - "text": "energy will be produced. The cost for re-opening and upgrading is estimated at $1.6 billion (US) and is\ndependent on tax breaks for nuclear power contained in the 2022 US Inflation Reduction Act.[210] The\nUS government and the state of Michigan are investing almost $2 billion (US) to reopen the Palisades\nNuclear reactor on Lake Michigan. Closed since 2022, the plant is planned to be reopened in October\n2025. The Three Mile Island facility will be renamed the Crane Clean Energy Center after Chris Crane, a\nnuclear proponent and former CEO of Exelon who was responsible for Exelon spinoff of\nConstellation.[211]\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of\nTaoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages.[212] Taiwan aims to\nphase out nuclear power by 2025.[212] On the other hand, Singapore imposed a ban on the opening of\ndata centers in 2019 due to electric power, but in 2022, lifted this ban.[212]\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident,\naccording to an October 2024 Bloomberg article in Japanese, cloud gaming services company Ubitus, in\nwhich Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for\ngenerative AI.[213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and\nstable power for AI.[213]\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application\nsubmitted by Talen Energy for approval to supply some electricity from the nuclear power station\nSusquehanna to Amazon's data center.[214] According to the Commission Chairman Willie L. Phillips, it\nis a burden on the electricity grid as well as a significant cost shifting concern to households and other\nbusiness sectors.[214]\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI\nprograms were given the goal of maximizing user engagement (that is, the only goal was to keep people\nwatching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme\npartisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch\nmore content on the same subject, so the AI led people into filter bubbles where they received multiple\nversions of the same misinformation.[215] This convinced many users that the misinformation was true,\nand ultimately undermined trust in institutions, the media and the government.[216] The AI program had\ncorrectly learned to maximize its goal, but the result was harmful to society. After the U.S. election in\n2016, major technology companies took steps to mitigate the problem .\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real\nphotographs, recordings, films, or human writing. It is possible for bad actors to use this technology to\ncreate massive amounts of misinformation or propaganda.[217] AI pioneer Geoffrey Hinton expressed\nconcern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among\nother risks.[218]\nMachine learning applications will be biased[k] if they learn from biased data.[220] The developers may\nnot be aware that the bias exists.[221] Bias can be introduced by the way training data is selected and by\nthe way a model is deployed.[222][220] If a biased algorithm is used to make decisions that can seriously\nMisinformation\nAlgorithmic bias and fairness", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What is the United States SCSP ?", - "target_page": 1, - "target_passage": "he Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Appendix C. Terminology 785\nSecurity Key Lifecycle Manager\nSecurity Key Lifecycle Manager (SKLM) centralizes, simplifies, and automates the encryption \nkey management process to help minimize risk and reduce operational costs of encryption \nkey management.\nSerial-attached SCSI\nSAS is a method that is used in accessing computer peripheral devices that employs a serial \n(1 bit at a time) means of digital data transfer over thin cables. The method is specified in the \nAmerican National Standard Institute standard called SAS. In the business enterprise, SAS is \nuseful for access to mass storage devices, particularly external hard disk drives.\nService Location Protocol \nThe Service Location Protocol (SLP) is an internet service discovery protocol that enables \ncomputers and other devices to find services in a local area network (LAN) without prior \nconfiguration. It was defined in the request for change (RFC) 2608.\nSmall Computer System Interface (SCSI)\nSmall Computer System Interface (SCSI) is an ANSI-standard electronic interface with which \npersonal computers can communicate with peripheral hardware, such as disk drives, tape \ndrives, CD-ROM drives, printers, and scanners, faster and more flexibly than with previous \ninterfaces.\nSnapshot\nA snapshot is an image backup type that consists of a point-in-time view of a volume.\nSolid-state disk\nA solid-state disk (SSD) or Flash Disk is a disk that is made from solid-state memory and \ntherefore has no moving parts. Most SSDs use NAND-based flash memory technology. It is \ndefined to the Storwize V7000 as a disk tier generic_ssd.\nSpace efficient\nSee “Thin provisioning” on page 786.\nSpare\nAn extra storage component, such as a drive or tape, that is predesignated for use as a \nreplacement for a failed component.\nSpare goal\nThe optimal number of spares that are needed to protect the drives in the array from failures. \nThe system logs a warning event when the number of spares that protect the array drops \nbelow this number.\nSpace-efficient volume \nFor more information about a space-efficient volume, see “Thin-provisioned volume” on \npage 786.\nStand-alone relationship\nIn FlashCopy, Metro Mirror, and Global Mirror, relationships that do not belong to a \nconsistency group and that have a null consistency-group attribute.", - "page_start": 806, - "page_end": 806, - "source_file": "sg247938.pdf" - }, - { - "text": "Paper\nFSC® C007299\nu", - "page_start": 119, - "page_end": 119, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Log in\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\nNew Artificial Intelligence Summit Series Begins With\nEnergy\n \n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit\nSeries.\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington,\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant\nenergy future. The event also aims to address the implications of AI and energy for national security and promote\npartnerships between AI and energy stakeholders.\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research.\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy,\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American\nadversaries could gain the upper hand in AI leadership, according to SCSP experts.\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan.\nArticle Link\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\nARTS AND ENTERTAINMENT\n07/31/2024\nCelebrate St. Patrick's Day with\nNo Booze, Just Pure Irish Fun and\nEntertainment\nMar 06, 2024\nSay Hello to Your Big Break at the\nStapleton Library Job Fair in\nVocation, Trade, or Civil Service\nMar 06, 2024\nLocal Artists Collaborate for a\nUnique Fusion of Groove and\nCollage\nMar 06, 2024\nExplore Downtown San Pedro\nwith Flair: Ride the Iconic Red Car\nTrolley for Free\nMar 06, 2024\nRetrain Your Emotional Brain: A\nNatural Alternative to Weight\nLoss Drugs\nFeb 22, 2024\nSerial Entrepreneur Teaches Us\nHow to Go the Distance in\nBusiness and in Life\nFeb 21, 2024\nFASHION\nBUSINESS\nINFOGRAPHIC\nENVIRONMENT\nHEALTH\nMONEY\nFOOD\nTRAVEL\nBRIDAL\nRECREATION\nTECHNOLOGY\nHOME\nEDUCATION\nARTS & ENTERTAINMENT\nAUTO\nCHILDREN\nFITNESS\nHOLIDAY\nINSURANCE\nLAWN & GARDEN\nLISTICLE\nNUTRITION\nPARENTING\nPETS\nSEASONAL\nSENIORS\nSPANISH\nTIPS AND HOW TO\nENTERTAINMENT\nCAREER\nCOMMUNITY\nFAMILY\nTIPS\nINTERNET\nHUMAN_INTEREST\nBEAUTY\nARTS\nREALESTATE\nSAFETY\nMEDICINE\nBOOK_REVIEW\nRECIPE\nAFRICAN_AMERICANS\nHOW_TO\nBYLINED_COLUMN\nCHARITY\nSPORTS\nHOME_IMPROVEMENT\nTECH\nWELLNESS\nARTS AND ENTERTAINMENT\nFOOD & DRINK\nREAL_ESTATE\nVETERANS\nOUTDOORS\nREAL ESTATE\nHUMAN INTEREST\nMONEY & FINANCE\nFASHION & BEAUTY\nMONEY AND FINANCE\nBOOKS & ENTERTAINMENT\nBOOKS\nARTS & ENTERTAINMENT  \nCATEGORIES\nRECENT POSTS\nSchool Choice Combines Nature And\nNuture for Success\nThink Outside the (Gift) Box, Contribute to\na 529 Plan\nBlack Friday Bonanza—Don’t Miss These\nHot Gifts\nSelf-Publishing Helps Parents Share New\nBooks with Kids\nFive Tips to Safely Manage Medications\nSelf-care on Your Schedule with Mental\nWellness App\nEntrepreneur Inspires Youth\nwith Community Projects\nWho Celebrates National\nSchool Choice Week?\nNo Arms, No Legs, No Worries\nScent-imental: Holiday Smells\nEvoke Happy Memories\nTechnology Breakthroughs\nDrive Clean Energy Success\nSafety App Empowers", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "FINANCIAL SECTION\nNissan Annual Report 200482\n9. RETIREMENT BENEFIT PLANS\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans (“WPFP”), t ax-qualified\npension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts\nof which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain\nforeign consolidated subsidiaries have defined benefit and contribution plans.\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balan ce sheets as\nof March 31, 2005 and 2004 for the Company’s and the consolidated subsidiaries’ defined benefit plans:\nThousands of\nMillions of yen U.S. dollars\n2004 2003 2004\nAs of Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2005\nRetirement benefit obligation....................................................................................................................................... ¥(1,217,260) ¥(1,041,483) $(11,376,262)\nPlan assets at fair value.................................................................................................................................................... 500,815 377,169 4,680,514\nUnfunded retirement benefit obligation............................................................................................................... (716,445) (664,314) (6,695,748)\nUnrecognized net retirement benefit obligation at transition ........................................................... 120,718 131,666 1,128,206\nUnrecognized actuarial gain or loss........................................................................................................................ 154,689 152,867 1,445,691\nUnrecognized prior service cost................................................................................................................................. (66,720) (61,833) (623,551)\nNet retirement benefit obligation.............................................................................................................................. (507,758) (441,614) (4,745,402)\nPrepaid pension cost........................................................................................................................................................... 445 652 4,159\nAccrued retirement benefits.......................................................................................................................................... ¥ (508,203) ¥ (442,266) $ (4,749,561)\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.\nThe Company received the approval from the Minister of Health, Labor and Welfare (“MHLW”) in the year ended March 31, 2003 with respect\nto its application for exemption from the obligation for benefits related to future employee services under the substitutional portion of the WPFP.\nCertain domestic consolidated subsidiaries received the same approval from MHLW during the year ended March 31, 2004. In accord ance with\nthe transitional provision stipulated in “Practical Guidelines for Accounting for Retirement Benefits,” the Company and the dom estic consolidated\nsubsidiaries accounted for the separation of the substitutional portion of the benefit obligation from the corporate portion of the benefit obligation\nunder their WPFPs as of the dates of approval for their exemption assuming that the transfer to the Japanese government of the substitutional\nportion of the benefit obligation and related pension plan assets had been completed as of those dates. As a result, the Compan y recognized a\nloss of ¥30,945 million for the year ended March 31, 2003 and the domestic consolidated subsidiaries recognized an aggregate ga in of ¥3,669", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Table of ContentsCertain Investigations and Other MattersWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities suchas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and ExchangeCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. Theongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents,Autopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel,and related parties. We routinely cooperate with such formal and informal requests for information, investigations, and otherinquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred.We cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcementaction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows,financial position or brand.We are also subject to various other legal proceedings, risks and claims that arise from the normal course of businessactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certainmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notificationsto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certainlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Courtfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed byseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If anunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists thepossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.Note 11 – Variable Interest Entity ArrangementsThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of anyintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):September 30,2024December 31,2023AssetsCurrent assetsCash and cash equivalents $ 51 $ 66Accounts receivable, net 28 13Prepaid expenses and other current assets263 361Total current assets 342 440Operating lease vehicles, net 451 —Solar energy systems, net 2,524 3,278Other non-current assets190 369Total assets$ 3,507 $ 4,087LiabilitiesCurrent liabilitiesAccrued liabilities and other $ 36 $ 67Deferred revenue 7 6Current portion of debt and finance leases1,930 1,564Total current liabilities 1,973 1,637Deferred revenue, net of current portion 81 99Debt and finance leases, net of current portion1,826 2,041Total liabilities$ 3,880 $ 3,77724\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n30 sur 4910/01/2025, 14:33", - "page_start": 29, - "page_end": 29, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549FORM 10-Q(Mark One)xQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF1934For the quarterly period ended September 30, 2024ORoTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF1934For the transition period from _________ to _________Commission File Number: 001-34756Tesla, Inc.(Exact name of registrant as specified in its charter)Texas 91-2197729(State or other jurisdiction ofincorporation or organization)(I.R.S. EmployerIdentification No.)1 Tesla RoadAustin, Texas78725(Address of principal executive offices) (Zip Code)(512) 516-8177(Registrant’s telephone number, including area code)Securities registered pursuant to Section 12(b) of the Act:Title of each class Trading Symbol(s) Name of each exchange on which registeredCommon stock TSLA The Nasdaq Global Select MarketIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of1934 (“Exchange Act”) during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has beensubject to such filing requirements for the past 90 days. Yesx No oIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).Yesx No oIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, oran emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growthcompany” in Rule 12b-2 of the Exchange Act:Large accelerated filerxAccelerated fileroNon-accelerated fileroSmaller reporting companyoEmerging growth companyoIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revisedfinancial accounting standards provided pursuant to Section 13(a) of the Exchange Act. oIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No xAs of October 18, 2024, there were 3,210,059,659 shares of the registrant’s common stock outstanding.\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n1 sur 4910/01/2025, 14:33", - "page_start": 0, - "page_end": 0, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n14 sur 4910/01/2025, 14:33", - "page_start": 13, - "page_end": 13, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n36 sur 4910/01/2025, 14:33", - "page_start": 35, - "page_end": 35, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n33 sur 4910/01/2025, 14:33", - "page_start": 32, - "page_end": 32, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n28 sur 4910/01/2025, 14:33", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What are some example of uses AI by the US departement of energy ?", - "target_page": 1, - "target_passage": "The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Franzen) sued AI companies for using their work to train generative AI.[195][196] Another discussed\napproach is to envision a separate sui generis system of protection for creations generated by AI to ensure\nfair attribution and compensation for human authors.[197]\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple\nInc., Meta Platforms, and Microsoft.[198][199][200] Some of these players already own the vast majority of\nexisting cloud infrastructure and computing power from data centers, allowing them to entrench further in\nthe marketplace.[201][202]\nIn January 2024, the International Energy Agency (IEA) released Electricity 2024, Analysis and Forecast\nto 2026, forecasting electric power use.[203] This is the first IEA report to make projections for data\ncenters and power consumption for artificial intelligence and cryptocurrency. The report states that power\ndemand for these uses might double by 2026, with additional electric power usage equal to electricity\nused by the whole Japanese nation.[204]\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay\nclosings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of\ndata centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon)\ninto voracious consumers of electric power. Projected electric consumption is so immense that there is\nconcern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the\nelectrical energy as a Google search. The large firms are in haste to find power sources – from nuclear\nenergy to geothermal to fusion. The tech firms argue that – in the long view – AI will be eventually\nkinder to the environment, but they need the energy now. AI makes the power grid more efficient and\n\"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to\ntechnology firms.[205]\nA 2024 Goldman Sachs Research Paper, AI Data Centers and the Coming US Power Demand Surge,\nfound \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that,\nby 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for\nthe electrical power generation industry by a variety of means.[206] Data centers' need for more and more\nelectrical power is such that they might max out the electrical grid. The Big Tech companies counter that\nAI can be used to maximize the utilization of the grid by all.[207]\nIn 2024, the Wall Street Journal reported that big AI companies have begun negotiations with the US\nnuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a\nPennsylvania nuclear-powered data center for $650 Million (US).[208] Nvidia CEO Jen-Hsun Huang said\nnuclear power is a good option for the data centers.[209]\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three\nMile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the\nplant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in\n1979, will require Constellation to get through strict regulatory processes which will include extensive\nsafety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US\nre-commissioning of a nuclear plant), over 835 megawatts of power – enough for 800,000 homes – of\nDominance by tech giants\nPower needs and environmental impacts", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - }, - { - "text": "AI & ML in Fusion (https://suli.pppl.gov/2023/course/Rea-PPPL-SULI2023.pdf)\nAI & ML in Fusion, video lecture (https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpAN\nuQZFMzKPh/view?usp=drive_link) Archived (https://web.archive.org/web/20230702164332/\nhttps://drive.google.com/file/d/1npCTrJ8XJn20ZGDA_DfMpANuQZFMzKPh/view?usp=drive\n_link) 2 July 2023 at the Wayback Machine\nAlter, Alexandra; Harris, Elizabeth A. (20 September 2023), \"Franzen, Grisham and Other\nProminent Authors Sue OpenAI\" (https://www.nytimes.com/2023/09/20/books/authors-open\nai-lawsuit-chatgpt-copyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103\n259&nl=todaysheadlines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae\n0ec44284a38bb4a88f1d), The New York Times, archived (https://web.archive.org/web/2024\n0914155020/https://www.nytimes.com/2023/09/20/books/authors-openai-lawsuit-chatgpt-co\npyright.html?campaign_id=2&emc=edit_th_20230921&instance_id=103259&nl=todaysheadl\nines®i_id=62816440&segment_id=145288&user_id=ad24f3545dae0ec44284a38bb4a88\nf1d) from the original on 14 September 2024, retrieved 5 October 2024\nAltman, Sam; Brockman, Greg; Sutskever, Ilya (22 May 2023). \"Governance of\nSuperintelligence\" (https://openai.com/blog/governance-of-superintelligence). openai.com.\nArchived (https://web.archive.org/web/20230527061619/https://openai.com/blog/governanc\ne-of-superintelligence) from the original on 27 May 2023. Retrieved 27 May 2023.\nAnderson, Susan Leigh (2008). \"Asimov's \"three laws of robotics\" and machine metaethics\". AI\n& Society. 22 (4): 477–493. doi:10.1007/s00146-007-0094-5 (https://doi.org/10.1007%2Fs0\n0146-007-0094-5). S2CID 1809459 (https://api.semanticscholar.org/CorpusID:1809459).\nAnderson, Michael; Anderson, Susan Leigh (2011). Machine Ethics. Cambridge University\nPress.\nArntz, Melanie; Gregory, Terry; Zierahn, Ulrich (2016), \"The risk of automation for jobs in OECD\ncountries: A comparative analysis\", OECD Social, Employment, and Migration Working\nPapers 189\nAsada, M.; Hosoda, K.; Kuniyoshi, Y.; Ishiguro, H.; Inui, T.; Yoshikawa, Y.; Ogino, M.; Yoshida,\nC. (2009). \"Cognitive developmental robotics: a survey\". IEEE Transactions on Autonomous\nMental Development. 1 (1): 12–34. doi:10.1109/tamd.2009.2021702 (https://doi.org/10.110\n9%2Ftamd.2009.2021702). S2CID 10168773 (https://api.semanticscholar.org/CorpusID:101\n68773).\n\"Ask the AI experts: What's driving today's progress in AI?\" (https://www.mckinsey.com/business\n-functions/mckinsey-analytics/our-insights/ask-the-ai-experts-whats-driving-todays-progress-\nin-ai). McKinsey & Company. Archived (https://web.archive.org/web/20180413190018/http\ns://www.mckinsey.com/business-functions/mckinsey-analytics/our-insights/ask-the-ai-expert\ns-whats-driving-todays-progress-in-ai) from the original on 13 April 2018. Retrieved 13 April\n2018.\nBarfield, Woodrow; Pagallo, Ugo (2018). Research handbook on the law of artificial intelligence.\nCheltenham, UK: Edward Elgar Publishing. ISBN 978-1-7864-3904-8. OCLC 1039480085\n(https://search.worldcat.org/oclc/1039480085).\nBeal, J.; Winston, Patrick (2009), \"The New Frontier of Human-Level Artificial Intelligence\",\nIEEE Intelligent Systems, vol. 24, pp. 21–24, doi:10.1109/MIS.2009.75 (https://doi.org/10.11\n09%2FMIS.2009.75), hdl:1721.1/52357 (https://hdl.handle.net/1721.1%2F52357),\nS2CID 32437713 (https://api.semanticscholar.org/CorpusID:32437713)\nBerdahl, Carl Thomas; Baker, Lawrence; Mann, Sean; Osoba, Osonde; Girosi, Federico (7\nFebruary 2023). \"Strategies to Improve the Impact of Artificial Intelligence on Health Equity:\nScoping Review\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC11041459). JMIR AI. 2:\ne42936. doi:10.2196/42936 (https://doi.org/10.2196%2F42936). ISSN 2817-1705 (https://se\narch.worldcat.org/issn/2817-1705). PMC 11041459 (https://www.ncbi.nlm.nih.gov/pmc/articl\nes/PMC11041459). PMID 38875587 (https://pubmed.ncbi.nlm.nih.gov/38875587).\nS2CID 256681439 (https://api.semanticscholar.org/CorpusID:256681439).", - "page_start": 52, - "page_end": 52, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Log in\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\nNew Artificial Intelligence Summit Series Begins With\nEnergy\n \n (AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain\nAmerica’s global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative\nwith a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit\nSeries.\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington,\nD.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and\ntechnologists to address the challenges of AI’s energy consumption and develop solutions for a resilient and abundant\nenergy future. The event also aims to address the implications of AI and energy for national security and promote\npartnerships between AI and energy stakeholders.\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy\nefficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in\novercoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced\ncomputing, emergency response, environmental modeling, climate forecasting, and materials research.\nSCSP’s recent “Action Plan for U.S. Leadership in Next-Generation Energy,” raises many issues related to AI and energy,\nincluding recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and\nother issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American\nadversaries could gain the upper hand in AI leadership, according to SCSP experts.\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP’s Next-Generation Energy Action Plan.\nArticle Link\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\nARTS AND ENTERTAINMENT\n07/31/2024\nCelebrate St. Patrick's Day with\nNo Booze, Just Pure Irish Fun and\nEntertainment\nMar 06, 2024\nSay Hello to Your Big Break at the\nStapleton Library Job Fair in\nVocation, Trade, or Civil Service\nMar 06, 2024\nLocal Artists Collaborate for a\nUnique Fusion of Groove and\nCollage\nMar 06, 2024\nExplore Downtown San Pedro\nwith Flair: Ride the Iconic Red Car\nTrolley for Free\nMar 06, 2024\nRetrain Your Emotional Brain: A\nNatural Alternative to Weight\nLoss Drugs\nFeb 22, 2024\nSerial Entrepreneur Teaches Us\nHow to Go the Distance in\nBusiness and in Life\nFeb 21, 2024\nFASHION\nBUSINESS\nINFOGRAPHIC\nENVIRONMENT\nHEALTH\nMONEY\nFOOD\nTRAVEL\nBRIDAL\nRECREATION\nTECHNOLOGY\nHOME\nEDUCATION\nARTS & ENTERTAINMENT\nAUTO\nCHILDREN\nFITNESS\nHOLIDAY\nINSURANCE\nLAWN & GARDEN\nLISTICLE\nNUTRITION\nPARENTING\nPETS\nSEASONAL\nSENIORS\nSPANISH\nTIPS AND HOW TO\nENTERTAINMENT\nCAREER\nCOMMUNITY\nFAMILY\nTIPS\nINTERNET\nHUMAN_INTEREST\nBEAUTY\nARTS\nREALESTATE\nSAFETY\nMEDICINE\nBOOK_REVIEW\nRECIPE\nAFRICAN_AMERICANS\nHOW_TO\nBYLINED_COLUMN\nCHARITY\nSPORTS\nHOME_IMPROVEMENT\nTECH\nWELLNESS\nARTS AND ENTERTAINMENT\nFOOD & DRINK\nREAL_ESTATE\nVETERANS\nOUTDOORS\nREAL ESTATE\nHUMAN INTEREST\nMONEY & FINANCE\nFASHION & BEAUTY\nMONEY AND FINANCE\nBOOKS & ENTERTAINMENT\nBOOKS\nARTS & ENTERTAINMENT  \nCATEGORIES\nRECENT POSTS\nSchool Choice Combines Nature And\nNuture for Success\nThink Outside the (Gift) Box, Contribute to\na 529 Plan\nBlack Friday Bonanza—Don’t Miss These\nHot Gifts\nSelf-Publishing Helps Parents Share New\nBooks with Kids\nFive Tips to Safely Manage Medications\nSelf-care on Your Schedule with Mental\nWellness App\nEntrepreneur Inspires Youth\nwith Community Projects\nWho Celebrates National\nSchool Choice Week?\nNo Arms, No Legs, No Worries\nScent-imental: Holiday Smells\nEvoke Happy Memories\nTechnology Breakthroughs\nDrive Clean Energy Success\nSafety App Empowers", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "Artificial intelligence\nArtificial intelligence (AI), in its broadest sense, is intelligence exhibited by machines, particularly\ncomputer systems. It is a field of research in computer science that develops and studies methods and\nsoftware that enable machines to perceive their environment and use learning and intelligence to take\nactions that maximize their chances of achieving defined goals.[1] Such machines may be called AIs.\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search);\nrecommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google\nAssistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,\nChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\napplications, often without being called AI because once something becomes useful enough and common\nenough it's not labeled AI anymore.\"[2][3]\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\ntraditional goals of AI research include reasoning, knowledge representation, planning, learning, natural\nlanguage processing, perception, and support for robotics.[a] General intelligence—the ability to complete\nany task performed by a human on an at least equal level—is among the field's long-term goals.[4] To\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\nsearch and mathematical optimization, formal logic, artificial neural networks, and methods based on\nstatistics, operations research, and economics.[b] AI also draws upon psychology, linguistics, philosophy,\nneuroscience, and other fields.[5]\nArtificial intelligence was founded as an academic discipline in 1956,[6] and the field went through\nmultiple cycles of optimism throughout its history,[7][8] followed by periods of disappointment and loss of\nfunding, known as AI winters.[9][10] Funding and interest vastly increased after 2012 when deep learning\noutperformed previous AI techniques.[11] This growth accelerated further after 2017 with the transformer\narchitecture,[12] and by the early 2020s many billions of dollars were being invested in AI and the field\nexperienced rapid ongoing progress in what has become known as the AI boom. The emergence of\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\nseveral unintended consequences and harms in the present and raised concerns about the risks of AI and\nits long-term effects in the future, prompting discussions about regulatory policies to ensure the safety\nand benefits of the technology.\nGoals", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Berryhill, Jamie; Heang, Kévin Kok; Clogher, Rob; McBride, Keegan (2019). Hello, World:\nArtificial Intelligence and its Use in the Public Sector (https://oecd-opsi.org/wp-content/uploa\nds/2019/11/AI-Report-Online.pdf) (PDF). Paris: OECD Observatory of Public Sector\nInnovation. Archived (https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp\n-content/uploads/2019/11/AI-Report-Online.pdf) (PDF) from the original on 20 December\n2019. 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(2023); Goffrey (2008, p. 17); Rose (2023); Russell & Norvig (2021, p. 995)\n224. Christian (2020), p. 25.\n225. Russell & Norvig (2021), p. 995.\n226. Grant & Hill (2023).\n227. Larson & Angwin (2016).\n228. Christian (2020), p. 67–70.\n229. Christian (2020, pp. 67–70); Russell & Norvig (2021, pp. 993–994)\n230. Russell & Norvig (2021, p. 995); Lipartito (2011, p. 36); Goodman & Flaxman (2017, p. 6);\nChristian (2020, pp. 39–40, 65)\n231. Quoted in Christian (2020, p. 65).\n232. Russell & Norvig (2021, p. 994); Christian (2020, pp. 40, 80–81)\n233. Quoted in Christian (2020, p. 80)\n234. Dockrill (2022).\n235. Sample (2017).\n236. \"Black Box AI\" (https://www.techopedia.com/definition/34940/black-box-ai). 16 June 2023.\nArchived (https://web.archive.org/web/20240615100800/https://www.techopedia.com/definiti\non/34940/black-box-ai) from the original on 15 June 2024. Retrieved 5 October 2024.\n237. Christian (2020), p. 110.", - "page_start": 42, - "page_end": 42, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Vincent van Gogh in watercolour\ncreated by generative AI software\nArtificial intelligent (AI) agents are software entities designed to\nperceive their environment, make decisions, and take actions\nautonomously to achieve specific goals. These agents can interact\nwith users, their environment, or other agents. AI agents are used\nin various applications, including virtual assistants, chatbots,\nautonomous vehicles, game-playing systems, and industrial\nrobotics. AI agents operate within the constraints of their\nprogramming, available computational resources, and hardware\nlimitations. This means they are restricted to performing tasks\nwithin their defined scope and have finite memory and processing\ncapabilities. In real-world applications, AI agents often face time\nconstraints for decision-making and action execution. Many AI\nagents incorporate learning algorithms, enabling them to improve\ntheir performance over time through experience or training. Using\nmachine learning, AI agents can adapt to new situations and\noptimise their behaviour for their designated tasks.[175][176][177]\nThere are also thousands of successful AI applications used to solve specific problems for specific\nindustries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in\nsome offerings or processes.[178] A few examples are energy storage, medical diagnosis, military\nlogistics, applications that predict the result of judicial decisions, foreign policy, or supply chain\nmanagement.\nAI applications for evacuation and disaster management are growing. AI has been used to investigate if\nand how people evacuated in large scale and small scale evacuations using historical data from GPS,\nvideos or social media. Further, AI can provide real time information on the real time evacuation\nconditions.[179][180][181]\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments\nor increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict\nthe ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct\npredictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests,\nand save water.\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and\napplications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the\ndevelopment of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting\nsolar activity, and distinguishing between signals and instrumental effects in gravitational wave\nastronomy. Additionally, it could be used for activities in space, such as space exploration, including the\nanalysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance,\nand more autonomous operation.\nOther industry-specific tasks", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How can I contact Investor Relations of HON industries through email ?", - "target_page": 63, - "target_passage": "E-mail: investorrelations@honi.com", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n63\nD E S I G N : S E Q U E L S T U D I O , N E W Y O R K\nS C H E D U L E O F Q U A R T E R L Y \nR E S U L T S\nThe Company operates on a fiscal year ending \non the Saturday nearest December 31. Quar-\nterly results are typically announced within 25 \ndays after the end of each quarter, and audited \nresults are typically announced within 40 days \nafter year-end.\nF I S C A L 2 0 0 4 \nQ U A R T E R - E N D D A T E S\n1st Quarter: Saturday, April 3\n2nd Quarter: Saturday, July 3\n3rd Quarter: Saturday, October 2\n4th Quarter: Saturday, January 1\nA N N U A L M E E T I N G\nThe Company’s annual shareholders’ meeting \nwill be held at 10:30 a.m. on May 4, 2004, at \nthe Holiday Inn, Highways 61 & 38 North, \nMuscatine, Iowa. Shareholders and other \ninterested investors are encouraged to attend \nthe meeting.\nI N V E S T O R R E L A T I O N S\nSend inquiries to:\nInvestor Relations\nHON INDUSTRIES Inc.\n414 East Third Street\nMuscatine, IA 52761\nTelephone: 563.264.7400\nFax: 563.264.7655\nE-mail: investorrelations@honi.com\nC O R P O R A T E H E A D Q U A R T E R S\nHON INDUSTRIES Inc.\n414 East Third Street\nP.O. Box 1109\nMuscatine, IA 52761-0071\nTelephone: 563.264.7400\nFax: 563.264.7217\nWebsite: www.honi.com\nI N D E P E N D E N T P U B L I C \nA C C O U N T A N T S\nPricewaterhouseCoopers LLP\nOne North Wacker Drive\nChicago, IL 60606\nC O M M O N S T O C K\nHON INDUSTRIES common stock trades \non the New York Stock Exchange under the \nsymbol: HNI. Stock price quotations can be \nfound in major daily newspapers and The \nWall Street Journal .\nT R A N S F E R A G E N T\nShareholders may report a change of address \nor make inquiries by writing or calling:\nComputershare Investor Services, LLC\n2 North LaSalle Street\nChicago, IL 60602\nTelephone: 312.588.4991\nI N V E S T O R I N F O R M A T I O N\nStatements in this report that are not strictly historical, including statements as to \nplans, objectives, and future financial performance, are “forward-looking” state-\nments that are made pursuant to the safe harbor provisions of the Private Securities \nLitigation Reform Act of 1995. Forward-looking statements involve known and \nunknown risks, which may cause the Company’s actual results in the future to dif-\nfer materially from expected results. These risks include, among others: \n• competition within the office furniture and fireplace industries, including \ncompetition from imported products and competitive pricing; \n• increases in the cost of raw materials, including steel, which is the Company’s \nlargest raw material category;\n• increases in the cost of health care benefits provided by the Company;\n• reduced demand for the Company’s storage products caused by changes in \noffice technology; including the change from paper record storage to electronic \nrecord storage; \n• the effects of economic conditions, on demand for office furniture, customer \ninsolvencies and related bad debts and claims against the Company that it \nreceived preferential payments; \n• changes in demand and order patterns from the Company’s customers, par -\nticularly its top ten customers, which represented approximately 36% of net sales \nin 2003; \n• issues associated with acquisitions and integration of acquisitions; \n• the ability of the Company to realize cost savings and productivity improve -\nments from its cost containment and business simplification initiatives;\n• the ability of the Company to realize financial benefits from investments in new \nproducts; \n• the ability of the Company’s distributors and dealers to successfully market \nand sell the Company’s products; \n• the availability and cost of capital to finance planned growth; and\n• other risks, uncertainties, and factors described from time to time in the \nCompany’s filings with the Securities and Exchange Commission. \nWe caution the reader that the above list of factors may not be exhaustive. The", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "61\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nDear Shareholders:\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years.\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \nHON INDUSTRIES governance practices were already in accord with the spirit of the rules.\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man-\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\nSincerely,\nThe HON INDUSTRIES Board of Directors\nA M E S S A G E F R O M T H E B O A R D O F D I R E C T O R S\nStan A. Askren\nGary M. Christensen\nCheryl A. Francis\nRobert L. Katz\nDennis J. Martin\nJack D. Michaels\nJoseph Scalzo\nAbbie J. Smith\nRichard H. Stanley\nBrian E. Stern\nRonald V. Waters, III", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "CORPORATE DATA\nNissan Annual Report 2004110\nFOR FURTHER INFORMATION,\nPLEASE CONTACT\nInvestor Relations \nNissan Motor Co., Ltd.\nGlobal Communications, CSR and IR Division\n17-1, Ginza 6-chome, Chuo-ku \nTokyo 104-8023, Japan\nphone: +81(0)3-5565-2334 \nfax: +81(0)3-3546-2669\ne-mail: nissan-ir@mail.nissan.co.jp\nCorporate Information Website\nhttp://www.nissan-global.com/\nInvestor Relations Website\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "42 43\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nNature of Operations\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a \nprovider of office furniture and hearth products. Both industries are \nreportable segments; however, the Company’s office furniture business \nis its principal line of business. Refer to the Operating Segment \nInformation note for further information. Office furniture products are \nsold through a national system of dealers, wholesalers, mass merchan-\ndisers, warehouse clubs, retail superstores, end-user customers, and to \nfederal and state governments. Dealer, wholesaler, and retail super -\nstores are the major channels based on sales. Hearth products include \nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire -\nplace inserts, stoves, and gas logs. These products are sold through a \nnational system of dealers, wholesalers, large regional contractors, and \nCompany-owned retail outlets. The Company’s products are marketed \npredominantly in the United States and Canada. The Company exports \nselect products to a limited number of markets outside North America, \nprincipally Latin America and the Caribbean, through its export subsid-\niary; however, based on sales, these activities are not significant.\nSummary of Significant Accounting Policies\nPRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\nThe consolidated financial statements include the accounts and trans-\nactions of the Company and its subsidiaries. Intercompany accounts \nand transactions have been eliminated in consolidation.\nThe Company follows a 52/53-week fiscal year which ends \non the Saturday nearest December 31. Fiscal year 2003 ended on \nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \non December 29, 2001. The financial statements for fiscal year 2003 \nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n52-week basis.\nC A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S\nCash and cash equivalents generally consist of cash, money market \naccounts, and debt securities. These securities have original maturity \ndates not exceeding three months from date of purchase. The Company \nhas short-term investments with maturities of less than one year \nand also has investments with maturities greater than one year that \nare included in Other Assets on the consolidated balance sheet. \nManagement classifies investments in marketable securities at the time \nof purchase and reevaluates such classification at each balance sheet \ndate. Equity securities are classified as available-for-sale and are stated \nat current market value with unrealized gains and losses included as a \nseparate component of equity, net of any related tax effect. Debt securi-\nties are classified as held-to-maturity and are stated at amortized cost. \nThe specific identification method is used to determine realized gains \nand losses on the trade date. Short-term investments include municipal \nbonds, money market preferred stock, and U.S. treasury notes. Long-\nterm investments include U.S. government securities, municipal bonds, \ncertificates of deposit, and asset- and mortgage-backed securities.\nAt January 3, 2004, and December 28, 2002, cash, cash \nequivalents and investments consisted of the following (cost approxi -\nmates market value):\n Cash and Short- Long- \n cash term term\n(In thousands) equivalents investments investments\nY E A R - E N D 2 0 0 3\nHeld-to-maturity securities \nMunicipal bonds $ 31,000 $ – $ 2,396\nU.S. government securities – – –\nCertificates of deposit – – 400\nAvailable-for-sale securities \nU.S. treasury notes – 4,259 –\nMoney market preferred stock – – –\nAsset- and mortgage-backed securities – 60,949 12,835\nCash and money market accounts 107,982 – –\n Total $ 138,982 $ 65,208 $ 15,631 \nY E A R - E N D 2 0 0 2\nHeld-to-maturity securities \nMunicipal bonds $ 82,300 $ 1,900 $ 5,396\nU.S. government securities – – 11,995", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "afkljdf aojvoaipddddS E E K I N G\nI N V E S T O R S\nF O R A P E R F E C T\nM A T C H\nJoin us in the dynamic, aggressive, profitable \ngrowth of HON INDUSTRIES. \nT H E B E S T I S Y E T T O C O M E !\nManagement’s Discussion and Analysis … 32\nConsolidated Financial Statements and Notes … 39\nEleven-Year Summary … 56\nReports of Independent Auditors … 58\nA Message from the Board of Directors … 61\nBoard of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "O U R V I S I O N\nWe, the members of HON INDUSTRIES, are dedicated to creating long-term value for all of our stakeholders, to \nexceeding our customers’ expectations, and to making our company a great place to work. We will always treat each \nother, as well as customers, suppliers, shareholders, and our communities, with fairness and respect.\nOur success depends upon business simplification, rapid continuous improvement, and innovation in every-\nthing we do, individual and collective integrity, and the relentless pursuit of the following long-standing beliefs:\nW E W I L L B E P R O F I T A B L E .\nWe pursue mutually profitable relationships with customers and suppliers. Only when our company achieves an ade-\nquate profit can the other elements of this Vision be realized.\nW E W I L L C R E A T E L O N G - T E R M V A L U E F O R S H A R E H O L D E R S .\nWe create long-term value for shareholders by earning financial returns significantly greater than our cost of capital and \npursuing profitable growth opportunities. We will safeguard our shareholders’ equity by maintaining a strong balance \nsheet to allow flexibility in responding to a continuously changing market and business environment.\nW E W I L L P U R S U E P R O F I T A B L E G R O W T H .\nWe pursue profitable growth on a global basis in order to provide continued job opportunities for members and finan-\ncial success for all stakeholders.\nW E W I L L B E A S U P P L I E R O F Q U A L I T Y P R O D U C T S A N D S E R V I C E S .\nWe provide reliable products and services of high quality and brand value to our end-users. Our products and services \nexceed our customers’ expectations and enable our distributors and our company to make a fair profit.\nW E W I L L B E A G R E A T P L A C E T O W O R K .\nWe pursue a participative environment and support a culture that encourages and recognizes excellence, active \ninvolvement, ongoing learning, and contributions of each member; that seeks out and values diversity; and that \nattracts and retains the most capable people who work safely, are motivated, and are devoted to making our company \nand our members successful.\nW E W I L L B E A R E S P O N S I B L E C O R P O R A T E C I T I Z E N .\nWe conduct our business in a way that sustains the well-being of society, our environment, and the economy in which \nwe live and work. We follow ethical and legal business practices. Our company supports our volunteer efforts and \nprovides charitable contributions so that we can actively participate in the civic, cultural, educational, environmental, \nand governmental affairs of our society.\n T O O U R S T A K E H O L D E R S :\nWhen our company is appreciated by its members, favored by its customers, supported by its suppliers, respected by \nthe public, and admired by its shareholders, this Vision is fulfilled.\nH O N I N D U S T R I E S I n c . ( H N I )\n414 East Third Street, P.O. Box 1109, Muscatine, IA 52761-0071\nwww.honi.com", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "58 59\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nR E P O R T O F I N D E P E N D E N T A U D I T O R S\nTo the Board of Directors and Shareholders, HON INDUSTRIES Inc.:\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera-\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \nIntangible Assets, on December 30, 2001.\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo-\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n2001 financial statements taken as a whole.\nPricewaterhouseCoopers LLP\nChicago, Illinois\nFebruary 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "13\nH O N I N D U S T R I E S 2 0 0 3\nAs we celebrate our 60th year, HON INDUSTRIES has seen \nmuch change. The industry has changed. The world has \nchanged. Our business has changed. What has not changed \nare the culture and values on which we were founded: integ -\nrity, fairness, and respect — in the treatment of others, \ncontinuous improvement, and responsiveness to those who \nbuy our products and services. In our unique and powerful \nmember-owner culture, throughout our history, every member \nhas had an opportunity to participate in making the business \nbetter. We did so again in 2003.\n We outperformed our peers. We grew our sales and \nprofits. We gained market share by providing strong brands, \ninnovative products and services, and greater value to our end-\nusers. We continued to increase our gross margins, a direct \nresult of our ongoing commitment to lean initiatives. We used \nour strong, positive cash flow to invest in our business for the \nlong term and returned profits to shareholders. We accom -\nplished all of this in a very challenging economy and market.\n Although we are proud of what we achieved, our phi-\nlosophy of constructive discontent drives us to continue to \nchallenge ourselves to do better. We believe to succeed in a \nbusiness environment of ongoing change and continuous trans-\nformation we also must continue to change. Today, we are \nleaner, more focused, and have more clearly defined brands \nthan ever before. Our challenge is to grow, aggressively and \nprofitably, through market-driven solutions while maintain-\ning focus on what we do best — operational excellence. Our \ntransformation continues:\nB U I L D I N G B R A N D M A R K E T P O W E R \nWe are investing significantly in our brands and increasing our \nunderstanding of our diverse range of end-users and the solu -\ntions they want. We are building market power through several \ninitiatives: focused selling models; clear brand identity; tar -\ngeted advertising; expanded channel presence; and aggressive \nproducts and solutions development. We are strengthening our \nability to be the “perfect match” with end-users in every seg -\nment we serve.\nA C H I E V I N G B E S T T O T A L C O S T A N D \nL E A N E N T E R P R I S E \n“Best total cost” means more than being a low-cost manufac -\nturer. It requires us to think about the entire value stream — \nwhere and how to manufacture, ship, install, outsource, \nassemble, service, procure, and sell — all to provide the best \ntotal value to our end-users. We implemented lean initiatives, \nL E F T : Stan A. Askren, P R E S I D E N T\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\nT O O U R S H A R E H O L D E R S :", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "SHAREHOLDER INFORMATION\nSHAREHOLDER INQUIRIES\nRequests to transfer Applied Industrial \nTechnologies, Inc. shares and all \ncorrespondence regarding address change \ninformation, duplicate mailings, missing \ncertificates, failure to receive dividend \nchecks in a timely manner or to participate \nin the Company’s direct stock purchase \nprogram should be directed to the \nCompany’s transfer agent and registrar:\nCOMPUTERSHARE TRUST COMPANY , N.A.\n250 Royall Street \nCanton, MA 02021 \n800/988-5291\nINVESTOR RELATIONS INQUIRIES SHOULD \nBE DIRECTED TO:\nMARK O. EISELE\nVice President – Chief Financial Officer \n & Treasurer \nApplied Industrial Technologies \n1 Applied Plaza \nCleveland, OH 44115-5014 \nTelephone: 216/426-4000, Fax: 216/426-4845\nANNUAL REPORT ON FORM 10-K\nThe Applied Industrial Technologies, Inc. \nAnnual Report on Form 10-K for the fiscal \nyear ended June 30, 2012, including the \nfinancial statements and schedules thereto, \nis available at our website at \nwww.Applied.com. It is also available \nwithout charge upon written request to the \nVice President – Chief Financial Officer & \nTreasurer at the address shown.\nANNUAL MEETING\nThe Annual Meeting of Shareholders will be held \nat 10:00 a.m., Tuesday, October 23, 2012, at the \nCorporate Headquarters of Applied Industrial \nTechnologies, 1 Applied Plaza, East 36th and \nEuclid Avenue, Cleveland, Ohio 44115.\n 2007 2008 2009 2010 2011 2012\nApplied Industrial Technologies, Inc. $100.00 $83.63 $70.22 $92.62 $133.17 $141.07\nStandard & Poor’s 500 100.00 86.88 64.11 73.36 95.88 101.10\nPeer Group 100.00 86.96 74.77 100.34 148.47 170.81\nAssumes $100 invested at the close of trading 6/30/07 in \nApplied Industrial Technologies, Inc. common stock, Standard \n& Poor’s 500, and Peer Group.\nCumulative total return assumes reinvestment of dividends.\nThe returns of the companies in the Peer Group are weighted \nbased on the companies’ relative stock market capitalization.\nPeer Group companies selected on a line-of-business basis \ninclude: DXP Enterprises, Inc.; Fastenal Company; Genuine \nParts Company; W. W. Grainger, Inc.; Kaman Corporation; \nLawson Products, Inc.; MSC Industrial Direct Co., Inc.; and \nWESCO International, Inc. \nSource: Value Line Publishing LLC\nApplied Industrial Technologies, Inc., Standard & Poor’s 500, and Peer Group \n(Performance Results from 7/1/2007 through 6/30/2012)\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most \nfinancial listings as “AppliedIndlTch.”\nBB&T CAPITAL MARKETS \nHolden Lewis, 703/471-3894\nCJS SECURITIES \nJonathan Tanwanteng, 914/287-7600 \nCLEVELAND RESEARCH COMPANY \nAdam Uhlman, 216/649-7241 \nKEYBANC CAPITAL MARKETS \nJeffrey D. Hammond, 216/689-0236 \nSIDOTI & CO. \nJoseph Mondillo, 212/894-3339\nGREAT LAKES REVIEW – Division of \nWellington Shields & Co.\nElliott Schlang, 216/767-1340\nSTEPHENS INC. \nMatt Duncan, 501/377-3723\nWELLS FARGO SECURITIES, LLC\nAllison Poliniak-Cusic, 212/214-5062\nWUNDERLICH SECURITIES\nBrent D. Rakers, 901/251-2236\nRESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:\nCOMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN\n$0.00 \n$50.00 \n$100.00 \n$150.00 \n$200.00 \n2007 2008 2009 2010 2011 2012 \nApplied Industrial Technologies, Inc. \nStandard & Poor's 500 \nPeer Group \n25358_AIT_Report_WT.indd 45 8/23/12 8:33 AM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "H O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n62\nB O A R D O F D I R E C T O R S\nStan A. Askren\nPresident, HON INDUSTRIES Inc.\nGary M. Christensen\nRetired President and\nChief Executive Officer, \nPella Corporation\nCheryl A. Francis\nAdvisor/Consultant\nFormer Executive Vice President and\nChief Financial Officer,\nRR Donnelley & Sons\nRobert L. Katz\nPresident,\nRobert L. Katz and Associates\nDennis J. Martin\nChairman, President and \nChief Executive Officer,\nGeneral Binding Corporation\nJack D. Michaels\nChairman and Chief Executive Officer,\nHON INDUSTRIES Inc.\nJoseph Scalzo\nVice President and President,\nPersonal Care Products,\nThe Gillette Company\nAbbie J. Smith\nChaired Professor,\nThe University of Chicago\nGraduate School of Business\nRichard H. Stanley\nVice Chairman, HON INDUSTRIES Inc.\nChairman, SC Companies, Inc.\nChairman, Stanley Consultants, Inc.\nBrian E. Stern\nPresident,\nXerox Supplies Technology Enterprises\nXerox Corporation\nRonald V. Waters, III\nChief Operating Officer,\nWm. Wrigley Jr. Company\nC O M M I T T E E S O F T H E B O A R D\nA U D I T\nCheryl A. Francis, Chairperson\nDennis J. Martin\nRonald V. Waters, III\nH U M A N R E S O U R C E S A N D \nC O M P E N S A T I O N\nGary M. Christensen, Chairperson\nRobert L. Katz\nAbbie J. Smith\nP U B L I C P O L I C Y A N D \nC O R P O R A T E G O V E R N A N C E\nRichard H. Stanley, Chairperson\nJoseph Scalzo\nBrian E. Stern\nH O N I N D U S T R I E S I N C . \nO F F I C E R S \nJack D. Michaels\nChairman and Chief Executive Officer\nStan A. Askren\nPresident\nPeter R. Atherton\nVice President and Chief Technology Officer\nJerald K. Dittmer\nVice President and Chief Financial Officer\nRobert J. Driessnack\nVice President, Controller\nMelinda C. Ellsworth\nVice President, Treasurer and \nInvestor Relations\nJeffrey D. Fick\nVice President, Member and \nCommunity Relations\nMalcolm C. Fields\nVice President and Chief Information Officer\nJames I. Johnson\nVice President, General Counsel and Secretary\nTimothy R. Summers\nVice President, Lean Enterprise\nS U B S I D I A R I E S\nDavid C. Burdakin\nExecutive Vice President, HON INDUSTRIES, Inc.\nPresident, The HON Company\nBrad D. Determan\nPresident, \nHearth and Home Technologies Inc.\nThomas D. Head\nVice President,\nGeneral Manager, Holga Inc.\nEric K. Jungbluth\nPresident, Allsteel Inc.\nDonald T. Mead\nPresident, The Gunlocke Company L.L.C.\nMarco V. Molinari\nPresident, International and Business \nDevelopment\nJean M. Reynolds\nPresident, Maxon Furniture Inc.\nThomas A. Tolone\nPresident, Paoli Inc.\nB O A R D O F D I R E C T O R S A N D O F F I C E R S", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "What explains the decrease in net sales of HON industries in 2002 ?", - "target_page": 34, - "target_passage": "The decrease in 2002 was due to the decline in the office furniture market due to unstable economic conditions and the deletion of less profitable product lines in the hearth products segment", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "42 43\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nNature of Operations\nHON INDUSTRIES Inc., with its subsidiaries (the “Company”), is a \nprovider of office furniture and hearth products. Both industries are \nreportable segments; however, the Company’s office furniture business \nis its principal line of business. Refer to the Operating Segment \nInformation note for further information. Office furniture products are \nsold through a national system of dealers, wholesalers, mass merchan-\ndisers, warehouse clubs, retail superstores, end-user customers, and to \nfederal and state governments. Dealer, wholesaler, and retail super -\nstores are the major channels based on sales. Hearth products include \nelectric, wood-, pellet-, and gas-burning factory-built fireplaces, fire -\nplace inserts, stoves, and gas logs. These products are sold through a \nnational system of dealers, wholesalers, large regional contractors, and \nCompany-owned retail outlets. The Company’s products are marketed \npredominantly in the United States and Canada. The Company exports \nselect products to a limited number of markets outside North America, \nprincipally Latin America and the Caribbean, through its export subsid-\niary; however, based on sales, these activities are not significant.\nSummary of Significant Accounting Policies\nPRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\nThe consolidated financial statements include the accounts and trans-\nactions of the Company and its subsidiaries. Intercompany accounts \nand transactions have been eliminated in consolidation.\nThe Company follows a 52/53-week fiscal year which ends \non the Saturday nearest December 31. Fiscal year 2003 ended on \nJanuary 3, 2004; 2002 ended on December 28, 2002; and 2001 ended \non December 29, 2001. The financial statements for fiscal year 2003 \nare based on a 53-week period; fiscal years 2002 and 2001 are on a \n52-week basis.\nC A S H , C A S H E Q U I V A L E N T S , A N D I N V E S T M E N T S\nCash and cash equivalents generally consist of cash, money market \naccounts, and debt securities. These securities have original maturity \ndates not exceeding three months from date of purchase. The Company \nhas short-term investments with maturities of less than one year \nand also has investments with maturities greater than one year that \nare included in Other Assets on the consolidated balance sheet. \nManagement classifies investments in marketable securities at the time \nof purchase and reevaluates such classification at each balance sheet \ndate. Equity securities are classified as available-for-sale and are stated \nat current market value with unrealized gains and losses included as a \nseparate component of equity, net of any related tax effect. Debt securi-\nties are classified as held-to-maturity and are stated at amortized cost. \nThe specific identification method is used to determine realized gains \nand losses on the trade date. Short-term investments include municipal \nbonds, money market preferred stock, and U.S. treasury notes. Long-\nterm investments include U.S. government securities, municipal bonds, \ncertificates of deposit, and asset- and mortgage-backed securities.\nAt January 3, 2004, and December 28, 2002, cash, cash \nequivalents and investments consisted of the following (cost approxi -\nmates market value):\n Cash and Short- Long- \n cash term term\n(In thousands) equivalents investments investments\nY E A R - E N D 2 0 0 3\nHeld-to-maturity securities \nMunicipal bonds $ 31,000 $ – $ 2,396\nU.S. government securities – – –\nCertificates of deposit – – 400\nAvailable-for-sale securities \nU.S. treasury notes – 4,259 –\nMoney market preferred stock – – –\nAsset- and mortgage-backed securities – 60,949 12,835\nCash and money market accounts 107,982 – –\n Total $ 138,982 $ 65,208 $ 15,631 \nY E A R - E N D 2 0 0 2\nHeld-to-maturity securities \nMunicipal bonds $ 82,300 $ 1,900 $ 5,396\nU.S. government securities – – 11,995", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "from the prior year was primarily due to the above-mentioned improvement in manufacturing variances. The decline in gross profit percentage\nin 2002 from the prior year was primarily due to the unfavorable shift in product mix.\nOperating expenses were $15.3 million in 2003, compared with $14.5 million in 2002 and $16.0 million in 2001. The increase in operating expenses in\n2003 from 2002 was primarily attributable to increased general and administrative (“G&A”) and selling (“Selling”) expenses. G&A expenses consist primarily\nof salaries and other related expenses of administrative, executive and financial personnel and outside professional fees. The increase in G&A expenses in\n2003 is primarily attributable to increased insurance costs, compensation and other taxes. The Company anticipates that G&A expenses are likely to increase\nin the foreseeable future but at a rate less than the anticipated rate of increase in revenues. Selling expenses consist primarily of salaries, commissions and\nother related expenses for sales and marketing personnel, marketing, advertising and promotional expenses. The increase in Selling expenses in 2003 is\nprimarily related to increased compensation costs and travel related expenses. The Company anticipates that Selling expenses are likely to increase in the\nforeseeable future but at a rate less than the anticipated rate of increase in revenues. Research and development (“R&D”) expenses consist primarily of\nsalaries and other related expenses of the research and development personnel as well as costs associated with regulatory expenses. The Company anticipates\nthat R&D expenses will continue at the current level for the foreseeable future. The decrease in operating expenses in 2002 from 2001 was primarily\nattributable to decreased G&A and Selling expenses partially offset by increased R&D expenses. G&A expenses for 2002 were $857,000 lower than G&A\nexpenses for 2001, primarily due to a decrease in amortization expense as a result of a reduction in goodwill amortization in 2002 due to the adoption of\nSFAS No. 142 as discussed in Note 2 to the Company’s Consolidated Financial Statements included herein. Additionally, G&A expenses were lower in 2002\ncompared to 2001 primarily as a result of reduced depreciation and cost containment programs related to supplies, communication costs and professional\nfees. The decrease in Selling expenses of $905,000 in 2002 from 2001 was primarily related to reduced outside services (primarily related to clinical\nstudies), reduced compensation costs and continuing cost reduction efforts. R&D expenses were $269,000 higher for 2002 compared with 2001. This\nincrease was primarily related to increased product development activities. \nThe Company’s operating income for 2003 was $6.9 million, compared with $5.8 million in 2002 and $5.8 million in 2001. Revenue growth, manufacturing\nefficiency improvements, cost containment and cost reduction activities were the major contributors to the operating income improvements during 2003.\nRevenue growth, cost containment and cost reduction activities during 2002 were offset by lower gross margins compared with 2001, which combined to\ncause relatively flat operating results. \nInterest expense was $195,000 in 2003 compared to $432,000 in 2002 and $300,000 in 2001. The decrease in 2003 is primarily related to lower average\nborrowings during 2003 as compared with 2002. The increase in 2002 is primarily related to higher average borrowings during 2002 as compared with\n2001 partially offset by a significant reduction in interest rates in 2002. The higher average borrowings during 2002 is primarily related to borrowing of\nfunds under the Company’s credit facility in late December 2001 in connection with its repurchase of outstanding common stock of the Company under a\ntender offer. The other income in 2001 was primarily related to the Company’s one-time pre-tax gain of $428,000 on the sale of a patent.", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "13\nH O N I N D U S T R I E S 2 0 0 3\nAs we celebrate our 60th year, HON INDUSTRIES has seen \nmuch change. The industry has changed. The world has \nchanged. Our business has changed. What has not changed \nare the culture and values on which we were founded: integ -\nrity, fairness, and respect — in the treatment of others, \ncontinuous improvement, and responsiveness to those who \nbuy our products and services. In our unique and powerful \nmember-owner culture, throughout our history, every member \nhas had an opportunity to participate in making the business \nbetter. We did so again in 2003.\n We outperformed our peers. We grew our sales and \nprofits. We gained market share by providing strong brands, \ninnovative products and services, and greater value to our end-\nusers. We continued to increase our gross margins, a direct \nresult of our ongoing commitment to lean initiatives. We used \nour strong, positive cash flow to invest in our business for the \nlong term and returned profits to shareholders. We accom -\nplished all of this in a very challenging economy and market.\n Although we are proud of what we achieved, our phi-\nlosophy of constructive discontent drives us to continue to \nchallenge ourselves to do better. We believe to succeed in a \nbusiness environment of ongoing change and continuous trans-\nformation we also must continue to change. Today, we are \nleaner, more focused, and have more clearly defined brands \nthan ever before. Our challenge is to grow, aggressively and \nprofitably, through market-driven solutions while maintain-\ning focus on what we do best — operational excellence. Our \ntransformation continues:\nB U I L D I N G B R A N D M A R K E T P O W E R \nWe are investing significantly in our brands and increasing our \nunderstanding of our diverse range of end-users and the solu -\ntions they want. We are building market power through several \ninitiatives: focused selling models; clear brand identity; tar -\ngeted advertising; expanded channel presence; and aggressive \nproducts and solutions development. We are strengthening our \nability to be the “perfect match” with end-users in every seg -\nment we serve.\nA C H I E V I N G B E S T T O T A L C O S T A N D \nL E A N E N T E R P R I S E \n“Best total cost” means more than being a low-cost manufac -\nturer. It requires us to think about the entire value stream — \nwhere and how to manufacture, ship, install, outsource, \nassemble, service, procure, and sell — all to provide the best \ntotal value to our end-users. We implemented lean initiatives, \nL E F T : Stan A. Askren, P R E S I D E N T\nR I G H T : Jack D. Michaels, C H A I R M A N A N D C H I E F E X E C U T I V E O F F I C E R\nT O O U R S H A R E H O L D E R S :", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "Millions of yen\nAutomobile and Sales Consolidated\nFiscal year 2002 (For the year endedMar. 31, 2003) Eliminations Financing total\nOperating activities\nIncome before income taxes and minority interests....................................................................................................... ¥634,818 ¥ 59,806 ¥694,624\nDepreciation and amortization.......................................................................................................................................................... 213,569 157,556 371,125\nDecrease (increase) in finance receivables..................................................................................................................... 64,057 (391,414) (327,357)\nOthers................................................................................................................................................................................................................... (115,097) (47,917) (163,014)\nNet cash provided by (used in) operating activities........................................................................................................ 797,347 (221,969) 575,378\nInvesting activities\nProceeds from sales of investment securities including shares of subsidiaries..................................... 39,816 13,842 53,658\nProceeds from sales of property, plant and equipment............................................................................................... 94,828 3,871 98,699\nPurchases of fixed assets.................................................................................................................................................................... (376,429) (1,500) (377,929)\nPurchases of leased vehicles............................................................................................................................................................ (33,522) (450,182) (483,704)\nProceeds from sales of leased vehicles................................................................................................................................... 15,644 243,431 259,075\nOthers................................................................................................................................................................................................................... (46,720) (18,453) (65,173)\nNet cash used in investing activities............................................................................................................................................ (306,383) (208,991) (515,374)\nFinancing activities\n(Decrease) increase in short-term borrowings................................................................................................................... (369,506) 315,196 (54,310)\n(Decrease) increase in long-term borrowings..................................................................................................................... (81,106) 91,044 9,938\nIncrease in bonds and debentures................................................................................................................................................ 85,000 — 85,000\nProceeds from sales of treasury stock...................................................................................................................................... 5,670 — 5,670\nOthers................................................................................................................................................................................................................... (144,062) 25,000 (119,062)\nNet cash (used in) provided by financing activities......................................................................................................... (504,004) 431,240 (72,764)\nEffect of exchange rate changes on cash and cash equivalents................................................................................. 1,174 (520) 654", - "page_start": 101, - "page_end": 101, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "afkljdf aojvoaipddddS E E K I N G\nI N V E S T O R S\nF O R A P E R F E C T\nM A T C H\nJoin us in the dynamic, aggressive, profitable \ngrowth of HON INDUSTRIES. \nT H E B E S T I S Y E T T O C O M E !\nManagement’s Discussion and Analysis … 32\nConsolidated Financial Statements and Notes … 39\nEleven-Year Summary … 56\nReports of Independent Auditors … 58\nA Message from the Board of Directors … 61\nBoard of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "61\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nDear Shareholders:\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is \nreflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement \nrepresents much more than a traditional “mission,” and it goes much deeper than company policy. The beliefs and values represented in that \ndocument are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining \na strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to \nmaintain the company’s long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company’s \naccounting policies have always been conservative and straightforward. The Board’s three committees — Audit; Human Resources and \nCompensation; Public Policy and Corporate Governance — have consisted entirely of non-management directors for many years.\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the \nNew York Stock Exchange listing requirements — rules intended to improve corporate governance across the country. It is gratifying to report that \nHON INDUSTRIES governance practices were already in accord with the spirit of the rules.\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the man-\nagement of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\nSincerely,\nThe HON INDUSTRIES Board of Directors\nA M E S S A G E F R O M T H E B O A R D O F D I R E C T O R S\nStan A. Askren\nGary M. Christensen\nCheryl A. Francis\nRobert L. Katz\nDennis J. Martin\nJack D. Michaels\nJoseph Scalzo\nAbbie J. Smith\nRichard H. Stanley\nBrian E. Stern\nRonald V. Waters, III", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "58 59\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\nR E P O R T O F I N D E P E N D E N T A U D I T O R S\nTo the Board of Directors and Shareholders, HON INDUSTRIES Inc.:\nIn our opinion, the accompanying consolidated balance sheets and the related consolidated statements of income, shareholders’ equity, and cash \nflows present fairly, in all material respects, the financial position of HON INDUSTRIES Inc. and its subsidiaries at January 3, 2004, and \nDecember 28, 2002, and the results of their operations and their cash flows for the fiscal years ended January 3, 2004, and December 28, 2002, \nin conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of \nthe Company’s management; our responsibility is to express an opinion on these financial statements based on our audits. We conducted our \naudits of these statements in accordance with auditing standards generally accepted in the United States of America, which require that we plan \nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes \nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used \nand significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits provide a \nreasonable basis for our opinion. The financial statements of the Company as of December 29, 2001, and for the fiscal year then ended, prior to the \nadjustments discussed in the Goodwill and Other Intangible Assets note, were audited by other independent accountants who have ceased opera-\ntions. Those independent accountants expressed an unqualified opinion on those financial statements in their report dated February 1, 2002.\nAs disclosed in the Goodwill and Other Intangible Assets note, the Company changed the manner in which it accounts for goodwill and \nother intangible assets upon adoption of the accounting guidance of Statement of Financial Accounting Standards No. 142, Goodwill and Other \nIntangible Assets, on December 30, 2001.\nAs discussed above, the financial statements of HON INDUSTRIES Inc., as of December 29, 2001, and for the period then ended, were \naudited by other independent accountants who have ceased operations. As described in the Goodwill and Other Intangible Assets note, these \nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards (Statement) \nNo. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of December 30, 2001. We audited the transitional disclo-\nsures described in the Goodwill and Other Intangible Assets note. In our opinion, the transitional disclosures for 2001 in the Goodwill and Other \nIntangible Assets note are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements \nof the Company other than with respect to such disclosures, and, accordingly, we do not express an opinion or any other form of assurance on the \n2001 financial statements taken as a whole.\nPricewaterhouseCoopers LLP\nChicago, Illinois\nFebruary 6, 2004", - "page_start": 57, - "page_end": 57, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "FINANCIAL SECTION\nNissan Annual Report 200486\nThe following is a summary of the transferred assets and liabilities, the relevant selling prices and the net cash inflows from sales of stock of\nRhythm Corporation and two other companies in the year ended March 31, 2003.\nMillions of yen\n2002\nFor the year ended Mar. 31, 2003\nCurrent assets............................................................................................................................................................................................................................................................................. ¥22,561\nFixed assets.................................................................................................................................................................................................................................................................................. 7,493\nLoss on sales of investment securities.................................................................................................................................................................................................................. (1,765)\nCurrent liabilities....................................................................................................................................................................................................................................................................... (11,991)\nLong-term liabilities................................................................................................................................................................................................................................................................ (5,366)\nMinority interests in consolidated subsidiaries................................................................................................................................................................................................ (1,962)\nProceeds from sales of stock........................................................................................................................................................................................................................................ 8,970\nCash and cash equivalents held by subsidiaries............................................................................................................................................................................................ (575)\nNet proceeds............................................................................................................................................................................................................................................................................... ¥ 8,395\nIn addition to the above, at March 31, 2005, the Company was committed to provide guarantees of indebtedness of unconsolidated subsidiaries\nand affiliates in the aggregate amount of ¥2,712 million ($25,346 thousand) at the request of the lending banks. The outstandin g balance of\ninstallment receivables sold with recourse amounted to ¥20,687 million ($193,336 thousand) at March 31, 2005.\nCertain consolidated subsidiaries have entered into overdraft and loan commitment agreements amounting to ¥107,247 million ($1, 002,308\nthousand) with their customers and others. The loans receivable outstanding and the unused balances under these credit faciliti es as of March\n31, 2005 amounted to ¥12,094 million ($113,028 thousand) and ¥95,153 million ($889,280 thousand), respectively. Since many of t hese\nfacilities expire without being utilized and the related borrowings are sometimes subject to a review of the borrowers’ credibi lity, any unused\namount will not necessarily be utilized at the full amount.\n17. COMMITMENTS AND CONTINGENCIES\nAt March 31, 2005, the Company and its consolidated subsidiaries had the following contingent liabilities:\nThousands of\nMillions of yen U.S. dollars", - "page_start": 87, - "page_end": 87, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "FINANCIAL SECTION\nNissan Annual Report 2004102\nFiscal year 2002 (For the year ended Mar. 31, 2003)\nOther foreign \nJapan North America Europe countries Total Eliminations Consolidated\nMillions of yen\nSales to third parties.......................................... ¥2,554,374 ¥2,879,500 ¥963,440 ¥431,274 ¥6,828,588 ¥ — ¥6,828,588\nInter-area sales and transfers.............................. 1,766,102 32,763 26,765 4,174 1,829,804 (1,829,804) —\nTotal sales................................................................... 4,320,476 2,912,263 990,205 435,448 8,658,392 (1,829,804) 6,828,588\nOperating expenses........................................... 3,929,920 2,607,699 968,253 418,682 7,924,554 (1,833,196) 6,091,358\nOperating income................................................. ¥ 390,556 ¥ 304,564 ¥ 21,952 ¥ 16,766 ¥ 733,838 ¥ 3,392 ¥ 737,230\nTotal assets............................................................... ¥4,881,842 ¥3,463,261 ¥502,028 ¥140,849 ¥8,987,980 ¥(1,638,797) ¥7,349,183\nOverseas sales\nOverseas sales, which include export sales of the Company and its domestic consolidated subsidiaries and sales (other than exports to Japan) of\nthe foreign consolidated subsidiaries, for the years ended March 31, 2005, 2004 and 2003 are summarized as follows:\nFiscal year 2004 (For the year ended Mar. 31, 2005)\nOther foreign \nNorth America Europe countries Total\nMillions of yen\nOverseas sales.................................................................................................................................................... ¥3,662,436 ¥1,269,204 ¥1,401,592 ¥6,333,232\nConsolidated net sales................................................................................................................................. 8,576,277\nThousands of U.S. dollars\nOverseas sales................................................................................................................................................ $34,228,374 $11,861,720 $13,098,991 $59,189,085\nConsolidated net sales............................................................................................................................. 80,152,122\nOverseas sales as a percentage of consolidated net sales...................................... 42.7% 14.8% 16.3% 73.8%\nFiscal year 2003 (For the year ended Mar. 31, 2004)\nOther foreign \nNorth America Europe countries Total\nMillions of yen\nOverseas sales.................................................................................................................................................... ¥3,222,497 ¥1,201,035 ¥773,248 ¥5,196,780\nConsolidated net sales................................................................................................................................. 7,429,219\nOverseas sales as a percentage of consolidated net sales.......................................... 43.4% 16.2% 10.4% 70.0%\nFiscal year 2002 (For the year ended Mar. 31, 2003)\nOther foreign \nNorth America Europe countries Total\nMillions of yen\nOverseas sales.................................................................................................................................................... ¥2,785,334 ¥974,872 ¥763,368 ¥4,523,574\nConsolidated net sales................................................................................................................................. 6,828,588\nOverseas sales as a percentage of consolidated net sales.......................................... 40.8% 14.3% 11.1% 66.2%", - "page_start": 103, - "page_end": 103, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What operations were discontinued in 1997 by Atrion Corp ?", - "target_page": 17, - "target_passage": "During 1997, the Company sold all of its natural gas operations. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "CORPORATE INFORMATION\nCorporate Office:\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\n(972) 390-9800\nwww.atrioncorp.com\nRegistrar and Transfer Agent\nAmerican Stock Transfer and Trust Company\n59 Maiden Lane\nNew York, New York 10007\nForm 10-K\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange\nCommission, may be obtained by any stockholder without charge by written request to:\nCorporate Secretary\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\nStock Information\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were\napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the\nCompany for each quarter of 2002 and 2003.\n2002 Quarter Ended High Low Dividends\nMarch 31 $ 38.14 $ 26.91 $ —\nJune 30 32.51 26.82 —\nSeptember 30 28.09 18.31 —\nDecember 31 23.90 17.31 —\n2003 Quarter Ended High Low Dividends\nMarch 31 $ 22.85 $ 17.95 $ —\nJune 30 30.80 22.75 —\nSeptember 30 45.20 26.80 .12\nDecember 31 50.00 40.00 .12\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying\nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Atrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\n972• 390 • 9800\nwww.atrioncorp.com", - "page_start": 31, - "page_end": 31, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS\nTo the Stockholders and the Board of Directors of Atrion Corporation:\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003\nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial\nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit.\nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors\nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting\nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits\nprovide a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation\nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then\nended in conformity with accounting principles generally accepted in the United States of America.\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by\nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required\nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our\naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued\nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those\nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation\nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate.\nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such\ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \nGrant Thornton LLP\nDallas, Texas\nFebruary 13, 2004\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report\nfor the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The\nconsolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended\nDecember 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\nTo the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nDiscontinued Operations\nA discontinued operation is a component of our business that has\noperations and cash flows that are clearly distinguished from the rest of\nRogers and:\n represents a separate major line of business\n is part of a single coordinated plan to dispose of a separate major\nline of business, or\n is a subsidiary we have acquired with the intention to re-sell.\nWhen we classify a component as a discontinued operation, we restate\nour comparative income and comprehensive income as though the\noperation had been discontinued from the start of the comparative\nyear.\nSee note 6 for information about discontinued operations.\nNew Accounting Pronouncements Effective in 2013\nWe adopted the following accounting changes for our 2013\nconsolidated financial statements on January 1, 2013.\n IFRS 10, Consolidated Financial Statements\n IFRS 11, Joint Arrangements\n IFRS 12, Disclosure of Interest in Other Entities\n IFRS 13, Fair Value Measurement\n IAS 19, Employee Benefits (2011)\n IAS 28, Investments in Associates and Joint Ventures\n IAS 36, Impairment of Assets\nThe accounting pronouncements we adopted that had an impact on\nour financial results or require further explanation are explained as\nfollows:\nIFRS 10, Consolidated Financial Statements (IFRS 10)– As a result of\nthe adoption of IFRS 10, we have changed our approach to\ndetermining whether we have control over and consequently\nwhether we consolidate our investees. IFRS 10 introduces a new\ncontrol model that is applicable to all investees. Among other things,\nit requires the consolidation of an investee if we control the investee\non the basis of de facto circumstances. In accordance with the\ntransitional provisions of IFRS 10, we re-assessed the control\nconclusion for our investees at January 1, 2013. We made no\nchanges in the current or comparative period as a result of this\nassessment.\n IFRS 11, Joint Arrangements (IFRS 11)– As a result of the adoption of\nIFRS 11, we have changed how we evaluate our interests in joint\narrangements. Under IFRS 11, we classify our interests in joint\narrangements as either joint operations or joint ventures depending\non our right to the assets and obligations for the liabilities of the\narrangements. When making this assessment, we consider the\nstructure of the arrangements, the legal form of any separate\nvehicles, the contractual terms of the arrangements and other facts\nand circumstances. We have re-evaluated our involvement in our\njoint arrangements and have accounted for these either using the\nproportionate consolidation method, or the equity method\ndepending on whether the investment is defined as a joint operation\nor a joint venture, respectively. The adoption of IFRS 11 was not\nmaterial to the current or comparative year.\n IFRS 13, Fair Value Measurement (IFRS 13)– On January 1, 2013, we\nadopted IFRS 13, on a prospective basis, which provides a single\nsource of guidance on how fair value is measured, replacing the fair\nvalue measurement guidance contained in individual IFRSs. IFRS 13\ndefines fair value and establishes a framework for measuring fair\nvalue. It does not introduce new fair value measurements or\neliminate the practicability exceptions to fair value measurements\nthat currently exist in certain standards. We have incorporated the\nrelevant fair value requirements throughout these consolidated\nfinancial statements.\n IAS 19, Employee Benefits (2011) (IAS 19)– On January 1, 2013, we\nadopted IAS 19, which changes the basis for determining the income\nor expense related to defined benefit plans. This amendment\neliminated the concept of return on plan assets and interest cost\n(income) and replaced it with a net interest cost that is calculated by\napplying the discount rate to the net liability (asset). The net interest\ncost takes into account any changes in the net defined benefit\nliability (asset) during the period as a result of contributions and", - "page_start": 104, - "page_end": 104, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\nTo the Stockholders and the Board of Directors of Atrion Corporation:\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001\nand 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial\nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits.\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit\nto obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence\nsupporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made\nby management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries\nas of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31,\n2001 in conformity with accounting principles generally accepted in the United States.\nArthur Andersen LLP\nAtlanta, Georgia\nFebruary 25, 2002 \n23", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n12\n1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its\nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of\nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion\nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”).\nPRINCIPLES OF CONSOLIDATION\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany\ntransactions and balances have been eliminated in consolidation.\nFAIR VALUE\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these\nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\nESTIMATES\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management\nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates\nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\nFINANCIAL PRESENTATION\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\nCASH AND CASH EQUIVALENTS\nCash equivalents are securities with original maturities of 90 days or less. \nTRADE RECEIVABLES\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect\nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is\nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company\nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’\ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and\nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected.\nINVENTORIES\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major\ncomponents of inventory (in thousands):\nDECEMBER 31,\n2003 2002\nRaw materials $ 5,641 $ 6,082\nFinished goods 4,044 2,818\nWork in process 1,629 1,411\nTotal inventories $ 11,314 $ 10,311\nINCOME TAXES\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are\ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are\nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million,\n$7.4 million and $6.7 million, respectively.\nDISCONTINUED OPERATIONS\nIncome from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income\nfrom discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the\ntwo months of its operations in 2003.\nThe Company adopted FAS 143 “Accounting for Asset Retirement Obligations.” effective January 1, 2003, and as a\nresult recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating\nresults in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from Investors Business Daily, which ranked Atrion sixth\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price\nhas increased by 468 percent.\nWe make products that meet the specific needs of niche markets.\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes\nmedical devices and components for end-users and manufacturers throughout the health care industry,\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality,\nprecision and reliability has helped a number of our products gain the leading market positions in the United\nStates in their respective niches. \nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In\naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the\ntreatment of tear duct blockages. \nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive\nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology.\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which\nare used in many surgical and medical settings. \nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry.\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety\nproducts.\nWe support this stable of solidly performing products with two essential programs. One is a highly\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is\ncomprised of professionals who possess clinical knowledge and specific product experience, and also\nconcentrate on building strong relationships with customers and within the industry. \nOur other essential program is research and development. We believe it is vital to keep a pipeline of\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development\nprogram ensures that we are committing the resources and time required to successfully stay the course.\n4\n30%\n24%24%\n22%\n2003 Revenues\nby Product Line\nCARDIOVASCULAR OPHTHALMOLOGY\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements 53\nand operate MGM Grand Australia. This transaction closed in July 2004 with net \nproceeds to the Company of $136 million.\nThe results of the Golden Nugget Subsidiaries, Online and MGM Grand Australia\nare classified as discontinued operations in the accompanying consolidated\nstatements of income for all periods pr esented. Net revenues of discontinued \noperations were $45 million, $231 million and $222 million, respectively, for the\nyears ended December 31, 2004, 2003 and 2002. Included in income from \ndiscontinued operations is an allocation of interest expense based on the ratio of the\nnet assets of the discontinued operations to the total consolidated net assets and\ndebt of the Company. Interest allocated to discontinued operations was $2 million,\n$9 million and $9 million for the y ears ended December 31, 2004, 2003 and 2002,\nrespectively. Included in discontinued operations for the year ended December 31,\n2003 is a loss on disposal of Online of $7 million relating primarily to \nunrecoverable costs of computer hardware and software. Included in the tax benefit\nfrom discontinued operations for the year ended December 31, 2003 is $2 million\nof previously unrecognized tax benefits relating to prior year operating losses of\nOnline. Included in discontinued operations for the y ear ended December 31,\n2004 is a gain on the sale of the G olden Nugget Subsidiaries of $8 million and a\ngain on sale of the MGM Grand Australia Subsidiaries of $74 million.\nThe following table summarizes the assets and liabilities of discontinued operations\n(the Golden Nugget Subsidiaries and Online) as of December 31, 2003, included as\nassets and liabilities held for sale in the accompanying consolidated balance sheet:\nAt December 31, 2003 (In thousands)\nCash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 15,230\nAccounts receivable, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6,024\nInventories. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4,321\nPrepaid expenses and other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5,174\nTotal current assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30,749\nProperty and equipment, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185,516\nOther assets, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9,817\nTotal assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 226,082\nAccounts payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,180\nOther current liabilities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20,885\nTotal current liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23,065\nLong-term debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391\nTotal liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23,456\nNet assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 202,626", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "(10) Asset Write Down \nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset\nwrite-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the\nC o m p a n y ’s acquisition of Arkansas Systems, Inc. (“Euronet USA”) in December 1998. The remaining $800,000 write-down related to the\nC o m p a n y ’s ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the\nBudapest Bank ATM network in Hungary. \nAs a result of the Company’s inability to achieve operating improvements, including software license and service orders for Euronet USA’s\ntraditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thr e e\nq u a rters of 2000. The Company calculated the expected cash flows of the Company’s Software Solutions Segment, which identified an\ni m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company r e c o rded an impairment charge based on the\np resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon\nthe acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction\npayment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to\nthe Company’s Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thr o u g h\ndevelopment and release of a new set of products that are independent of Euronet USA ’s traditional core product lines, including a new,\np l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile\nphone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and\nsolutions rather than Euronet USA’s traditional ITM solution will be the primary source of software solutions revenues in the future. \nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows\nof the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible\nassets. The Company’s estimate was based on historical results which have shown r e c u rring operating losses since acquisition, curr e n t\np rojections, and internal earnings targets, net of applicable taxes. The Company’s discounted cash flow analysis indicated that the carry i n g\nvalue of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible\nassets prior to the write down was $11.2 million. \nThe asset write-down is disclosed as a separate operating expense item in the Company’s Consolidated Statements of Operations and\nC o m p rehensive Loss. \nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets\nwill be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and\nS e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company’s standards. Specifically, these assets\nw e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its\nATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value\nof ATM hard w a re, adjusting to its net realizable value. \n(11) Notes Payable", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "How much share of Atrion's revenues did its major customer representin in 2003 ? ", - "target_page": 21, - "target_passage": "The Company had one major customer which represented approximately $9.1 million (14.4 percent", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "CORPORATE INFORMATION\nCorporate Office:\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\n(972) 390-9800\nwww.atrioncorp.com\nRegistrar and Transfer Agent\nAmerican Stock Transfer and Trust Company\n59 Maiden Lane\nNew York, New York 10007\nForm 10-K\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange\nCommission, may be obtained by any stockholder without charge by written request to:\nCorporate Secretary\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\nStock Information\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were\napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the\nCompany for each quarter of 2002 and 2003.\n2002 Quarter Ended High Low Dividends\nMarch 31 $ 38.14 $ 26.91 $ —\nJune 30 32.51 26.82 —\nSeptember 30 28.09 18.31 —\nDecember 31 23.90 17.31 —\n2003 Quarter Ended High Low Dividends\nMarch 31 $ 22.85 $ 17.95 $ —\nJune 30 30.80 22.75 —\nSeptember 30 45.20 26.80 .12\nDecember 31 50.00 40.00 .12\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying\nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from Investors Business Daily, which ranked Atrion sixth\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price\nhas increased by 468 percent.\nWe make products that meet the specific needs of niche markets.\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes\nmedical devices and components for end-users and manufacturers throughout the health care industry,\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality,\nprecision and reliability has helped a number of our products gain the leading market positions in the United\nStates in their respective niches. \nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In\naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the\ntreatment of tear duct blockages. \nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive\nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology.\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which\nare used in many surgical and medical settings. \nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry.\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety\nproducts.\nWe support this stable of solidly performing products with two essential programs. One is a highly\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is\ncomprised of professionals who possess clinical knowledge and specific product experience, and also\nconcentrate on building strong relationships with customers and within the industry. \nOur other essential program is research and development. We believe it is vital to keep a pipeline of\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development\nprogram ensures that we are committing the resources and time required to successfully stay the course.\n4\n30%\n24%24%\n22%\n2003 Revenues\nby Product Line\nCARDIOVASCULAR OPHTHALMOLOGY\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "49 ■ 2003 ANNUAL REPORT\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million\nof wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3\nmillion or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS\nservice revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which\ntotaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party’s network,\nwas $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the\nCompany’s network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The\nrate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001\nthrough April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from\nOctober 1, 2001 through December 31, 2001.\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3\nmillion of rebates and discounts given at the time of sale, which became more pronounced during the year to meet\nindustry competition for subscriber additions and subscriber retention.\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) service in August 2002.\nThe impact of 3G 1X-network enhancements on revenues was not significant in 2002.\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the\nresult of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the\n82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\nWireless revenues from the Company’s paging operation were $0.3 million, a decrease of $0.1 million as the local\ncustomer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in\n2002 from 3,190 subscribers to 2,940 subscribers.\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%.\nTelephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues\nwas driven by a 38.4% increase in access minutes of use on the Company’s network and an increased percentage of\nminutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the\nFederal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC\n2002 compared to 2001\nCONTINUING OPERATIONS\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990’s. The partnership’s\nlocal customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December\n31, 2002. The decline was the result of competition with digital technologies and increased competition from national\ncarriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to\ntransform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the\npartnership to one of the minority partners. The agreement was signed in November 2002, and closing was February\n28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million,\n$7.4 million and $6.7 million, respectively.\nDISCONTINUED OPERATIONS", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS\nTo the Stockholders and the Board of Directors of Atrion Corporation:\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003\nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial\nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit.\nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors\nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting\nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits\nprovide a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation\nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then\nended in conformity with accounting principles generally accepted in the United States of America.\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by\nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required\nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our\naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued\nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those\nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation\nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate.\nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such\ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \nGrant Thornton LLP\nDallas, Texas\nFebruary 13, 2004\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report\nfor the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The\nconsolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended\nDecember 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\nTo the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "In recent years, the economic climate has presented significant\nchallenges to growth—and, in some cases, survival—for American\nbusinesses. The companies that have fared well are those with solid\nfinancial foundations and sound growth strategies that provide a\nmeasure of protection against the changing winds of the economy.\nAtrion is one of those companies. For the past five years, we have\nproduced earnings per share growth of more than 15 percent each\nyear. Despite fluctuations in our markets and product demand, we\nhave continued to return value to our stockholders through strong\nearnings growth, year after year. As a leading provider of medical\ndevices and components to niche markets in the health care\nindustry, we are committed to doing everything we can to continue\nthat level of performance.\nFINANCIAL HIGHLIGHTS 1\nLETTER TO STOCKHOLDERS 2\nFINANCIAL INFORMATION 7\nCORPORATE INFORMATION 28", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "compared to 18,050 at the end of the previous year. During 2003, the Company’s DSL high-speed Internet access\nsubscriber count increased to 1,298 from 646. Total Internet service revenue was $4.5 million, an increase of $0.3\nmillion or 10.7%. The 511Virginia contract with the Virginia Department of Transportation contributed $1.3 million to\nother revenues, an increase of $0.4 million or 41.3%. Telecommunications equipment sales, services and lease\nrevenues were $1.1 million, which reflects a $0.1 million decrease from 2002 results.\nWireline revenues from cable television services were $4.4 million, an increase of $0.1 million or 1.7%. The number\nof subscribers and service plan prices remained relatively constant during 2003.\nBilling and collection services and other revenues contributed $0.4 million to wireline revenues, which was the same as\n2002 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a\ngreater proportion of their bills directly to their customers.\nFacility lease revenue contributed $5.5 million to wireline revenues, a decrease of $0.2 million or 3.5%. The decrease\nwas primarily the result of the prolonged decline of lease rates associated with competitive pricing pressures and the\neconomic downturn in the telecommunications industry. During 2002 the Company completed a second, diverse fiber\nroute to its existing interconnection point in the Dulles airport area of Northern Virginia. This fiber route provides\nincreased reliability for customers in the event of fiber cuts or breaks, and extends the availability of the Company’s\nfiber network to additional market locations but to date has not added additional revenue to the Company’s operation.\n47 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS", - "page_start": 48, - "page_end": 48, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n12\n1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its\nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of\nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion\nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”).\nPRINCIPLES OF CONSOLIDATION\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany\ntransactions and balances have been eliminated in consolidation.\nFAIR VALUE\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these\nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\nESTIMATES\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management\nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates\nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\nFINANCIAL PRESENTATION\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\nCASH AND CASH EQUIVALENTS\nCash equivalents are securities with original maturities of 90 days or less. \nTRADE RECEIVABLES\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect\nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is\nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company\nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’\ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and\nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected.\nINVENTORIES\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major\ncomponents of inventory (in thousands):\nDECEMBER 31,\n2003 2002\nRaw materials $ 5,641 $ 6,082\nFinished goods 4,044 2,818\nWork in process 1,629 1,411\nTotal inventories $ 11,314 $ 10,311\nINCOME TAXES\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are\ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are\nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\nTo the Stockholders and the Board of Directors of Atrion Corporation:\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001\nand 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial\nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audits.\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit\nto obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence\nsupporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made\nby management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries\nas of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31,\n2001 in conformity with accounting principles generally accepted in the United States.\nArthur Andersen LLP\nAtlanta, Georgia\nFebruary 25, 2002 \n23", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "percentage for the most recent three-year period has been 32% of \nprior year earnings.\nC O M M O N S H A R E R E P U R C H A S E S\nDuring 2003, the Company repurchased 762,300 shares of its com -\nmon stock at a cost of approximately $21.5 million, or an average \nprice of $28.22 per share. During 2002, the Company repurchased \n614,580 shares of its common stock at a cost of approximately $15.7 \nmillion, or an average price of $25.60 per share. During 2001, the \nCompany repurchased 1,472,937 shares at a cost of approximately \n$35.1 million, or an average price of $23.80 per share. \nL I T I G A T I O N A N D U N C E R T A I N T I E S\nThe Company has contingent liabilities that have arisen in the course of \nits business, including pending litigation, preferential payments claims \nin customer bankruptcies, environmental remediation, taxes, and other", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "Minutes of use (in thousands) 2003 2002\n(net of intercompany usage)\nOriginating Terminating Originating Terminating\nInterstate 29,373 87,539 42,929 63,959\nIntrastate 37,190 49,103 22,684 36,712\nTotal 66,563 136,642 65,613 100,671\nAccess revenue (in thousands) 2003 2002\n(net of intercompany usage) As reported Pro forma As reported Pro forma\nTraffic sensitive (1) $ 4,274 $ 4,974 $ 4,676 $ 3,976\nSpecial access revenues 1,606 1,606 1,247 1,247\nCarrier common line settlement 5,750 5,750 4,978 4,978\nTotal $ 11,630 $ 12,330 $ 10,901 $ 10,201\n(1) Traffic sensitive revenue has been normalized in the proforma column to remove the impact of the access billing\ndispute adjustment and the impact of the NECA settlement adjustments.\n2002\nOriginating Terminating\n42,929 63,959\n22,684 36,712\n65,613 100,671\n2002\nAs reported Pro forma\n$ 4,676 $ 3,976\n1,247 1,247\n4,978 4,978\n$ 10,901 $ 10,201\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) wireless service in August\n2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data\nspeeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and\nsome new network elements required for packet data. The Company’s base stations were outfitted with network card\nenhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base\nstations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current\ncustomer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as\nuse of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in\n2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera\nphones during 2003.\nThe shift in originating traffic is the result of implementing software capable of identifying actual interstate and\nintrastate traffic specifically delivered to the wireline switch, where previously usage was allocated between interstate\nand intrastate traffic types by the interexchange carriers.\nThe following table shows the access traffic minutes of use for the two years of 2003 and 2002.\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic\nvolume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03\nper minute on the increase in the mix of intrastate traffic. The Company’s increased access revenue was also a result of\nthe benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or\n35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating\ntraffic to total traffic increased from 58% in 2002 to 65% in 2003.\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%.\nTelephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company\nrecorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with\ninterexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination\non wireless networks.\nWireless revenues from the Company’s paging operation were $0.2 million, a decrease of $0.1 million as the customer\nbase increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from\n2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by\nwireless voice services, which have features that surpass those of paging technologies. The Company anticipates that", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What was Atrion's gross profit in 2003 (in thousands) ? ", - "target_page": 10, - "target_passage": "Gross Profit 22,239", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "CORPORATE INFORMATION\nCorporate Office:\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\n(972) 390-9800\nwww.atrioncorp.com\nRegistrar and Transfer Agent\nAmerican Stock Transfer and Trust Company\n59 Maiden Lane\nNew York, New York 10007\nForm 10-K\nA copy of the Company’s 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange\nCommission, may be obtained by any stockholder without charge by written request to:\nCorporate Secretary\nAtrion Corporation\nOne Allentown Parkway\nAllen, Texas 75002\nStock Information\nThe Company’s common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were\napproximately 1,200 stockholders, including beneficial owners holding shares in nominee or “street” name. The table below \nsets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the\nCompany for each quarter of 2002 and 2003.\n2002 Quarter Ended High Low Dividends\nMarch 31 $ 38.14 $ 26.91 $ —\nJune 30 32.51 26.82 —\nSeptember 30 28.09 18.31 —\nDecember 31 23.90 17.31 —\n2003 Quarter Ended High Low Dividends\nMarch 31 $ 22.85 $ 17.95 $ —\nJune 30 30.80 22.75 —\nSeptember 30 45.20 26.80 .12\nDecember 31 50.00 40.00 .12\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying\nquarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "REPORT OF INDEPENDENT CERTIFIED PUBLIC ACCOUNTANTS\nTo the Stockholders and the Board of Directors of Atrion Corporation:\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003\nand 2002, and the related consolidated statements of income, changes in stockholders’ equity and cash flows for the years then ended. These financial\nstatements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial statements based on our audit.\nThe financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors\nwho have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan\nand perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes\nexamining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting\nprinciples used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits\nprovide a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation\nand Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then\nended in conformity with accounting principles generally accepted in the United States of America.\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by\nother auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required\nby Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our\naudit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued\nfinancial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those\nperiods related to goodwill to the Company’s underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation\nof adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate.\nHowever, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such\ndisclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole. \nGrant Thornton LLP\nDallas, Texas\nFebruary 13, 2004\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report\nfor the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The\nconsolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended\nDecember 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\nTo the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Our financial performance earned recognition from Investors Business Daily, which ranked Atrion sixth\non its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than\ndoubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price\nhas increased by 468 percent.\nWe make products that meet the specific needs of niche markets.\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes\nmedical devices and components for end-users and manufacturers throughout the health care industry,\nranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality,\nprecision and reliability has helped a number of our products gain the leading market positions in the United\nStates in their respective niches. \nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In\naddition, our LacriCATH® balloon catheter positions us as a market leader with a patented product for the\ntreatment of tear duct blockages. \nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive\nsurgical tapes and check valves. Serving the same market, our MPS® Myocardial Protection System continues\nto make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology.\nThe MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only\nsystem that provides integrated control over temperature, pressure, flow rate and the precise delivery of\nmedications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which\nare used in many surgical and medical settings. \nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry.\nWe are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety\nproducts.\nWe support this stable of solidly performing products with two essential programs. One is a highly\neffective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is\ncomprised of professionals who possess clinical knowledge and specific product experience, and also\nconcentrate on building strong relationships with customers and within the industry. \nOur other essential program is research and development. We believe it is vital to keep a pipeline of\nproducts in various stages of development so that we can take advantage of near- and long-term opportunities\nin our markets. Understandably, proposed new products for the health care industry must undergo stringent\ntesting and rigorous approval procedures. Often, this means that the process of bringing a new product from\nthe design stage to the marketplace is a long and arduous one. A strong, proactive research and development\nprogram ensures that we are committing the resources and time required to successfully stay the course.\n4\n30%\n24%24%\n22%\n2003 Revenues\nby Product Line\nCARDIOVASCULAR OPHTHALMOLOGY\nFLUID DELIVERY OTHER", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "realization. Included in 2003 gross profit was $6.7 million of acceler -\nated depreciation, which reduced gross profits 0.4 percentage points. \nThe Company expects to mitigate any future increases in material costs \nthrough various initiatives, including alternative materials and sup-\npliers and its rapid continuous improvement program.\nS E L L I N G A N D A D M I N I S T R A T I V E E X P E N S E S\nSelling and administrative expenses, excluding restructuring charges, \nincreased 5.8% in 2003 and decreased 2.2% in 2002. The increase in \n2003 was due to additional investment of approximately $14 million in \nbrand building and selling initiatives, and increased freight costs of \n$7 million due to rate increases, fuel surcharges, and volume. The \ndecrease in 2002 was due to no longer amortizing goodwill and certain \nother intangible assets of approximately $9 million and lower overall", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "tender offer. The other income in 2001 was primarily related to the Company’s one-time pre-tax gain of $428,000 on the sale of a patent.\nIncome tax expense in 2003 totaled $1.9 million, compared with $1.4 million in 2002 and $1.8 million in 2001. The effective tax rates for 2003, 2002 and\n2001 were 27.8 percent, 25.7 percent and 29.7 percent, respectively. Benefits from tax incentives for exports and R&D expenditures totaled $350,000 in\n2003, $408,000 in 2002 and $404,000 in 2001. The higher effective tax rate in 2003 is primarily a result of benefits from tax incentives for exports and\nR&D expenditures being a lesser percentage of taxable income in 2003 than in 2002. The lower effective tax rate in 2002 is primarily a result of benefits\nfrom tax incentives for exports and R&D expenditures being a larger percentage of taxable income in 2002 than in 2001 and the utilization of capital loss\ncarryforwards in 2002. \nThe Company believes that 2004 revenues will be higher than 2003 revenues and that the cost of goods sold, gross profit, operating income and income\nfrom continuing operations will each be higher in 2004 than in 2003. The Company further believes that it will have continuing volume growth in most of\nits product lines in 2004, complemented by the introduction of new products, and that it will achieve a double-digit annual rate of growth in earnings per\nshare from continuing operations for the next several years.\nDISCONTINUED OPERATIONS\nDuring 1997, the Company sold all of its natural gas operations. The financial statements presented herein reflect the Company’s natural gas operations as\ndiscontinued operations for all periods presented. The financial statements also reflect an after-tax gain on disposal of these discontinued operations of \n$ .2 million, or $ .10 per basic and $ .09 per diluted share, in both 2003 and 2002, and $5.5 million, or $2.70 per basic and $2.42 per diluted share, in 2001.\nIn addition to the initial consideration received in 1997 upon the sale of the natural gas operations, certain annual contingent deferred payments of up to\n$250,000 per year were to be paid to the Company over an eight-year period which began in 1999, with the amount paid each year to be dependent upon\nrevenues received by the purchaser from certain gas transportation contracts. The Company received deferred payments of $250,000 each, before tax, from\nthe purchaser in April 2003, 2002 and 2001 which are reflected in each year as a gain from discontinued operations of $165,000, net of tax. The 2001\ngain also includes a $5,327,000 non-cash gain from reversal of a reserve established when the Company disposed of its natural gas operations in 1997.\nThis reversal in the third quarter of 2001 followed the resolution of an outstanding contingency related to the sale of those assets. \n25", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "We exceeded\nlast year’s earnings\nby more than 15%.\nAgain.\n2003\nANN UAL REPOR T", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "38 39\nH O N I N D U S T R I E S I n c . a n d S U B S I D I A R I E S\n(Amounts in thousands, except for per share data) For the Years 2003 2002 2001\nNet sales $ 1,755,728 $ 1,692,622 $ 1,792,438\nCost of products sold 1,116,513 1,092,743 1,181,140\n Gross Profit 639,215 599,879 611,298\nSelling and administrative expenses 480,744 454,189 464,206\nRestructuring related charges 8,510 3,000 24,000\n Operating Income 149,961 142,690 123,092\nInterest income 3,940 2,578 1,717\nInterest expense 2,970 4,714 8,548\n Income Before Income Taxes 150,931 140,554 116,261\n Income taxes 52,826 49,194 41,854\n Net Income $ 98,105 $ 91,360 $ 74,407\n Net Income Per Common Share – Basic $ 1.69 $ 1.55 $ 1.26\n Weighted Average Shares Outstanding – Basic 58,178,739 58,789,851 59,087,963\n Net Income Per Common Share – Diluted $ 1.68 $ 1.55 $ 1.26\n Weighted Average Shares Outstanding – Diluted 58,545,353 59,021,071 59,210,049\nThe accompanying notes are an integral part of the consolidated financial statements.\nC O N S O L I D A T E D S T A T E M E N T S O F I N C O M E", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "In recent years, the economic climate has presented significant\nchallenges to growth—and, in some cases, survival—for American\nbusinesses. The companies that have fared well are those with solid\nfinancial foundations and sound growth strategies that provide a\nmeasure of protection against the changing winds of the economy.\nAtrion is one of those companies. For the past five years, we have\nproduced earnings per share growth of more than 15 percent each\nyear. Despite fluctuations in our markets and product demand, we\nhave continued to return value to our stockholders through strong\nearnings growth, year after year. As a leading provider of medical\ndevices and components to niche markets in the health care\nindustry, we are committed to doing everything we can to continue\nthat level of performance.\nFINANCIAL HIGHLIGHTS 1\nLETTER TO STOCKHOLDERS 2\nFINANCIAL INFORMATION 7\nCORPORATE INFORMATION 28", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "14 15\nH O N I N D U S T R I E S 2 0 0 3\n (In thousands, except for per share data) 2003 2002 Change\nI N C O M E S T A T E M E N T D A T A \nNet sales $ 1,755,728 $ 1,692,622 3.7%\nGross profit 639,215 599,879 6.6%\nGross profit as a % of: \n Net sales 36.4% 35.4% —\n Selling and administrative expenses 480,744 454,189 5.8%\nRestructuring related charges 8,510 3,000 183.7%\nOperating income 149,961 142,690 5.1%\nNet income 98,105 91,360 7.4%\nNet income as a % of: \n Net sales 5.6% 5.4% —\n Average shareholders’ equity 14.5% 14.7% —\nPer common share: \n Net income – basic $ 1.69 $ 1.55 9.0%\n Net income – diluted 1.68 1.55 8.4%\n Book value – basic 12.19 11.08 10.0%\n Cash dividends 0.52 0.50 4.0%\nB A L A N C E S H E E T D A T A \nCurrent assets $ 462,122 $ 405,054 14.1%\nTotal assets 1,021,826 1,020,552 0.1%\nCurrent liabilities 245,816 298,680 (17.7%)\nCurrent ratio 1.88 1.36 —\nLong-term debt and capital lease obligations $ 4,126 $ 9,837 (58.1%)\nDebt/capitalization ratio 0.6% 1.5% —\nShareholders’ equity $ 709,889 $ 646,893 9.7%\nAverage shareholders’ equity 678,391 619,787 9.5%\nWorking capital 216,306 106,374 103.3%\nO T H E R D A T A \nCapital expenditures $ 34,842 $ 25,885 34.6%\nCash flow from operations 141,274 202,391 (30.2%)\nWeighted-average shares outstanding during year – basic 58,178,739 58,789,851 (1.0%)\nPrice/earnings ratio at year-end 26 18 —\nNumber of shareholders at year-end 6,416 6,777 (5.3%)\nMembers (employees) at year-end 8,926 8,828 1.1%\nF I N A N C I A L H I G H L I G H T S", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n12\n1 SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its\nproducts throughout the United States and internationally. The Company’s customers include hospitals, distributors, and other manufacturers. As of\nDecember 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. (“Atrion\nMedical Products”), Halkey-Roberts Corporation (“Halkey-Roberts”) and Quest Medical, Inc. (“Quest Medical”).\nPRINCIPLES OF CONSOLIDATION\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the “Company”). All significant intercompany\ntransactions and balances have been eliminated in consolidation.\nFAIR VALUE\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these\nitems. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\nESTIMATES\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management\nto make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates\nof the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\nFINANCIAL PRESENTATION\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\nCASH AND CASH EQUIVALENTS\nCash equivalents are securities with original maturities of 90 days or less. \nTRADE RECEIVABLES\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect\nestimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is\nassessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company\nevaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers’\ncurrent and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and\nwith the customers directly. Accounts are written off when it is determined the receivable will not be collected.\nINVENTORIES\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major\ncomponents of inventory (in thousands):\nDECEMBER 31,\n2003 2002\nRaw materials $ 5,641 $ 6,082\nFinished goods 4,044 2,818\nWork in process 1,629 1,411\nTotal inventories $ 11,314 $ 10,311\nINCOME TAXES\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are\ncomputed annually for differences between the financial reporting basis and the tax basis of the Company’s other assets and liabilities. These amounts are\nbased on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What the name of the first bridge buildt over Danube ?", - "target_page": 16, - "target_passage": "he Chain Bridge was the first bridge over the Danube", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "157. Wurzbach, Constantin von, ed. (1861). \"Habsburg, Margaretha (Königin von Spanien)\" (https://en.wikisource.org/wiki/de:BLK%C3%96:Habsburg,_Margaretha_(K%C3%B6nigin_von_Spanien)). Biographisches Lexikon desKaiserthums Oesterreich [Biographical Encyclopedia of the Austrian Empire] (in German). Vol. 7. p. 13 – viaWikisource.", - "page_start": 29, - "page_end": 29, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 121\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul-\nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce 56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record).\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre-\nceding Iron Age or Bronze Age group providing a reasonable fit for the \na\nScandinavian Peninsula EIA\nBritain\nCentral Europe\nPortugal\nHungary and Slovakia\nEastern Europe\nItaly\n0.002\n0\n–0.002 Dimension 1\n–0.004\n–0.002 –0.001 0 0.001\nDimension 2\n0.002 0.003 0.004\nTwigstats f3-statistics\nScandinavian Peninsula EIA\nDenmark IA\nEarly medieval,\nincluding Wielbark,\nBaiuvarii,\nLongobards,\nEngland earlyMED,\nSlovakia earlyMED\nEngland Dif/f_ield Terrace\nRegular f3-statistics\nDrif/f_ield Terrace\nRoman outlier (second to\nfourth century CE)\n1\nAnatolia_EBA\nAustria_Klosterneuburg_Roman\nBaiuvari_earlyMED\nBritain.lronRoman\nCentraIEurope.IronRoman(l)\nCentraIEurope.IronRoman(Il)\nCentraIEurope.IronRoman(IIl)\nCordedWare_EBA\nCroatia.IronRoman_oNorthEurope\nDenmark_BA IrelandOrkney_BA\nHungarySlovakia.lronRoman\nHungary_earlyMED(II)\nHungary_earlyMED(I)\nEngland.Drif/f_ield.Terrace.Scandinavia\nEngland_earlyMED_midCNE\nEngland_earlyMED_lowCNE\nEngland_earlyMED_highCNE\nDenmark_IA\nDenmark_EVA\nDimension 2\n0.002 0.003\nTwigstats f3-statistics\n0.004\nPoland_BA Saami\nRussia_Sarmatian\nPortugal.lronRoman\nPolandUkraine_MLBA(II)\nPolandUkraine_MLBA(I)\nPoland_Wielbark(III)\nPoland_Wielbark(II)\nPoland_Wielbark(I)\nPoland_Middle_Ages(II)\nPoland_Middle_Ages(I) Scandinavian_Peninsula_EIA(I)\nScandinavian_Peninsula_EIA(II)\nSlovakia_Zohor_Germanic_Roman\nSlovakia_earlyMED\nSlovenia.lronRoman\nSlovenia.Roman.oNorthEurope\nNetherlands_Friesland_earlyMED\nMontenegro_earlyMED\nLongobard_earlyMED(II)\nLongobard_earlyMED(I)\nLithuania.lronRoman\nKyrgyzstan_TianShanHun\nltaly.lronRepublic\nltaly.lmperial(ll)\nItaly.lmperial(l)\n0.0010–0.001–0.002\n–0.004\n–0.002\n0\nItaly\n0.002Dimension 1\nPortugal\nCentral\nEurope\nBritain\nHungary and Slovakia\nEastern Europe\n28\n2\n3 13\n3.3\nI II III 6\nWielbark, Poland\n(/f_irst to third century CE)\nMedieval Poland (tenth\nto eleventh century CE)\n2\nIron Age, Denmark\n(/f_irst to third century CE)\nFriesland, the Netherlands\n(/f_ifth to sixth century CE)\nBaiuvarii\n(/f_ifth century CE)\nLongobard\n(sixth century CE)\nEarly medieval\nSlovakia\n(third to /f_ifth century CE)\nZohor, Slovakia\n(/f_irst to second\ncentury CE)\nLa Tène, Slovakia\n(/f_irst century BCE\nto /f_irst century CE)\n2.1\nLow CNE Mid CNE High CNE\nEarly medieval England\n(/f_ifth to eighth century CE)\n9\nII I 7\n4.7\n1\n3\nbc\nd\nIron Age, Denmark Early Viking, Salme\nDrif/f_ield Terrace\nRoman outlier\nEarly\nmedieval England\nWielbark, Poland\nEarly medievalZohor\nLongobardBaiuvarii\nFriesland, the\nNetherlandsMid CNELow CNE\nI II\nFig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. \na, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \nf3 statistics (outgroup: Han Chinese people). These are calculated using", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "118 | Nature | Vol 637 | 2 January 2025\nArticle\nHigh-resolution genomic history of early \nmedieval Europe\nLeo Speidel1,2,3 ✉, Marina Silva1, Thomas Booth1, Ben Raffield4, Kyriaki Anastasiadou1, \nChristopher Barrington5, Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1 ✉\nMany known and unknown historical events have remained below detection thresholds \nof genetic studies because subtle ancestry changes are challenging to reconstruct. \nMethods based on shared haplotypes1,2 and rare variants3,4 improve power but are not \nexplicitly temporal and have not been possible to adopt in unbiased ancestry models. \nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can \nimprove statistical power by an order of magnitude by focusing on coalescences in \nrecent times, while remaining unbiased by population-specific drift. We apply this \nframework to 1,556 available ancient whole genomes from Europe in the historical \nperiod. We are able to model individual-level ancestry using preceding genomes to \nprovide high resolution. During the first half of the first millennium ce, we observe \nat least two different streams of Scandinavian-related ancestry expanding across \nwestern, central and eastern Europe. By contrast, during the second half of the first \nmillennium ce, ancestry patterns suggest the regional disappearance or substantial \nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx \nby approximately 800 ce, when a large proportion of Viking Age individuals carried \nancestry from groups related to central Europe not seen in individuals from the early \nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a \nhigher-resolution lens for genetic history.\nAncient genome sequencing has revolutionized our ability to recon-\nstruct expansions, migrations and admixture events in the ancient past \nand understand their impact on human genetic variation today. How-\never, tracing history using genetic ancestry has remained challenging, \nparticularly in historical periods for which the richest comparative \ninformation from history and archaeology often exists. This is because \nancestries in many geographical regions are often so similar as to be \nstatistically indistinguishable with current approaches. One example is \nnorthern and central Europe since the start of the Iron Age around 500 \nbce, a period for which many long-standing questions remain, such as \nthe nature of large-scale patterns of human migration during the fourth \nto sixth centuries ce, their impact on the Mediterranean world and later \npatterns of human mobility during the Viking Age (around 750–1050 ce).\nSeveral recent studies have documented substantial mobility and \ngenetic diversity in these time periods, suggesting stable population \nstructure despite high mobility5, and have revealed genetic variation \nin Viking Age Scandinavia6–8, early medieval England3,9, early medieval \nHungary10,11 and Iron Age and medieval Poland12. However, previous \nstudies mostly used large modern cohorts to study ancestry change \nthrough time and space. This is because the differentiation between \nIron Age groups in central and northern Europe is an order of magnitude \nlower (fixation index (FST) = 0.1–0.7%; Extended Data Fig. 1) than, for \nexample, the more commonly studied hunter-gatherer, early farmer \nand steppe-pastoralist groups that shaped the ancestry landscape of \nStone Age and Bronze Age Europe13–16 (FST = 5–9% (refs. 13,17)). Modern \npopulations provide more power to detect differences, but their genetic \naffinity to ancient individuals may be confounded by later gene flow, \nthat is, after the time of the ancient individual(s)18. The most principled \napproach is thus to build ancestry models in which source and ‘out-\ngroup/reference’ populations are older than, or at least contemporary \nwith, the target genome or group that we are trying to model18. However,", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "admixture (Extended Data Fig. 5d). Application of Twigstats on empiri-\ncal whole genomes produces results inconsistent with deep substruc-\nture alone, but consistent with punctual admixture.\nAncestry models of early medieval Europe\nHaving demonstrated that the Twigstats approach can effectively \nimprove resolution and statistical power to test ancestry models and \nestimate proportions, we turn to the history of early medieval Europe. \nIn the first half of the first millennium ce, Roman historians such as \nTacitus and Ammianus Marcellinus described the geographical dis-\ntribution and movements of groups beyond the imperial frontier and \nsuggested a potential role for them in the fall of the western Roman \nEmpire52. However, the exact nature and scale of these historically \nattested demographic phenomena—and their genetic impact—\nhave been questioned53, and have been difficult to test with genetic \napproaches owing to the close relations shared between many groups \nthat were ostensibly involved. Less is understood at further distances \nfrom the Roman frontier owing to a lack of historical accounts. The \nimproved statistical power of time-restricted ancestry in Twigstats \nthus offers an opportunity to revisit these questions.\nT o develop an ancestry model for early medieval individuals (Supple-\nmentary Table 1), we first need a broad characterization of the ancestry \nof the earlier sources from the early Iron Age (EIA) and Roman periods. \nWe use hierarchical UPGMA clustering based on pairwise clade testing \nbetween all individuals, and formally test the cladality of proposed \nancestry groups with qpWave5 (cladality in this sense means whether \nthey are consistent with being symmetrically related to all other tested \ngroups; Methods). This resulted in a set of model ancestry sources \nthat included Iron Age and Roman Britain (n = 11), the Iron Age of cen-\ntral European regions of mostly Germany, Austria and France (n = 10), \nRoman Portugal (n = 4), Roman Italy (n = 10), Iron Age Lithuania (n = 5), \nthe EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several \nother more eastern groups dating to the Bronze Age and EIA (n = 25) \n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm \napproach54 to narrow down the set of contributing sources from this \nlarger pool of putative sources.\nWe additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-f3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-f3 sta-\ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig.  2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured.\nExpansions of Scandinavian-like ancestry\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin \nand rapid trans-Eurasian migration of 7th century Avar elites. Cell 185, 1402–1413 (2022).\n59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive \nfemale-biased immigration in Early Medieval Bavaria. Proc. Natl Acad. Sci. USA 115, \n3494–3499 (2018).\n60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the \nAnglo-Saxons. Nat. Commun. 7, 10326 (2016).\n61. Schiffels, S. & Sayer, D. in Migration and Integration From Prehistory to the Middle Ages \n(eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, \n2017).\n62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early \nmedieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and \nthe modern people of the UK. PLoS Genet. 19, e1010360 (2023).\n63. Symmachus, Letters 2. 46.1-2. WordPress https://aleatorclassicus.wordpress.com/2011/08/ \n19/symmachus-letters-2-46-1-2/ (2011).\n64. Emperor, J. The Works of the Emperor Julian (translator Wright, W. C.) Vol. 1 (Project \nGutenberg, 2015); https://www.gutenberg.org/ebooks/48664.\n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration \npatterns in a Viking Age town. Curr. Biol. 28, 2730–2738 (2018).\n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the \nIron Age. J. Archaeol. Sci. Rep. 12, 183–196 (2017).\n67. Sawyer, P. H. The Age of the Vikings (St. Martin’s Press, 1972).\n68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of \nIceland. Am. J. Hum. Genet. 67, 697–717 (2000).\n69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment \nof strontium by means of Bayesian mixing analysis. J. Archaeol. Sci. 64, 30–45 (2015).\nPublisher’s note Springer Nature remains neutral with regard to jurisdictional claims in \npublished maps and institutional affiliations.\nOpen Access This article is licensed under a Creative Commons Attribution \n4.0 International License, which permits use, sharing, adaptation, distribution \nand reproduction in any medium or format, as long as you give appropriate \ncredit to the original author(s) and the source, provide a link to the Creative Commons licence, \nand indicate if changes were made. The images or other third party material in this article are \nincluded in the article’s Creative Commons licence, unless indicated otherwise in a credit line \nto the material. If material is not included in the article’s Creative Commons licence and your \nintended use is not permitted by statutory regulation or exceeds the permitted use, you will \nneed to obtain permission directly from the copyright holder. To view a copy of this licence, \nvisit http://creativecommons.org/licenses/by/4.0/.\n© The Author(s) 2025", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed3.pdf" - }, - { - "text": "Guignol, created in the early 19th\nC., associated with the silk-workers\n1,600,000 m2 (17,222,256.67 sq ft) of office space and services and more than 55,000 jobs.[48] Cité Internationale, created\nby the architect Renzo Piano is located in the border of the Parc de la Tête d'Or in the 6th arrondissement. The worldwide\nheadquarters of Interpol is located there. The district of Confluence, in the south of the historic centre, is a new pole of\neconomical and cultural development.\nTourism is an important part of the Lyon economy, with one billion euros in 2007 and 3.5 million hotel-nights in 2006\nprovided by non-residents. Approximately 60% of tourists visit for business, with the rest for leisure. In January 2009, Lyon\nranked first in France for hostels business. The festivals most important for attracting tourists are the Fête des lumières, the\nNuits de Fourvière every summer, the Biennale d'art contemporain and the Nuits Sonores.\nSince the Middle Ages, the region residents have spoken several dialects of Franco-\nProvençal. The Lyonnais dialect was replaced by the French language as the\nimportance of the city grew. However some \"frenchified\" Franco-Provençal words\ncan also be heard in the French of the Lyonnais, who call their little boys and girls\n\"gones\" and \"fenottes\" for example.[49]\nThe Lumière brothers pioneered cinema in the town in 1895. The InstitutLumière, built as Auguste Lumiere's house, and a fascinating piece ofarchitecture in its own right, holds many of their first inventions and otherearly cinematic and photographic artifacts.\n8 December each year is marked by the Festival of Lights (la Fête deslumières), a celebration of thanks to the Virgin Mary, who purportedlysaved the city from a deadly plague in the Middle Ages. During the event,the local population places candles (luminions) at their windows and the city of Lyon organizes large-scalelight shows onto the sides of important Lyonnais monuments, such as the medieval Cathédrale St-Jean.\nThe Saint Francis of Sales church is famous for its large and unaltered Cavaillé-Coll pipe organ, attractingaudiences from around the world.\nThe Opéra Nouvel (New Opera House) is the home of the Opéra National de Lyon. The original opera housewas re-designed by the distinguished French architect Jean Nouvel between 1985 and 1993 and is namedafter him.\nLyon is also the French capital of \"trompe l'œil\" walls, a very ancient tradition. Many are to be seen around thecity. This old tradition is now finding a contemporary expression, for example in the art of Guillaume\nBottazzi.[50][51]\nThe Brothers of the Sacred Heart, a Roman Catholic congregation that operates schools in Europe and NorthAmerica, was founded in Lyon in 1821.\nThe African Museum of Lyon is one of the oldest museums situated in Lyon.[52]\nThe Museum of Resistance and Deportation looks at the various individuals prominent in the Resistancemovement in World War II. The building is strongly linked to Klaus Barbie. Lyon sees itself as the centre of theFrench resistance and many members were shot in Place Bellecour in the town centre. The exhibition islargely a series of , mini-biographies of those involved.\nLyon is a pilot city of the Council of Europe and the European Commission Intercultural cities program.\nThe historic site of Lyon was designated a UNESCO World Heritage Site in 1998. In its designation, UNESCO cited the\n\"exceptional testimony to the continuity of urban settlement over more than two millennia on a site of great commercial and\nstrategic significance.\"[37] The specific regions comprising the historic site include the Roman district and Fourvière, the\nRenaissance district (Vieux Lyon), the silk district (slopes of Croix-Rousse), and the Presqu'île, which features architecture\nfrom the 12th century to modern times.[53]\nCulture\nUNESCO World Heritage Site", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Frankfurt, Germany, since 1960\nGothenburg, Sweden\nGuangzhou, China, since 1988\nHaute Matsiatra, Madagascar\nHo Chi Minh City, Vietnam, since 1997\nJericho, Palestine\nLeipzig, Germany, since 1981\nŁódź, Poland, since 1991\nMelbourne, Australia\nMilan, Italy, since 1966\nMontreal, Canada, since 1979\nOran, Algeria\nOsaka, Japan, since 1984\nOuagadougou, Burkina Faso\nPorto-Novo, Benin\nRabat, Morocco\nSt. Louis, United States[85]\nSaint Petersburg, Russia\nSétif, Algeria\nTinca, Romania\nTurin, Italy\nYerevan, Armenia, since 1992\nYokohama, Japan, since 1959\nGeography portal\nEurope portal\nEuropean Unionportal\nFrance portal\nList of films set in Lyon\nList of streets and squares in Lyon\nMères of France\nMontchat\nOccupation of Saint-Nizier church by Lyon prostitutes\na. A war cry from 1269, spelt in modern Franco-Provençal as Avant, Avant, Liyon lo mèlyor.\nb. Quote from a letter of Cicero to Lucius Munatius Plancus, founder of the city.[1]\nc. Pronunciation: UK: /ˈ li ː ɒ ̃ /,[8][9] US: /liˈ o ʊ n/ lee-OHN;[10][11] French: [lj ɔ ̃ ] ⓘ; formerly spelled in English as\nLyons (/ˈ la ɪ ə nz/ LY- ə nz).[11][12] Arpitan: Liyon [ ʎ j ɔ ̃ ]; Occitan: Lion, hist. Lionés.[13]\nd. Constant PPP US dollars, base year 2015.\n1. \"Cicero\" (http://www.thelatinlibrary.com/cicero/fam10.shtml#3). Epistulae ad familiares, X.3. Retrieved2 January 2020.\n2. \"Répertoire national des élus: les maires\" (https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-19ee07b0e503) (in French). data.gouv.fr, Plateforme ouverte des données publiques françaises. 13 September2022.\n3. \"Comparateur de territoire - Unité urbaine 2020 de Lyon (00760)\" (https://www.insee.fr/fr/statistiques/1405599?geo=UU2020-00760). INSEE. Retrieved 3 April 2022.\n4. \"Comparateur de territoire - Aire d'attraction des villes 2020 de Lyon (002)\" (https://www.insee.fr/fr/statistiques/1405599?geo=AAV2020-002). INSEE. Retrieved 16 January 2023.\n5. \"Populations de référence 2022\" (https://www.insee.fr/fr/statistiques/8288323?geo=COM-69123) (in French).The National Institute of Statistics and Economic Studies. 19 December 2024.\nNotable people\nSee also\nNotes\nReferences", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia4.pdf" - }, - { - "text": "25. Cassius Dio, Roman History, Book 46: Lepidus and Lucius Plancus [...] founded the town called Lugudunum,now known as Lugdunum\n26. Louis, Jaucourt de chevalier (1765). \"Lyon\". Encyclopedia of Diderot & d'Alembert - Collaborative TranslationProject. hdl:2027/spo.did2222.0000.159 (https://hdl.handle.net/2027%2Fspo.did2222.0000.159).\n27. \"Endlichers Glossar/Endlicher's Glossary\" (http://www.maryjones.us/ctexts/endlicher_glossary.html).www.maryjones.us. n.d. Retrieved 7 November 2021. \"Lugduno – desiderato monte: dunum enim montemLugduno: \"mountain of yearning\"; dunum of course is mountain.\"www.maryjones.us/ctexts/endlicher_glossary.html\n28. Patrick Boucheron, et al., eds. France in the World: A New Global History (2019) pp 63-68.\n29. \"Saint Irenaeus\" (http://sanctoral.com/en/saints/saint_irenaeus.html). Sanctoral.com. Magnificat.\n30. \"2847-Primat des Gaules\" (https://web.archive.org/web/20191030201817/https://www.france-catholique.fr/2847-Primat-des-Gaules.html). France-catholique.fr. 13 September 2002. Archived from the original (https://www.france-catholique.fr/2847-Primat-des-Gaules.html) on 30 October 2019. Retrieved 20 December 2017.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "French explorers made important discoveries in North America. In 1673, Louis Jolliet and\nJacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur\nde La Salle, followed the Mississippi to the Gulf of Mexico and claimed the vast\nMississippi basin in Louis's name, calling it Louisiane. French trading posts were also\nestablished in India, at Chandernagore and Pondicherry, and in the Indian Ocean at Île\nBourbon. Throughout these regions, Louis and Colbert embarked on an extensive program\nof architecture and urbanism meant to reflect the styles of Versailles and Paris and the\n'gloire' of the realm.[52]\nMeanwhile, diplomatic relations were initiated with distant countries. In 1669, Suleiman\nAga led an Ottoman embassy to revive the old Franco-Ottoman alliance.[53] Then, in 1682,after the reception of the Moroccan embassy of Mohammed Tenim in France, Moulay Ismail, Sultan of Morocco, allowed French\nconsular and commercial establishments in his country.[54] In 1699, Louis once again received a Moroccan ambassador, Abdallah\nbin Aisha, and in 1715, he received a Persian embassy led by Mohammad Reza Beg.\nFrom farther afield, Siam dispatched an embassy in 1684, reciprocated by the French magnificently the next year under\nAlexandre, Chevalier de Chaumont. This, in turn, was succeeded by another Siamese embassy under Kosa Pan, superbly received\nat Versailles in 1686. Louis then sent another embassy in 1687, under Simon de la Loubère, and French influence grew at the\nNon-European relations and the colonies", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia5.pdf" - }, - { - "text": "31. Braudel 1984 p. 327\n32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegardeLyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm) on 19 January 2011. Retrieved 3 April 2011.\n33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1). Chrd.lyon.fr. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)on 24 January 2011. Retrieved 21 December 2017.\n34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.com/article/273644). Digitaljournal.com.\n35. (in French) Georges Duby (ed), Histoire de la France : Dynasties et révolutions, de 1348 à 1852 (vol. 2),Larousse, 1999 p. 53 ISBN 2-03-505047-2\n36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). unesco.org. UNESCO World Heritage Centre.Retrieved 31 July 2015.\n38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (https://www.jstor.org/stable/25636095).” Erdkunde, vol. 8, no. 4, 1954, pp. 246–252. JSTOR.\n39. \"Données climatiques de la station de Lyon: Relevés de 2016 – Lyon\" (https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October2016. Retrieved 2 October 2016.\n40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).Fiche Climatologique: Statistiques 1991–2020 et records (in French). Meteo France. Retrieved 14 July 2022.\n41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). meteo-lyon.net(in French). Météo Villes. Retrieved 7 September 2023.\n42. \"Lyon–Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990NormalsNOAALyonBron) 8 February 2019, at the Wayback Machine\n43. \"Normes et records 1961–1990: Lyon-Bron (69) – altitude 198m\" (https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from theoriginal (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February2019.\n44. \"St-Irénée – France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacred-destinations.com.\n45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcinema.fr/en/). Musée Miniature et Cinéma.\n46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved16 January 2023.\n47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). Le Monde. France.Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)on 24 April 2010. Retrieved 3 April 2011.\n49. Jean-Baptiste Onofrio : Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais, Lyon 1864", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the total amount of operating expenses of 2000 by Network Wordwide in 2000 ?", - "target_page": 17, - "target_passage": "Total operating expenses increased to $88.1 million for the year ended December 31, 2000", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Results of Operations sections below. \nOperating Expenses Total operating expenses increased to $88.1 million for the year ended\nDecember 31, 2000 from $68.3 million for the year ended December 31, 1999 and from $34.5\nmillion for the year ended December 31, 1998. The increase from 1999 to 2000 can be broken down\nby segment as follows: (1) a $3.5 million increase in Network Services Segment operating costs due to growth in the size of the network\noperations; (2) a $15.2 million increase in Software Services Segment due to write down of intangibles of $11.2 million and investment in\npersonnel and re s o u rces; and (3) a $1.1 million increase in Corporate Services Segment operating costs due to the expended operations. The\ni n c rease from 1998 to 1999 can be broken down by segment as follows: (1) a $13.0 million increase in Network Services Segment operating costs,\n(2) the addition of $19.6 million of Software Solutions Segment operating costs, and (3) a $1.2 million increase in Corporate Services Segment\noperating costs. Operating expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of\nOperations sections below. \nOperating Loss The Company generated an operating loss of $35.4 million for the year ended December 31, 2000 compared to $26.8 million\nfor the year ended December 31, 1999 and $22.6 million for the year ended December 31, 1998. The increased operating loss from 1999 to 2000\nis due to the net effect of three factors: (1) a $6.8 million decrease in the operating loss from the Company’s Network Services Segment; (2) a\n$14.3 million increase in the operating loss from the Company’s Software Solutions Segment; and (3) a $1.1 million increase in the operating loss\nf rom the Company’s Corporate Services Segment. The increased operating loss from 1998 to 1999 is due to the net effect of three factors: (1) a\n$1.9 million decrease in operating losses from the Company’s Network Services Segment; (2) the addition of $4.8 million in operating losses fro m\nthe Company’s Software Solutions Segment; and (3) a $1.3 million increase in operating losses from the Company’s Corporate Services Segment.\n1 5\nAnnual Consolidated Revenues\n27% increase for full year \n2000 over 1999\n1995 1996 1997 1998 1999 2000\n5 2 . 7\n4 1 . 5\n1 1 . 9\n5 . 3\n1 . 30 . 1", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "on the Company’s ATM network. In addition, the Company continues to invest in the on-going development of products that were r e c e n t l y\ni n t roduced to the market. The Company’s r e s e a rch and development costs incurred for computer products to be sold, leased or other w i s e\nmarketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total\nf i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, r e s p e c t i v e l y, in conjunction with the Company’s\naccounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established.\nTechnological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and\ntesting activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s ,\nand technical perf o rmance re q u i rements. \nOperating Loss The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1\nmillion for the year ended December 31, 1999 as a result of the factors discussed above\nCorporate Services Segment \nOperating Expenses Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000\nf rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31,\n2000 and 1999 were: \n(in thousands) Years ending December 31,\n2 0 0 0 1 9 9 9\nSalaries and benefits $ 3 , 8 1 3 $ 3 , 3 3 5\nSelling, general and administrative 3 , 8 4 1 3 , 2 7 0\nD e p reciation and amort i z a t i o n 2 0 8 1 4 5\nTotal direct operating expenses $ 7 , 8 6 2 $ 6 , 7 5 0\nThe Company’s expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these\ni n c reased expenditures. \nNon-Operating Results for the Years Ended December 31, 2000 and 1999 \nInterest Income I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December\n31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash\nas a result of negative cash flow from operations and capital expenditure s .\nInterest Expense I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended\nDecember 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange\nrate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the\nC o m p a n y ’s Notes Payable for a full year in 1999 in comparison to 6 months’ accretion in 1998. \nForeign Exchange Gain/Loss The Company had a net foreign exchange loss of $3.2 million for the year ended December 31, 2000, as\nc o m p a red to $2.1 million for the year ended December 31, 1999, and $1.9 million for the year ended December 31, 1998. Exchange gains and\nlosses that result from re - m e a s u rement of certain Company assets and liabilities are re c o rded in determining net loss. A portion of the assets and\nliabilities of the Company are denominated in Euros, including capital lease obligations, notes payable (including the Notes issued in the\nC o m p a n y ’s public bond offering), cash and cash equivalents, investments, and forw a rd foreign exchange contracts. It is the Company’s policy to\nattempt to match local currency receivables and payables. The foreign currency denominated assets and liabilities give rise to foreign exchange\ngains and losses as a result of U.S. dollar to local currency exchange movements.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "generated within the one-year period. \nOperating Expenses S o f t w a re Solutions Segment operating expenses consist primarily of salaries and benefits, selling, general and\nadministrative, and depreciation and amortization. In addition, the Company re c o rded a $11.2 million one-time write down of goodwill and other\nidentifiable intangible assets associated with the Company’s purchase of Euronet USA in December 1998 (see Note 10 to Consolidated Financial\nStatements – Asset Write Down). Total segment operating expenses increased to $37.5 million for the year ended December 31, 2000 from $22.3\nmillion for the year ended December 31, 1999. The components of software solutions operating costs for the years ended December 31, 2000 and\n1999 were: \n(in thousands) Years ending December 31,\n2 0 0 0 1 9 9 9\nD i rect operating costs $ 8 0 0 $ 1 , 0 8 9\nSalaries and benefits 1 8 , 0 0 4 1 3 , 9 5 3\nSelling, general and administrative 5 , 2 6 6 4 , 5 6 5\nD e p reciation and amort i z a t i o n 2 , 2 1 5 2 , 6 8 3\nAsset write down 1 1 , 1 9 0 —\nTotal direct operating expenses $ 3 7 , 4 7 5 $ 2 2 , 2 9 0\nThe Company has made planned increases in staff in order to increase sales, accelerate development of certain software enhancements and re d u c e\nd e l i v e ry times for software. These staff increases have resulted in a significant increase in salaries and benefits, which has contributed to the net\nlosses of the Software Solutions Segment for the years ended December 31, 2000 and 1999. In January 2001, a reduction in the work force took\nplace with the objective being to reduce costs to bring them more in line with the anticipated revenue. \nThe Company has an ongoing commitment to the development, maintenance and enhancement of its products and services. As a result of this\ncommitment the Company has invested substantial amounts in r e s e a rch and development. In part i c u l a r, the Company has invested and will\ncontinue to invest in new software products that will serve as the underlying application software that permits additional features and transactions\n1 8", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The results of segment operations expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of\nOperations section below.\nSegment Results of Operations for the Years Ended December 31, 2000 and 1999\n(In thousands) R e v e n u e s Operating Loss\nYear ended December 31, 2 0 0 0 1 9 9 9 2 0 0 0 1 9 9 9\nNetwork Serv i c e s\nCentral Euro p e $ 1 8 , 5 9 9. $ 1 2 , 6 6 4. $ ( 3 , 0 7 0 ) $ ( 8 , 0 1 9 )\nWe s t e rn Euro p e 1 6 , 6 1 5. 1 2 , 6 3 7. ( 2 , 2 8 6 ) ( 3 , 8 4 0 )\nO t h e r 1 , 7 0 0. 1 , 2 0 2. ( 7 0 9 ) ( 1 , 0 4 8 )\nTotal Network Serv i c e s 3 6 , 9 1 4. 2 6 , 5 0 3. ( 6 , 0 6 5 ) ( 1 2 , 9 0 7 )\nS o f t w a re Solutions 1 6 , 0 0 6. 1 5 , 1 4 9. ( 2 1 , 4 6 9 ) ( 7 , 1 4 1 )\nCorporate Serv i c e s — . — . ( 7 , 8 6 2 ) ( 6 , 7 5 0 )\nInter segment eliminations (180) ( 1 8 0 ) — . — .\nTotal $ 5 2 , 7 4 0. $ 4 1 , 4 7 2. $ ( 3 5 , 3 9 6 ) $ ( 2 6 , 7 9 8 )\nComparison of Operation Results for the Years Ended December 31, 2000 and 1999 \nNetwork Services Segment\nRevenues Total segment revenues increased by $10.4 million or 39% to $36.9 million for the year ended December 31, 2000 from $26.5 million\nfor the year ended December 31, 1999. The increase in revenues is due primarily to the significant increase in transaction volume and an incre a s e\nin the number of ATMs operated by the Company during these periods. The Company had 2,283 ATMs installed as of December 31, 1999 and\np rocessed 32.9 million transactions for the year ended December 31, 1999. As of December 31, 2000, the Company’s owned and operated AT M\nnetwork increased by 351 ATMs, or 15%, to a total of 2,634 ATMs, of which 72% are owned by the Company and 28% are owned by banks or\nother financial institutions but operated by the Company through management agreements. The Company processed 52.7 million transactions for\nthe year ended December 31, 2000, an increase of 19.8 million transactions, or 60%, over the year\nended December 31, 1999. \nRevenues for the Central European Sub-segment totaled $18.6 million for the year ended December\n31, 2000 as compared to $12.7 million for the year ended December 31, 1999, an increase of 47%.\nThe increase in revenues is largely the result of an increase in the number of ATMs operated by the\nCompany from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and incr e a s e d\ntransaction volumes. \nRevenues for the We s t e rn European Sub-segment totaled $16.6 million for the year ended December\n31, 2000 as compared to $12.6 million for the year ended December 31, 1999, an increase of 31%.\nThe increase in revenues is largely the result of an increase in the number of ATMs operated by the\nCompany from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction\nvolumes. \nRevenues for the Other ATM Operations Sub-segment were $1.7 million for the year ended\nDecember 31, 2000 as compared to $1.2 million for the year ended December 31, 1999, an incre a s e\nof 41%. The revenues from this segment are the result of the acquisition of the Dash network located in the United States in August 1999. \nOf total segment revenue, approximately 87% is attributable to those ATMs owned by the Company for the year ended December 31, 2000 and\n94% for the year ended December 31, 1999. Of total transactions processed, approximately 78% is attributable to those ATMs owned by the\nCompany for the year ended December 31, 2000 and 76% for the year ended December 31, 1999. The Company believes the shift from a larg e l y\np ro p r i e t a ry, Euronet Worldwide owned ATM network to a more balanced mix between pro p r i e t a ry ATMs and customer-owned ATMs is a positive\ndevelopment and will provide higher marginal re t u rns on investments. \nTransaction fees charged by the Company vary for the three types of ATM transactions that are currently processed on the Company’s ATMs: cash", - "page_start": 17, - "page_end": 17, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "December 31, 2000. On a per ATM basis the direct operating costs fell from $12,782 per ATM for the year ended December 31, 1999 to $9,807\nper ATM for the year ended December 31, 2000, an improvement of 23%. On a per transaction basis the direct operating costs fell from $0.66\nper transaction for the year ended December 31, 1999 to $0.46 per transaction for the year ended December 31, 2000, an improvement of 30%. \nSegment salaries and benefits increased to $7.4 million for the year ended December 31, 2000 from $7.2 million for the year ended December\n31, 1999, an increase of 3%. The increase in the year-on-year expenses reflect the continued expansion of the operations to We s t e rn Euro p e a n\nmarkets with significantly higher labor costs than Central Europe as well as some increases in staff levels at the processing center re q u i red to\nmaintain quality service in line with the rising transaction volumes. As a percentage of Network Services Segment revenue, salaries and benefits\nfell from 27% for the year ended December 31, 1999 to 20% for the year ended December 31, 2000. \nSelling, general and administrative costs allocated to the Network Services Segment decreased to $2.4 million for the year ended December 31,\n2000 from $2.9 million for the year ended December 31, 1999. The $500,000 cost decrease for the year ended December 31, 2000 results fro m\nthe net effect of (1) a $600,000 increase in the allocation of costs from the selling, general and administrative line of the Budapest pro c e s s i n g\ncenter to the operating cost line, as discussed above, from $2.9 million for the year ended December 31, 1999 to $3.5 for the year ended\nDecember 31, 2000 and (2) a $100,000 increase in costs associated with the expansion of the Company’s network operations. \nD e p reciation and amortization increased to $8.0 million for the year ended December 31, 2000 from $7.4 million for the year ended December\n31, 1999. The increases are due primarily to the increase in the number of owned ATMs as discussed pre v i o u s l y. The Company also re c o rded an\n$800,000 write-down of certain ATM hard w a re assets for the year ended December 31, 2000, as previously discussed. \n1 7\nNetwork Services: EBITDA\nQ1 Q2 Q3 Q4 \n- 0 . 7\n0 . 4\n0 . 7\n1 . 3", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Operating Loss The total Network Services Segment operating loss decreased to $6.1 million for the year ended December 31, 2000 from $12.9\nmillion for the year ended December 31, 1999, an improvement of 53%, as a result of the factors discussed above. The Central European Sub-\nsegment re c o rded an operating loss of $3.1 million for the year ended December 31, 2000 compared to a loss of $8.0 million for the year ended\nDecember 30, 1999, an improvement of 61%, as a result of the factors discussed above. The W e s t e rn European Sub-segment operating loss\nd e c reased to $2.3 million for year ended December 31, 2000 compared to a loss of $3.8 million for the year ended December 31, 1999, an\ni m p rovement of 39%, as a result of the factors discussed above. The Other ATM Operations Sub-segment incurred an operating loss of $700,000\nfor the year ended December 31, 2000 compared to a loss of $1.0 million for the year ended December 31, 1999, an improvement of 30%, as a\nresult of the factors discussed above. \nSoftware Solutions Segment\nSoftware Solutions Revenue Revenues from the Software Solutions Segment totaled $16.0 million before inter-segment eliminations for the\nyear ended December 31, 2000 as compared to revenue of $15.1 for the year ended December 31, 1999. Software revenues are grouped into four\nb road categories: software license fees, professional service fees, maintenance fees and hard w a re sales. Software license fees are the initial fees\nc h a rged by the Company for the licensing of its pr o p r i e t a ry application software to customers. Professional service fees are charged for\ncustomization, installation and consulting services provided to customers. Software maintenance fees are the ongoing fees charged to customers\nfor the maintenance of the software products. Hard w a re sales revenues are derived from the sale of computer products and are re p o rted net of\ncost of sales. The components of software solutions revenue for the years ended December 31, 2000 and 1999 were: \n(in thousands) Years ending December 31,\n2 0 0 0 1 9 9 9\nS o f t w a re license fees $ 4 , 1 1 7 $ 2 , 4 3 0\nP rofessional service fees 6 , 8 6 7 8 , 2 9 8\nMaintenance fees 4 , 4 8 7 4 , 0 5 1\nH a rd w a re sales 5 3 5 3 7 0\nTotal direct operating expenses $ 1 6 , 0 0 6 $ 1 5 , 1 4 9\nThe increases in software license fees from 1999 to 2000 can be attributed to an increased number of software sales contracts signed in 2000 as\nc o m p a red to 1999, primarily in the first half of the year 2000. Sales of the Company’s core software products have dropped off substantially in\nthe third and fourth quarter of 2000 and are expected to be soft again during 2001. The Company believes that revenues of the Software\nSolutions Segment will increasingly be derived from the Company’s new set of software solutions, including its wireless banking solutions. \nThe decreases in professional service fees from 1999 to 2000 can be attributed to increased efficiency in the installation of software. \nSoftware Sales Backlog The Company defines “software sales backlog” as fees specified in contracts which have been executed by the\nCompany and for which the Company expects recognition of the related revenue within one year. At December 31, 2000 the revenue backlog was\n$3.5 million, as compared to December 31, 1999 the revenue backlog was $3.1 million. The increase in backlog from December 31, 1999 re s u l t s\nprincipally from growth in software sales. It is management’s intention to continue to focus on expediting delivery and implementation of software\nin an eff o rt to reduce backlog while continuing sales growth. \nT h e re can be no assurance that the contracts included in backlog will actually generate the specified revenues or that the revenues will be\ngenerated within the one-year period. \nOperating Expenses S o f t w a re Solutions Segment operating expenses consist primarily of salaries and benefits, selling, general and", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in\nthe private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of\n$12.50, expiring in each case on the one year anniversary date of the subscription agreement. \nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s\nw e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and\nRegulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was\n$6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between\n8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the\nConsolidated Financial Statements - Leases.) \nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company\nintends to continue to promote its outsourcing capabilities and re-deploy under - p e rf o rming ATMs currently operating in the network. This\nstrategy should reduce the Company’s reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and\ncapital lease payments for 2001 are expected to be approximately $6.2 million in the Company’s existing markets, notably We s t e rn and Central\nE u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company’s strategy may re q u i re additional\ncapital expenditures. \nBased on the Company’s current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash\nused in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its A T M\nnetwork will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its\nATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t\noperating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m\ncommenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The\nCompany believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it\nachieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements. \nBA L A N C ESH E E TIT E M S\nCash and Cash Equivalents The decrease of cash and cash equivalents to $7.2 million at December 31, 2000 from $15.0 million at December\n31, 1999 is due primarily to the net effects of working capital movements, foreign exchange gains and losses, the settlement of a forw a rd fore i g n\nexchange contract, private placement of common shares, capital expenditures and capital lease payments, and operating losses for the year ended\nDecember 31, 2000. (See Note 21 to the Consolidated Financial Statements – Reconciliation of net loss to net cash used in operating activities and\nthe Consolidated Statements of Cash Flows.) \nRestricted Cash Restricted cash decreased to $2.1 million at December 31, 2000 from $10.9 million at December 31, 1999. The majority of", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Note 14. Segment Reporting (Continued)\nLong Shen Combine d Eliminating Consolidated\nMobile Distance Networ k Comm PCS Totals Entries Totals\n$ 2,840 $ 1 ,116 $ 744 $ 56 $ 67 ,032 $ 105 ,861 $ - $ 105 ,861\n2,399 1,101 835 20 55,468 92,974 - 92,974\n2,112 1,114 963 - 34,021 68,722 - 68,722\n$1 ,238 $ 228 $ 151 $ - $ 1 $ 5 ,011 $ (5,011) $-\n1,661 643 110 - - 5,656 (5,656) -\n535 679 109 - - 4,219 (4,219) -\n$ 599 $ - $ 124 $ - $ 10 ,246 $ 16 ,631 $ - 16 ,631\n581 - 158 - 8,617 14,482 - 14,482\n527 - 114 - 4,991 11,263 - 11,263\n$1 ,347 $ 407 $ 624 $ (23) $2 ,916 $ 18 ,835 $ (207) $1 8 ,628\n1,224 695 641 (49) (5,294) 10,502 (1,164) 9,338\n(65) 585 823 - (5,769) 7,620 (1,196) 6,424\n$ (13 $ 4 $ 4 $ 1 $ (76) $4 ,023 $ (3,633) $ 390\n5 4 10 8 (91) 4,313 (4,454) (141)\n92 2 - - 50 4,391 (4,110) 265\n$2 6 $ - $ - $ - $ 2 ,920 $ 7 ,144 $ (3,634) $3 ,510\n6 - - - 3,693 8,649 (4,454) 4,195\n87 - - - 3,131 8,237 (4,110) 4,127\n$ 377 $ 157 $ 242 $ (7) $ (411) $5 ,304 $ - $ 5 ,304\n790 259 249 (15) (3,660) (2,109) - (2,109)\n(514) 223 313 - (3,361) 5,811 - 5,811\n$ 724 $ 255 $ 386 $ (14) $ 331 $ 9 ,761 $ - $ 9 ,761\n(734) 441 401 (26) (5,416) (2,893) - (2,893)\n(746) 364 511 - (5,490) 9,694 - 9,694\n$22 ,389 $- $ -$ - $ - $ 2 2 ,401 $ (12) $2 2 ,389\n7,468 - - - - 7,542 (130) 7,412\n6,734 - - - - 6,808 (130) 6,678\n$2 3 ,037 $ 255 $ 386 $ (14) $ 331 $ 32 ,086 $ (12) $3 2 ,074\n6,734 441 401 (26) (5,416) 4,649 (130) 4,519\n5,988 364 511 - (5,490) 16,502 (130) 16,372\n$18,396 $ 808 $ 1557 $ 78 $ 68 ,773 $ 306 ,052 $ (120,688) $ 185,364\n17,482 343 1,084 115 71,256 280,002 (115,998) 164,004\n17,981 176 1,109 100 62,661 269,504 (102,132) 167,372\n37 ■ 2003 ANNUAL REPORT\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\nConsolidated\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n-\n$22,389\n$23,037\n$1,557\n(13)", - "page_start": 38, - "page_end": 38, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Goodwill for 2003 acquisitions totaled approximately $21.2 million. As of December 31, 2003, we had\ngoodwill, net of accumulated amortization, of $1,558.1 million. $27.7 million of the total purchase price paid\nfor acquisitions and contingent payments to former owners was allocated to landÑll airspace.\nGoodwill for 2002 acquisitions totaled approximately $40.1 million. As of December 31, 2002, we had\ngoodwill, net of accumulated amortization, of $1,544.2 million.\nConsolidated Results of Operations\nYears Ended December 31, 2004, 2003 and 2002\nOur income before cumulative eÅect of changes in accounting principles was $237.9 million for the year\nended December 31, 2004, as compared to $215.4 million in 2003 and $239.6 million in 2002. Net income was\n$237.9 million for year ended December 31, 2004, or $1.53 per diluted share, as compared to $177.6 million,\nor $1.10 per diluted share, in 2003 and $239.6 million, or $1.44 per diluted share, in 2002. Net income for the\nyear ended December 31, 2003 includes an after-tax expense of $37.8 million (net of an income tax beneÑt of\n$23.1 million), or $.23 per share, as a cumulative eÅect of a change in accounting principle resulting from the\nadoption of Statement of Financial Accounting Standards No. 143, \"\"Accounting for Asset Retirement\nObligations,'' and a change in accounting principle for our methane gas collection systems. See Note 1, Basis\nof Presentation, of the Notes to our Consolidated Financial Statements for further discussion of these changes\nin accounting principles. Our operating results for the year ended December 31, 2002 include other charges\n(income) described below.\nThe following table summarizes our costs and expenses in millions of dollars and as a percentage of our\nrevenue for 2002 through 2004:\n2004 2003 2002\n$% $% $%\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,708.1 100.0% $2,517.8 100.0% $2,365.1 100.0%\nCost of operationsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,714.4 63.3 1,605.4 63.8 1,472.9 62.3\nDepreciation, amortization and\ndepletion of property and\nequipment ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 252.4 9.3 233.8 9.3 193.5 8.2\nAmortization of intangible assets ÏÏÏÏ 7.0 .3 5.3 .2 6.1 .2\nAccretion ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 13.7 .5 12.7 .5 Ì Ì\nSelling, general and administrative\nexpenses ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 268.3 9.9 247.9 9.8 238.7 10.1\nOther charges (income)ÏÏÏÏÏÏÏÏÏÏÏÏ Ì Ì Ì Ì (5.6) (.2)\nOperating income ÏÏÏÏÏÏÏÏÏ $ 452.3 16.7% $ 412.7 16.4% $ 459.5 19.4%\nRevenue. Revenue was $2,708.1 million, $2,517.8 million and $2,365.1 million for the years ended\nDecember 31, 2004, 2003 and 2002, respectively. Revenue increased by $190.3 million, or 7.6%, from 2003 to\n34", - "page_start": 41, - "page_end": 41, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Asset write down 6 6 8. 1 1 0. — 7 7 8. 1 1 , 1 9 0 — . 1 1 , 9 6 8.\nYear Ended December 31, 2000\nNetwork Serv i c e s\nN e t w o r k\nCentral W e s t e rn S e rvices S o f t w a re C o r p o r a t e\nE u rope E u rope O t h e r To t a l Solutions S e rvices T o t a l\n(in thousands)\nTotal Revenues $ 1 2 , 6 6 4. $ 1 2 , 6 3 7. $ 1 , 2 0 2. $ 2 6 , 5 0 3. $ 1 5 , 1 4 9. $ — . $ 4 1 , 6 5 2.\nTotal operating expenses ( 2 0 , 6 8 3 )( 1 6 , 4 7 7 ) ( 2 , 2 5 0 ) ( 3 9 , 4 1 0 )( 2 2 , 2 9 0 )( 6 , 7 5 0 ) ( 6 8 , 4 5 0 )\nOperating loss. ( 8 , 0 1 9 ) ( 3 , 8 4 0 ) ( 1 , 0 4 8 ) ( 1 2 , 9 0 7 ) ( 7 , 1 4 1 ) ( 6 , 7 5 0 ) ( 2 6 , 7 9 8 )\nI n t e rest income 4 4 8. 1 6. 1 0 3. 5 6 7. 1 4 8. 1 , 2 3 5. 1 , 9 5 0.\nI n t e rest expense ( 9 8 1 ) ( 1 0 1 ) ( 5 1 ) ( 1 , 1 3 3 ) — . ( 9 , 7 6 6 ) ( 1 0 , 8 9 9 )\nF o reign exchange (loss)/gain, net ( 3 9 9 ) ( 1 9 ) ( 1 4 6 ) ( 5 6 4 ) 2. ( 1 , 5 4 8 ) ( 2 , 1 1 0 )\nNet loss before income taxes $ ( 8 , 9 5 1 )$ ( 3 , 9 4 4 )$ ( 1 , 1 4 2 )$ ( 1 4 , 0 3 7 )$ ( 6 , 9 9 1 )$ ( 1 6 , 8 2 9 )$ ( 3 7 , 8 5 7 )\nSegment assets n / a. n / a. n / a. $ 5 6 , 6 5 8. $ 2 1 , 5 2 7. $ 1 8 , 6 5 9. $ 9 6 , 8 4 4.\nFixed assets n / a. n / a. n / a. 3 5 , 4 3 8. 1 , 1 1 3. 1 4 2. 3 6 , 6 9 3.\nD e p reciation and amort i z a t i o n n / a. n / a. n / a. 7 , 4 1 0. 2 , 6 8 3. 1 4 5. 1 0 , 2 3 8.\n4 1", - "page_start": 42, - "page_end": 42, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the share of revenues of Netwrok Wordwide made in Poland and Hungary in 2000 ?", - "target_page": 24, - "target_passage": "In 2000, 30% of the Company’s revenues were generated in Poland and Hungary", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "guarantees for financial instruments and as deposits with customs officials. The decrease resulted primarily from the settlement of the forw a rd\nf o reign exchange contracts using restricted cash and a release of restricted cash resulting from the posting of a surety bond with the Hungarian\nbanking institution that supplies cash to the Company’s ATM network in Hungary. \nTrade Accounts Trade accounts receivable increased to $9.5 million at December 31, 2000 from $7.9 million at December 31, 1999 due\nprimarily to sales from the Software Solutions Segment and increased Network Services Segment revenues. \nP r o p e r t y , Plant and Equipment Net pro p e rt y, plant and equipment decreased to $31.7 million at December 31, 2000 from $36.7 million at\nDecember 31, 1999. This decrease is due primarily to a reduction in the rate of installation of ATMs and fixed asset additions. Fixed asset\nd e p reciation was in excess of fixed asset additions, and the write-off of $800,000 in ATM hard w a re further reduced the net fixed asset position. \nIntangible Assets The decrease in net intangible assets to $2.6 million at December 31, 2000 from $16.3 million at December 31, 1999 is due\nprimarily to the $11.2 million write-down of goodwill and other identifiable intangible assets associated with the Software Solutions Segment (see\nNote 9 to the Consolidated Financial Statements – Intangibles). In addition, the decrease is the result of amortization of purchased intangibles\na c q u i red in the Euronet USA acquisition in 1998, and the SBK and Dash acquisitions in 1999. \nCurrent Liabilities C u rrent liabilities decreased to $20.5 million at December 31, 2000 from $26.9 million at December 31, 1999. This decre a s e\nis due primarily to decreases in accrued expenses, billings in excess of costs and estimated earnings on software installation costs and settlement of\nthe forw a rd foreign exchange contracts. \nCapital Lease Total capital lease obligations including current installments increased to $11.5 million at December 31, 2000 from $10.6 million\nat December 31, 1999. This increase is due primarily to additional capital leases resulting from the Company's purchase of Budapest Bank’s AT M\nnetwork, consisting of 147 ATMs on May 1, 2000. \nNotes Payable Notes payable increased to $77.2 million at December 31, 2000 from $72.8 million at December 31, 1999. This is the result of\nseveral transactions as follows: \n(in millions)\nBalance at December 31, 1999 $ 7 2 . 8.\nU n realized foreign exchange gain (DEM vs. US$) (4.4) \nA c c retion of bond intere s t 8 . 8.\nBalance at December 31, 2000 $ 7 7 . 2.\nS t o c k h o l d e r ’s Deficit Stockholders’ deficit increased to $44.8 million at December 31, 2000 from $9.5 million at December 31, 1999. This is\ndue to the net loss for the year ended December 31, 2000 of $49.6 million which was offset by an increase in additional paid in capital of $14.4\nmillion due to the sale of 1,882,723 shares of common stock for proceeds of $13.0 million, the issue of $400,000 of warrants and the exercise of\n390,231 stock options for proceeds of $900,000.\nYear 2000 Compliance\nThe Company’s European and U.S. Y ear 2000 compliance teams re p o rted no material Year 2000 problems during the advent of the year 2000,\neither with Euro n e t ’s own systems or the systems of its customers. The Company is unaware of any material Year 2000 complications to date. \nImpact of New Accounting Pronouncements Not Yet Adopted\nS F AS 133 The Company is r e q u i red to adopt Statement of Financial Accounting Standard (SFAS) No. 133 “Accounting for Derivative\nI n s t ruments and Hedging Activities” as amended by SFAS No. 138 for US GAAP re p o rting as of 1 January 2001. SFAS 133 and 138 establish\naccounting and re p o rting standards for derivative instruments, including certain derivative instruments embedded in other contracts (collectively\nre f e rred to as derivatives).", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The subsidiaries of Euronet Services Inc., all of which are, directly or indire c t l y, wholly owned are: \n- EFT Services Holding B.V ., incorporated in the Netherlands \n- Euronet Banktechnikai Szolgaltato Kft. (“Bank Tech”), incorporated in Hungary \n- Euronet Adminisztracios Szolgaltato Kft. (“Administrative Services”) (formerly SatComNet), incorporated in Hungary \n- Bankomat 24/Euronet Sp. z o.o. (“Bankomat”), incorporated in Poland \n- EFT -Usluge d o.o., incorporated in Croatia \n- Euronet Services GmbH, incorporated in Germany \n- EFT Services France SAS, incorporated in France \n- Euronet Services spol. s.r.o., incorporated in the Czech Republic \n- Euronet Services SRL, incorporated in Romania \n- Euronet Services (UK) Limited, incorporated in the United Kingdom \n- Euronet USA Inc. (formerly Arkansas Systems, Inc.) (“Euronet USA”) incorporated in Arkansas, United States of America \n- EFT Network Services LLC (“Dash”), incorporated in Arkansas, United States of America \n- Euronet Holding N.V ., incorporated in the Netherlands Antilles (in liquidation)\n- Euronet Eft Services Hellas, incorporated in Greece \n( 2 ) Financial Position and Basis of Preparation\nThe Company generated an operating loss of $35.4 million and negative cash flows from operations of $16.4 million for the year ended\nDecember 31, 2000, primarily due to the significant costs associated with its investment in delivery, support, re s e a rch and development in its\ns o f t w a re subsidiary which was acquired in December 1998. Based on the Company’s current business plan and financial projections, the\nCompany expects to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the\nCompany anticipates that increased transaction levels in its ATM network will result in additional revenues without a corresponding incre a s e\nin expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will\np rovide continued revenue growth without significantly increasing direct operating expenses or capital investments. In the Software Solutions\nSegment, the Company expects reduced operating expenses and improved operating per f o rmance due to a cost r e s t ructuring pro g r a m\ni n t roduced in the first quarter of 2001. The Company believes that the credit facility (see note 13), certain asset sales and cash and cash\nequivalents at December 31, 2000 will provide the Company with sufficient cash re s o u rces until it achieves positive cash flow. \nBased on the above, management is confident that the Company will be able to continue as a going concern. Accord i n g l y, these consolidated\nfinancial statements have been pre p a red on a going concern basis which contemplates the continuation and expansion of trading activities as\nwell as the realization of assets and liquidation of liabilities in the ord i n a ry course of business. \n( 3 ) S u m m a ry of Significant Accounting Policies and Practices\n(a) Basis of presentation \nThe accompanying consolidated financial statements have been pre p a red in accordance with generally accepted accounting principles in\nthe United States of America. \nAll significant intercompany balances and transactions have been eliminated. \n(b) Foreign currencies \nF o reign currency transactions are r e c o rded at the exchange rate prevailing on the date of the transactions. Assets and\nliabilitiesdenominated in foreign currencies are re m e a s u red at rates of exchange on the balance sheet date. Resulting gains and losses on\nf o reign currency transactions are included in the consolidated statement of operations and comprehensive loss.\nThe financial statements of foreign subsidiaries where the local currency is the functional currency are translated to U.S. dollars using\n(i) exchange rates in effect at period end for assets and liabilities, and (ii) average exchange rates during the period for results of", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The Company re c o rded an $800,000 write-down of certain ATM hard w a re assets associated with the\np u rchase of the Budapest Bank ATM network in May 2000 and the Service Bank ATM network in\nM a rch 1999 (see Note 10 to the Consolidated Financial Statements – Asset Write Down). In addition,\nthe Company re c o rded a one-time gain in its Central European Sub-segment of $1.2 million. The\ngain is related to a change in Hungarian law that eliminates a major portion of the Company’s\nliability for import taxes on ATM hard w a re to the Hungarian government. The gain is included as an\nelement of direct operating costs. \nThe operating expenses for the Central European Sub-segment totaled $21.7 million for the year\nended December 31, 2000 as compared to $20.7 million for the year ended December 31, 1999, an\ni n c rease of 5%. The increase in operating expenses is largely the result of an increase in the number\nof ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31,\n2000, and increased transaction volumes. \nThe operating expenses for the We s t e rn European Sub-segment totaled $18.9 million for the year\nended December 31, 2000 as compared to $16.5 million for the year ended December 31, 1999, an increase of 15%. The increase in operating\nexpenses is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at\nDecember 31, 2000, and increased transaction volumes. \nThe operating expenses for the Other ATM Operations Sub-segment were $2.4 million for the year ended December 31, 2000 as compared to\n$2.2 million for the year ended December 31, 1999, an increase of 9%. The operating expenses from this segment are the result of the acquisition\nof the Dash network located in the United States in August 1999 and the unallocated costs associated with the Company's processing facilities. \nD i rect operating costs in the Network Services Segment consist primarily of: ATM installation costs; ATM site rentals; and costs associated with\nmaintaining ATMs, ATM telecommunications, interest on network cash and cash delivery and security services to ATMs. Such costs increased to\n$24.4 million for the year ended December 31, 2000 from $21.9 million for the year ended December 31, 1999. The increase in direct operating\ncosts is primarily attributable to costs associated with operating the increased number of ATMs in the network during the periods. Also,\ni n t e rcompany allocations were made to charge the ATM operations with transaction switching and bank connection fees associated with the\noperations central processing center in Budapest. These allocations totalled $3.5 million and $2.9 million for the years ended December 31, 2000\nand 1999, re s p e c t i v e l y. Direct operating costs for 2000 include a one-time gain of $1.2 million due to a change in Hungarian law that eliminates a\nmajor portion of the Company’s liability for import taxes on ATM hard w a re. Direct operating costs also include a $657,000 gain realized in 1999\nf rom the sale of the Croatian network assets. The components of direct operating costs for the years ended December 31, 2000 and 1999 were: \n(in thousands) Years ending December 31,\n2 0 0 0 1 9 9 9\nATM communication $ 4 , 1 8 3 $ 3 , 9 8 2\nATM cash filling and interest on network cash 7 , 4 2 6 5 , 9 0 0\nATM maintenance 3 , 9 8 7 2 , 9 6 7\nATM site re n t a l 2 , 2 5 8 2 , 4 2 1\nATM installation 6 7 5 7 8 3\nTransaction processing and ATM monitoring 5 , 2 4 2 4 , 2 0 5\nO t h e r 6 0 0 1 , 6 6 3\nTotal direct operating expenses $ 2 4 , 3 7 1 $ 2 1 , 9 2 1\nAs a percentage of network revenue, direct operating costs fell from 83% for the year ended December 31, 1999 to 66% for the year ended\nDecember 31, 2000. On a per ATM basis the direct operating costs fell from $12,782 per ATM for the year ended December 31, 1999 to $9,807", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Daniel R. Henry\nChief Operating Officer\nMichael J. Brown\nChairman & CEO\n2\nDuring 2000, we failed to meet our revenue target\nfor our software division. In the Fourth Quarter, we\ninitiated the steps necessary to rightsize our\nsoftware business and to bring costs in line with\nongoing revenue expectations. However, owning\nthis software division gives us control of software\ndevelopment. It also provides the expertise and \nflexibility to adapt to emerging\ntransaction needs and to bring \nnew payment solutions quickly \nto market, which enhances our \noutsourcing opportunities. The\nsoftware business is very valuable\nto Euronet and completes our \nservice offering. W e expect it to be a\npositive contributor to our bottom line going forward.\nSince founding Euronet in 1994, we’ve worked\nhard to establish the company as a leader in the\nfield of secure electronic financial transactions and\nto grow our presence worldwide. So in 2000 we took\ngreat pride in Euronet being ranked by Deloitte &\n“In 2000 we took great pride in Euronet’s Fast 500\nranking by Deloitte & Touche as the second fastest \ngrowing technology company in North America.” \nTouche as the second fastest growing technology\ncompany in North America based on our five-year\nrevenue growth of 66,790%.\nW e’re continuing to build on our recurring revenue\nstream through transaction channels that reinforce\nour strengths as an electronic payments processor.\nToday, we’re expanding the\nreach of our ATM networks,\ndelivering innovative new\nmobile operator services and\ntapping the promise of mobile\ncommerce with an expanding\nsuite of wireless solutions.\nBased on this strong foundation,\nour future has more potential than ever before.\nW e’re excited about the possibilities ahead as we\ncontinue to form the digital bridges that will \nposition Euronet Worldwide as a global leader in\nsecure electronic financial transactions.\nAnnual Consolidated Revenues\n27% increase for full year \n2000 over 1999\n1995 1996 1997 1998 1999 2000\n52.7\nUSD Million\n41.5\n11.9\n5.3\n1.30.1\n2 0 0 0", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "At December 31, 2000 the Company had cash and cash equivalents of $7.2 million and working capital of $3.6 million. The Company had $2.1\nmillion of restricted cash held as security with respect to cash provided by banks participating in Euro n e t ’s ATM network, to cover guarantees on\nfinancial instruments and as deposits with customs officials (See Note 7 to the Consolidated Financial Statements – Restricted cash). In addition to\nthe assets held on the balance sheet at December 31, 1999 the Company held r e p u rchased notes payable with a face value of 48.4 million\nDeutsche Marks ($23.3 million as at December 31, 2000 based on a USD to DM rate of 1:2.08) and a fair market value at December 31, 2000 of\n$9.3 million (See Note 20 to the Consolidated Financial Statements – Financial instruments). \nOn June 28, 2000 the Company entered into an unsecured revolving credit agreement (the “Credit Agreement”) providing a facility of up to $4.0\nmillion from three shareholders as follows: DST Systems in the amount of $2.4 million; Hungarian-American Enterprise Fund in the amount of\n$1.0 million; and Michael J. Brown in the amount of $600,000. The facility was available to be drawn upon until December 28, 2000, with\nrepayment of any draws being due June 28, 2001. On December 28, 2000 the facility was amended and renewed for a further six months and is\navailable to be drawn until June 28, 2001 with repayments of any draws being due December 28, 2001. Draws on the facility will accrue intere s t\nat 10 percent per annum, payable quart e r l y. A “commitment” fee was paid for the initial facility of 100,000 warrants issued pro- rata to the\nlenders with a warrant strike price set at the average share price, as quoted on NASDAQ for 10 trading days prior to the warrant issue date, less\n10 percent. An additional fee of 100,000 warrants, on the same terms, was paid for the subsequent extension of the facility . Wa rrants are to be\nissued on similar terms and conditions for each draw on the facility at the rate of 80,000 warrants for each $1.0 million of funds drawn. As of\nM a rch 1, 2001, the Company had not made any draws under the Credit Agreement. \nOn Febru a ry 25, 2000 the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the\nC o m p a n y. Closing under those agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in\ntransactions exempt from registration under the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price of each\ns h a re was $6.615, which re p resents ninety percent of the average closing price for the ten trading days prior to and including Febru a ry 15, 2000.\nThe aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for each two\ns h a res of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euronet common\nstock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement. \nIn April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the\nC o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s\ntook place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the\nexemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s\nto the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "(10) Asset Write Down \nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset\nwrite-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the\nC o m p a n y ’s acquisition of Arkansas Systems, Inc. (“Euronet USA”) in December 1998. The remaining $800,000 write-down related to the\nC o m p a n y ’s ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the\nBudapest Bank ATM network in Hungary. \nAs a result of the Company’s inability to achieve operating improvements, including software license and service orders for Euronet USA’s\ntraditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thr e e\nq u a rters of 2000. The Company calculated the expected cash flows of the Company’s Software Solutions Segment, which identified an\ni m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company r e c o rded an impairment charge based on the\np resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon\nthe acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction\npayment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to\nthe Company’s Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thr o u g h\ndevelopment and release of a new set of products that are independent of Euronet USA ’s traditional core product lines, including a new,\np l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile\nphone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and\nsolutions rather than Euronet USA’s traditional ITM solution will be the primary source of software solutions revenues in the future. \nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows\nof the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible\nassets. The Company’s estimate was based on historical results which have shown r e c u rring operating losses since acquisition, curr e n t\np rojections, and internal earnings targets, net of applicable taxes. The Company’s discounted cash flow analysis indicated that the carry i n g\nvalue of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible\nassets prior to the write down was $11.2 million. \nThe asset write-down is disclosed as a separate operating expense item in the Company’s Consolidated Statements of Operations and\nC o m p rehensive Loss. \nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets\nwill be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and\nS e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company’s standards. Specifically, these assets\nw e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its\nATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value\nof ATM hard w a re, adjusting to its net realizable value. \n(11) Notes Payable", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Houston, Texas\n \n93,000\n \nOwned\n \n \n \n \nKnoxville, Iowa\n \n130,000\n \nOwned\n \n \n \n \nOsceola, Iowa\n \n334,000\n \nOwned\n \n \n \n \nQuakertown, Pennsylvania\n \n13,000\n \nOwned\n \n \n \n \nRochelle, Illinois\n \n440,000\n \nOwned\n \n \n \n \nSparta, Wisconsin\n \n185,000\n \nOwned\n \n \n \n \nStockton, California\n \n139,000\n \nOwned\n \n \n \n \nTucker, Georgia\n \n259,000\n \nOwned\n \n \n \n \nWichita, Kansas\n \n80,000\n \nOwned\n \n \n \nWarehouse/Distribution Centers\n \n \n \n \n \n \n \n \nAustin, Minnesota—Annex\n \n83,000\n \nOwned\n \n \n \n \nDayton, Ohio\n \n140,000\n \nOwned\n \n \n \n \nEldridge, Iowa\n \n280,000\n \nLeased\n \nOctober, 2005\n \n \nOsceola, Iowa\n \n233,000\n \nOwned\n \n \n \n \nStockton, California\n \n232,000\n \nLeased\n \nJuly, 2004\n \n \nTucker, Georgia\n \n96,000\n \nLeased\n \nOctober, 2004\n \nResearch and Development Center\n \n \n \n \n \n \n \n \nAustin, Minnesota\n \n59,000\n \nOwned\n \n \n \nCorporate Offices\n \n \n \n \n \n \n \n \nAustin, Minnesota\n \n203,000\n \nOwned\n \n \nDan's Prize, Inc.\n \n \n \n \n \n \n \n \nBrowerville, Minnesota—Plant\n \n52,000\n \nOwned\n \n \n \n \nLong Prairie, Minnesota—Plant\n \n80,000\n \nOwned\n \n \nJennie-O Turkey Store, Inc.\n \n \n \n \n \n \n \nPlants\n \n \n \n \n \n \n \n \nBarron, Wisconsin\n \n372,000\n \nOwned\n \n \n \n \nFaribault, Minnesota\n \n169,000\n \nOwned\n \n \n \n \nMarshall, Minnesota\n \n142,000\n \nOwned\n \n \n \n \nMelrose, Minnesota\n \n124,000\n \nOwned\n \n \n \n \nMontevideo, Minnesota\n \n85,000\n \nOwned\n \n \n \n \nPelican Rapids, Minnesota\n \n242,000\n \nOwned\n \n \n \n \nWillmar, Minnesota\n \n419,000\n \nOwned\n \n \n \n*\nAcres\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the\nCompany. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los\nAnimas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production\nvolumes and all volumes anticipated in the foreseeable future.\n \n \n \n \nItem 3. \nLEGAL PROCEEDINGS\nThe Company knows of no pending material legal proceedings.\n \n \n \n \nItem 4. \nSUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nNo matters were submitted to shareholders during the fourth quarter of the 2003 fiscal year.\n \n \n \n \n \nPART II \n \n \n \n \nItem 5. \nMARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002,\nrespectively, are shown below:", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "In the week of March 13, 2000, the Company entered into put options with Merrill Lynch to sell Euro 79.0 million for $75.1 million on May\n26, 2000. The contracts were purchased to limit the Company's exposure on the call option described above against a fall of the Euro below\n$0.95. \nThe Company was re q u i red to cash collateralize the net fair value of such options contracts measured on a mark-to-market basis, and on\nMay 26, 2000, the Company had on deposit $8.3 million with Merrill Lynch. \nOn May 26, 2000, the rate of the Euro was $0.9118 and the Company settled the above option contracts in the amount of $8.3 million\nresulting in a total net loss on such contracts of $10.3 million inclusive of the cost of the contracts. At December 31, 2000, the Company had\nnot entered into any further option contracts. \n(15) Leases \n(a) Capital leases \nThe Company leases many of its ATMs under capital lease agreements that expire between 2001 and 2005 and bear interest at rates \nbetween 8% and 12%. Lease installments are paid on a monthly, quarterly or semi-annual basis. Euronet has the right to extend the \nt e rm of certain leases at the conclusion of the basic lease period. \nThe gross amount of the ATMs and computer equipment and related accumulated amortization re c o rded under capital leases were as \nfollows: December 31,\n2 0 0 0 1 9 9 9\n(in thousands)\nAT M ’s $ 1 3 , 9 2 4. $ 1 8 , 0 2 7.\nO t h e r 3 6 6. 7 6 8.\n$ 1 4 , 2 9 0. $ 1 8 , 7 9 5.\nLess accumulated amort i z a t i o n (3,429) ( 4 , 8 1 3 )\nNet book value $ 1 0 , 8 6 1. $ 1 3 , 9 8 2.\nD e p reciation of assets held under capital leases amounted to $2.0 million, $2.1 million, and $2.9 million for the years ended December 31,\n2000, 1999, and 1998, re s p e c t i v e l y, and is included in depreciation and amortization expense. \n(b) Operating leases \nThe Company also has noncancelable operating rental leases for office space which expire over the next 3 to 9 years. Rent expense under \nthese leases amounted to $1.4 million, $2.1 million, and $1.1 million for the years ended December 31, 2000, 1999, and 1998, \nre s p e c t i v e l y. \n(c) Future minimum lease payments \nF u t u re minimum lease payments under the capital leases and the noncancelable operating lease (with initial or remaining lease terms in \nexcess of one year) as of December 31, 2000 are: \nC a p i t a l O p e r a t i n g\nL e a s e s L e a s e s\n(in thousands)\nYear ending December 31,\n2 0 0 1 5 , 1 3 7. 1 , 3 1 5\n2 0 0 2 4 , 4 7 0. 1 , 0 4 9\n2 0 0 3 2 , 9 5 1. 7 7 9\n2 0 0 4 1 , 5 1 2. 5 1 5\n2 0 0 5 3 6 3. 5 1 5\n2006 and there a f t e r — . 8 2\nTotal minimum lease payments 1 4 , 4 3 3.\nLess amounts re p resenting intere s t ( 2 , 9 3 3 )\nP resent value of net minimum capital \nlease payments 1 1 , 5 0 0.\nLess current installments of obligations \nunder capital leases ( 3 , 4 6 6 )\nLong term capital lease obligations $ 8 , 0 3 4. .\n3 6", - "page_start": 37, - "page_end": 37, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Connecting aWorld in Motion\nEuronet Worldwide Annual Report 2000\nSECURE FINANCIAL TRANSACTIONS ANY TIME , A NY PLACE", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "e x p e n d i t u res are made in or are denominated in U.S. Dollars the Company is also striving to achieve more of its expenses in local currencies to\nmatch its revenues. \nThe Company estimates that a further 10% depreciation in foreign exchange rates of the Deutsche Mark, Hungarian Forint, Polish Zloty and the\nBritish Pound Sterling against the U.S. dollar, would have the combined effect of a $7.1 million decrease in the r e p o rted net loss. This was\nestimated using 10% of the Company’s net losses after adjusting for unusual impairment and other items including U.S. dollar denominated or\nindexed expenses. The Company believes that this quantitative measure has inherent limitations. It does not take into account any govern m e n t a l\nactions or changes in either customer purchasing patterns or the Company’s financing or operating strategies. \nAs a result of continued European economic convergence, including the increased influence of the Deutsche Mark, as opposed to the U.S. Dollar,\non the Central European currencies, the Company expects that the currencies of the markets where it invests will fluctuate less against the\nDeutsche Mark than against the Dollar. Accord i n g l y, the Company believes that its Deutsche Mark denominated debt provides, in the medium to\nlong term, for a closer matching of assets and liabilities than would Dollar denominated debt. \nInflation and Functional Currencies\nIn recent years, Hungary, Poland and the Czech Republic have experienced high levels of inflation. Consequently, these countries’ currencies have\ncontinued to decline in value against the major currencies of the OECD over this time period. However, due to the significant reduction in the\ninflation rate of these countries in recent years, none of these countries are considered to have a hyper- i n f l a t i o n a ry economy. Furt h e r, the majority\nof all three subsidiaries’ revenues are denominated in the local curr e n c y. Thus all three subsidiaries use their local currency as the functional\nc u rre n c y. The Polish and Czech subsidiaries changed their functional currency to the respective local currency as of January 1, 1998 and January\n1, 1999, re s p e c t i v e l y, and the Hungarian subsidiary changed as of July 1, 1999. \nG e rm a n y, France and the United Kingdom have experienced relatively low and stable inflation rates in recent years. There f o re, the local curre n c y\nin each of these markets is the functional curre n c y. Although Croatia, like Germany and France, has maintained relatively stable inflation and\nexchange rates, the functional currency of the Croatian company is the U.S. dollar due to the significant level of U.S. dollar denominated re v e n u e s\nand expenses. Due to the factors mentioned above, the Company does not believe that inflation will have a significant effect on results of operations\nor financial condition. The Company continually reviews inflation and the functional currency in each of the countries that it operates in.\nInterest Rate Risk\nThe fair market value of the Company's long-term fixed interest rate debt is subject to interest rate risk. Generally, the fair market value of fixed\ni n t e rest rate debt will increase as interest rates fall and decrease as interest rates rise. The estimated fair value of the Company's notes payable at\nDecember 31, 2000 was $37.5 million compared to a carrying value of $77.2 million. A 1% increase from prevailing interest rates at December\n31, 2000 would result in a decrease in fair value of notes payable by approximately $1.5 million. Fair values were determined from quoted\nmarket prices and from investment bankers considering credit ratings and the remaining term to maturity. (See Note 20 to the Consolidated\nFinancial Statements - Financial Instruments) \n2 2", - "page_start": 23, - "page_end": 23, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "Under which name was the Applied company initially fouded ?", - "target_page": 6, - "target_passage": "The Company was founded in 1923 by Joseph M. Bruening as The Ohio Ball Bearing Company", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "1 \n \nOVERVIEW \nWith more than 4,600 associates across North America, Applied \nIndustrial Technologies (“App lied,” the “Company,” “We,” “Us” \nor “Our”) is a leading industrial distributor serving MRO and OEM \ncustomers in virtually every industry. In addition, Applied \nprovides engineering, design and systems integration for \nindustrial and fluid power applications, as well as customized \nmechanical, fabricated rubber and fluid power shop services. \nApplied also offers maintenance training and inventory \nmanagement solutions that provide added value to its customers. \nWe have a long tradition of growth dating back to 1923, the year \nour business was founded in Cleveland, Ohio. At June 30, 2012, \nbusiness was conducted in the United States , Canada, Mexico \nand Puerto Rico from 476 facilities. \nWhen reviewing the discussion and analysis set forth below, \nplease note that the majority of SKUs we se ll in any given year \nwere not sold in the prior year, resulting in the inability to \nquantify certain commonly used comparative me trics analyzing \nsales, such as changes in product mix and volume. \nOur fiscal 2012 sales were $2.4 billion, an increase of $162.6 \nmillion or 7.3% compared to the prior year. Net sales from \nacquired businesses added $16.6 million or 0.7% to the current \nyear. Gross margin of 27.6% compares to 27.7% in the prior \nyear. Our operating margin increased to 7.1% compared to the \nprior year’s 6.8%. Our earnings per share was $2 .54 versus $2.24 \nin fiscal year 2011, an increase of 13.4%. \nOur consolidated balance sheet remains strong. Shareholders’ \nequity is $672.1 million, up from $633.6 million at June 30, 2011. \nWorking capital increased $31.4 million from June 30, 2011 to \n$435.6 million at June 30, 2012. Our current ratio remains strong \nat 2.9 to 1, consistent with the June 30, 2011 level. \nApplied monitors several economic indices that have been key \nindicators for industrial economic activity in the United States. \nThese include the Indu strial Production and Manufacturing \nCapacity Utilization (MCU) indices published by the Federal \nReserve Board and the Purchasing Managers Index (PMI) \npublished by the Institute for S upply Management (ISM). \nHistorically, our performance correlates well with the MCU \nwhich measures productivity and calculates a ratio of actual \nmanufacturing output versus potential full capacity output. \nWhen manufacturing plants are running at a high rate of \ncapacity, they tend to wear ou t machinery and require \nreplacement parts. Our sales tend to lag the MCU by up \nto six months. \nIndustrial production increased 0.4% in June after having declined \n0.2% in May. In the manufacturing sector, outputs advanced \n0.7% in June, reversing a decline of 0.7% in May and increased at \nan annual rate of 1.4% in the second quarter. In June, capacity \nutilization for manufacturing moved up 0.4% to 77.7%, a rate \n13.9 percentage points above its trough in June of 2009 and was \nstill 1.1 percentage points below its long-run average. The ISM PMI \nregistered 49.7 in June, the first time this indicator dropped below \n50 (its expansionary threshold) since July 2009. We remain \noptimistic about the U.S. industrial economy for our fiscal 2013. \nYEAR ENDED JUNE 30, 2012 vs. 2011 \nThe following table is included to aid in review of Applied’s \nstatements of consolidated income. \n \nYear Ended June 30, \nAs a % of Net Sales \nChange in \n$'s Versus \nPrior Period \n 2012 2011 % Increase \nNet Sales 100.0 % 100.0 % 7. 3 % \nGross Profit 27.6 % 27.7 % 6. 7 % \nSelling, Distribution & Administrative 20.5 % 20.9 % 5. 1 % \nOperating Income 7.1 % 6.8 % 11.7 % \nNet Income 4.6 % 4.4 % 12.4 % \nNet sales in fiscal 2012 were $2.4 billion, which was $162.6 million \nor 7.3% above the prior year, driven by improvements in the \nindustrial economy as well as a continued focus on profitable sales \ngrowth. Incremental net sales from companies acquired since the", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "1 \n \nOVERVIEW \nWith more than 4,600 associates across North America, Applied \nIndustrial Technologies (“Applied,” the “Company,” “We,” “Us” \nor “Our”) is a leading industrial distributor serving MRO and OEM \ncustomers in virtually every industry. In addition, Applied \nprovides engineering, design and systems integration for \nindustrial and fluid power applications, as well as customized \nmechanical, fabricated rubber and fluid power shop services. \nApplied also offers maintenance training and inventory \nmanagement solutions that provide added value to its customers. \nWe have a long tradition of growth dating back to 1923, the year \nour business was founded in Cleveland, Ohio. At June 30, 2012, \nbusiness was conducted in the United States, Canada, Mexico \nand Puerto \nRico from 476 facilities. \nWhen reviewing the discussion and analysis set forth below, \nplease note that the majority of SKUs we sell in any given year \nwere not sold in the prior year, resulting in the inability to \nquantify certain commonly used comparative metrics analyzing \nsales, such as changes in product mix and volume. \nOur fiscal 2012 sales were $2.4 billion, an increase of $162.6 \nmillion or 7.3% compared to the prior year. Net sales from \nacquired businesses added $16.6 million or 0.7% to the current \nyear. Gross margin of 27.6% compares to 27.7% in the prior \nyear. Our operating margin increased to 7.1% compared to the \nprior year’s 6.8%. Our earnings per share was \n$2.54 versus $2.24 \nin fiscal year 2011, an increase of 13.4%. \nOur consolidated balance sheet remains strong. Shareholders’ \nequity is $672.1 million, up from $633.6 million at June 30, 2011. \nWorking capital increased $31.4 million from June 30, 2011 to \n$435.6 million at June 30, 2012. Our current ratio remains strong \nat 2.9 to 1, consistent with the June 30, 2011 level. \nApplied monitors several economic indices that have been key \nindicators for industrial economic activity in the United States. \nThese include the Industrial Production and Manufacturing \nCapacity Utilization (MCU) indices published by the Federal \nReserve Board and the Purchasing Managers Index (PMI) \npublished by the Institute for Supply Management (ISM). \nHistorically, our performance correlates \nwell with the MCU \nwhich measures productivity and calculates a ratio of actual \nmanufacturing output versus potential full capacity output. \nWhen manufacturing plants are running at a high rate of \ncapacity, they tend to wear out machinery and require \nreplacement parts. Our sales tend to lag the MCU by up \nto six months. \nIndustrial production increased 0.4% in June after having declined \n0.2% in May. In the manufacturing sector, outputs advanced \n0.7% in June, reversing a decline of 0.7% in May and increased at \nan annual rate of 1.4% in the second quarter. In June, capacity \nutilization for manufacturing moved up 0.4% to 77.7%, a rate \n13.9 percentage points above its trough in June of 2009 \nand was \nstill 1.1 percentage points below its long-run average. The ISM PMI \nregistered 49.7 in June, the first time this indicator dropped below \n50 (its expansionary threshold) since July 2009. We remain \noptimistic about the U.S. industrial economy for our fiscal 2013. \nYEAR ENDED JUNE 30, 2012 vs. 2011 \nThe following table is included to aid in review of Applied’s \nstatements of consolidated income. \n \nYear Ended June 30, \nAs a % of Net Sales \nChange in \n$'s Versus \nPrior Period \n 2012 2011 % Increase \nNet Sales 100.0 % 100.0 % 7.3 % \nGross Profit 27.6 % 27.7 % 6.7 % \nSelling, Distribution & Administrative 20.5 % 20.9 % 5.1 % \nOperating Income 7.1 % 6.8 % 11.7 % \nNet Income 4.6 % 4.4 % 12.4 % \nNet sales in fiscal 2012 were $2.4 billion, which was $162.6 million \nor 7.3% above the prior year, driven by improvements in the \nindustrial economy as well as a continued focus on profitable sales \ngrowth. Incremental net sales from companies acquired since the", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Headquarters: Cleveland, Ohio, USA\nOperating Facilities: More than 500 in the \nUnited States, Canada, Mexico, Puerto Rico, \nAustralia and New Zealand \nE-Commerce: www.Applied.com\nDistribution Centers: 9\nStock Keeping Units (SKUs) Available \nto Customers: More than 4 million\nProduct Manufacturers: More than 2,000\nStock Ticker Symbol: AIT, listed on the \nNew York Stock Exchange\nEmployee Associates: Approximately 4,900\nData current as of August 1, 2012\nThis report contains statements that are forward-looking, as that term \nis defined by the Securities and Exchange Commission in its rules, \nregulations and releases. Applied intends that such forward-looking \nstatements be subject to the safe harbors created thereby. All forward-\nlooking statements are based on current expectations regarding \nimportant risk factors, including those identified on page 12 of this \nreport and in our Annual Report on Form 10-K for the fiscal year ended \nJune 30, 2012. Accordingly, actual results may differ materially from \nthose expressed in the forward-looking statements, and the making of \nsuch statements should not be regarded as a representation by Applied \nor any other person that results expressed therein will be achieved.\nPURPOSE\nPRODUCT\nPERFORMANCE\nPEOPLE\nApplied Industrial Technologies is a leading \nindustrial distributor that offers more than four \nmillion parts to serve the needs of MRO and \nOEM customers in virtually every industry. In \naddition, Applied® provides engineering, design \nand systems integration for industrial and fluid \npower applications, as well as customized \nmechanical, fabricated rubber and fluid power \nshop services. Applied also offers maintenance \ntraining and inventory management solutions \nthat provide added value to its customers.\nApplied at a Glance\n25358_AIT_Report_WT.indd 2 8/23/12 8:32 AM", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "SHAREHOLDER INFORMATION\nSHAREHOLDER INQUIRIES\nRequests to transfer Applied Industrial \nTechnologies, Inc. shares and all \ncorrespondence regarding address change \ninformation, duplicate mailings, missing \ncertificates, failure to receive dividend \nchecks in a timely manner or to participate \nin the Company’s direct stock purchase \nprogram should be directed to the \nCompany’s transfer agent and registrar:\nCOMPUTERSHARE TRUST COMPANY , N.A.\n250 Royall Street \nCanton, MA 02021 \n800/988-5291\nINVESTOR RELATIONS INQUIRIES SHOULD \nBE DIRECTED TO:\nMARK O. EISELE\nVice President – Chief Financial Officer \n & Treasurer \nApplied Industrial Technologies \n1 Applied Plaza \nCleveland, OH 44115-5014 \nTelephone: 216/426-4000, Fax: 216/426-4845\nANNUAL REPORT ON FORM 10-K\nThe Applied Industrial Technologies, Inc. \nAnnual Report on Form 10-K for the fiscal \nyear ended June 30, 2012, including the \nfinancial statements and schedules thereto, \nis available at our website at \nwww.Applied.com. It is also available \nwithout charge upon written request to the \nVice President – Chief Financial Officer & \nTreasurer at the address shown.\nANNUAL MEETING\nThe Annual Meeting of Shareholders will be held \nat 10:00 a.m., Tuesday, October 23, 2012, at the \nCorporate Headquarters of Applied Industrial \nTechnologies, 1 Applied Plaza, East 36th and \nEuclid Avenue, Cleveland, Ohio 44115.\n 2007 2008 2009 2010 2011 2012\nApplied Industrial Technologies, Inc. $100.00 $83.63 $70.22 $92.62 $133.17 $141.07\nStandard & Poor’s 500 100.00 86.88 64.11 73.36 95.88 101.10\nPeer Group 100.00 86.96 74.77 100.34 148.47 170.81\nAssumes $100 invested at the close of trading 6/30/07 in \nApplied Industrial Technologies, Inc. common stock, Standard \n& Poor’s 500, and Peer Group.\nCumulative total return assumes reinvestment of dividends.\nThe returns of the companies in the Peer Group are weighted \nbased on the companies’ relative stock market capitalization.\nPeer Group companies selected on a line-of-business basis \ninclude: DXP Enterprises, Inc.; Fastenal Company; Genuine \nParts Company; W. W. Grainger, Inc.; Kaman Corporation; \nLawson Products, Inc.; MSC Industrial Direct Co., Inc.; and \nWESCO International, Inc. \nSource: Value Line Publishing LLC\nApplied Industrial Technologies, Inc., Standard & Poor’s 500, and Peer Group \n(Performance Results from 7/1/2007 through 6/30/2012)\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most \nfinancial listings as “AppliedIndlTch.”\nBB&T CAPITAL MARKETS \nHolden Lewis, 703/471-3894\nCJS SECURITIES \nJonathan Tanwanteng, 914/287-7600 \nCLEVELAND RESEARCH COMPANY \nAdam Uhlman, 216/649-7241 \nKEYBANC CAPITAL MARKETS \nJeffrey D. Hammond, 216/689-0236 \nSIDOTI & CO. \nJoseph Mondillo, 212/894-3339\nGREAT LAKES REVIEW – Division of \nWellington Shields & Co.\nElliott Schlang, 216/767-1340\nSTEPHENS INC. \nMatt Duncan, 501/377-3723\nWELLS FARGO SECURITIES, LLC\nAllison Poliniak-Cusic, 212/214-5062\nWUNDERLICH SECURITIES\nBrent D. Rakers, 901/251-2236\nRESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:\nCOMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN\n$0.00 \n$50.00 \n$100.00 \n$150.00 \n$200.00 \n2007 2008 2009 2010 2011 2012 \nApplied Industrial Technologies, Inc. \nStandard & Poor's 500 \nPeer Group \n25358_AIT_Report_WT.indd 45 8/23/12 8:33 AM", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Corporate Headquarters\n1 Applied Plaza \nCleveland, Ohio 44115\n216/426-4000\nApplied.com\n25358_AIT_Report_WT.indd 46 8/23/12 8:33 AM", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "nearly 90 years since our \nbeginning, customers \nserved by Applied \nbenefit from our years of \naccumulated experience, \nexpertise and exceptional \nability to improve our \ncustomers’ operations.\nJoin us as we kick-off a \nyear-long celebration of \nour strength in distribution. \nWe thank all of you, our \nstakeholders, for making \nit possible.\n25358_AIT_Report_WT.indd 4 8/28/12 4:22 PM", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "44 Applied Industrial Technologies, Inc. and Subsidiaries\nDARREN B. “BEN” PADD Age 39\nVice President – Midwest Area\nIVAN J. BATISTA Age 39\nGeneral Director – \nRafael Benitez Carrillo, Inc. (Puerto Rico)\nROBERT E. CURLEY Age 52\nVice President – Southeast Area\nBARBARA D. EMERY Age 53\nVice President – Human Resources\nWARREN E. “BUD” HOFFNER Age 52\nVice President, General Manager – Fluid Power\nJAMES A. JEFFIERS Age 38\nVice President – Central States Area\nLONNY D. LAWRENCE Age 49\nVice President – Information Technology\nJOHN M. LEYO Age 61\nVice President – North Atlantic Area\nSERGIO H. NEVÁREZ Age 54\nGeneral Director – Applied Mexico\nJILL A. OLSEN Age 54\nVice President – Project Genesis\nRONALD A. SOWINSKI Age 51\nPresident & Chief Operating Officer – \nApplied Industrial Technologies Ltd. (Canada)\nKURT J. WEINHEIMER Age 56\nVice President – Western Area\nOTHER KEY MANAGEMENT\nNEIL A. SCHRIMSHER Age 48\nChief Executive Officer\nBENJAMIN J. MONDICS Age 54\nPresident & Chief Operating Officer\nTHOMAS E. ARMOLD Age 57\nVice President – Marketing and Strategic Accounts\nTODD A. BARLETT Age 57\nVice President – Acquisitions and \nGlobal Business Development\nFRED D. BAUER Age 46\nVice President – General Counsel & Secretary\nMICHAEL L. COTICCHIA Age 49\nVice President – Chief Human Resources Officer\nMARK O. EISELE Age 55\nVice President – Chief Financial Officer & Treasurer\nDANIEL T. BREZOVEC Age 51\nCorporate Controller\nJODY A. CHABOWSKI Age 52\nAssistant Controller\nOFFICERS\nJOHN F. MEIER (3, 4) Age 64\nFormer Chairman and Chief Executive Officer \nLibbey Inc. (Tableware Products) \nChairman of the Board of Directors \nWILLIAM G. BARES (4) Age 71\nFormer Chairman and Chief Executive Officer \nThe Lubrizol Corporation (Specialty Chemical Products)\nTHOMAS A. COMMES (1, 3) Age 70\nFormer President and Chief Operating Officer \nThe Sherwin-Williams Company (Paints and Coatings)\nPETER A. DORSMAN (2) Age 57\nExecutive Vice President & Chief Quality Officer \nNCR Corporation (Self-Service Technology Solutions)\nL. THOMAS HILTZ (2, 3) Age 66\nAttorney\nEDITH KELLY-GREEN (2) Age 59\nFormer Vice President and Chief Sourcing Officer \nFedEx Express (Express Transportation)\nDAN P. KOMNENOVICH (2) Age 60\nPresident and Chief Executive Officer\nAviall, Inc. \n(Aviation Parts, Related Aftermarket Operations)\nJ. MICHAEL MOORE (1) Age 69\nPresident \nOak Grove Consulting Group, Inc. \n(Management Consulting) \nFormer Chairman and Chief Executive Officer \nInvetech Company (Industrial Distributor) \nVINCENT K. PETRELLA (1) Age 52 \nSenior Vice President, Chief Financial Officer and \nTreasurer \nLincoln Electric Holdings, Inc. \n(Welding, Brazing Products Manufacturer)\nNEIL A. SCHRIMSHER (3) Age 48\nChief Executive Officer \nApplied Industrial Technologies, Inc.\n \nJERRY SUE THORNTON, Ph.D. (1) Age 65\nPresident \nCuyahoga Community College \n(Two-Year Educational Institution) \nPETER C. WALLACE (3, 4) Age 58\nPresident and Chief Executive Officer \nRobbins & Myers, Inc. (Equipment Manufacturer)\nCommittees of The Board\n(1) Audit Committee \nChairman: Thomas A. Commes\n(2) Corporate Governance Committee \nChairman: L. Thomas Hiltz\n(3) Executive Committee \nChairman: John F. Meier\n(4) Executive Organization and Compensation \n Committee \nChairman: Peter C. Wallace\nDIRECTORS\n25358_AIT_Report_WT.indd 44 8/28/12 8:35 AM", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "3 \n \nYEAR ENDED JUNE 30, 2011 vs. 2010 \nThe following table is included to aid in review of Applied’s \nstatements of consolidated income. \n \nYear Ended June 30, \nAs a % of Net Sales \nChange in \n$'s Versus \nPrior Period \n 2011 2010 % Increase \nNet Sales 100.0 % 100.0 % 16.9 % \nGross Profit 27.7 % 27.2 % 18.9 % \nSelling, Distribution & Administrative 20.9 % 21.4 % 14.0 % \nOperating Income 6.8 % 5.8 % 37.0 % \nNet Income 4.4 % 3.5 % 46.8 % \nNet sales in fiscal 2011 were $2.2 billion, which was \n$319.6 million or 16.9% above the prior year driven by \nimprovements in the industrial economy. Incremental net sales \nfrom companies acquired in fiscal 2011 contributed \napproximately $40.8 million or 1.8%. Currency translation \nincreased fiscal year 2012 sales by approximately $16.3 m illion or \n0.7%. In local currency, net sales from our Canadian operations \nwere up 23.1% from fiscal 2010, including 8.4% from \nacquisitions. In local currency , net sales from our Mexican \noperations were up 17.9%. The number of selling days in fiscal \n2011 was the same as in fiscal 2010. \nNet sales of our Service Center Based Distribution segment \nincreased $234.3 million, or 15.2%, compared to fiscal year 2010 \nled by improvements in the i ndustrial economy, with acquisitions \nadding $40.8 million or 2.7%. Net sales of our Fluid Power \nBusinesses segment increased $85.4 million or 23.9%, driven by \nimprovements in the industrial economy. \nThe sales produ ct mix for fiscal 2011 was 70.5% industrial \nproducts and 29.5% fluid power products compared to 71.7% \nindustrial and 28.3% fluid power in the prior year. \nAt June 30, 2011, we had a total of 474 operating facilities in the \nU.S., Canada and Mexico versus 455 at June 30, 2010. The \nincrease in operating facilities represented 11 new locations due \nto acquisitions, the opening of 2 new locations, the impact of \nredefining certain shop operations which added 11 locations, and \nthe merger of 5 loca tions with other locations. \nOur gross profit margin increased to 27.7% in fiscal 2011 from \n27.2% in fiscal 2010. LIFO benefits had a negative 1.0% impact \non gross profit margin in fiscal 2011 versus fiscal 2010. LIFO \nbenefits recorded during fiscal year 2011 totaled $5.3 million \nwhich provided an overa ll benefit in our gross profit percent of \n0.2%. This compares to a LIFO benefit of $23.5 million in fiscal \n2010 which added 1.2% to gross profit. Our focused efforts on \nselling products at a higher gross profit margin led to an \napproximate 0.9% improvem ent in gross profit margins. Other \npositive impacts on margins were an increase of approximately \n0.4% from businesses acquired during the fiscal year and an \nincrease of approximately 0.2% due to lower scrap expense. \nSD&A increased $56.7 million or 14.0% during fiscal 2011 \ncompared to fiscal year 2010, and as a percent of sales decreased \nto 20.9% fr om 21.4% in fiscal 2010. Associate compensation \nand benefits, including amounts tied to financial performance, \nincreased $27.4 million. Acquisitions added $18.4 million of \nSD&A compared to fiscal year 2010, including additional \namortization expense of $1.4 million. Incremental expenses \nassociated with the development of a new ERP platform totaled \n$8.6 million. Foreign currency translation had an unfavorable \nimpact of $3.1 million in fiscal 2011. \nOperating income increased 37.0% to $150.8 milli on during \nfiscal 2011 from $110.1 million during 2010. As a percent of \nsales, operating income increased to 6.8% in fiscal 2011 from \n5.8% in 2010. The $40.7 million increase in operating income \nduring fiscal 2011 primarily reflects higher sales levels, improved \ngross profit margins and the impact of leverage on increased \nsales as we kept our SD&A to 20.9% of sales in 2011 versus \n21.4% in fiscal 2010. \nOperating income as a percentage of sales for the Service Center \nBased Distribution segment increased to 6.5% in fiscal 2011 from", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "3 \n \nYEAR ENDED JUNE 30, 2011 vs. 2010 \nThe following table is included to aid in review of Applied’s \nstatements of consolidated income. \n \nYear Ended June 30, \nAs a % of Net Sales \nChange in \n$'s Versus \nPrior Period \n 2011 2010 % Increase \nNet Sales 100.0 % 100.0 % 16.9 % \nGross Profit 27.7 % 27.2 % 18.9 % \nSelling, Distribution & Administrative 20.9 % 21.4 % 14.0 % \nOperating Income 6.8 % 5.8 % 37.0 % \nNet Income 4.4 % 3.5 % 46.8 % \nNet sales in fiscal 2011 were $2.2 billion, which was \n$319.6 million or 16.9% above the prior year driven by \nimprovements in the industrial economy. Incremental net sales \nfrom companies acquired in fiscal 2011 contributed \napproximately $40.8 million or 1.8%. Currency translation \nincreased fiscal year 2012 sales by approximately $16.3 m illion or \n0.7%. In local currency, net sales from our Canadian operations \nwere up 23.1% from fiscal 2010, including 8.4% from \nacquisitions. In local currency , net sales from our Mexican \noperations were up 17.9%. The number of selling days in fiscal \n2011 was the same as in fiscal 2010. \nNet sales of our Service Center Based Distribution segment \nincreased $234.3 million, or 15.2%, compared to fiscal year 2010 \nled by improvements in the i ndustrial economy, with acquisitions \nadding $40.8 million or 2.7%. Net sales of our Fluid Power \nBusinesses segment increased $85.4 million or 23.9%, driven by \nimprovements in the industrial economy. \nThe sales produ ct mix for fiscal 2011 was 70.5% industrial \nproducts and 29.5% fluid power products compared to 71.7% \nindustrial and 28.3% fluid power in the prior year. \nAt June 30, 2011, we had a total of 474 operating facilities in the \nU.S., Canada and Mexico versus 455 at June 30, 2010. The \nincrease in operating facilities represented 11 new locations due \nto acquisitions, the opening of 2 new locations, the impact of \nredefining certain shop operations which added 11 locations, and \nthe merger of 5 loca tions with other locations. \nOur gross profit margin increased to 27.7% in fiscal 2011 from \n27.2% in fiscal 2010. LIFO benefits had a negative 1.0% impact \non gross profit margin in fiscal 2011 versus fiscal 2010. LIFO \nbenefits recorded during fiscal year 2011 totaled $5.3 million \nwhich provided an overa ll benefit in our gross profit percent of \n0.2%. This compares to a LIFO benefit of $23.5 million in fiscal \n2010 which added 1.2% to gross profit. Our focused efforts on \nselling products at a higher gross profit margin led to an \napproximate 0.9% improvem ent in gross profit margins. Other \npositive impacts on margins were an increase of approximately \n0.4% from businesses acquired during the fiscal year and an \nincrease of approximately 0.2% due to lower scrap expense. \nSD&A increased $56.7 million or 14.0% during fiscal 2011 \ncompared to fiscal year 2010, and as a percent of sales decreased \nto 20.9% fr om 21.4% in fiscal 2010. Associate compensation \nand benefits, including amounts tied to financial performance, \nincreased $27.4 million. Acquisitions added $18.4 million of \nSD&A compared to fiscal year 2010, including additional \namortization expense of $1.4 million. Incremental expenses \nassociated with the development of a new ERP platform totaled \n$8.6 million. Foreign currency translation had an unfavorable \nimpact of $3.1 million in fiscal 2011. \nOperating income increased 37.0% to $150.8 milli on during \nfiscal 2011 from $110.1 million during 2010. As a percent of \nsales, operating income increased to 6.8% in fiscal 2011 from \n5.8% in 2010. The $40.7 million increase in operating income \nduring fiscal 2011 primarily reflects higher sales levels, improved \ngross profit margins and the impact of leverage on increased \nsales as we kept our SD&A to 20.9% of sales in 2011 versus \n21.4% in fiscal 2010. \nOperating income as a percentage of sales for the Service Center \nBased Distribution segment increased to 6.5% in fiscal 2011 from", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "During December 1998, the Company re p u rchased notes with a face value of DM 26.4 million and 31,173 warrants for a total pur c h a s e\nprice of $5.5 million. This re p u rchase was accounted for as an extinguishment of debt with a resulting $2.9 million (net of income taxes of\n$1.5 million) recognized as an extraor d i n a ry gain on such extinguishment. The extinguishment gain (pre-tax) r e p resents the diff e re n c e\nbetween the allocated carrying value of the debt extinguished ($10.2 million) and the consideration paid ($5.5 million), offset by the write-\no ff of the allocated unamortized deferred financing costs ($341,000). \nThe following table provides the composition of notes payable at December 31:\n2 0 0 0 1 9 9 9\n(in thousands)\nPrincipal amount $ 9 3 , 8 1 9. $ 1 0 0 , 1 1 3.\nU n a m o rtized discount ( 1 6 , 6 2 8 ) ( 2 7 , 3 1 3 )\nC a rrying balance $ 7 7 , 1 9 1. $ 7 2 , 8 00.\nThe effective interest rate relating to the aforementioned notes payable was 13.09% for 2000 and 1999. The interest expense was\na p p roximately $8.8 million and $9.5 million for the years ended December 31, 2000 and 1999, re s p e c t i v e l y. \n(12) Private Placement of Common Shares \nIn July 2000, the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. Closing with\nrespect to such sale took place on July 14, 2000 and August 29, 2000. These agreements were signed with accredited investors in\ntransactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price\nof each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \nIn April 2000, the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common share s\nof the Company. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to\n100,000 shares took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt fr o m\nregistration under the United States Securities Act of 1933 (the “Act”) pursuant the exemption provided in Regulation S of the Act. The\nweighted average purchase price of each share was $7.50. The aggregate amount of proceeds to the Company from the private placement\nwas $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the accre d i t e d\ninvestors were issued one warrant, expiring in each case on the one year anniversary date of the subscription agreement, to purchase a share\nof Euronet common stock at a weighted average exercise price of $12.50. \nIn Febru a ry 2000, the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the\nC o m p a n y. Closing under these agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in\ntransactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price\nof each share was $6.615, which re p resents 90% of the average closing price for the ten trading days prior to and including Febru a ry 15,\n2000. The aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for\neach two shares of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euro n e t\ncommon stock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement. \n(13) Credit Facility \nOn June 28, 2000 the Company entered into an unsecured revolving credit agreement (the “Credit Agreement”) providing a facility of up to\n$4.0 million from three shareholders as follows: DST Systems in the amount of $2.4 million; Hungarian-American Enterprise Fund in the", - "page_start": 36, - "page_end": 36, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "By how much does Applied company plan to contribute to its pension benefits between 2018 and 2022 ?", - "target_page": 36, - "target_passage": "2018 through 2022 15,200", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "The accumulated benefit obligation for the pension plan was $4,801,000 and $4,170,000 at December 31, 2003 and 2002, respectively. The components\nof net periodic pension cost for 2003, 2002 and 2001 were as follows (in thousands):\nYEAR ENDED DECEMBER 31,\n2003 2002 2001\nCOMPONENTS OF NET PERIODIC PENSION COST:\nService cost $ 214 $ 320 $ 369\nInterest cost 298 307 296\nExpected return on assets (349) (405) (477)\nPrior service cost amortization (37) 7 6\nActuarial loss 128 28 —\nTransition amount amortization (44) (44) (44)\nNet periodic pension cost $ 210 $ 213 $ 150\nActuarial assumptions used to determine benefit obligations at December 31 were as follows:\n2003 2002\nDiscount rate 6.50% 7.00%\nRate of compensation increase 5.00% 5.00%\nActuarial assumptions used to determine net periodic pension cost were as follows:\nYEAR ENDED DECEMBER 31,\n2003 2002 2001\nDiscount rate 7.00% 7.25% 7.25%\nExpected long-term return on assets 8.00% 9.00% 9.00%\nRate of compensation increase 5.00% 5.00% 5.00%\nThe Company’s expected long-term rate of return assumption is based upon the plan’s actual long-term investment results as well as the long-term outlook\nfor investment returns in the marketplace at the time the assumption is made. The reduction in the Company’s assumption for this expected return rate in\nthe beginning of 2003 to 8 percent from 9 percent reflected the major downturn in returns on debt and equity investments that occurred in the investment\nmarkets in 2001 and 2002.\nThe Company’s pension plan assets at December 31, 2003 and 2002 were invested in the following asset categories:\n2003 2002\nASSET CATEGORY:\nEquity securities 73% 64%\nDebt securities 25% 28%\nOther 2% 8%\nTotal 100% 100%\n21", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "stocks and bonds. The pooled Canadian equity funds has investments in\nour equity securities. As a result, approximately $3 million (2012 –\n$2 million) of the plans’ assets are indirectly invested in our own equity\nsecurities.\nWe make contributions to the plans to secure the benefits of plan\nmembers and invest in permitted investments using the target ranges\nestablished by our Pension Committee, which reviews actuarial\nassumptions on an annual basis.\nThe table below shows the actual contributions to the plans for the\nyears ended December 31:\nEmployer Employee Total\n2013 $ 101 $ 26 $ 127\n2012 85 23 108\nWe estimate our 2014 employer contributions to be $96 million. The\naverage duration of the defined benefit obligation at December 31,\n2013 is 19 years.\nActual return on plan assets was $102 million in 2013 (2012 –\n$75 million).\nWe have recognized a cumulative loss in other comprehensive income\nand retained earnings of $201 million at December 31, 2013\n(December 31, 2012 – $299 million).\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 119", - "page_start": 122, - "page_end": 122, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "return targets. All performance periods had expired by Jun e 30, 2011. During fiscal 2011 and 2010, the Company recorded $1,020 \nand $(231), respectively, of compensation expense (income) for achievement relative to the total shareholder return-based goals of \nthe Company’s performance grants. The liability at June 30, 2011 was $1,558; this was paid in fiscal 2012. \nNOTE 10: BENEFIT PLANS \nRetirement Savings Plan \nSubstantially all U.S. associates participate in the Applied Industrial Technologies, Inc. Retirement Savings Plan. Participants may elec t \nto contribute up to 50% of their compensation, subject to Internal Revenue Code maximums. The Company makes a discretionary \nprofit-sharing contribution to the Retirement Savings Plan generally based upon a percentage of the Company’s U.S. income before \nincome taxes and before the amount of the contribution (5% for fiscal 2012, 2011 and 2010). The Company partially matches \n401(k) contributions by participants; this match was suspended from January 1, 2009 to June 30, 2010. The Company’s expense for \nprofit sharing\n and matching of associates’ 401(k) contributions was $10,866, $11,251 and $4,891 during fiscal 2012, 2011 and \n2010, respectively. \nDeferred Compensation Plans \nThe Company has deferred compensation plans that enable ce rtain associates of the Company to defer receipt of a portion of their \ncompensation and non-employee directors to defer receipt of director f ees. The Company funds these deferred compensation \nliabili ties by making contributions to rabbi trusts. Assets held in these rabbi trusts consist of investments in money market and \nmutual funds and Company common stock. \nPostemployment Benefit Plans \nThe Company provides the fo llowing postemployment benefits which, except for the Qualified Defined Benefit Retirement Plan, \nare unfunded: \nSupplemental Executive Retirement Benefits Plan \nThe Company has a non-qualified pension plan to provide supplemental retirement benefits to certain officers. Benefits are \npayable beginning at retirement and determinable at retirement based upon a percentage of the pa rticipant’s historical \ncompensation. On December 19, 2011, the Executive Organization and Compensation Committee of the Board of Directors \nfroze participant benefits (credited service and final average earnings) and entry into the Supp lemental Executive Retirement \nBenefits Plan (SERP) effective December 31, 2011. This action constituted a plan curtailment. The plan liability was remeasured \nin conjunction with the curtailment using a 3.5% discount rate and participant final average earnings through the curtailment \ndate. The remeasurement in conjunction with the curtailment resulted in an actuarial lo ss (recorded in other comprehensive \nincome (loss)) of $302 ($492 loss, net of income tax of $19 0). \nThe curtailment is reflected in the Company's c onsolidated balance sheets as: 1) a reduction to the overall SERP liability \n(included in postemployment benefits) of $8, 860, 2) a reduction to deferred tax assets of $3,411 and 3) an increase in \naccumulated other comprehensive income (loss) of $5,449. Prior service costs previously recorded through accumulated other \ncomprehensive income (loss) were reclassified into the statements of con solidated income ($3,117 gross expense, net of income \ntax of $1,200). The gross expense is recorded in se lling, distribution and administrative expense in fiscal 2012. \nKey Executive Restoration Plan \nIn fiscal 2012, the Executive Organization & Compensation Committee of the Board of Directors adopted the Key Executive \nRestoration Plan (KERP), an unfunded, non-qualified deferred compensation plan, to replace the SERP. The Company recorded \n$128 of expense associated with this plan in fis cal 2012. \nQualified Defined Benefit Retirement Plan \nThe Company has a qualified defined benefit retirement plan that provides benefi ts to certain hourly associates at retirement .", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Salary Continuation Benefits \nThe Company has agreements with certain retirees of acquired com panies to pay monthly retirement benefits through fiscal 2020 . \nRetiree Health Care Benefits \nThe Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. \nPremium payments are based upon current insurance rates for the type of coverage provided and are adjusted a nnually. \nCertain monthly health care premium payments are partially subsidized by the Company. Add itionally, in conjunction with a \nfiscal 1998 acquisition, the Company as sumed the obligation for a postretirement medi cal benefit plan which provides health \ncare benefits to eligible retired associates at no cost to the individual. \nThe Company uses a June 30 measurement date for all plans. \nThe following table sets forth the changes in benefit obligations and plan assets during the year and the f un\nded status for the \npostemployment plans at June 30: \n Pension Benefits Ret iree Health Care Ben efits \n 2012 2011 2012 2011. \nChange in benefit obligation: \nBenefit obligation at beginning of the year $ 53,490 $ 51,114 $ 4,667 $ 4,593 \nService cost 289 460 30 39 \nInterest cost 2,047 2,232 237 235 \nPlan participants’ contributions — — 47 37 \nBenefits paid (4,144 ) (1,856 ) (256 ) (227 ) \nAmendments 150 151 — — \nActuarial loss (gain) during year 4,179 1,389 423 (10 ) \nCurtailment (8,860 ) — — — \nBenefit obligation at end of year $ 47,151 $ 53,490 $ 5,148 $ 4,667 \nChange in plan assets: \nFair value of plan assets at beginning of year $ 6,056 $ 5,229 $ — $ — \nActual (loss) gain on plan assets (30 ) 984 — — \nEmployer contributions 4,557 1,699 209 190 \nPlan participants’ contributions — — 47 37 \nBenefits paid (4,144 ) (1,856 ) (256 ) (227 ) \nFair value of plan assets at end of year $ 6,439 $ 6,056 $ — $ — \nFunded status at end of year $ (40,712 ) $ (47,434 ) $ (5,148 ) $ (4,667 ) \n \nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the \npostemployment plans were as follows: \n Pension Benefits Retiree Health Care B enefits \nJune 30, 2012 2011 2012 2011. \nAmounts recognized in the consolidated balance sheets: \nOther current liabilities $ 6,018 $ 4,151 $ 220 $ 220 \nPostemployment benefits 34,694 43,283 4,928 4,447 \nNet amount recognized 40,712 $ 47,434 $ 5,148 $ 4,667 \nAmounts recognized in accumulated other comprehensive income (loss): \nNet actuarial (loss) gain (10,112 ) $ (15,012 ) $ 398 $ 892 \nPrior service cost (279 ) (3,808 ) (135 ) (274 ) \nTotal amounts recognized in accumulated other comprehensive income (loss) (10,391 ) $ (18,820 ) $ 263 $ 618 \n \n \nThe following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in \nexcess of plan assets: \n Pension Benefits \nJune 30, 2012 2011 \nProjected benefit obligations $ 47,151 $ 53,490 \nAccumulated benefit obligations 47,151 43,528 \nFair value of plan assets 6,439 6,056 \nThe net periodic costs are as follows: \n Pension Benefits Retiree Health Care Benefits \nYear Ended June 30, 2012-- 2011-- 2010-- 2012-- 2011-- 2010-- \nService cost $ 289 $ 460 $ 574 $ 30 $ 39 $ 52 \nInterest cost 2,047 2,232 2,911 237 235 259 \nExpected return on plan assets (396 ) (385 ) (351 ) — — — \nRecognized net actuarial loss (gain) 644 1,449 924 (72 ) (83 ) (87 ) \nAmortization of prior service cost 412 710 797 139 139 148 \nRecognition of prior service cost upon plan curtailment 3,117 — — — — — — \nNet periodic cost $ 6,113 $ 4,466 $ 4,855 $ 334 $ 330 $ 372 \nThe estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Qualified Defined Benefit Retirement Plan \nThe Company has a qualified defined benefit retirement plan that provides benefi ts to certain hourly associates at retirement . \nThese associates do not participate in the Retirement Savings Plan. The benefits are based on length of service and date of \nretirement. \n \n30 Applied Industrial Technologies, Inc. and Subsidiaries\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)\n(In thousands, except per share amounts)\n25358_AIT_Report_WT.indd 30 8/23/12 8:33 AM", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Salary Continuation Benefits \nThe Company has agreements with certain retirees of acquired com panies to pay monthly retirement benefits through fiscal 2020 . \nRetiree Health Care Benefits \nThe Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. \nPremium payments are based upon current insurance rates for the type of coverage provided and are adjusted ann ually. \nCertain monthly health care premium payments are partially subsidized by the Company. Add itionally, in conjunction with a \nfiscal 1998 acquisition, the Company assumed the obligation for a postretirement medi cal benefit plan which provides health \ncare benefits to eligible retired associates at no cost to the individual. \nThe Company uses a June 30 measurement date for all plans. \nThe following table sets forth the changes in benefit obligations and plan assets during the year and the f un ded status for the \npostemployment plans at June 30: \n Pension Benefits Retiree Health Care B enefits \n 2012 2011 2012 2011. \nChange in benefit obligation: \nBenefit obligation at beginning of the year $ 53,490 $ 51,114 $ 4,667 $ 4,593 \nService cost 289 460 30 39 \nInterest cost 2,047 2,232 237 235 \nPlan participants’ contributions — — 47 37 \nBenefits paid (4,144 ) (1,856 ) (256 ) (227 ) \nAmendments 150 151 — — \nActuarial loss (gain) during year 4,179 1,389 423 (10 ) \nCurtailment (8,860 ) — — — \nBenefit obligation at end of year $ 47,151 $ 53,490 $ 5,148 $ 4,667 \nChange in plan assets: \nFair value of plan assets at beginning of year $ 6,056 $ 5,229 $ — $ — \nActual (loss) gain on plan assets (30 ) 984 — — \nEmployer contributions 4,557 1,699 209 190 \nPlan participants’ contributions — — 47 37 \nBenefits paid (4,144 ) (1,856 ) (256 ) (227 ) \nFair value of plan assets at end of year $ 6,439 $ 6,056 $ — $ — \nFunded status at end of year $ (40,712 ) $ (47,434 ) $ (5,148 ) $ (4,667 ) \n \nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the \npostemployment plans were as follows: \n Pension Benefits Retiree Health Care B enefits \nJune 30, 2012 2011 2012 2011. \nAmounts recognized in the consolidated balance sheets: \nOther current liabilities $ 6,018 $ 4,151 $ 220 $ 220 \nPostemployment benefits 34,694 43,283 4,928 4,447 \nNet amount recognized 40,712 $ 47,434 $ 5,148 $ 4,667 \nAmounts recognized in accumulated other comprehensive income (loss): \nNet actuarial (loss) gain (10,112 ) $ (15,012 ) $ 398 $ 892 \nPrior service cost (279 ) (3,808 ) (135 ) (274 ) \nTotal amounts recognized in accumulated other comprehensive income (loss) (10,391 ) $ (18,820 ) $ 263 $ 618 \n \n \nThe following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in \nexcess of plan assets: \n Pension Benefits \nJune 30, 2012 2011 \nProjected benefit obligations $ 47,151 $ 53,490 \nAccumulated benefit obligations 47,151 43,528 \nFair value of plan assets 6,439 6,056 \nThe net periodic costs are as follows: \n Pension Benefits Retiree Health Care Benefits \nYear Ended June 30, 2012-- 2011-- 2010-- 2012-- 2011-- 2010-- \nService cost $ 289 $ 460 $ 574 $ 30 $ 39 $ 52 \nInterest cost 2,047 2,232 2,911 237 235 259 \nExpected return on plan assets (396 ) (385 ) (351 ) — — — \nRecognized net actuarial loss (gain) 644 1,449 924 (72 ) (83 ) (87 ) \nAmortization of prior service cost 412 710 797 139 139 148 \nRecognition of prior service cost upon plan curtailment 3,117 — — — — — — \nNet periodic cost $ 6,113 $ 4,466 $ 4,855 $ 334 $ 330 $ 372 \nThe estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "to the Company’s pension obligation causing a related increase \nor decrease in reported net operating results in the period of \nchange in the estimate. At June 30, 2012, a 1% point change \nwould have the following effects (in thousands): \n One-Percen tage Point \nEffect of change in: -Increase Decrease \nDiscount rate on liability $ (3,501) \n) \n$ 3,965 \nDiscount rate on net periodic benefit cost (117) \n) \n130 \nEffective December 31, 2011, participant benefits and entry into \nthe SERP was frozen. As such, compensation increases no longer \nhave an impact on the postemployment liability or the associated \nperiodic benefit cost. Additionally, a 1% change in the return on \nassets is not material since most of the plans are non-qualified \nand unfunded. \nIncome Taxes \nDeferred income taxes are recorded for estimated future tax effects \nof differences between the bases of assets and liabilities for \nfinan\ncial reporting and income tax purposes, giving consideration \nto enacted tax laws. As of June 30, 2012, the Company had \nrecognized $34.4 million of net deferred tax assets. This includes a \n$0.2 million valuation allowance recorded related to estimated \nlimitations in the deductibility of certain expenses. Management \nbelieves that sufficient income will be earned in the future to \nrealize its deferred income tax assets. The realization of these \ndeferred tax assets can be impacted by changes to tax laws, \nstatutory tax rates an d future taxable income levels. \n \n \n6 \n \nCONTRACTUAL OBLIGATIONS \nThe following table shows the approximate value of the \nCompany’s contractual obligations and other commitments to \nmake future payments as of June 30, 2012 (in thousands): \n Total \nPeriod \nLess \nThan \n1 yr \nPeriod \n1-3 yrs \nPeriod \n4-5 yrs \nPeriod \nOver \n5 yrs Other \nOperating leases $ 81,600 $ 23,500 $ 32,300 $ 14,700 $ 11,100 \nPlanned funding of \npost-retirement \nobligations 45,100 6,300 11,500 6,100 21,200 \nUnrecognized \nincome tax benefit \nliabilities, including \ninterest and \npenalties 1,970 $ 1,970 \nTotal Contractual \nCash Obligations $ 128,670 $ 29,800 $ 43,800 $ 20,800 $ 32,300 $ 1,970 \nPurchase orders for inventory and other goods and services are \nnot included in our estimates as we are unable to aggregate the \namount of such purchase orders that represent enforceable and \nlegally binding agreements specifying all significant terms. The \nprevious table includes the gross liability for unrecognized income \ntax benefits including interest and penalties in the “Other” \ncolumn as the Company is unable to make a reasonable estimate \nregarding\n the timing of cash settlements with the respective \ntaxing authorities. \nSUBSEQUENT EVENT \nOn August 1, 2012, the Company acquired SKF's company-\nowned distribution businesses in Australia and New Zealand for \ncash consideration. These businesses will expand Applied's global \ncapabilities and are part of the Service Center Based Distribution \nsegment. The Company funded the acquisition from its available \ncash and existing revolving credit facilities. Results of operations \nacquired will be includ ed in the Company's results of operations \nfrom the date of closing. \nCRITICAL ACCOUNTING POLICIES \nThe preparation of financial statements and related disclosures in \nconformity with accounting principles generally accepted in the \nUnited States of America requires management to make \njudgments, assumptions and estimates at a specific point in time \nthat affect the amounts reported in the consolidated financial \nstatements and disclosed in the accompanying notes. The \nBusiness and Accounting Policies note to the consolidated \nfinancial statements describes the si gnificant accounting policies \nand methods used in preparation of the consolidated financial \nstatements. \nEstimates are used for, but not limited to, determining the net \ncarrying value of trade accounts receivable, inventories, recording \nself-insurance liabilities and other accrued liabilities. Actual", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "to the Company’s pension obligation causing a related increase \nor decrease in reported net operating results in the period of \nchange in the estimate. At June 30, 2012, a 1% point change \nwould have the following effects (in thousands): \n One-Percen tage Point \nEffect of change in: -Increase Decrease \nDiscount rate on liability $ (3,501) \n) \n$ 3,965 \nDiscount rate on net periodic benefit cost (117) \n) \n130 \nEffective December 31, 2011, participant benefits and entry into \nthe SERP was frozen. As such, compensation increases no longer \nhave an impact on the postemployment liability or the associated \nperiodic benefit cost. Additionally, a 1% change in the return on \nassets is not material since most of the plans are non-qualified \nand unfunded. \nIncome Taxes \nDeferred income taxes are recorded for estimated future tax effects \nof differences between the bases of assets and liabilities for \nfinan\ncial reporting and income tax purposes, giving consideration \nto enacted tax laws. As of June 30, 2012, the Company had \nrecognized $34.4 million of net deferred tax assets. This includes a \n$0.2 million valuation allowance recorded related to estimated \nlimitations in the deductibility of certain expenses. Management \nbelieves that sufficient income will be earned in the future to \nrealize its deferred income tax assets. The realization of these \ndeferred tax assets can be impacted by changes to tax laws, \nstatutory tax rates an d future taxable income levels. \n \n \n6 \n \nCONTRACTUAL OBLIGATIONS \nThe following table shows the approximate value of the \nCompany’s contractual obligations and other commitments to \nmake future payments as of June 30, 2012 (in thousands): \n Total \nPeriod \nLess \nThan \n1 yr \nPeriod \n1-3 yrs \nPeriod \n4-5 yrs \nPeriod \nOver \n5 yrs Other \nOperating leases $ 81,600 $ 23,500 $ 32,300 $ 14,700 $ 11,100 \nPlanned funding of \npost-retirement \nobligations 45,100 6,300 11,500 6,100 21,200 \nUnrecognized \nincome tax benefit \nliabilities, including \ninterest and \npenalties 1,970 $ 1,970 \nTotal Contractual \nCash Obligations $ 128,670 $ 29,800 $ 43,800 $ 20,800 $ 32,300 $ 1,970 \nPurchase orders for inventory and other goods and services are \nnot included in our estimates as we are unable to aggregate the \namount of such purchase orders that represent enforceable and \nlegally binding agreements specifying all significant terms. The \nprevious table includes the gross liability for unrecognized income \ntax benefits including interest and penalties in the “Other” \ncolumn as the Company is unable to make a reasonable estimate \nregarding\n the timing of cash settlements with the respective \ntaxing authorities. \nSUBSEQUENT EVENT \nOn August 1, 2012, the Company acquired SKF's company-\nowned distribution businesses in Australia and New Zealand for \ncash consideration. These businesses will expand Applied's global \ncapabilities and are part of the Service Center Based Distribution \nsegment. The Company funded the acquisition from its available \ncash and existing revolving credit facilities. Results of operations \nacquired will be includ ed in the Company's results of operations \nfrom the date of closing. \nCRITICAL ACCOUNTING POLICIES \nThe preparation of financial statements and related disclosures in \nconformity with accounting principles generally accepted in the \nUnited States of America requires management to make \njudgments, assumptions and estimates at a specific point in time \nthat affect the amounts reported in the consolidated financial \nstatements and disclosed in the accompanying notes. The \nBusiness and Accounting Policies note to the consolidated \nfinancial statements describes the si gnificant accounting policies \nand methods used in preparation of the consolidated financial \nstatements. \nEstimates are used for, but not limited to, determining the net \ncarrying value of trade accounts receivable, inventories, recording \nself-insurance liabilities and other accrued liabilities. Actual", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Plan Assets \nThe fair value of each major class of plan assets for the Company’s Qualified Benefit Retirement Plan are valued usi ng quoted market \nprices in active markets for identical instruments, or Level 1 in the fair value hierarchy . Following are the fair values and target \nallocation as of June 30: \n Target Allocation Fair Value \n 2012 2011 \nAsset Class: \nEquity securities 40 – 70% $ 3,735 $ 3,876 \nDebt securities 20 – 50% 2,382 1,756 \nOther 0 – 20% 322 424 \nTotal 100% $ 6,439 $ 6,056 \nEquity securities do not include any Company common stock. \nThe Company has established an investment policy and regularly monitors the performance of the assets of the trust maintained in \nconjunction with the Qualified Defined Benefit Retirement Plan. The strategy implemented by the trustee of the Qualified Defined \nBenefit Retirement Plan is to achieve l ong-term objectives and invest the pension assets in accordance with ERISA and fiduciary \nstandards. The long-term primary ob jectives are to provide for a reasonable amount of long-term capital, without undue exposure \nto risk; to protect the Qualified Defined Benefit Retirement Plan a ssets from erosion of purchasing power; and to provide inve stment \nresults that meet or exceed the actuarially assumed long-term rate of return . The expected long-term rate of return on assets \nassumption was developed by considering the historical returns and the future expectations for returns of ea ch asset class as well as \nthe target asset allocation of the pension portfolio. \nCash Flows \nEmployer Contributions \nThe Company expects to contribute $6,000 to its pension benefit plans and $240 to its retiree health care benefit plans in \n2013. Contributions do not equal estimated future payments as ce rtain payments are made from plan assets. \nEstimated Future Benefit Payments \nThe following benefit payments, which reflect expected future service , as applicable, are expected to be paid in each of the next \nfive years and in the aggregate for the subsequent five years: \nDuring Fiscal Years Pension Benefits \nRetiree Health Care \nBenefits \n2013 $ 6,200 $ 240 \n2014 5,900 240 \n2015 5,700 240 \n2016 4,500 240 \n2017 1,700 260 \n2018 through 2022 15,200 1,420 \n \n \n \nNOTE 11: LEASES \nThe Company leases its corporate headquarters facility along with many service center a nd distribution center facilities, vehicles and \nequipment under non-cancelable lease agreements accounted for as operating leases . The minimum annual rental commitments \nunder non-cancelable operating leases as of June 30, 2012 are as follows: \nDuring Fiscal Years \n2013 $ 23,500 \n2014 18,000 \n2015 14,300 \n2016 9,600 \n2017 5,100 \nThereafter 11,100 \nTotal minimum lease payments $ 81,600 \nRental expenses incurred for operating leases, principally from leases for real property, vehicles and computer equipment were \n$31,200 in 2012, $31,400 in 2011 and $30,700 in 2010. \nNOTE 12: SEGMENT AND GEOGRAPHIC INFORMATION \nThe Company's reportable segments are: Service Center Based Dis tribution and Fluid Power Businesses. The Service Center Based \nDistribution segment provides customers with solutions to their maintenance, repair and original equipment manufacturing needs \nthrough the distribution of industrial products includ ing bearings, power transmission components, fluid power components, \nindustrial rubber products, linear motion products, safety products, general maintenance and a variety of mill supply products. The \nFluid Power Businesses segment distributes fluid power components and operates shops that assemble fluid power systems and \ncomponents, performs equipment repair, and offers technical advice to customers. \nThe accounting policies of the Company’s reportable segments are generally the same as those described in Note 1 . Sales primarily", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "On 26 November 2004, the Company issued 32,400 ordinary shares to 49 eligible employees at a subscription price of $8.14 per share under\nthe Plan. The total market value of those shares on the issue date was $287,064 and the total amount received from employees for those shares\nwas $249,480.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 63", - "page_start": 64, - "page_end": 64, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "What does Applied has to say regarding the potential creadit risk it could be exposed to ?", - "target_page": 21, - "target_passage": "The Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a significant concentration of credit risk exists in its accounts receivable", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "assessment would require specific knowledge of several aspects: of the specific topic, of the — real — \nsituation at the workplaces in an enterprise, and of the expected reduction of these risks by the proposed \nor recommended risk mitigation measures. This has rarely been done. Moreover, even inside one \nenterprise the quality of a risk assessment might differ depending on the topic , for example, \nbetween ‘easier’ topics as ‘correct provision of warning signals’ or ‘adequate temperatures’, and more \ncomplex topics like psychosocial, musculoskeletal, or chemical and biological risks.414", - "page_start": 126, - "page_end": 126, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nRISKS AND UNCERTAINTIES AFFECTING OUR BUSINESS\nThis section describes the principal risks and uncertainties that could\nhave a material adverse effect on our business and financial results.\nGENERAL RISKS\nEconomic Conditions\nOur businesses are affected by general economic conditions and\nconsumer confidence and spending. Recessions, declines in economic\nactivity and economic uncertainty can erode consumer and business\nconfidence and reduce discretionary spending. Any of these factors can\nnegatively affect us through reduced advertising, lower demand for our\nproducts and services, decreased revenue and profitability, higher churn\nand bad debt expense. A significant portion of our broadcasting,\npublishing and digital revenues come from the sale of advertising.\nPoor economic conditions can also have an impact on our pension plans\nbecause there is no assurance that the plans will be able to earn the\nassumed rate of return. Capital market volatility may result in changes\nin the discount rates and other variables, requiring us to make\ncontributions in the future that differ significantly from current\ncontributions and assumptions being used in the actuarial valuation\nprocess.\nSubstantial Competition\nThere is no assurance that our current or future competitors will not\nprovide services that are superior to ours or at lower prices, adapt more\nquickly to evolving industry trends or changing market requirements,\nenter markets we operate in, or introduce competing services. Any of\nthese factors could reduce our business market share or revenues, or\nincrease churn.\nWe expect to have ongoing re-pricing of products and services with our\nexisting subscribers as we extend lower wireless pricing offers to attract\nand retain customers. As such, wireless penetration of the population\ndeepens, new wireless customers may generate lower average monthly\nrevenue and this could slow revenue growth.\nWireless could face increased competition due to recent changes to\nforeign ownership and control of wireless licences.\n Foreign telecommunication companies could enter the Canadian\nmarket by acquiring wireless licences or a holder of wireless licences.\nIf companies with significantly greater capital resources enter the\nCanadian market, it could reduce our wireless market share. See\n“Foreign ownership and control” in “Regulation in Our Industry” for\ndetails.\n Industry Canada’s new policy regarding the transfer of spectrum\nlicenses, combined with 2012 legislation that allows foreign\nownership of wireless providers with less than 10% market share,\ncould make it harder for incumbent wireless carriers to acquire\nadditional spectrum, including the completion of our previously\nannounced arrangements with Shaw and Videotron, while making it\nless expensive for foreign wireless carriers to enter the Canadian\nwireless market. This could increase the intensity of competition in\nthe Canadian wireless sector.\nIn addition, the CRTC Broadcasting Distribution Regulations do not\nallow cable operators to obtain exclusive contracts in buildings where it\nis technically feasible to install two or more systems.\nTECHNOLOGY RISKS\nCompeting Technologies\nSeveral technologies may affect the way our services are delivered,\nincluding:\n broadband\n IP-based voice, data and video delivery services\n increased use of optical fibre technologies to businesses and, or\nresidences\n broadband wireless access and wireless services using a radio\nfrequency spectrum that we may have limited access to.\nThese technologies may also lead to significantly different cost\nstructures for users and therefore affect the long-term viability of some\nof our current technologies. Some of the new technologies may allow\ncompetitors to enter our markets with similar products or services at\nlower costs, and they may be larger and have greater access to financial\nresources than we have.\nImprovements in the quality of streaming video over the Internet,", - "page_start": 77, - "page_end": 77, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "our reputation and our business.\nEven if we take appropriate measures to safeguard our information security and privacy environment from security breaches, our \ncustomers and our business could still be exposed to risk.\nOur Retail and Credit segments involve the collection, storage and transmission of customers’ personal information, consumer preferences \nand credit card information. In addition, our operations involve the collection, storage and transmission of employee information and company \nfinancial and strategic data. Any measures we implement to prevent a security or cybersecurity threat may not be totally effective and may \nhave the potential to harm relations with our customers or decrease activity on our websites by making them more difficult to use. In addition, \nthe regulatory environment surrounding information security, cybersecurity and privacy is increasingly demanding, with new and constantly \nchanging requirements. Security breaches and cyber incidents and their remediation, whether at our company, our third-party providers or \nother retailers, could expose us to a risk of loss or misappropriation of this information, litigation, potential liability, reputation damage and \nloss of customers’ trust and business, which could adversely impact our sales. Any such breaches or incidents could subject us to \ninvestigation, notification and remediation costs, and if there is additional information that is later discovered related to such security breach \nor incident, there could be further loss of customers’ trust and business, based upon their reactions to this additional information. Additionally, \nas a credit card issuer, we could be subject to credit card fraud losses due to external credit card fraud.\nIf we fail to appropriately manage our capital, we may negatively impact our operations and shareholder return.\nWe utilize capital to finance our operations, make capital expenditures and acquisitions, manage our debt levels and return value to our \nshareholders through dividends and share repurchases. If our access to capital is restricted or our borrowing costs increase, our operations \nand financial condition could be adversely impacted. Further, if we do not properly allocate our capital to maximize returns, our operations, \ncash flows and returns to shareholders could be adversely affected.", - "page_start": 18, - "page_end": 18, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nThese factors can also affect our objectives, strategies and intentions.\nMany of these factors are beyond our control or our current\nexpectations. Should one or more of these risks, uncertainties or other\nfactors materialize, our objectives, strategies or intentions change, or\nany other factors or assumptions underlying the forward-looking\ninformation prove incorrect, our actual results and our plans could vary\nsignificantly from what we currently foresee.\nAccordingly, we warn investors to exercise caution when considering\nstatements containing forward-looking information and that it would\nbe unreasonable to rely on such statements as creating legal rights\nregarding our future results or plans. We are under no obligation (and\nwe expressly disclaim any such obligation) to update or alter any\nstatements containing forward-looking information or the factors or\nassumptions underlying them, whether as a result of new information,\nfuture events or otherwise, except as required by law. All of the\nforward-looking information in this MD&A is qualified by the cautionary\nstatements herein.\nBEFORE MAKING AN INVESTMENT DECISION\nBefore making any investment decisions and for a detailed discussion of\nthe risks, uncertainties and environment associated with our business,\nfully review “Regulation in Our Industry” and “Governance and Risk\nManagement”, in this MD&A, as well as our various other filings with\nCanadian and US securities regulators which can be found at sedar.com\nand sec.gov.\nFOR MORE INFORMATION\nYou can find more information about us, including our Information\nCircular and Annual Information Form, on our website (rogers.com/\ninvestors), on SEDAR (sedar.com) and on EDGAR (sec.gov), or you can\ne-mail us at investor.relations@rci.rogers.com. Information on or\nconnected to these and any other websites referenced in this document\nis not part of this MD&A.\nYou can also go to rogers.com/investors for information about our\ngovernance practices, corporate social responsibility reporting, a\nglossary of communications and media industry terms, and additional\ninformation about our business.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 25", - "page_start": 28, - "page_end": 28, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "attributions of work to cardiovascular, mental, other respiratory diseases like asthma or COPD, and \ndigestive diseases. \nLately, the WHO and ILO have made joint efforts to identify the best possible estimates based on the \nsystematic review of scientific literature on such connections. The newest WHO/ILO review of risk \npairs214 identified several significant relations between specific risks of work conditions and related \ndiseases, for example, long working hours and stroke, or exposure to particulate matter, gases and \nchronic obstructive pulmonary diseases. For some specific chemicals and metals, the AF is very low \nbecause other exposures — nutrition, environment — might have a much bigger impact than workplace", - "page_start": 80, - "page_end": 80, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Risk Factors\nThis Annual Report on Form 10-K includes \"\"forward-looking statements'' within the meaning of\nSection 21E of the Securities Exchange Act of 1934, as amended, including, in particular, certain statements\nabout our plans, strategies and prospects. Although we believe that our plans, intentions and expectations\nreÖected in or suggested by such forward-looking statements are reasonable, we cannot assure you that such\nplans, intentions or expectations will be achieved. Important factors that could cause our actual results to\ndiÅer materially from our forward-looking statements include those set forth in this Risk Factors section. All\nforward-looking statements attributable to us or any persons acting on our behalf are expressly qualiÑed in\ntheir entirety by the cautionary statements set forth below. Unless the context requires otherwise, all references\nto the \"\"company,'' \"\"we,'' \"\"us'' or \"\"our'' include Republic Services, Inc. and its subsidiaries.\nIf any of the following risks, or other risks not presently known to us or that we currently believe to not be\nsigniÑcant, develop into actual events, then our business, Ñnancial condition, results of operations, cash Öows\nor prospects could be materially adversely aÅected.\nWe operate in a highly competitive industry and may be unable to compete eÅectively.\nWe operate in a highly competitive business environment. Some of our competitors have signiÑcantly\nlarger operations and may have signiÑcantly greater Ñnancial resources than we do. In addition, the solid waste\nindustry is constantly changing as a result of consolidation which may create additional competitive pressures\nin our business environment.\nWe also compete with municipalities that maintain their own waste collection or disposal operations.\nThese municipalities may have a Ñnancial advantage over us as a result of the availability of tax revenue and\ntax-exempt Ñnancing.\nWe compete for collection accounts primarily on the basis of price and the quality of services. From time\nto time our competitors may reduce the price of their services in an eÅort to expand their market share or to\nwin a competitively bid municipal contract.\nIn each market in which we own or operate a landÑll, we compete for solid waste volume on the basis of\ndisposal or \"\"tipping'' fees, geographical location and quality of operations. Our ability to obtain solid waste\nvolume for our landÑlls may be limited by the fact that some major collection companies also own or operate\nlandÑlls to which they send their waste. In markets in which we do not own or operate a landÑll, our collection\noperations may operate at a disadvantage to fully integrated competitors.\nAs a result of these factors, we may have diÇculty competing eÅectively from time to time.\nEconomic conditions could adversely aÅect our business, operations and internal growth.\nIn the past, economic slowdowns have negatively impacted the portion of our collection business servicing\nthe manufacturing sector and the non-residential construction industry. LandÑll volumes attributable to\nmanufacturing and construction activity were also impacted. A slowdown in the economy in any of the\nmarkets we service could adversely aÅect volumes, pricing and operating margins in our collection, transfer\nand disposal operations.\nAn increase in the price of fuel may adversely aÅect our business.\nOur operations are dependent upon fuel, which we generally purchase in the open market on a daily basis.\nDuring 2003 and 2004, we experienced increases in the cost of fuel. A portion of this increase was passed on to\nour customers. However, because of the competitive nature of the waste industry, there can be no assurances\nthat we will be able to pass on current or any future increases in fuel prices to our customers. Due to political\ninstability in oil-producing countries, fuel prices may continue to increase signiÑcantly in 2005. A signiÑcant\nincrease in fuel costs could adversely aÅect our business.\n14", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "such environmental liability insurance would be adequate in the event of a major loss, nor can we assure you\nthat we would continue to carry excess environmental liability insurance should market conditions in the\ninsurance industry make such coverage costs prohibitive.\nWe have general liability, vehicle liability, employment practices liability, pollution liability, directors and\noÇcers liability, worker's compensation and employer's liability coverage, as well as umbrella liability policies\nto provide excess coverage over the underlying limits contained in these primary policies. We also carry\nproperty insurance. Although we try to operate safely and prudently and while we have, subject to limitations\nand exclusions, substantial liability insurance, no assurance can be given that we will not be exposed to\nuninsured liabilities which could have a material adverse eÅect on our Ñnancial condition, results of operations\nor cash Öows.\n12", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "OSH requirements, that is, more safety risks in manual and craft work, and health risks typical for the \nhandling of less treated materials and products, that is, more biological risks. A similar development \ncan be observed in human-centred sectors: individual personal contacts are part of a service offer, \nmostly higher valued than standardised approaches or even a machine- or computer-supported advice \nor treatment.", - "page_start": 102, - "page_end": 102, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Our Ñnancial statements are based upon estimates and assumptions that may diÅer from actual results.\nOur Ñnancial statements have been prepared in accordance with U.S. generally accepted accounting\nprinciples and necessarily include amounts based on estimates and assumptions made by us. Actual results\ncould diÅer from these amounts. SigniÑcant items subject to such estimates and assumptions include the\ncarrying value of long-lived assets, the depletion and amortization of landÑll development costs, accruals for\nÑnal capping, closure and post-closure costs, valuation allowances for accounts receivable, liabilities for\npotential litigation, claims and assessments, and liabilities for environmental remediation, deferred taxes and\nself-insurance.\nWe cannot assure you that our reserves for landÑll and environmental costs will be adequate to cover the\nrequirements of existing environmental regulations, future changes or interpretations of existing regulations, or\nthe identiÑcation of adverse environmental conditions previously unknown to us.\nChanges in insurance markets may impact our Ñnancial results.\nDue to the variable condition of the insurance market, we have experienced, and may continue to\nexperience in the future, increased self-insurance retention levels and increased premiums. As we assume\nmore risk for self-insurance through higher retention levels, we may experience more variability in our self-\ninsurance reserves and expense.\nWe depend on key personnel.\nOur future success depends on the continued contributions of several key employees and oÇcers. We do\nnot maintain key man life insurance policies on any of our oÇcers. The loss of the services of key employees\nand oÇcers, whether such loss is through resignation or other causes, or the inability to attract additional\nqualiÑed personnel, could have a material adverse eÅect on our Ñnancial condition, results of operations and\ngrowth prospects.\nCompliance with environmental and other laws and regulations may impede our growth.\nWe may need to spend considerable time, eÅort and capital to keep our facilities in compliance with\nfederal, state and local requirements regulating health, safety, environment, zoning, land use and transporta-\ntion. In addition, some of our waste operations that cross state boundaries could be adversely aÅected if the\nfederal government, or the state or locality in which these waste operations are located, imposes fees on, or\notherwise limits or prohibits, the transportation or disposal of solid waste. If environmental laws become more\nstringent, our environmental capital expenditures and costs for environmental compliance may increase in the\nfuture. In addition, due to the possibility of unanticipated events or regulatory developments, the amounts and\ntiming of future environmental expenditures could vary substantially from those we currently anticipate.\nBecause of the nature of our operations, we have in the past, currently are, and may in the future be named as\na potentially responsible party in connection with the investigation or remediation of environmental conditions.\nWe cannot assure you that the resolution of any such investigations will not have a material adverse eÅect on\nour Ñnancial condition, results of operations or cash Öows. A signiÑcant judgment or Ñne against our company,\nor our loss of signiÑcant permits or licenses, could have a material adverse eÅect on our Ñnancial condition,\nresults of operations, cash Öows or prospects.\nRegulatory approval to develop or expand our landÑlls and transfer stations may be delayed or denied.\nOur plans include developing new landÑlls and transfer stations, as well as expanding the disposal and\ntransfer capacities of certain of our landÑlls and transfer stations, respectively. Various parties, including\ncitizens' groups and local politicians, sometimes challenge these projects. Responding to these challenges has,", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nadvantage to a competitor. Annual investments in new capabilities,\neducation and continuous improvement help to maintain and improve\nRCI’s security posture. These are focused on protection and prevention,\nrobust detection and advance preparation and planning to help prevent\na potential breach from turning into a crisis. Risk management\nresources continue to be focused in this area.\nWe use standard industry practices for network and information\ntechnology security, survivability and disaster recovery. Our ongoing\nsuccess partly depends on protecting our corporate business-sensitive\ndata, including personal information about our customers and\nemployees. We treat this information as intellectual property and\nprotect it from unauthorized access and compromise. We rely on our\npolicies and procedures and information technology systems to protect\nthis information. If we do not secure our data and the privacy of our\ncustomer information, we may not be in compliance with regulatory\nstandards and it could result in negative publicity, litigation and damage\nto our reputation. Any of these outcomes can cause us to lose\ncustomers or public confidence, or experience financial losses.\nImpact of Network Failures on Revenue and Customer Service\nIf our networks or key network components fail, it could, in some\ncircumstances, result in a loss of service for our customers for an\nindefinite period and have an adverse effect on our results and financial\nposition. We rely on business partners to carry some traffic for some of\nour customers. If one of these carriers has a service failure, it might also\ncause a service interruption for our customers that would last until we\ncould reroute the traffic to another carrier.\nUnauthorized Access to Digital Boxes or Internet Modems\nWe use encryption technology developed and supported by our vendors\nto protect our cable signals from unauthorized access and to control\naccess to programming based on subscription packages. We also use\nencryption and security technologies to prevent unauthorized access to\nour Internet service.\nThere is no assurance that we will be able to effectively prevent\nunauthorized decoding of television signals or Internet access in the\nfuture. If we are unable to control cable access with our encryption\ntechnology, subscriptions to digital programming, including premium\nVOD and SVOD, and Internet service revenues may decrease, which\ncould result in a decline in our cable revenues.\nREGULATORY RISKS\nChanges in Government Regulations\nSubstantially all of our business activities are regulated by Industry\nCanada and/or the CRTC, and any regulatory changes or decisions\ncould adversely affect our consolidated results of operations. See\n“Regulation in Our Industry”.\nRegulatory changes or decisions made by these regulators could\nadversely impact our results of operations on a consolidated basis. This\nregulation relates to, among other things, licencing, competition, the\ncable television programming services that we must distribute, wireless\nand wireline interconnection agreements, the rates we may charge to\nprovide access to our network by third parties, the resale of our\nnetworks and roaming on our networks, our operation and ownership\nof communications systems and our ability to acquire an interest in\nother communications systems. In addition, the costs of providing\nservices may be increased from time-to-time as a result of compliance\nwith industry or legislative initiatives to address consumer protection\nconcerns or such Internet-related issues as copyright infringement,\nunsolicited commercial e-mail, cybercrime and lawful access. Our cable,\nwireless and broadcasting licences may not generally be transferred\nwithout regulatory approval.\nGenerally, our licences are granted for a specified term and are subject\nto conditions on the maintenance of these licences. These licencing\nconditions may be modified at any time by the regulators. The", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "To what system of logic do OWL ontologies belong to ?", - "target_page": 7, - "target_passage": "OWL ontologies are an implementation of Description Logic (DL) which is a decidable subset of First Order Logic", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\nPreprint · April 2021\nCITATIONS\n0\nREADS\n36,030\n1 author:\nMichael Debellis\n21 PUBLICATIONS   194 CITATIONS   \nSEE PROFILE\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.\nThe user has requested enhancement of the downloaded file.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "4 \n \nChapter 1 Introduction \n \nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an Entity. Individuals and classes can also be \nreferred to as objects. \nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "9 \n \nprovide a language that is called Description Logic or DL for short. One of the key features of DL is that \nthese superclass-subclass relationships (aka subsumption relationships) can be computed automatically by \na reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – \nclasses are represented as ovals, like sets in Venn diagrams. \nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an \nindividual for it to be a member of the class. How to formulate these descriptions will be explained as the \ntutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "1 \n \nA Practical Guide to Building OWL Ontologies \nUsing Protégé 5.5 and Plugins \nEdition 3.0 \n8 April 2021 \nMichael DeBellis \n \nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of \nthe tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon \nJupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt. \nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the \nNational Institute of General Medical Sciences of the United States National Institutes of Health. \nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. \nI have also made some changes to address some of the most common issues I’ve seen new users grapple \nwith, to remove some of the dated information about older frame-based versions of Protégé, and various \nmiscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as \nSWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces. \nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to \nLorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to \nAndré Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for \ntheir excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the \nProtégé user support email list. \nNote: this document may get updates frequently. It is a good idea to check my blog at: \nhttps://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest \nversion. \nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "OLAF\nOntology based-system\nOntology Use Cases Final Application\nKnowledge sources\nText Corpus Seed Ontology\nOntology\nPipeline Building Pipeline Optimisation Pipeline Execution\nC-value-based filtering\nLinguistic-based filtering\nTF-IDF value-based filtering\nConceptNet-based extraction\nGrouping terms based on synonyms\nTerm cooccurrences-based extraction\nSimilarity-based extraction\nFormal concept Analysis\nTerm subsumption algorithm\nHierarchical clustering\nRule-based axiom extraction\nInductive Logic Programming\nOLAF : Ontology Learning Applied Framework\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr)\nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\nTerm Extraction\nTerm Enrichment\nConcept/RelationExtraction\nHierarchisation\nAxiom\nData preprocessing\nText Corpus\nOntology\nOLAF\nActivity Ressource\nArtifact Optional\nCAPTION\nSTATE OF THE ART\nSystem Overview Pros and cons\nText2Onto,\n2005, [1]\nIt is the reference in the field as it defines a\nrepresentation-agnostic structure with modular\nsteps and takes into account uncertainty. The\nsystem is implemented as a GATE module.\nOntologies can be exported in\nvarious formats. GATE system\nadds great visualisations. But it is\nnot maintained since 2011.\nOntoLearn\n(Reloaded),\n2013, [3]\nIt focuses on \"lexicalised ontologies\" and uses seed\nknowledge. It implements 5 steps: terminology\nextraction, hypernym graph construction, domain\nfiltering of hypernyms, hypernym graph pruning and\nedge recovery.\nIt relies on WordNet and POS\ntags and does not distinguish\nbetween terms and concepts.\nIt implements different\nadaptable approaches.\nOntoGain,\n2010, [2]\nIt focuses on multiword terms to construct a\n\"lexicalised ontology\" by adapting an agglomerative\nclustering and an FCA method. It implements 4\nsteps: text preprocessing, concept extraction (C/NC-\nvalue), taxonomy construction, and non-taxonomic\nrelation acquisition (rule-based and probabilistic).\nIt considers only multiword\nterms and relies on WordNet\nand POS tags. It does not\ndistinguish between terms and\nconcepts and implements\ndifferent adaptable approaches.\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg:\nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI:\n10.1162/COLI_a_00146\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications,\nDatabase, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101\n1.\n2.\n3.\n4.\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology\nlearning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning\nsystems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an open-\nsource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\nMost ontology learning systems do not consider the targeted ontology-\nbased system. Though an ideal ontology should model a domain in an\napplication-independent manner, in practice, concepts and relations\nrepresented largely depend on one or more business use cases. As\nwe designed our framework with industry application in mind, we need", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "66 \n \nChapter 9 Queries: Description Logic and SPARQL \nNow that we have some individuals in our ontology, we can do some interesting queries. There are \nseveral tools for doing queries in Protégé. \n9.1 Description Logic Queries \nTo start with the most straight forward one based on what you have already learned are Description Logic \n(DL) queries. These are essentially the same kind of statements you have been using to define classes. \nHowever, in addition to using such statements to define a class you can use it as a query. \nExercise 33: Try Some Description Logic Queries \n_____________________________________________________________________________________ \n1. To begin with navigate to the DL Query tab. If it doesn’t exist create it using: Window>Tabs>DL \nQuery. \n2. At the top right of this tab you should see a view that says DL query: and below it Query (class \nexpression). \n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, \nsuperclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping \nsome (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness \nHot. At first you may not see anything but don’t worry there is one more step. \n4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it \nshould already be checked by default) and Instances. Now your UI should look like figure 9.1. You may \nnotice that owl:Nothing shows up as a subclass. Don’t worry that is actually expected. Remember that \nowl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as \nowl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don’t want to \nsee owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing. \n5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and \nVegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with \nthis last query you are taking advantage of the transitive order you defined for the instances of the \nSpiciness class in chapter 6. \n6. You can also do queries for strings in the names of your entities. For example, first do a query simply \nwith Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the \nclasses and individuals with Hot in their name. \n_____________________________________________________________________________________", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "16 \n \n5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all \npossible inferences because some inferences can take a long time for large and complex ontologies. In \nthis tutorial we will always be dealing with small and simple ontologies so we want to see everything the \nreasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of \ninferences that the reasoner can perform. If they aren’t all checked then check them all. You may receive \na warning that some inferences can take a lot of time, but you can ignore those since your ontology will \nbe small. \n_____________________________________________________________________________________ \n4.3 Disjoint Classes \nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say \nthat these classes are disjoint. I.e., no individual can be an instance of more than one of those classes. In \nset theory terminology the intersection of these three classes is the empty set: owl:Nothing. \nExercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other \n_____________________________________________________________________________________ \n1. Select the class Pizza in the class hierarchy. \n2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red \ncircle in figure 4.6. \n3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class \nhierarchy for now (we will use the expression editor later). This gives you an interface to select a class \nthat is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and \nselect PizzaBase and PizzaTopping. Select OK. \n4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping. You should see \nthat they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint \nwith the other two. \n_____________________________________________________________________________________", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "An ontology represents knowledge as a set\nof concepts within a domain and the\nrelationships between those concepts.\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\ndescribed below have received the most attention and cover the scope of AI research.[a]\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\nsolve puzzles or make logical deductions.[13] By the late 1980s and 1990s, methods were developed for\ndealing with uncertain or incomplete information, employing concepts from probability and\neconomics.[14]\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\"combinatorial explosion\": They become exponentially slower as the problems grow.[15] Even humans\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\nproblems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\nKnowledge representation and knowledge engineering[17]\nallow AI programs to answer questions intelligently and\nmake deductions about real-world facts. Formal knowledge\nrepresentations are used in content-based indexing and\nretrieval,[18] scene interpretation,[19] clinical decision\nsupport,[20] knowledge discovery (mining \"interesting\" and\nactionable inferences from large databases),[21] and other\nareas.[22]\nA knowledge base is a body of knowledge represented in a\nform that can be used by a program. An ontology is the set\nof objects, relations, concepts, and properties used by a\nparticular domain of knowledge.[23] Knowledge bases need\nto represent things such as objects, properties, categories,\nand relations between objects;[24] situations, events, states,\nand time;[25] causes and effects;[26] knowledge about\nknowledge (what we know about what other people\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will\nremain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\nknowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition,\nthe problem of obtaining knowledge for AI applications.[c]\nReasoning and problem-solving\nKnowledge representation\nPlanning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "10 \n \nChapter 4 Building an OWL Ontology \n \nThis chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost \neveryone is familiar with. \nExercise 1: Create a new OWL Ontology \n_____________________________________________________________________________________ \n1. Start Protégé. When Protégé opens for the first time each day it puts up a screen of all the available \nplugins. You can also bring this up at any time by using File>Check for plugins. You won’t need any \nplugins at this point of the tutorial so just click the Not now button. \n2. The Protégé user-interface consists of several tabs such as Active ontology, Entities, etc. When you \nstart Protégé you should be in the Active Ontology tab. This is for overview information about the entire \nontology. Protégé always opens with a new untitled ontology you can start with. Your ontology should \nhave an IRI something like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology-\n27 Edit the name of the ontology (the part after the last “/” in this case untitled-ontology-27) and change it \nto something like PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the \nIRI after I edited the default that Protégé generated for me. Your IRI will look different and will be based \non your name or the name of your organization. \n3. Now you want to save your new ontology. Select File>Save. This should bring up a window that says: \nChoose a format to use when saving the ‘PizzaTutorial’ ontology. There is a drop down menu of formats \nto use. The default RDF/XML Syntax should be selected by clicking the OK button. This should bring up \nthe standard dialog your operating system uses for saving files. Navigate to the folder you want to use and \nthen type in the file name, something like Pizza Tutorial and select Save. \n____________________________________________________________________________________ \n \nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé \nany class, individual, object property, data property, annotation property, or rule is referred to as an entity. \nThe term name in OWL can actually refer to two different concepts. It can be the last part of the IRI3 or it \ncan refer to the annotation property (usually rdfs:label) used to provide a more user friendly name for \nthe entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the \nparameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will \nwork appropriately. \n \n \n \n3 An IRI is similar to a URL. This will be discussed in detail below in chapter 7. \nAs with any file you work on it is a good idea to save your work at regular intervals so that if \nsomething goes wrong you don’t lose your work. At certain points in the tutorial where saving \nis especially important the tutorial will prompt you to do so but it is a good idea to save your \nwork often, not just when prompted.", - "page_start": 10, - "page_end": 10, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "61 \n \nnext section. Which option you choose for your ontology will depend on the specific requirements you \nhave as well as the standards established by your organization or organizations that you work with. \nFinally, another name related concept you should be aware of is the concept of a namespace. If you have \nworked with most modern programming languages such as Python or Java, you are already familiar with \nthe concept of a namespace. The concept is identical in OWL. A namespace is used to avoid naming \nconflicts between different ontologies. For example, you may have a class called Network in an ontology \nabout telecommunications. You might also have a class called Network in an ontology about graph \ntheory. The two concepts are related but are different. Just as with programming languages you use \nnamespace prefixes to determine what specific namespace a name refers to. E.g., in this example you \nmight have the prefix tc for the Telecom ontology and gt for the Graph Theory ontology. Thus, when \nyou referred to the Network class for the Telecom ontology you would use tc:Network and \ngt:Network for the graph theory class. \nNote that you already have some experience with other namespaces. The OWL namespace prefix is owl \nand is used to refer to classes such as owl:Thing and owl:Nothing. The Resource Description \nFramework Schema (RDFS) is a model that OWL is built on top of and thus some properties that \nontologies use such as rdfs:label leverage this namespace. \nIn the bottom view of the Active ontology tab there is a tab called Ontology Prefixes. This tab shows all \nthe current namespace mappings in your ontology. There are certain concepts from OWL, RDF, RDFS, \nXML and XSD that are required for every ontology, so those namespaces are by default mapped in every \nnew Protégé ontology. There is also a mapping to the empty string for whatever the namespace is for your \nontology. This allows you to display and refer to entities in your ontology without entering a namespace \nprefix. If you look at that tab now you should see a row where the first column is blank, and the second \ncolumn has the base IRI for your ontology. It should be the same IRI as the Ontology IRI at the top of the \nActive ontology tab, except it also has a # sign at the end. E.g., the Pizza tutorial developed for this \ntutorial has an IRI of: http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial and the \nrow that has a blank first column in Ontology Prefixes has the IRI: \nhttp://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#.", - "page_start": 61, - "page_end": 61, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "Concerning ontologies, what is an anonymous class ?", - "target_page": 30, - "target_passage": "They are created by the reasoner when you use class expressions. For example, if you define the range of a property to be PizzaTopping or PizzaBase then the reasoner will create an anonymous class representing the intersection of those two classes", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "33 \n \nWe have described the class Pizza to be to be a subclass of Thing and a subclass of the things that have \na base which is some kind of PizzaBase. Notice that these are necessary conditions — if something is a \nPizza it is necessary for it to be a member of the class Thing (in OWL, everything is a member of the \nclass Thing) and necessary for it to have a kind of PizzaBase. More formally, for something to be a \nPizza it is necessary for it to be in a relationship with an individual that is a member of the class \nPizzaBase via the property hasBase. \n4.10.3 Creating Subclasses of Pizza \nIt’s now time to add some different kinds of pizzas to our ontology. We will start off by adding a \nMargheritaPizza, which is a pizza that has toppings of mozzarella and tomato. In order to keep our \nontology tidy, we will group our different pizzas under the class NamedPizza. \nExercise 14: Create Subclasses of Pizza: NamedPizza and MargheritaPizza \n_____________________________________________________________________________________ \n1. Select Pizza from the class hierarchy on the Classes tab. \n2. Click on the Add subclass icon at the top left of the Classes tab (look back at figure 4.4 if you aren’t \ncertain). You can also move your mouse over the icons and you will see a little pop-up hint for each icon. \n3. Protégé will prompt you for the name of the new subclass. Call it NamedPizza. \n4. Repeat steps 1-3 this time starting with NamedPizza to create a subclass of NamedPizza. Call it \nMargheritaPizza. \n5. Add a comment to the class MargheritaPizza using the Annotations view. This is above the \nDescription view. Add the comment: A pizza that only has Mozzarella and Tomato toppings. Remember \nthat annotation properties are meta-data that can be asserted about any entity whereas object and data \nproperties can only be asserted about individuals. There are a few predefined annotation properties that \nare included in all Protégé ontologies such as the comment property. \n_____________________________________________________________________________________ \nHaving created the class MargheritaPizza we now need to specify the toppings that it has. To do this we \nwill add two restrictions to say that a MargheritaPizza has the toppings MozzarellaTopping and \nTomatoTopping. \nExercise 15: Create Restrictions that define a MargheritaPizza \n_____________________________________________________________________________________ \n1. Select MargheritaPizza from the class hierarchy on the Classes tab. \n2. Click on the Add icon (+) next to the SubClass Of field in the Description view for Pizza. \n3. This again brings up the restriction dialogue. This time rather than use the Object restriction creator we \nwill use the Class expression editor tab. Select that tab. \n4. Type hasTopping some Mo into the field. Rather than type the rest of the name of the topping now hit \n (hold down the control key and hit the space bar). Protégé should auto-complete the \nname for you and the field should now contain: hasTopping some MozzarellaTopping. This is a useful \ntechnique for any part of the Protégé UI. Whenever you enter the name of some entity you can do", - "page_start": 33, - "page_end": 33, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "44 \n \n \nFigure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza \n4.14 Defining an Enumerated Class \nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. \nThe idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a \nspecific code library. One of the first and most common design patterns was the Model-View-Controller \npattern first used in Smalltalk and now almost the default standard for good user interface design. Since \nthere are significant differences between OWL and standard OOP the many excellent books on OOP \ndesign patterns don’t directly translate into OWL design patterns. Also, since the use of OWL is more \nrecent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP \ncommunity has. However, there are already many design patterns that have been documented for OWL \nand that can provide users with ways to save time and to standardize their designs according to best \npractices. \nOne of the most common OWL design patterns is an enumerated class. When a property has only a few \npossible values it can be useful to create a class to represent those values and to explicitly define the class \nby listing each possible value. We will show an example of such an enumerated class by creating a new", - "page_start": 44, - "page_end": 44, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "4 \n \nChapter 1 Introduction \n \nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an Entity. Individuals and classes can also be \nreferred to as objects. \nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "13 \n \nExercise 3: Add a Comment Annotation to Your Ontology \n_____________________________________________________________________________________ \n1. Make sure you are in the Active Ontology tab. In the view just below the Ontology IRI and Ontology \nVersion IRI fields find the Annotations option and click on the + sign. This will bring up a menu to create \na new annotation on the ontology. \n2. The rdfs:comment annotation should be highlighted by default. If it isn’t highlighted click on it. Then \ntype a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain. \n3. Click OK. Your Active Ontology tab should like Figure 4.3. \n_____________________________________________________________________________________ \n \nFigure 4.4: The Class Hierarchy View Options \n \n \n4.1 Named Classes \nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in \nthe Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the \nClass hierarchy view as shown in Figure 4.5.4 All empty ontologies contains one class called owl:Thing. \nOWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing \nall individuals. Because of this all classes are subclasses of owl:Thing. \n \n \n \n \n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the \nClass hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or \nto create them as independent tabs. \nAdd Subclass \nAdd Sibling Class \nDelete Class", - "page_start": 13, - "page_end": 13, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "37 \n \n4.10.4 Detecting a Class that can’t Have Members \nNext, we are going to use the reasoner to detect a class with a definition that means it can never have any \nmembers. In the current version of Protégé when the reasoner detects an inconsistency or problem on \nsome operating systems the UI can occasionally lock up and be hard to use. So to make sure you don’t \nlose any of your work save your ontology using File>Save. \nSometimes it can be useful to create a class that we think should be impossible to instantiate to make sure \nthe ontology is modeled as we think it is. Such a class is called a Probe Class. \nExercise 19: Add a Probe Class called ProbeInconsistentTopping \n_____________________________________________________________________________________ \n1. Select the class CheeseTopping from the class hierarchy. \n2. Create a subclass of CheeseTopping called ProbeInconsistentTopping. \n3. Click on the Add icon (+) next to the SubClass Of field in the Description view for \nProbeInconsistentTopping. \n4. Select the Class hierarchy tab from the dialogue that pops up. This will bring up a small view that \nlooks like the class hierarchy tab you have been using to add new classes. Use this to navigate to and \nselect the class VegetableTopping. Click on OK. \n5. Make sure to save your current ontology file. Now run the reasoner. You should see that \nProbeInconsistentTopping is now highlighted in red indicating it is inconsistent. \n6. Click on ProbeInconsistentTopping to see why it is highlighted in red. Notice that at the top of the \nDescription view you should now see owl:Nothing under the Equivalent To field. This means that the \nprobe class is equivalent to owl:Nothing. The owl:Nothing class is the opposite of owl:Thing. \nWhereas all individuals are instances of owl:Thing, no individual can ever be an instance of \nowl:Nothing. The owl:Nothing class is equivalent to the empty set in set theory. \n7. There should be a ? icon just to the right of owl:Nothing. As with any inference of the reasoner it is \npossible to click on the new information and generate an explanation for it. Do that now, click on the ? \nicon. This should generate a new window that looks like figure 4.20. The explanation is that \nProbeInconsistentTopping is a subclass of CheeseTopping and VegetableTopping but those \ntwo classes are disjoint. \n8. Click OK to dismiss the window. Delete the class ProbeInconsistentTopping by selecting it and then \nclicking on the delete class icon at the top of the classes view (see figure 4.4). \n9. Synchronize the reasoner. \n_____________________________________________________________________________________", - "page_start": 37, - "page_end": 37, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "68 \n \nTo understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:subClassOf \nPizza. \nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:subClassOf and the object is any other \nentity. The ? before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a * for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \nPREFIX pizza: ", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\nPreprint · April 2021\nCITATIONS\n0\nREADS\n36,030\n1 author:\nMichael Debellis\n21 PUBLICATIONS   194 CITATIONS   \nSEE PROFILE\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.\nThe user has requested enhancement of the downloaded file.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "16 \n \n5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all \npossible inferences because some inferences can take a long time for large and complex ontologies. In \nthis tutorial we will always be dealing with small and simple ontologies so we want to see everything the \nreasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of \ninferences that the reasoner can perform. If they aren’t all checked then check them all. You may receive \na warning that some inferences can take a lot of time, but you can ignore those since your ontology will \nbe small. \n_____________________________________________________________________________________ \n4.3 Disjoint Classes \nHaving added the classes Pizza, PizzaTopping, and PizzaBase to the ontology, we now want to say \nthat these classes are disjoint. I.e., no individual can be an instance of more than one of those classes. In \nset theory terminology the intersection of these three classes is the empty set: owl:Nothing. \nExercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other \n_____________________________________________________________________________________ \n1. Select the class Pizza in the class hierarchy. \n2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red \ncircle in figure 4.6. \n3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class \nhierarchy for now (we will use the expression editor later). This gives you an interface to select a class \nthat is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and \nselect PizzaBase and PizzaTopping. Select OK. \n4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping. You should see \nthat they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint \nwith the other two. \n_____________________________________________________________________________________", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "87 \n \nYou might be tempted to resolve this thread (note the Resolve link at the top of the initial comment) \nhowever, we aren’t really done. Remember that we need to not just create the class but also define the \naxiom that a ChicagoPizza must have a DeepPanBase. Since we can’t add axioms in Web Protégé we \nneed to export our ontology back to Protégé. Typically, we would collect many more comments and \nchanges before exporting but we want to demonstrate how round-trip editing works between Protégé and \nWeb Protégé. We could of course just export the ontology from Web Protégé to Protégé and then create \nanother new Project, but it would be cumbersome to have to constantly create new projects every time \nyou want to make a change in Protégé and if we did this, we would lose our audit trail of comments and \nchanges. Luckily, there is a better way to do it. \nTo start we need to export the ontology to a file. Note that one of the tabs at the top is History. Select that \ntab. This tab shows a list of each version of the ontology. There should be 2 versions labelled R1 and R2 \n(in the right corner of each version). The most recent version is always at the top since that is typically \nwhat you want although it is also possible to roll back changes to previous versions. We want to export \nthe latest version R2. Click on the R2 icon. This should give you a drop-down menu with two options: \nRevert changes in revision 2 and Download revision 2. Select Download revision 2. This will prompt you \nwith the standard file browser for your OS to save a zip file with the new ontology. The ontology is saved \nwith a zip file because ontologies can be large and since Web Protégé is working over a network we may \nwant to limit the network traffic for large ontologies. Select the appropriate place to save the Zip archive \nfile on the machine where you have Protégé. Do the standard things you would do to unzip the file and \nload it into Protégé. Note that when you unzip the file it will create a directory as well, so the file won’t \nbe directly under whatever directory you save it to. Instead, there will be a directory titled something like \npizza-with-data-ontologies-owl-REVISION-2 that the OWL file will be in. \nLoad the downloaded file into Protégé. Go to the Class hierarchy tab and navigate to the new \nChicagoPizza class under NamedPizza. Add the axiom (refer back to chapter 4 if you need to remember \nhow to add axioms to classes) hasBase some DeepPanBase. Save the file. Now go back to Web Protégé \nand your version of the Pizza ontology there. Note that in the upper right corner of the window there are \nlinks (drop down menus) such as Display and Project. Select Project and from the drop down menu select \nApply External Edits. This will give you a small dialog titled Upload ontologies with a little button to \nChoose File. Click on Choose File. That will give you the standard OS dialog for selecting a file. \nNavigate to the file you saved from Protégé and select that then choose OK. That should result in a new \npop-up window titled Merge ontologies where you will see the changes (in this case only the addition of \nthe ChicagoPizza axiom) and a text box where you can describe the changes. Add an appropriate \nCommit message or just take the default and select OK. You should get a message that says the changes \nwere successfully applied. \nIf you navigate back to ChicagoPizza you should see that it now has that axiom. You can also navigate \nback to NamedPizza. In the right most column, you should see the comments about needing to add \nChicagoPizza as a subclass. Now that this has been done you can click on the Resolve link in the upper \nright corner of the comment thread and the comments will be removed from NamedPizza.", - "page_start": 87, - "page_end": 87, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "62 \n \nChapter 8 A Larger Ontology with some Individuals \n \nThe rest of the tutorial requires some data loaded into your ontology. So far, we have mostly been dealing \nwith defining classes and properties. This type of information is known in the semantic web community \nas T-Box information. The T stands for Terminological. Individuals or instances are known as A-Box. \nThe A stands for Assertional as in specific facts that are asserted about the domain. Typically, there will \nbe a much larger amount of A-Box information than T-Box. The A-Box information is often uploaded \nfrom spreadsheets, relational databases or other sources. One tool that is not covered in this tutorial that is \nuseful is called Cellfie. Cellfie is a tool that can take data from spreadsheets and upload it into an \nontology mapping the table-based data into objects and property values. For a tutorial on Cellfie see: \nhttps://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial \nIn addition to using Cellfie, you can use the Individuals by class tab introduced in chapter 5 to create new \ninstances and to create object and data property values for those instances as you did with the Hot and \nMedium individuals in chapter 6. However, that can be tedious so to spare you that uninteresting work \nI’ve developed a version of the Pizza ontology that has many individuals already created. That ontology \nshould be identical to the ontology you have developed so far except with many additional individuals. \nYou can find this populated Pizza ontology at: https://tinyurl.com/PizzaWDataV2 Go to this URL and \ndownload the file to your local machine and then use File>Open. Before you do that, it is probably a good \nidea to close the current file so that there is no possible confusion between the Pizza ontology you \ndeveloped and the new one with extra data.", - "page_start": 62, - "page_end": 62, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "When to use an enumerated class in OWL ontologies ?", - "target_page": 46, - "target_passage": "When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "44 \n \n \nFigure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza \n4.14 Defining an Enumerated Class \nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. \nThe idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a \nspecific code library. One of the first and most common design patterns was the Model-View-Controller \npattern first used in Smalltalk and now almost the default standard for good user interface design. Since \nthere are significant differences between OWL and standard OOP the many excellent books on OOP \ndesign patterns don’t directly translate into OWL design patterns. Also, since the use of OWL is more \nrecent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP \ncommunity has. However, there are already many design patterns that have been documented for OWL \nand that can provide users with ways to save time and to standardize their designs according to best \npractices. \nOne of the most common OWL design patterns is an enumerated class. When a property has only a few \npossible values it can be useful to create a class to represent those values and to explicitly define the class \nby listing each possible value. We will show an example of such an enumerated class by creating a new", - "page_start": 44, - "page_end": 44, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "58 \n \nChapter 6 Adding Order to an Enumerated Class \n \nIn this chapter we will expand on the enumerated class that we created to model spiciness in chapter 4.14. \nThis chapter will highlight some of the power of object properties in OWL. We are going to create an \nordering for the instances of Spiciness. I.e., Hot isSpicierThan Medium which isSpicierThan \nMild. To start go to the Object properties tab. Create a new property that is a sub-property of \nowl:topObjectProperty. Call this property isSpicierThan. Make its domain and range the Spiciness class. \nMake the property transitive. Transitive means that if X isSpicierThan Y and Y isSpicierThan Z \nthen X isSpicierThan Z. This is of course similar to the greater than and less than relations in math. \nCreate another property called isMilderThan. Make one property the inverse of the other. It doesn’t matter \nwhich one, you only have to specify that one property is the inverse of another, and the reasoner will \nrealize that both are inverses. Run the reasoner. You will see that the reasoner has inferred the domain and \nrange for isMilderThan than as well as the fact that it is transitive and the inverse of isSpicierThan. \nFigure 6.1 Setting isSpicierThan property in the Individuals by class tab", - "page_start": 58, - "page_end": 58, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "66 \n \nChapter 9 Queries: Description Logic and SPARQL \nNow that we have some individuals in our ontology, we can do some interesting queries. There are \nseveral tools for doing queries in Protégé. \n9.1 Description Logic Queries \nTo start with the most straight forward one based on what you have already learned are Description Logic \n(DL) queries. These are essentially the same kind of statements you have been using to define classes. \nHowever, in addition to using such statements to define a class you can use it as a query. \nExercise 33: Try Some Description Logic Queries \n_____________________________________________________________________________________ \n1. To begin with navigate to the DL Query tab. If it doesn’t exist create it using: Window>Tabs>DL \nQuery. \n2. At the top right of this tab you should see a view that says DL query: and below it Query (class \nexpression). \n3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, \nsuperclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping \nsome (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness \nHot. At first you may not see anything but don’t worry there is one more step. \n4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it \nshould already be checked by default) and Instances. Now your UI should look like figure 9.1. You may \nnotice that owl:Nothing shows up as a subclass. Don’t worry that is actually expected. Remember that \nowl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as \nowl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don’t want to \nsee owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing. \n5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and \nVegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with \nthis last query you are taking advantage of the transitive order you defined for the instances of the \nSpiciness class in chapter 6. \n6. You can also do queries for strings in the names of your entities. For example, first do a query simply \nwith Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the \nclasses and individuals with Hot in their name. \n_____________________________________________________________________________________", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "9 \n \nprovide a language that is called Description Logic or DL for short. One of the key features of DL is that \nthese superclass-subclass relationships (aka subsumption relationships) can be computed automatically by \na reasoner – more on this later. Figure 3.3 shows a representation of some classes containing individuals – \nclasses are represented as ovals, like sets in Venn diagrams. \nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an \nindividual for it to be a member of the class. How to formulate these descriptions will be explained as the \ntutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "4 \n \nChapter 1 Introduction \n \nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an Entity. Individuals and classes can also be \nreferred to as objects. \nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "13 \n \nExercise 3: Add a Comment Annotation to Your Ontology \n_____________________________________________________________________________________ \n1. Make sure you are in the Active Ontology tab. In the view just below the Ontology IRI and Ontology \nVersion IRI fields find the Annotations option and click on the + sign. This will bring up a menu to create \na new annotation on the ontology. \n2. The rdfs:comment annotation should be highlighted by default. If it isn’t highlighted click on it. Then \ntype a new comment into the view to the right. Something like A tutorial ontology for the Pizza domain. \n3. Click OK. Your Active Ontology tab should like Figure 4.3. \n_____________________________________________________________________________________ \n \nFigure 4.4: The Class Hierarchy View Options \n \n \n4.1 Named Classes \nThe main building blocks of an OWL ontology are classes. In Protégé 5, editing of classes can be done in \nthe Entities tab. The Entities tab has a number of sub-tabs. When you select it, the default should be the \nClass hierarchy view as shown in Figure 4.5.4 All empty ontologies contains one class called owl:Thing. \nOWL classes are sets of individuals. The class owl:Thing is the class that represents the set containing \nall individuals. Because of this all classes are subclasses of owl:Thing. \n \n \n \n \n4 Each of the sub-tabs in the Entities tab also exists as its own major tab. In the tutorial we will refer to tabs like the \nClass hierarchy tab or Object properties tab and it is up to the user whether to access them from the Entities tab or \nto create them as independent tabs. \nAdd Subclass \nAdd Sibling Class \nDelete Class", - "page_start": 13, - "page_end": 13, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\nPreprint · April 2021\nCITATIONS\n0\nREADS\n36,030\n1 author:\nMichael Debellis\n21 PUBLICATIONS   194 CITATIONS   \nSEE PROFILE\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.\nThe user has requested enhancement of the downloaded file.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "37 \n \n4.10.4 Detecting a Class that can’t Have Members \nNext, we are going to use the reasoner to detect a class with a definition that means it can never have any \nmembers. In the current version of Protégé when the reasoner detects an inconsistency or problem on \nsome operating systems the UI can occasionally lock up and be hard to use. So to make sure you don’t \nlose any of your work save your ontology using File>Save. \nSometimes it can be useful to create a class that we think should be impossible to instantiate to make sure \nthe ontology is modeled as we think it is. Such a class is called a Probe Class. \nExercise 19: Add a Probe Class called ProbeInconsistentTopping \n_____________________________________________________________________________________ \n1. Select the class CheeseTopping from the class hierarchy. \n2. Create a subclass of CheeseTopping called ProbeInconsistentTopping. \n3. Click on the Add icon (+) next to the SubClass Of field in the Description view for \nProbeInconsistentTopping. \n4. Select the Class hierarchy tab from the dialogue that pops up. This will bring up a small view that \nlooks like the class hierarchy tab you have been using to add new classes. Use this to navigate to and \nselect the class VegetableTopping. Click on OK. \n5. Make sure to save your current ontology file. Now run the reasoner. You should see that \nProbeInconsistentTopping is now highlighted in red indicating it is inconsistent. \n6. Click on ProbeInconsistentTopping to see why it is highlighted in red. Notice that at the top of the \nDescription view you should now see owl:Nothing under the Equivalent To field. This means that the \nprobe class is equivalent to owl:Nothing. The owl:Nothing class is the opposite of owl:Thing. \nWhereas all individuals are instances of owl:Thing, no individual can ever be an instance of \nowl:Nothing. The owl:Nothing class is equivalent to the empty set in set theory. \n7. There should be a ? icon just to the right of owl:Nothing. As with any inference of the reasoner it is \npossible to click on the new information and generate an explanation for it. Do that now, click on the ? \nicon. This should generate a new window that looks like figure 4.20. The explanation is that \nProbeInconsistentTopping is a subclass of CheeseTopping and VegetableTopping but those \ntwo classes are disjoint. \n8. Click OK to dismiss the window. Delete the class ProbeInconsistentTopping by selecting it and then \nclicking on the delete class icon at the top of the classes view (see figure 4.4). \n9. Synchronize the reasoner. \n_____________________________________________________________________________________", - "page_start": 37, - "page_end": 37, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "17 \n \n \nFigure 4.6: The Disjoint Option in the Class Description View \n \n \n \n \n \n \n4.4 Using Create Class Hierarchy \nIn this section we will use Tools>Create class hierarchy to create multiple classes at once. \nOWL classes are assumed to overlap, i.e., by default they are not disjoint. This is often useful \nbecause in OWL, unlike in most object-oriented models, multiple inheritance is not discouraged \nand can be a powerful tool to model data. If we want classes to be disjoint, we must explicitly \ndeclare them to be so. It is often a good development strategy to start with classes that are not \ndisjoint and then make them disjoint once the model is more fully fleshed out as it is not always \nobvious which classes are disjoint from the beginning.", - "page_start": 17, - "page_end": 17, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "61 \n \nnext section. Which option you choose for your ontology will depend on the specific requirements you \nhave as well as the standards established by your organization or organizations that you work with. \nFinally, another name related concept you should be aware of is the concept of a namespace. If you have \nworked with most modern programming languages such as Python or Java, you are already familiar with \nthe concept of a namespace. The concept is identical in OWL. A namespace is used to avoid naming \nconflicts between different ontologies. For example, you may have a class called Network in an ontology \nabout telecommunications. You might also have a class called Network in an ontology about graph \ntheory. The two concepts are related but are different. Just as with programming languages you use \nnamespace prefixes to determine what specific namespace a name refers to. E.g., in this example you \nmight have the prefix tc for the Telecom ontology and gt for the Graph Theory ontology. Thus, when \nyou referred to the Network class for the Telecom ontology you would use tc:Network and \ngt:Network for the graph theory class. \nNote that you already have some experience with other namespaces. The OWL namespace prefix is owl \nand is used to refer to classes such as owl:Thing and owl:Nothing. The Resource Description \nFramework Schema (RDFS) is a model that OWL is built on top of and thus some properties that \nontologies use such as rdfs:label leverage this namespace. \nIn the bottom view of the Active ontology tab there is a tab called Ontology Prefixes. This tab shows all \nthe current namespace mappings in your ontology. There are certain concepts from OWL, RDF, RDFS, \nXML and XSD that are required for every ontology, so those namespaces are by default mapped in every \nnew Protégé ontology. There is also a mapping to the empty string for whatever the namespace is for your \nontology. This allows you to display and refer to entities in your ontology without entering a namespace \nprefix. If you look at that tab now you should see a row where the first column is blank, and the second \ncolumn has the base IRI for your ontology. It should be the same IRI as the Ontology IRI at the top of the \nActive ontology tab, except it also has a # sign at the end. E.g., the Pizza tutorial developed for this \ntutorial has an IRI of: http://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial and the \nrow that has a blank first column in Ontology Prefixes has the IRI: \nhttp://www.semanticweb.org/pizzatutorial/ontologies/2020/PizzaTutorial#.", - "page_start": 61, - "page_end": 61, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Howcan I specify to Content Manager OnDemand to store the data on the server on which the program runs ?", - "target_page": 121, - "target_passage": "Local: Content Manager OnDemand stores data in a primary storage node on the server on which the data loading program runs", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "xx IBM Content Manager OnDemand Guide", - "page_start": 21, - "page_end": 21, - "source_file": "sg246915.pdf" - }, - { - "text": "xxii IBM Content Manager OnDemand Guide", - "page_start": 23, - "page_end": 23, - "source_file": "sg246915.pdf" - }, - { - "text": "2 IBM Content Manager OnDemand Guide", - "page_start": 25, - "page_end": 25, - "source_file": "sg246915.pdf" - }, - { - "text": "314 IBM Content Manager OnDemand Guide", - "page_start": 337, - "page_end": 337, - "source_file": "sg246915.pdf" - }, - { - "text": "88 IBM Content Manager OnDemand Guide", - "page_start": 111, - "page_end": 111, - "source_file": "sg246915.pdf" - }, - { - "text": "408 IBM Content Manager OnDemand Guide", - "page_start": 431, - "page_end": 431, - "source_file": "sg246915.pdf" - }, - { - "text": "376 IBM Content Manager OnDemand Guide", - "page_start": 399, - "page_end": 399, - "source_file": "sg246915.pdf" - }, - { - "text": "296 IBM Content Manager OnDemand Guide", - "page_start": 319, - "page_end": 319, - "source_file": "sg246915.pdf" - }, - { - "text": "334 IBM Content Manager OnDemand Guide", - "page_start": 357, - "page_end": 357, - "source_file": "sg246915.pdf" - }, - { - "text": "160 IBM Content Manager OnDemand Guide", - "page_start": 183, - "page_end": 183, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Does the XML indexer of Content Manager OnDemand support large objects ?", - "target_page": 188, - "target_passage": "No", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "12 IBM Content Manager OnDemand Guide\n–T h e XML Indexer allows the rapid increase in XML archiving mandates that are based \non ISO 20022 standards with XML (including SEPA in Europe). The XML Indexer is \noptimized for high-volume batch archiving of XML, batch PDF , AFP , Line Data, and \ncheck images.\n–T h e Full Text Indexer provides the capability to index the full text of a document (or \nreport). Y ou can search through an indexed document. \n/SM590000Data loading programs can be set up to automatically store report data into application \ngroups and update the database. The data loading programs can run on any Content \nManager OnDemand server.\n/SM590000Report Distribution Facility provides an easy way to automatically group reports and \nportions of reports and distribute the reports to multiple users. Distributions can be \nprinted, created as an output file, or emailed as an attachment.\n/SM590000Both the archived reports and their resources are stored in the Content Manager \nOnDemand Archive. The Content Manager OnDemand system manages the stored data \nthroughout its lifetime. It provides authorized users rapid access to the data and allows the \ndata to be converted into different formats for display or print.\n/SM590000A server print facility allows users to reprint a large volume of documents at high speed. \nPrint servers, such as Infoprint (on AIX), can be started to manage the server print \ndevices. These print servers are not part of Content Manager OnDemand and must be \npurchased separately. \n/SM590000Content Manager OnDemand management programs maintain the Content Manager \nOnDemand database and documents in cache storage.\n/SM590000A system logging facility provides administrators with tools to monitor server activity and \nrespond to specific events as they occur. The interface to the system logging facility is \nthrough the system log folder and the system log user exit.", - "page_start": 35, - "page_end": 35, - "source_file": "sg246915.pdf" - }, - { - "text": "182 IBM Content Manager OnDemand Guide\nFigure 7-4 Data indexing and flow control for the OS/400 indexer\n7.7 Getting started with XML Indexing\nThe XML indexer enables the high-volume archiving of XML data in a scalable and extensible \nmanner. \nThe XML indexer was developed to support the growing need to efficiently and effectively \nstore large quantities of XML data, for example:\n/SM590000The European Union’s implementation of a Single Euro Payments Area (SEPA). SEPA \nreplaced the existing domestic retail credit transfers and direct debits with standardized \nEuropean payments that are based on Extensible Markup Language (XML) International \nOrganization for Standardization (ISO) 20022 messages. ISO 20022 provides a more \nefficient way of developing and implementing messaging standards that financial \ninstitutions and clients use to exchange massive amounts of transactional information. \n/SM590000Other XML standards exist and continued to be developed, such as ACORD (Insurance \nindustry), AgXML (Agriculture), and Health Level Seven (Health industry). \n/SM590000XML document formats were developed, such as Office Open XML (OOXML) and Open \nDocument (OASIS).\nWith XML indexing, you can automatically batch index and archive XML transactional \nmessages and statements into the Content Manager OnDemand repository. Documents are \nidentified and extracted during indexing. Resources are extracted, and, together with the \ndata, compressed and archived. Multiple stylesheets can be specified to meet device and \naccessibility requirements. \nXML steeliest (resource) archiving is critical. Content Manager OnDemand optimizes the \nstorage of XML data by storing only a single version of a resource and then associating it with \nall of the archived documents. Document resources can be automatically collected and \nmanaged. \nOS/400 \nIndexer\nIndex Object \n.ind\nData Object \n.out \nAFP Resource \nObject .res\nOnDemand\nDatabase\nDisk\nStorage\nManager\nCache\nArchive\nStorage\nManager\nArchive\nMedia\nApplication \nProgram\nDatabase \nManager\nSpooled File Indexer\nParameters", - "page_start": 205, - "page_end": 205, - "source_file": "sg246915.pdf" - }, - { - "text": "xx IBM Content Manager OnDemand Guide", - "page_start": 21, - "page_end": 21, - "source_file": "sg246915.pdf" - }, - { - "text": "160 IBM Content Manager OnDemand Guide", - "page_start": 183, - "page_end": 183, - "source_file": "sg246915.pdf" - }, - { - "text": "xxii IBM Content Manager OnDemand Guide", - "page_start": 23, - "page_end": 23, - "source_file": "sg246915.pdf" - }, - { - "text": "408 IBM Content Manager OnDemand Guide", - "page_start": 431, - "page_end": 431, - "source_file": "sg246915.pdf" - }, - { - "text": "180 IBM Content Manager OnDemand Guide\nThe OS/390 indexer is enhanced to allow the storage of documents (or large object \nsegments) that exceed 2 GB. A report might contain multiple documents (or large object \nsegments), each of which exceeds 2 GB. This enhancement does not affect the limitations \nthat are imposed by other indexers. The limitations on the document size are based on the \navailable hardware and any other limitations that are placed on the operating environment.\nFor more information about the use of the OS/390 indexer, see IBM Content Manager \nOnDemand - Indexing Reference, SC19-3354.\n7.6 OS/400 indexer on Content Manager OnDemand on IBM i\nThe OS/400 indexer is a powerful tool to index the print data streams of IBM i application \nprograms. Supported data streams include SCS, AFP , and the less common SCS-Extended \nand Line Data. \nThe OS/400 indexer provides three major functions: \n/SM590000Print data stream processing: The OS/400 indexer processes the output print data \nstreams of application programs, for example, SCS, AFP , and Line Data reports. The \noutput can be viewed, printed, and archived by Content Manager OnDemand. \n/SM590000Sophisticated indexing functions: The OS/400 indexer can logically divide reports into \nindividual items, such as statements, policies, and bills. Y ou can define up to 32 index \nfields for each item in a report if you are running a Content Manager OnDemand server \nversion that is earlier than version 9.0.0.1. Beginning at version 9.0.0.1 of the server, \n128 index fields can be defined. \n/SM590000AFP resource collection: For AFP spooled files, the OS/400 indexer determines the \nresources that are necessary to view, print, and archive the print data stream and collect \nthe resources (except fonts, which are not stored but are mapped by the client during \ndisplay). Resources allow users to view the report as it displayed in the original printed \nversion, regardless of when or where the report was created. \nThe OS/400 indexer supports many advanced features:\n/SM590000Multi-key indexes\n/SM590000Spool File Archive compatibility\n/SM590000Start Indexing on Page\n/SM590000Translate Print Control\n/SM590000AFP support with or without TLEs\n/SM590000Large object support\nThe OS/400 indexer processes three input sources: \n/SM590000Indexing parameters that specify how the data needs to be indexed. The indexing \nparameters are created when you define a Content Manager OnDemand application. \n/SM590000AFP resources that are required to view and print the data if the application created an \nAFP print data stream.\n/SM590000The print data stream, which can be in a spooled file (all data types) or in a physical file \n(Line Data or SCS data that was converted to Line Data with First Character Forms \nControl (FCFC) characters in column one of the data).", - "page_start": 203, - "page_end": 203, - "source_file": "sg246915.pdf" - }, - { - "text": "314 IBM Content Manager OnDemand Guide", - "page_start": 337, - "page_end": 337, - "source_file": "sg246915.pdf" - }, - { - "text": "130 IBM Content Manager OnDemand Guide", - "page_start": 153, - "page_end": 153, - "source_file": "sg246915.pdf" - }, - { - "text": "158 IBM Content Manager OnDemand Guide", - "page_start": 181, - "page_end": 181, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Considering storage efficiency, should I store my AFP documents as PDF to distribute them over the web ?", - "target_page": 232, - "target_passage": "If a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval tim", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "208 IBM Content Manager OnDemand Guide\n9.1 Overview of data conversion\nTo work with data conversion, understand the data conversions that are required, and when \nand how to convert the data. Perform detailed planning before you build your solution so that \nyou achieve a design that remains efficient for many years. \nIn this section, we describe why you might need data conversion, when to convert the data \nstream, and how to convert the data.\n9.1.1 Why convert data streams\nY ou might want to convert data streams for many reasons:\n/SM590000Certain data streams, such as Hewlett-Packard (HP) Printer Command Language (PCL) \nor Xerox metacode, are printer-specific and cannot be displayed. Before you archive or \ndisplay the documents, these data streams must be transformed into a compatible format.\n/SM590000The archived data stream might need to comply with a company’s internal rules or \nregulations. Therefore, the produced data streams must be transformed into the defined \nand required final format before they are archived.\n/SM590000The documents might need to be accessible by a user that is outside of the company. The \ndocument must be displayed through standard tools that are available on any or at least \nmost of the clients, such as an Internet browser or Adobe Acrobat Reader.\n/SM590000The documents might need to be manipulated so that only part of the document is \ndisplayed in a personalized way. \n9.1.2 When to convert data streams\nThe decision of when to convert data streams relies mainly on the use of the system. \nTypically, converting data at load time requires more time to process the print stream file, and \nconverting data at retrieval time causes the user retrieval to be a little slower. The decision \nmight depend on how many documents are retrieved, compared to how many documents are \nloaded daily. It might also depend on legal requirements about the format of stored data. \nAFP to PDF\nIf a requirement exists to present AFP documents in the Portable Document Format (PDF) \nformat over the web, from a storage perspective, it is more efficient to store the documents in \ntheir native format and then convert them to PDF at retrieval time. AFP documents are stored \nmore efficiently than PDF documents. \nThe PDF print stream, when it is divided into separate customer statements, is larger than \nAFP because each statement contains its own set of structures that are required by the PDF \narchitecture to define a document. \nElapsed time and processor time are also essential factors in the decision-making process. \nThe amount of time (elapsed and CPU) that is needed to convert the document depends on \nhow large the document is and how many resources or fonts are associated with the \ndocument.", - "page_start": 231, - "page_end": 231, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 14. Report distribution 317\nAnother benefit to using ODF is that you can select and combine documents from different \nreports and organize them by defining their order and separating them by using banner \npages.\nFigure 14-2 is an overview of the OnDemand Distribution Facility and its interaction with the \nContent Manager OnDemand server. \nFigure 14-2 Content Manager OnDemand Distribution Facility overview\nFigure 14-2 shows that the Content Manager OnDemand server and its operation did not \nchange. Reports and documents are loaded into the server, and system users continue to \nview and print their documents normally. The only addition to the library server is a set of ODF \ntables that define the documents that are to be distributed to which users and when. The ODF \nprocess reads the ODF tables and collects the required documents and bundles them for \neach recipient. ODF then send out the “bundles” to the appropriate destinations (email, file, \nand print). Alternatively, ODF can send each recipient (based on system definitions) an email \nnotification that the report and document were loaded and are available for viewing.\nDifferent organizations have different report and document load and retrieval patterns. In \ncertain cases, documents are loaded and never retrieved. In other cases, a loaded document \nis retrieved multiple times by multiple users. In other cases, it is known that when a specific \nreport or document is loaded, one or more copies must be distributed to one or more \ndestinations. What benefit does automating this distribution process provide? \nThe biggest benefit is that as reports are loaded into Content Manager OnDemand regularly, \nthey can be delivered automatically to one or more users as they are loaded. Also, after the \ndistribution is set up, no other changes are required, such as changing the document \nselection criteria to identify the latest data that is loaded. \nFor example, suppose that your organization generates monthly statements for your \ncustomers. Y ou must store these documents in Content Manager OnDemand, and you must \nprint the statements and mail them to the customers. With ODF , you can set up a distribution \nthat automatically retrieves these documents as they are loaded into Content Manager \nOnDemand and sends them to a spool file for printing.", - "page_start": 340, - "page_end": 340, - "source_file": "sg246915.pdf" - }, - { - "text": "308 IBM Content Manager OnDemand Guide\n13.4.1 PDF data\nPortable Document Format (PDF) data is an increasingly common data type that can be \narchived within Content Manager OnDemand. The following key advantages are available by \nusing this data type as a document format:\n/SM590000It is a read-only format that does not require any external resources, such as images or \nfonts. It is self-contained.\n/SM590000The viewer for PDF can be downloaded at no charge from the Adobe website and the \nbrowser plug-ins for PDF are also available at no charge. \nDuring PDF document creation, resources, such as images and custom fonts, are placed in \nthe data stream once and then referenced many times from within the PDF file. If a large \nreport is produced from many small documents, that report requires only one copy of the \nresources. \nHowever, when the PDF is indexed, the PDF Indexer creates many PDF documents from the \ninput file. Each of these documents requires a certain number of PDF structures, which define \na document. These documents are concatenated together in the .out file, and then loaded \ninto Content Manager OnDemand as separate documents. Because the resources are \nextracted and placed into a separate resource file, they are not included in each document. \nFor an illustration of the process, see Figure 13-3. \nFigure 13-3 PDF indexing\nIf no resources are collected, the size of the .out file, which contains all of the individual \ndocuments, might be larger than the original file. For tips about how to reduce the size of the \noutput file, see 7.3.5, “PDF indexing: Using internal indexes (Page Piece Dictionary)” on \npage 173.\nConverted to\nDocument\nResources\nOne PDF file \nwith\ndocuments\nand resources\nMany\nseparate PDF \ndocuments\nwith resources \nremoved in \nthe .out file", - "page_start": 331, - "page_end": 331, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 13. Performance 303\n/SM590000For IBM i, depending on your retrieval patterns and system hardware configuration, it \nmight be advantageous to not store a duplicate set of documents in the Content Manager \nOnDemand cache when you use ASM because ASM might already be using disk space. If \nthe application group uses ASM, caches the data, and specifies the migration of data at \nload time, two copies of the data are stored during the load. One copy is stored in cache, \nand one copy is stored in the ASMREQUEST directory. \nTo avoid storing a duplicate set of documents in cache for non-AFP data, change Cache \nData to No on the Storage Management tab of your application group definition. To avoid \nstoring a duplicate set of documents in cache for AFP data, you might change Document \nData to No Cache but leave Resource Data in cache for faster retrieval.\n/SM590000For IBM i, every user that loads data must have a home directory. If users do not have a \nhome directory, the temporary files are stored in the root directory of the integrated file \nsystem (IFS).\n/SM590000If the data source is on a remote system, you can load the data into Content Manager \nOnDemand on the remote system and directly store the export data to the specified \nContent Manager OnDemand library and object server. \nOr, if the data source is on a remote system, you also can upload the data to the specified \nContent Manager OnDemand server through FTP and then load the data on the selected \nContent Manager OnDemand system.\n/SM590000For Multiplatforms and z/OS, all file systems must be dedicated file systems that are \nmounted on their own mount points.\n/SM590000For z/OS, when you load PDF reports (by using the PDF Indexer), placing the input report \nin the HFS or zFS causes the load to run nearly 50 times faster that compared to the input \nreport that is placed in a VSAM file.\n13.2.3 Load testing\nThe goal of load testing is to verify that, under stressful system conditions, the required \namount of data can be loaded into the Content Manager OnDemand system within a time \nwindow.\nA general approach to load testing a system is described:\n/SM590000Parallel loads: Run a single load and measure the load throughput. If the throughput does \nnot meet the requirements, run two loads in parallel and measure the throughput. While \nthe loads are run, collect system statistics to determine the system resources that are \nbeing used and any potential bottlenecks. Tune or acquire additional system resources as \nneeded. Progressively increase the number of parallel loads until the required throughput \nis met.\n/SM590000Data types and exits: A different data type, and whether an exit is started during the load \nprocess, affects the load throughput. Test samples of the different types that represent the \ngeneral loads.\nNote: For most users, a single load process meets the ingestion throughput \nrequirements.", - "page_start": 326, - "page_end": 326, - "source_file": "sg246915.pdf" - }, - { - "text": "310 IBM Content Manager OnDemand Guide\nFrom a performance perspective, the use of the transaction data field for transaction-style line \ndata optimizes indexing performance by reducing the number of index values to be inserted \ninto the database. Therefore, the process of loading and retrieving these large reports is \nfaster and the Content Manager OnDemand database is many times smaller. \n13.4.3 AFP data\nAFP data is a multi-part data type. In addition to the variable data, external resources, such \nas images, fonts, and logos, are also referenced by the AFP data stream. When Content \nManager OnDemand stores AFP data, the resources are also archived. When the data is \nviewed, the referenced resources are displayed. \nIt is a common misconception that if fonts are collected when the data is loaded, they are \navailable for viewing in the Windows client. However, Windows does not recognize AFP fonts. \nIt is not possible to use these fonts even if they are sent to the client as part of the resource. \nWindows clients require a mapping from AFP fonts to Adobe Type Manager (ATM) fonts or \nTrueType (TT) fonts. Content Manager OnDemand provides this mapping for most standard \nfonts. For more information about mapping custom fonts, see IBM Content Manager - \nWindows Client Customization Guide and Reference, SC27-0837. \nOne possibly useful implementation of storing fonts with the resource group is when server \nreprint is necessary. If the fonts are stored with the resource group, they can be retrieved from \nContent Manager OnDemand and used by AFP printers. However, if fonts are collected, they \nare also sent to the client as part of the resources group and then discarded. Storing the fonts \nwith the resource group serves only to increase network traffic when transferring the resource \nto the workstation. A more practical option for server printing is to store the font in a fontlib \nand to keep only the reference (path) to the fontlib. Although the font is accessible on the \nserver, Print Services Facility (PSF) or InfoPrint does not need the font to be inline (stored in \nthe resource group). The use of this approach also allows all AFP data that references the \nfont to use the single instance of the font without redundant inline storage.\nFigure 13-5 on page 311 shows the indexer information in the application where you can \nselect the resources to collect with the Restype= parameter. Unless reprints to AFP printers \nwith 100% fidelity is a requirement, do not collect the fonts.", - "page_start": 333, - "page_end": 333, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 13. Performance 311\nFigure 13-5 Collecting AFP fonts\nThe Content Manager OnDemand for i server does not collect the fonts and it does not give \nthe administrator that option. The Resource Information window (under Indexer Properties) is \nnot available to the Content Manager OnDemand for i administrator. If you are reprinting to an \nAFP printer, the fonts must be available on the IBM i server, or font substitution is performed.", - "page_start": 334, - "page_end": 334, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 7. Indexing and loading 169\nInstallation\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the \nclient. \nIf you install the client after you install Adobe Acrobat, the installation program copies the \napplication programming interface (API) file to the Acrobat plug-in directory. \nIf you install the client before you install Adobe Acrobat, you must copy the API file to the \nAcrobat plug-in directory manually. \nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat \nplug-in directory.\nThe default location of the ARSPDF32.API file is:\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF \nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat \nx.y\\Acrobat\\plug_ins. The variables x.y represent the version of Acrobat, for example, \nC:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug_ins.\nGraphical indexer example\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports \nwithin the application component of Content Manager OnDemand in a similar way to defining \nthem for line data. This section serves as an introduction to the PDF graphical indexer by \nstepping through an example of indexing a PDF document. \nThe example describes how to use the graphical indexer from the report wizard to create \nindexing information for an input file. The indexing information consists of a trigger that \nuniquely identifies the beginning of a document in the input file and the fields and indexes for \neach document. We elaborate on this example by clarifying several of the instructions, and \nthroughout each step, we add important hints, tips, and explanations. \nThe process consists of these steps: \n1. Start the Administrator Client and log on to a server.\n2. Start the report wizard. Click the report wizard icon on the toolbar. \n3. In the Sample Data window, select PDF from the drop-down list of data types, and then \nclick Select Sample Data.\n4. In the Open window, enter the name or full path name of your file in the space that is \nprovided or use the Browse option to locate your PDF file.\n5. Click Open. The graphical indexer opens the input file in the report window.\nIf the PDF data fails to display, or an error message, such as the message that is shown in \nFigure 7-2, is displayed, you must follow the steps in “Installation” on page 169 to verify \nthat the API file is in the correct Acrobat plug-in directory.\nFigure 7-2 Error message if PDF does not display", - "page_start": 192, - "page_end": 192, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 10. Advanced features for storage efficiency 421\n/SM590000Thin and Compressed\nIn addition to on-demand space allocation, data is compressed before being written to \nstorage.\n/SM590000Thin and Deduplicated\nIn addition to on-demand space allocation, duplicates of data blocks are detected and are \nreplaced with references to the first copy.\n/SM590000Thin, Compressed, and Deduplicated\nThese types provides maximum storage efficiency and capacity savings by combining \nthin, compressed, and deduplicated.\nThe following software and hardware requirements are needed for DRP compression and \ndeduplication:\n/SM590000Enabled Compression license\n/SM590000V8.1.3.2 or higher \n/SM590000Nodes must have at least 32 GB memory to support deduplication\nRandom Access Compression Engine (RACE) compression and DRP compressed volumes \ncan coexist in the same I/O group. However, deduplication is not supported in the same I/O \ngroup as RACE compressed volumes.\n10.4.2 DRP benefits\nDRPs are a new type of storage pool that implement techniques, such as thin-provisioning, \ncompression, and deduplication to reduce the amount of physical capacity that is required to \nstore data. Savings in storage capacity requirements translate into reduction in the cost of \nstoring the data. \nThe cost reductions that are achieved through software can facilitate the transition to all Flash \nstorage. Flash storage has lower operating costs, lower power consumption, higher density, \nand are cheaper to cool. However, the cost of Flash storage is still higher than disk storage. \nWith technologies, such as DRP, the cost difference can be reduced to a point where an all \nFlash solution is feasible. The first benefit of DRP is in the form of storage savings because of \ndeduplication. The deduplication process identifies unique data patterns, and stores the \nsignature of the data for reference when writing new data. If the signature of the new data \nmatches a signature, the new data is not written to disk, but instead a reference to the stored \ndata is written. The same byte pattern can occur many times, which results in the amount of \ndata that must be stored being greatly reduced.\nThe second benefit of DRP comes in the form of performance improvements because of \ncompression. Although deduplication aims to identify the same data elsewhere in the storage \npool and create references to the duplicate data instead of writing extra copies, compression \nis trying to reduce the size of the host data that is written. \nCompression and deduplication are not mutually exclusive, one, both, or neither features can \nbe enabled. If the volume is de-duplicated and compressed, data is de-duplicated first and \nthen compressed. Therefore, deduplication references are created on the compressed data \nstored on the physical domain.\nDRPs offer a new implementation of data compression that is integrated into the I/O stack. \nThe new implementation makes better use of the resources of the system, and, similar to \nRACE, uses hardware accelerators for compression.", - "page_start": 442, - "page_end": 442, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 13. Performance 309\nThe size of the input file and the output file can create problems during the load process:\n/SM590000The temporary space that is used during indexing can be too small and the load fails. \n/SM590000The maximum input file size that the PDF Indexer can process is 4 GB, but the \nrecommended maximum size for a single document (after indexing) is 50 MB. If this size is \nexceeded, the system might run out of disk space or memory.\nCreate PDF data with the base 14 fonts, which do not need to be included in the PDF file. \nBecause they are not included in the PDF file, they are not extracted during resource \ncollection, which improves performance. For more information about the PDF data stream \nand fonts, see 7.3.1, “PDF fonts and output file size” on page 166.\n13.4.2 Line data\nLine data (ASCII or EBCDIC text-based reports) is the most common type of data that is \nstored in Content Manager OnDemand. The type of line data that we describe here is a \nspecial form of transaction-style report, where it is necessary to search on a value that \nappears on every line of the report. This transaction data has a transaction number that \nappears on every line and must be sorted either by column or row and either ascending or \ndescending. \nWhen you index transaction data, if each transaction number from each line of the report is \ntreated as a database index, such as date or customer name, the database becomes large \nquickly. Content Manager OnDemand has a special type of field for transaction data, which is \nillustrated in Figure 13-4 by the boxed data on the left of the window.\nFigure 13-4 Transaction data in graphical indexer\nThe transaction data field selects the first and last values from a group of pages and only \nthese group level values are inserted into the database. Content Manager OnDemand \nqueries the database by comparing the search value that is entered by the user to two \ndatabase fields, the beginning value and the ending value. If the value that is entered by the \nuser falls within the range of both database fields, Content Manager OnDemand adds the \nitem to the document list.", - "page_start": 332, - "page_end": 332, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 5. Storage management 103\n/SM590000Document: With this expiration type, a document at a time is deleted from the application \ngroup. Data that is stored in archive storage is deleted by the storage manager based on \nthe archive expiration date. Storing documents with an expiration type of Document \ncauses the expiration process to search through every document in the segment to \ndetermine whether the expiration date was reached, which results in long processing \ntimes. \nWhen the arsmaint expiration process is run, data is deleted only from the application group if \nthe upper threshold for the size of the cache storage is reached. By default, the cache \nthreshold is 80%. A lower threshold can be forced by the expiration command parameters. \nUnless a reason exists to clear cache, leaving data in cache improves retrieval performance. \n5.2.6 Advanced application group storage management\nBy using the advanced storage management settings (Figure 5-11), you can adjust the size of \nthe load object and determine when report data, indexes, and resources are migrated to \narchive storage.\nFigure 5-11 Advanced application group storage management\nObject Size\nThe Object Size parameter determines the size of a storage object in kilobytes (KB). Content \nManager OnDemand, by default, segments and compresses stored data into 10 MB storage \nobjects. The default of 10 MB is the most commonly used object size value. \nImportant: Be careful when you change the value for Object Size. Setting the value too \nsmall or too large can adversely affect load performance. However, increasing this value \nmight be necessary if you load large files and run out of Object IDs during the loading \nprocess.\nNote: The object size that is defined here must be equal to or larger than the size of the \ncompressed storage objects that are defined in any application that is assigned to the \napplication group.", - "page_start": 126, - "page_end": 126, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Where can I consult a summary of the impact of the International tax compliance regulations ?", - "target_page": 3, - "target_passage": "A Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- uks-automatic-exchange-of-information-agreements", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 438 \nTAXES \nThe International Tax Compliance (Amendment) Regulations \n2020 \nMade - - - - 20th April 2020 \nLaid before the House of Commons 21st April 2020 \nComing into force - - 13th May 2020 \nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013( a): \nCitation and commencement \n1. These Regulations may be cited as the Internationa l Tax Compliance (Amendment) \nRegulations 2020 and come into force on 13th May 2020. \nAmendments to the International Tax Compliance Regulations 2015 \n2. —(1) The International Tax Compliance Regulations 2 015( b) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” subst itute “19th April 2020”( c). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n(a) in the table in paragraph (2), in the column headed “the CRS”— \n(i) at the beginning of the entry for “new account” ins ert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing acc ount” insert “subject to regulation \n3(4A)(a) and paragraph (3)”, and \n(b) after paragraph (2) insert— \n“(3) In respect of the accounts listed in paragraph (4)— \n \n(a) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the am endments are not \nrelevant to these Regulations. \n(b) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending ins truments are S.I. \n2017/598, 2018/490 and 2019/881. \n(c) In accordance with the common reporting standard for automatic exchange of financial account informa tion developed by \nthe Organisation for Economic Co-operation and Deve lopment and adopted by the United Kingdom, the Unit ed Kingdom \nexchanges information received from financial insti tutions under the principal Regulations with a terr itory which is a \n“Reportable Jurisdiction” under the CRS and with wh ich the United Kingdom has entered into internation al exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at h ttps://www.gov.uk/hmrc-\ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is availab le for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "3\naccounts so that these terms are defined by referen ce to the date that those accounts ceased to be \nexcluded accounts. Regulation 2(3) and (4)(a) make consequential amendments. \nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts \nwhich were previously excluded accounts. \nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 \nwas published on 18th March 2015 and is available o n the HMRC website at \nhttps://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the-\nuks-automatic-exchange-of-information-agreements. I t remains an accurate summary of the \nimpacts that apply to this instrument. \n \n \n© Crown copyright 2020 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nretrospectively. We are assessing the impact of this amendment on\nour consolidated financial statements.\n IFRIC 21, Levies (IFRIC 21) – In May 2013, the IASB issued a new\naccounting guidance IFRIC 21, which provides guidance on when to\nrecognize a liability for a levy imposed by a government, both for\nlevies that are accounted for in accordance with IAS 37 Provisions,\nContingent Liabilities and Contingent Assets and those where the\ntiming and amount of the levy is certain. The Interpretation identifies\nthe obligating event for the recognition of a liability as the activity\nthat triggers the payment of the levy in accordance with the relevant\nlegislation. It provides the following guidance on recognition of a\nliability to pay levies (i) the liability is recognized progressively if the\nobligating event occurs over a period of time, and (ii) if an obligation\nis triggered on reaching a minimum threshold, the liability is\nrecognized when that minimum threshold is reached. The standard is\neffective for annual periods beginning on or after January 1, 2014,\nwith early adoption permitted. We are assessing the impact of this\nnew standard on our consolidated financial statements.\n IFRS 9, Financial Instruments (IFRS 9) – In October 2010, the IASB\nissued IFRS 9, which replaces IAS 39, Financial Instruments:\nRecognition and Measurement, establishes principles for the financial\nreporting of financial assets and financial liabilities that will present\nrelevant and useful information to users of financial statements for\ntheir assessment of the amounts, timing and uncertainty of an\nentity’s future cash flows. This new standard also includes a new\ngeneral hedge accounting standard which will align hedge\naccounting more closely with risk management. It does not\nfundamentally change the types of hedging relationships or the\nrequirement to measure and recognize ineffectiveness, however it\nwill provide more hedging strategies that are used for risk\nmanagement to qualify for hedge accounting and introduce more\njudgment to assess the effectiveness of a hedging relationship. The\nmandatory effective date of IFRS 9 has not yet been communicated\nby the IASB. We are assessing the impact of this new standard on its\nconsolidated financial statements.\nKEY PERFORMANCE INDICATORS\nWe measure the success of our strategy using a number of key\nperformance indicators, which are outlined below. We believe these key\nperformance indicators allow us to appropriately measure our\nperformance against our operating strategy as well as against the\nresults of our peers and competitors. The following key performance\nindicators are not measurements in accordance with IFRS and should\nnot be considered as an alternative to net income or any other measure\nof performance under IFRS.\nSubscriber Counts\nWe determine the number of subscribers to our services based on active\nsubscribers. When subscribers are deactivated, either voluntarily or\ninvoluntarily for non-payment, they are considered to be deactivations\nin the period the services are discontinued.\nWireless\n A wireless subscriber is represented by each identifiable telephone\nnumber.\n We report wireless subscribers in two categories: postpaid and\nprepaid. Postpaid and prepaid include voice-only subscribers, data-\nonly subscribers, and subscribers with service plans integrating both\nvoice and data.\n Wireless prepaid subscribers are considered active for a period of 180\ndays from the date of their last revenue-generating usage.\nCable\n Cable Television and Internet subscribers are represented by a\ndwelling unit, and cable Phone subscribers are represented by line\ncounts.\n When there is more than one unit in one dwelling, like an apartment\nbuilding, each tenant with cable service is counted as an individual\nsubscriber, whether the service is invoiced separately or included in\nthe tenant’s rent. Institutional units, like hospitals or hotels, are each\nconsidered to be one subscriber.", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "on or after January 1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, \ncontaining the effective date and transition provisions was amended to remove the mandatory effective date of IFRS 9. This was intended \nto provide sufficient time for preparers to make the transition to the new requirements. The Company may still choose to apply IFRS \nimmediately, but is not required to do so. In subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the \nfirst phase of IFRS will have an effect on the classification and measurement of the Company’s financial assets, but will not have an impact \non the classification measurements of financial liabilities. The Company is in the process of assessing the impact IFRS 9 may have on future \nfinancial statements.\nIFRIC Interpretation 21 ‑ Levies (“IFRIC 21”)\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant \nlegislation, occurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing \nthe impact IFRIC 21 may have on future financial statements.\nKillam ProPerties inc | 2013 77", - "page_start": 76, - "page_end": 76, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "The tax effect of temporary diff e rences and carry forw a rds that give rise to deferred tax assets and liabilities are as follows:\nDecember 31,\n2 0 0 0 1 9 9 9\n(in thousands)\nD e f e rred tax assets:\nF o reign tax loss carry forw a rd s $ 1 4 , 3 2 5. $ 1 1 , 5 26.\nStock compensation expense 1 , 1 3 0. 1 , 1 30.\nU n realized exchange rate diff e re n c e s 4 , 6 1 4. 2 , 5 59.\nI n t e rest expense 7 , 1 6 4. 4 , 3 27.\nA c c rued expenses 1 , 5 4 8. 2 , 9 36.\nBillings in excess of earn i n g s 1 , 1 0 8. 1 , 0 36.\nO t h e r 2 , 1 4 5. 16.\nTotal deferred tax assets 3 2 , 0 3 4. 2 3 , 5 30.\nValuation allowance ( 3 0 , 6 8 9 ) ( 1 9 , 7 4 1 )\nTotal deferred tax assets 1 , 3 4 5. 3 , 7 89.\nD e f e rred tax liabilities:\nP ro p e rty and equipment 2 6. 6 60.\nNon-goodwill intangible assets — . 2 , 3 33.\nCapitalized re s e a rch and development costs 5 1 5. 1 09.\nE a rnings in excess of billings 3 8 0. 2 27.\nTotal deferred tax liabilities 9 2 1. 3 , 3 29.\nNet deferred tax assets $ 4 2 4. $ 4 60.\nThe valuation allowance for deferred tax assets as of January 1, 2000, 1999 and 1998 was $19.7 million, $14.3 million and $4.8 million,\nre s p e c t i v e l y. The net change in the total valuation allowance for the years ended December 31, 2000, 1999, and 1998 were increases of\n$10.9 million, $5.4 million and $9.5 million, re s p e c t i v e l y. \nThe valuation allowance relates primarily to deferred tax assets established under SFAS No. 109 for loss carry f o rw a rds at December 31,\n2000, 1999 and 1998 of $46.9 million, $45.0 million and $32.9 million, r e s p e c t i v e l y. The tax operating loss carr y f o rw a rds will expire\nt h rough 2004 for EFT-Uslage d o.o., The tax operating loss carry f o rw a rds will expire through 2005 for Euronet Adminisztracios Szolgaltato\nKft., Euronet Banktechnikai Szolgaltato Kft.,Bankomat 24/Euronet Sp. z o.o., Euronet SRL, and 2007 for Euronet Services spol. sro. The\ntax operating losses for Euronet Services Inc. and Euronet USA can be carried back two years and forw a rd twenty years. The tax operating\nlosses for Euronet Services Inc. and Euronet USA can be carried back two years and for w a rd twenty years. The tax operating losses for\nE u ronet GmbH and Euronet Services Ltd. can be carried forw a rd indefinitely. \nIn assessing the realizability of deferred tax assets, management considers whether it is more likely than not that some portion or all of the\nd e f e rred tax assets will not be realized. The ultimate realization of deferred tax assets is dependent upon the generation of future taxable\nincome during the periods in which those temporary diff e rences become deductible. Management considers the scheduled reversal of deferre d\ntax liabilities, projected future taxable income, and tax planning strategies in making this assessment. Based upon the level of historical\ntaxable income and projections for future taxable income over the periods which the deferred tax assets are deductible, management believes\nit is more likely than not the Company will realize the benefits of these deductible diff e rences, net of the existing valuation allowances at\nDecember 31, 2000. The amount of the deferred tax asset considered realizable, however, could be reduced in the near term if estimates of\nf u t u re taxable income during the carry f o rw a rd period are reduced. \nAt December 31, 2000 the Company has net operating loss carry forw a rds of approximately $46.9 million which will expire as follows: \nYear ending\nDecember 31, (in thousands)\n2 0 0 1 $ 1 , 4 7 9\n2 0 0 2 4 , 1 0 8\n2 0 0 3 7 , 8 6 0\n2 0 0 4 8 , 7 7 1\n2 0 0 5 7 , 5 4 1\n2 0 0 6 1 , 0 1 4\n2007 and there a f t e r1 6 , 1 6 2\nTo t a l $ 4 6 , 9 3 5\n3 8", - "page_start": 39, - "page_end": 39, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "regulations or implement responsible business, social, environmental and supply chain practices, we could be subject to damage to our \nreputation, class action lawsuits, legal and settlement costs, civil and criminal liability, increased cost of regulatory compliance, restatements \nof our financial statements, disruption of our business and loss of customers. Any required changes to our employment practices could result \nin the loss of employees, reduced sales, increased employment costs, low employee morale and harm to our business and results of \noperations. In addition, political and economic factors could lead to unfavorable changes in federal, state and foreign tax laws, which may \nincrease our tax liabilities. An increase in our tax liabilities could adversely affect our results of operations. We are also regularly involved in \nvarious litigation matters that arise in the ordinary course of business. Litigation or regulatory developments could adversely affect our \nbusiness and financial condition.\nWe continue to face uncertainties due to financial services industry regulation and supervision that could have an adverse affect \non our operations. \nFederal and state regulation and supervision of the financial industry has increased in recent years due to implementation of consumer \nprotection and financial reform legislation such as the Credit Card Accountability Responsibility and Disclosure Act of 2009 (“CARD Act”) and \nthe Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Financial Reform Act”). The Financial Reform Act significantly \nrestructured regulatory oversight and other aspects of the financial industry, created the Consumer Financial Protection Bureau (“CFPB”) to \nsupervise and enforce consumer lending laws and regulations, and expanded state authority over consumer lending. The CARD Act included \nnew and revised rules and restrictions on credit card pricing, finance charges and fees, customer billing practices and payment application. \nWe anticipate more regulation and interpretations of the new rules to continue, and, depending on the nature and extent of these new \nregulations and interpretations, we may be required to make changes to our credit card practices and systems, which could adversely impact \nthe revenues and profitability of our Credit segment. In addition, we operate in a regulated environment where financial supervisory agencies \nprovide oversight over our activities. Compliance with applicable laws and regulations could limit or restrict our activities and the conduct of \nour business and enforcement actions by those agencies for failure to comply could have an adverse impact on us.", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Notes to the Financial Statements\n83\nNotes to the Financial Statements\ncontinued\nu\nMovement in deferred tax balances\n2013\nBalance at \n1 July\nRecognised in \nprofit or loss\nRecognised \nin other \ncomprehensive \nincome\nForeign \nexchange\nBalance at \n30 June\nDeferred tax assets / liabilities:\nDerivatives 808 (424) – – 384\nEmployee benefits 1,571 124 – 94 1,789\nProvision for restoration and rehabilitation 3,390 1,428 – 349 5,167\nProvision for obsolescence 278 (5) – 36 309\nUnrealised exchange losses 2,790 (2,979) (566) – (755)\nOther items 1,096 (428) – 12 680\nTax losses 36,334 (36,334) – – –\nMine properties and exploration (65,205) 57,921 – (457) ( 7,741)\nAvailable-for-sale financial assets 39 256 39 – 334\nNet deferred tax assets (18,899) 19,559 (527) 34 167\n2012\nBalance at \n1 July\nRecognised in \nprofit or loss\nRecognised \nin other \ncomprehensive \nincome\nForeign \nexchange\nBalance at \n30 June\nDeferred tax assets / liabilities:\nDerivatives 680 128 – – 808\nEmployee benefits 1,611 (55) – 15 1,571\nProvision for restoration and rehabilitation 2,683 664 – 43 3,390\nProvision for obsolescence 449 (181) – 10 278\nUnrealised exchange losses 3,510 (617) (103) – 2,790\nOther items 1,328 (230) – (2) 1,096\nTax losses 31,413 4,921 – – 36,334\nMine properties and exploration (59,776) (5,389) – (40) (65,205)\nAvailable-for-sale financial assets (339) 78 300 – 39\nNet deferred tax assets (18,441) (681) 197 26 (18,899)", - "page_start": 84, - "page_end": 84, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "363 The OSH Barometer contains a special section on enforcement capacities, here \n364 SLIC, 2015: Common Principles for Labour Inspection in Relation to Health and Safety In the Workplace \n365 Cardiff University et al., 2011: Contract to assess the potential impact of emerging trends and risks on labour \ninspection methodologies in the domain of occupational health and safety, \nEuropean Federation of Public Service Unions (EPSU), 2012: A mapping report on Labour Inspection Services in \n15 European countries (p. 13ff). \n366 The Nordic countries (Denmark, Finland, Iceland, Norway and Sweden) are particularly active in this area. \nThey have summarised the current challenges for labour inspections and supervision in general, giving extensive \nand detailed recommendations; Nordic Future of Work Group, 2020: Work today and in the future : Perspectives \non Occupational Safety and Health challenges and opportunities for the Nordic labour inspectorates, here \nBAuA, 2020: Scientific workshop on the future of smart and effective labour inspection, 3 November 2020, here", - "page_start": 153, - "page_end": 153, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \nNOT E 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued \n \nu) Adoption of New and Revised Accounting Standa rds \n \nDuring the current reporting period the Group adopted all of the new and revised Australian Accountin g Standards \nand Interpretations applicable to its operation s which became mandator y. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n \nAASB 2011-4 - Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel \nDisclosure \nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n \nAmendments to IAS 32 - Offsetting Financial Assets and Financial Liabilities \nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set -off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \nRecently issued acc ounting standards to b e applied in future reporting periods: \nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these ne w standards, amendments to standards, and \ninterpretations is set out below. \n \nAASB 9/IFRS 9 – Financial Instruments \nAASB 9/ IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. T he effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements. \n \n \n- 71 -", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What was the muscle volume of the knee flexors of the 2024 word's strongest man ?", - "target_page": 7, - "target_passage": "Knee flexors 3,060 ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "t h a nt h ea v e r a g ee l i t es p r i n t e r(/C0 5%; Fig. 4E), 13% greater than\nsubelite sprinters, and 21% greater than long-term resistance-\ntrained individuals.\nOverall hamstring volume of the WSM (1,545 cm3)w a s\n109% greater than a large pooled population of untrained con-\ntrols (739 ± 142 cm3; n ¼ 50), 44% greater than subelite sprint-\ners (1,075 ± 178 cm3), 53% greater than long-term resistance-\ntrained individuals (1,011 ± 142 cm3), and 17% greater than elite\nsprinters (1,315 ± 130 cm3; Fig. 5A). The WSM’sh a m s t r i n gv o l -\nume was also marginally larger (þ 3%) than the most muscu-\nlar individual we have previously assessed (subelite sprinter,\n1,495 cm3). The ST (563 cm3)a n dB F l h( 4 5 4c m3)v o l u m e so f\nthe WSM were 132– 182% larger than that of the pooled popula-\ntion of untrained controls (ST: 200 ± 48 cm3;B F l h :1 9 6 ± 4 7\ncm3; Fig. 5, C and D) and greater than the mean of any\ntrained/athletic group we have previously assessed (Fig. 5,C\nand D). SM (392 cm3) volume of the WSM was 66% greater\nthan untrained controls (SM 236 ± 46 cm3)a n dg r e a t e rt h a n\nthe mean for trained/athletic groups we have previously\n0 50 100 150 200 250\nBiceps femoris short head\nPosterior compartment\nIliopsoas\nPopliteus\nRectus femoris\nSemimembranosus\nAnterior compartment\nLateral compartment\nTensor fasciae latae\nVastus intermedius\nLateral gastrocnemius\nGluteus medius and minimus\nVastus lateralis\nMedial gastrocnemius\nBiceps femoris long head\nGluteus maximus\nAdductor Magnus\nVastus medialis\nSoleus\nGracilis\nSemitendinosus\nSartorius\nHip flexors\nKnee extensors\nHip extensors\nKnee flexors\nPlantar flexors\nAll muscles\nDifference in muscle volume (%)\n+95.6%\n+119.5%\n+109.6%\n+109.3%\n+99.2%\n+65.3%\n+201.9%\n+157.1%\n+139.8%\n+134.6%\n+128.6%\n+113.8%\n+112.7%\n+105.4%\n+103.0%\n+98.8%\n+96.5%\n+94.1%\n+65.6%\nDifference:\n+52.9%\n+49.8%\n+49.6%\n+42.2%\n+32.4%\n+24.6%\n+23.1%\n+101.0%\n+105.2%\nFigure 3.Percentage differences in muscle volumes of all muscles, 5 func-\ntional muscle groups, and 23 individual muscles/compartments between\nthe World’s Strongest Man and deadlift champion (WSM;n ¼ 1) and\nuntrained control participants (n ¼ 11) from the work by Miller et al. (13). A\npositive value indicates greater muscle volume of WSM relative to the\ngroup mean of the untrained controls. The functional muscle groups and\nindividual muscles are ordered according to the magnitude of the percent-\nage differences for absolute muscle volume.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n794 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed12.pdf" - }, - { - "text": "assessed (Fig. 5B). BFsh volume (135 cm3)o ft h eW S Mw a sa\nmodest 26% greater than that of our pool of untrained control\nparticipants (107 ± 31 cm3; Fig. 5E) but smaller than that of\nboth long-term resistance-trained individuals (/C0 1%; 136 ± 27\ncm3) and elite sprinters (/C0 19%; 167 ± 26 cm3; Fig. 5E).\nPatella Tendon Cross-Sectional Area and Moment Arm\nThe patellar tendon mean CSA of the WSM (133.8 mm2)w a s\nlarger than that of average untrained (þ 30%; 103.2 ± 12.5\nmm2) and long-term resistance-trained individuals (þ 27%;\n105.4 ± 13.0 mm2; Fig. 6A)b u tw a ss m a l l e rt h a nt h el a r g e s t\nindividual we have measured from these groups (149.5 mm2).\nThe WSM’s patellar tendon moment arm (51.5 mm) was also\nlarger than that of average untrained (þ 18%; 43.8 ± 2.7 mm)\nor long-term resistance-trained groups (þ 12%; 45.8 ± 2.5 mm;\nFig. 6B) as well as being 3% greater than the highest individ-\nual moment arm we have previously assessed within these\ngroups (49.9 mm).\nDISCUSSION\nThis study is thefirst to document the lower-body muscle\nand tendon morphology of a World’s Strongest Man and\ndeadlift champion (i.e., an exceptionally strong individual),\nand these are presented alongside functional whole body\nassessments, which exceeded the highest IMTP force (gross\nand net) and CMJ power values previously reported by 54%,\n100%, and 164%, respectively. The WSM had overall lower-\nb o d ym u s c u l a r i t ya p p r o x i m a t e l yt w i c et h a to fu n t r a i n e dc o n -\ntrols (þ 96%) and 32% greater than that of elite 100-m sprint-\ners. However, there was substantial anatomical variability in\nthe magnitude of the differences, ranging from the plantar\nflexors (þ 120% vs. untrained) to the hipflexors (þ 65% vs.\nuntrained). Similarly, some specific muscles, such as the guy\nrope muscles that stabilize the femur and pelvis, were 2.5– 3.0\ntimes the volume of untrained individuals (gracilisþ 140%,\nsemitendinosusþ 157%, and sartoriusþ 202%) but others dis-\nplayed more marginal differences (BFsh þ 23%, iliopsoas\nþ 32% vs. untrained). Considering the knee extensors, the\nWSM had both quadriceps femoris volume greater than or\nequal to twofold that of untrained controls and a greater pa-\ntella tendon moment arm than we have previously measured\n( þ 18% vs. untrained), which would be expected to combine\nto facilitate extraordinary strength. Furthermore, despite the\nWSM’se x t r e m e l yl a r g eq u a d r i c e p sf e m o r i s ,t h e i rp a t e l l a rt e n -\nd o nC S Aw a so n l y3 0 %g r e a t e rt h a nt h a to fu n t r a i n e dc o n t r o l s\nand not outside the range of tendons we have previously\nassessed. The results of this study provide novel insights into\nthe muscle and tendon characteristics, as well as the strength\nand power capabilities, of an extraordinarily strong individual\nthat may be toward the upper limit of human variation in\nthese characteristics.\nTable 2.Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a\nWorld’s Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained\ncontrol participants\nMuscle Group/Muscle or Compartment\nMuscle Volume, cm3\nWSM Elite Sprinters ( n 5 5) Subelite Sprinters ( n 5 26) Untrained ( n 5 11)\nAll muscles 14,922 11,323 ± 1,328 9,164 ± 1,207 7,628 ± 1,548\nHip flexors 1,704 1,620 ± 200 1,314 ± 216 1,031 ± 151\nHip extensors 4,724 4,002 ± 489 3,029 ± 422 2,257 ± 220\nKneeflexors 3,060 2,304 ± 178 1,859 ± 301 1,460 ± 196\nKnee extensors 4,386 3,218 ± 400 2,636 ± 401 2,202 ± 315\nPlantar flexors 1,888 1,112 ± 181 943 ± 156 860 ± 172\nIliopsoas 681 702 ± 97 618 ± 101 514 ± 75\nSartorius 429 306 ± 46 209 ± 50 142 ± 25\nTensor fasciae latae 142 135 ± 41 86 ± 25 73 ± 24\nAdductor magnus 1,334 1,056 ± 83 828 ± 128 624 ± 81\nGracilis 235 180 ± 37 142 ± 37 98 ± 23\nGluteus maximus 1,980 1,797 ± 376 1,257 ± 197 931 ± 108\nGluteus medius and minimus 1,172 626 ± 129 575 ± 97 583 ± 76\nRectus femoris 453 476 ± 45 401 ± 78 303 ± 55", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "Gluteus maximus 1,980 1,797 ± 376 1,257 ± 197 931 ± 108\nGluteus medius and minimus 1,172 626 ± 129 575 ± 97 583 ± 76\nRectus femoris 453 476 ± 45 401 ± 78 303 ± 55\nVastus lateralis 1,508 1,132 ± 180 925 ± 156 743 ± 98\nVastus intermedius 1,336 962 ± 145 789 ± 140 680 ± 115\nVastus medialis 1,088 649 ± 97 521 ± 79 476 ± 111\nSemimembranosus 392 359 ± 60 327 ± 59 262 ± 18\nSemitendinosus 563 449 ± 70 350 ± 79 219 ± 39\nBiceps femoris long head 454 340 ± 31 267 ± 47 221 ± 42\nBiceps femoris short head 135 167 ± 26 131 ± 34 110 ± 28\nPopliteus 27 23 ± 5 17 ± 5 19 ± 6\nLateral gastrocnemius 310 202 ± 34 170 ± 37 156 ± 41\nMedial gastrocnemius 515 300 ± 38 262 ± 58 251 ± 52\nSoleus 1,063 610 ± 137 510 ± 76 453 ± 95\nAnterior compartment 445 302 ± 59 273 ± 47 291 ± 47\nLateral compartment 253 147 ± 32 161 ± 42 153 ± 35\nPosterior compartment 406 401 ± 76 345 ± 71 326 ± 93\nIndividual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the\nindividual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM (n ¼ 1). Untrained\ncontrol participants from Miller et al. (13).\nWORLD STRONGMAN AND DEADLIFT CHAMPION\nJ Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org 795\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "as the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of\nits role in athletic performance (3), injury prevention (4), and\nhealthy aging (5). However, our knowledge of extreme human\nstrength is limited.\nTo date, there is little scientific information on the charac-\nteristics of extremely strong humans in terms of laboratory-\nbased tests of strength and power, particularly the size and dis-\ntribution of their muscle mass, as well as tendon size and joint\nmechanics (moment arm). Kraemer et al. (6)e x a m i n e dt h e\nbody composition of elite strongman competitors using dual-\nenergy X-ray absorptiometry scanning and found that they\nh a dab o d ym a s s( 1 5 3 ± 1 9k g )a n dl e a nm a s s( 1 1 8 ± 1 2k g )\napproximately twice that of an average untrained healthy\nyoung man. Whole body skeletal muscle mass of athletes from\nstrength- and power-based sports has also been estimated\nusing ultrasound measurements at a limited number of ana-\ntomical locations (7, 8). However, neither ultrasound-derived\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk).\nSubmitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024\nwww.jappl.org 8750-7587/24 Copyright© 2024 The Authors. Licensed underCreative Commons Attribution CC-BY 4.0.\nPublished by the American Physiological Society.\n789\nJ Appl Physiol137: 789–799, 2024.\nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "RESEARCH ARTICLE\nMuscle and tendon morphology of a world strongman and deadlift champion\nThomas G. Balshaw,1 Garry J. Massey,1,2\n Robert Miller,1,3,4 Emmet J. McDermott,1,5\nThomas M. Maden-Wilkinson,6 and\n Jonathan P. Folland1\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom;2College of Life\nand Environmental Sciences, University of Exeter, Exeter, United Kingdom;3UK Athletics, Loughborough University,\nLoughborough, United Kingdom;4Department of Sport Science, Aspire Academy, Doha, Qatar;5Department of Physical\nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and6Academy of Sport and Physical Activity, Faculty\nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\nAbstract\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’sS t r o n g e s tM a na n dd e a d l i f t\nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following:1)3 . 0 - T\nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec-\ntional area (CSA), and PT moment arm; and2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The\nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature\n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than\nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls\n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantarflexor group (þ 120%) and the\nguy rope muscles (sartorius, gracilis, and semitendinosus:þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the\nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs.\nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT\nCSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual,\nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited\ndistinct anatomical variability and with muscle size largely uncoupled from tendon size.\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift\nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the\nextent of muscular development (þ 23–202%): the plantarflexor group and guy rope muscles demonstrating the largest differen-\nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten-\ndon moment arm (þ 18%) and was uncoupled from patellar tendon size (þ 30%).\nisometric force; magnetic resonance imaging; power; strength\nINTRODUCTION\nFeats of strength have fascinated man since the early stages\nof human civilization, as shown by the archeological evidence\nof inscribed heavy stones at Olympia and Thera in Greece,\ndated to the 6th century BC, detailing the way they were lifted\nby Bybon and Eumastus, respectively (1). Over the centuries,\nmany types of strength competitions have existed; some of\nwhich have been codified and endured within modern sport-\ning competitions (e.g., weightlifting, powerlifting, and shot\np u t ) .I na d d i t i o n ,p r o f e s s i o n a ls t r o n g m a nc o m p e t i t i o n s ,s u c h\nas the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray\nabsorptiometry provides detailed information on the size of\nspecific individual muscles. Given the known importance of\nmuscle size as a determinant of muscular strength (9–11), pro-\nnounced muscle size seems likely to be critical to extreme\nhuman strength; however, the speci ficm u s c l es i z eo f\nextremely strong individuals remains unknown. Similarly, a\nlarge moment arm (e.g., of the patella tendon at the knee joint)\ncould contribute to the expression of high muscular strength\n(10, 12), and a large tendon may mitigate the mechanical stress\nit experiences with very high muscular loads, and therefore,\nthese characteristics may also be expected in individuals\nselected for exceptional strength.\nIn this paper, we present thefindings from a unique op-\nportunity to examine the laboratory function, muscle size,\nand distribution of muscle mass, as well as patellar tendon\nsize and moment arm, of a World’s Strongest Man and dead-\nlift champion (WSM) in comparison with existing data on\nuntrained individuals, power athletes (100-m-track sprint-\ners), and long-term resistance-trained populations that we\nhave assessed previously (10, 11, 13– 15).\nMATERIALS AND METHODS\nParticipant\nThe WSM’s achievements included one World’sS t r o n g e s t\nMan title (14 mo prior to measurement), five Britain’s\nStrongest Man titles (the most recent 6 mo prior to measure-\nment), twice being World Deadlift Champion and Deadlift\nW o r l dR e c o r dh o l d e r( 5 0 0k g ;a tt h et i m eo fm e a s u r e m e n t ) ,\nand second place at Europe’s Strongest Man. Prior to agreeing\nto participate, the purpose of the research study and the test-\ning procedures were explained to the participant along with\nthe risks and benefits of taking part. The participant gave his\nwritten informed consent to participate in the study that was\napproved by the Loughborough University Ethical Advisory\nCommittee (Ethics Number R18-P090). Included in the writ-\nten consent was a statement providing permission for publi-\ncation of the collected data and the likelihood that their\nidentity may be evident based on their achievements and\ncharacteristics, despite anonymization.\nTraining History\nThe WSM had been continuously involved in systematic,\nregular upper- and lower-body resistance training for 15 yr at\nthe time of testing. In the 12 mo prior to testing, the partici-\npant’s resistance training consisted of the following typical\nexercises: lower body: squats, deadlifts, leg press, and knee\nextension; and upper body: bench press, shoulder press,\ndumbbell/barbell rows, and lat pull-down. The proportion of\nthe participant’s training within the following repetition\nranges over the last 12 mo was as follows: near maximum\nloads [1– 5 repetition maximum (RM)]: 10%; heavy loads (6–\n14 RM): 80%; and moderate loads (/C21 15 RM): 10%. The partici-\npant reported only occasional (<1/C2 /week) use of advanced\nresistance training practices (i.e., complex training and ac-\ncommodating resistance method) but frequently ( >3/C2 /\nweek) executed training repetitions with the intention to\nmove the load as fast as possible. The WSM’sn u t r i t i o n a l\nsupplement consumption included protein, branched-chain\namino acids, and electrolytes.\nOverview\nThe WSM reported for a single test session that involved\nthe following assessments (listed in order): axial T1 weighted\n3.0-T MRI scans from T12 to the lateral malleolus [to assess\nmuscle size throughout the lower body (left and right sides)],\naxial and sagittal T1-weighted MRI scans of both knees [to\nassess patellar tendon cross-sectional area (CSA) and patellar\ntendon moment arm], maximum countermovement jumps\n(CMJ), and maximum isometric midthigh pulls (IMTPs). The\nmuscle size, patellar tendon CSA, and patellar tendon\nmoment arm of the WSM were compared with various popu-\nlations measured within our laboratory, as indicated in", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "8. Abe T, Buckner SL, Mattocks KT, Jessee MB, Dankel SJ, Mouser\nJG, Bell ZW, Loenneke JP.Skeletal muscle mass and architecture\nof the world’s strongest raw powerlifter: a case study.Asian J Sports\nMed 9: e61763, 2018. doi:10.5812/asjsm.61763.\n9. Powell PL, Roy RR, Kanim P, Bello MA, Edgerton VR.Predictability\nof skeletal muscle tension from architectural determinations in\nguinea pig hindlimbs.J Appl Physiol Respir Environ Exerc Physiol\n57: 1715–1721, 1984. doi:10.1152/jappl.1984.57.6.1715.\n10. Maden-Wilkinson TM, Balshaw TG, Massey G, Folland JP. What\nmakes long-term resistance-trained individuals so strong? A com-\nparison of skeletal muscle morphology, architecture, and joint\nmechanics. J Appl Physiol (1985)128: 1000–1011, 2019. doi:10.1152/\njapplphysiol.00224.2019.\n11. Balshaw TG, Maden-Wilkinson TM, Massey GJ, Folland JP. The\nhuman muscle size and strength relationship: effects of architecture,\nmuscle force, and measurement location.Med Sci Sports Exerc53:\n2140–2151, 2021. doi:10.1249/mss.0000000000002691.\n12. Baxter JR, Piazza SJ.Plantar flexor moment arm and muscle volume\npredict torque-generating capacity in young men.J Appl Physiol\n(1985)116: 538–544, 2014. doi:10.1152/japplphysiol.01140.2013.\n13. Miller R, Balshaw TG, Massey GJ, Maeo S, Lanza MB, Johnston\nM, Allen SJ, Folland JP. The muscle morphology of elite sprint\nrunning. Med Sci Sports Exerc 53: 804–815, 2021. doi:10.1249/\nmss.0000000000002522 .\n14. Balshaw TG, Funnell MP, McDermott E, Maden-Wilkinson TM,\nAbela S, Quteishat B, Edsey M, James LJ, Folland JP.The effect of\nspecific bioactive collagen peptides on function and muscle remod-\neling during human resistance training. Acta Physiol (Oxf) 237:\ne13903, 2023 [Erratum in Acta Physiol (Oxf) 237:e13952, 2023].\ndoi:10.1111/apha.13903.\n15. Massey GJ, Balshaw TG, Maden-Wilkinson TM, Folland JP.\nTendinous tissue properties after short- and long-term functional\noverload: differences between controls, 12 weeks and 4 years of re-\nsistance training.Acta Physiol (Oxf)222: e13019, 2018. doi:10.1111/\napha.13019.\n16. Sugisaki N, Kobayashi K, Tsuchie H, Kanehisa H. Associations\nbetween individual lower-limb muscle volumes and 100-m sprint\ntime in male sprinters.Int J Sports Physiol Perform13: 214–219, 2018.\ndoi:10.1123/ijspp.2016-0703.\n17. Seynnes OR, Erskine RM, Maganaris CN, Longo S, Simoneau EM,\nGrosset JF, Narici MV.Training-induced changes in structural and\nmechanical properties of the patellar tendon are related to muscle\nhypertrophy but not to strength gains.J Appl Physiol (1985)107:\n523–530, 2009. doi:10.1152/japplphysiol.00213.2009.\n18. Beckham GK, Sato K, Santana HAP, Mizuguchi S, Haff GG, Stone\nMH. Effect of body position on force production during the isometric\nmidthigh pull. JS t r e n g t hC o n dR e s32: 48–56, 2018. doi:10.1519/\njsc.0000000000001968.\n19. Travis SK, Goodin JR, Beckham GK, Bazyler CD.Identifying a test\nto monitor weightlifting performance in competitive male and female\nweightlifters.Sports 6: 46, 2018. doi:10.3390/sports6020046.\n20. Beckham G, Mizuguchi S, Carter C, Sato K, Ramsey M, Lamont H,\nHornsby G, Haff G, Stone M.Relationships of isometric mid-thigh\npull variables to weightlifting performance.J Sports Med Phys Fit53:\n573–581, 2013.\n21. Hornsby WG, Gentles JA, MacDonald CJ, Mizuguchi S, Ramsey\nMW, Stone MH. Maximum strength, rate of force development,\njump height, and peak power alterations in weightlifters acrossfive\nmonths of training.Sports 5: 78, 2017. doi:10.3390/sports5040078.\n22. Beckham GK, Lamont HS, Sato K, Ramsey MW, Gh G, Stone MH.\nIsometric strength of powerlifters in key positions of the conventional\ndeadlift.J Trainology1: 32–35, 2012. doi:10.17338/trainology.1.2_32.\n23. Stone MH, Sands WA, Pierce KC, Carlock J, Cardinale M, Newton\nRU. Relationship of maximum strength to weightlifting performance.\nMed Sci Sports Exerc 37: 1037–1043, 2005. doi:10.1249/01.mss.\n0000171621.45134.10.\n24. Beattie K, Carson BP, Lyons M, Kenny IC.The relationship between", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "signal (Quattro jump software, type 2822A1-1, version 1.1.1.4)\nto derive velocity (multiplied by force to calculate power)\nand displacement (jump height).\nIsometric Midthigh Pull\nIMTP contractions were performed within an isometric\nrig consisting of a base plate with stainless steel uprights\n(ESP Fitness, Loughborough, UK), which facilitated barbell\nTable 1.Descriptive characteristics of a World’s Strongest Man and deadlift champion and populations featured\nwithin this study for the purposes of providing comparative muscle and tendon morphology data\nn Age, yr Height, m Body Mass, kg Source of Comparative Data\nWSM 1 30.6 1.90 172.0\nOverall muscle morphology\nElite sprint runners 5 27.4 ± 4.1 1.83 ± 0.06 86.4 ± 6.7 Miller et al. ( 13)\nSubelite sprint runners 26 22.0 ± 2.2 1.78 ± 0.06 75.4 ± 7.3\nUntrained controls 11 25.8 ± 2.6 1.80 ± 0.08 75.2 ± 5.6\nQuadriceps femoris muscle morphology\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 91 ± 10 Maden-Wilkinson et al. ( 10)\nUntrained controls 102 25 ± 3 1.78 ± 0.08 73 ± 10 Pooled sample from Miller et al. ( 13)( n ¼ 11),\nBalshaw et al. (11)( n ¼ 52), and pretest of\nBalshaw et al. (14)( n ¼ 39)\nHamstrings muscle morphology\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 91 ± 10 Unpublished observations from the sample\nin Maden-Wilkinson et al. (10)\nUntrained controls 50 26 ± 4 1.79 ± 0.08 75 ± 11 Pooled sample from Miller et al. ( 13)( n ¼ 11)\nand pretest of Balshaw et al. (14)( n ¼ 39)\nPatellar tendon CSA and moment arm\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 90 ± 10 Massey et al. ( 15)\nUntrained controls 39 25 ± 2 1.76 ± 0.06 72 ± 9\nValues for comparative populations are means ± SD. CSA, cross-sectional area.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\nJ Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org 791\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance\ntraining. For example, we previously found patellar ten-\ndon CSA to show very subtle changes after 15 wk (45 train-\ning sessions) of heavy resistance training [þ 1.4% (41)] and\nno differences between long-term resistance-trained indi-\nviduals and untrained controls (15).\nLimitations\nAlthough the current investigation provides a detailed\nassessment of an individual at/toward the upper limit of\nhuman strength performance, it is important to appreciate\nstudy limitations. First, the participant was not measured im-\nmediately before their World’sS t r o n g e s tM a nc h a m p i o n s h i p\nsuccess or other landmark performances, and it is entirely pos-\nsible the functional and structural characteristics we assessed\nm a yh a v eb e e ne v e nh i g h e rd i r e c t l yp r i o rt op e a kp e r f o r m a n -\nces. Despite using a wide-bore MRI scanner, due to the size of\nthe WSM’s shoulders and arms, it was not possible to scan their\nu p p e rb o d y .T h u s ,w ew e r en o ta b l et oi n v e s t i g a t et h i sa s p e c to f\nthe WSM’s muscle morphology; although given that greater hy-\npertrophy occurs in the upper body compared with the lower\nbody (42), it is possible that the WSM’s upper-body muscle size\nrelative to untrained controls may have been even more pro-\nnounced than what we have documented for the lower body.\nIn the current study to provide the most representative data on\nuntrained control participants, the largest available untrained\ncontrol populations were used for each category of measure-\nments. Thus, different untrained control populations were\nused [e.g., comparison of quadricep and hamstring size (n ¼\n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to\nsome subtle discrepancies in the contrasts between these\ngroups and the WSM [e.g., quadriceps femoris/knee extensors,\nþ 127% andþ 99% relative to our large pooled (n ¼ 102) and\nsmaller (n ¼ 11) untrained control samples, respectively].\nImportantly, however, this discrepancy does not appear to\nmeaningfully affect the interpretation of thefindings. There\nwere subtle differences in the precise scanning and analysis\napproaches used with the reference populations featured in\nthis study, including1)m a g n e t i cfield strength [1.5 T (10, 11, 15)\nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to\nquantify quadriceps femoris and hamstrings muscle volume\n[1.5 cm (10, 11, 14)v s .2 . 0c m ,W S Ma n d(13)]; 3)t h ec a l c u l a t i o n\nof muscle volume [area under the cubic spline ACSA-muscle\nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM\nand (13)]; and4)t h eu s eo fu n i l a t e r a lM R Im e a s u r e sd e r i v e d\nfrom one limb (10, 11, 14, 15) or collapsed across two limbs\n[WSM and (13)]. However, it seems likely that these subtle dif-\nferences would have had at most a very minor effect on the\nfin d i n g s .F i n a l l y ,i ti sa l s oi m p o r t a n tt oh i g h l i g h tt h a tt h ed i f f e r -\nences documented between the WSM and comparative popula-\ntions for the various measures included in the current study\ncannot be assumed to be anything other than a combination of\nboth innate (genetic) and environmental (training and nutri-\ntion) factors.\nConclusions\nIn conclusion, this novel investigation documented the\nmuscle and tendon morphology and whole body strength\nand power characteristics of an exceptionally strong individ-\nual, relative to comparative athletic, trained, and untrained\npopulations. Overall leg muscle volume of the WSM was\napproximately twice that of untrained controls but with pro-\nnounced anatomical variability in the extent of muscular de-\nvelopment. The plantar flexor muscle group and the guy\nrope muscles (sartorius, gracilis, and semitendinosus:þ 140\nto þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "to þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that\nof untrained) was accompanied by a more modest difference\nin patella tendon moment arm (þ 18%) and was not matched\nby a proportional difference in tendon size (þ 30%).\nDATA AVAILABILITY\nData will be made available upon reasonable request.\nSUPPLEMENTAL MATERIAL\nSupplemental Material: https://doi.org/10.6084/m9. figshare.\n26152939.\nACKNOWLEDGMENTS\nThe authors thank radiographer Julie Thompson.\nDISCLOSURES\nNo conflicts of interest,financial or otherwise, are declared by\nthe authors.\nAUTHOR CONTRIBUTIONS\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M.,\nR.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M.,\nE.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted\nresults of experiments; T.G.B. preparedfigures; T.G.B. and J.P.F.\ndrafted manuscript; T.G.B. and J.P.F. edited and revised manuscript;\nT.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approvedfinal ver-\nsion of manuscript.\nREFERENCES\n1. Crowther NB.Weightlifting in antiquity: achievement and training.\nGreece Rome24: 111–120, 1977. doi:10.1017/s0017383500018416.\n2. Dixon E. How Wave.tv is making the World’s Strongest Man think\nbigger with its digital plans (Online). SportsPro, 2020.https://www.\nsportspromedia.com/insights/analysis/worlds-strongest-man-wavetv-\nthe-pump-snapchat-brian-verne-interview/[Apr 6, 2024].\n3. Suchomel TJ, Nimphius S, Stone MH.The importance of muscular\nstrength in athletic performance.Sports Med 46: 1419–1449, 2016.\ndoi:10.1007/s40279-016-0486-0.\n4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ.\nEccentric hamstring strength and hamstring injury risk in Australian\nfootballers.Med Sci Sports Exerc47: 857–865, 2015. doi:10.1249/\nmss.0000000000000465.\n5. McLeod M, Breen L, Hamilton DL, Philp A.Live strong and prosper:\nthe importance of skeletal muscle strength for healthy ageing.\nBiogerontology17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER,\nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh\nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM.Body com-\nposition in elite strongman competitors.JS t r e n g t hC o n dR e s34:\n3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser\nJG, Loenneke JP.Skeletal muscle mass in human athletes: what is\nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/\najhb.23102.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n798 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What are the nutritionnal added components to the word's strongest man regime ?", - "target_page": 2, - "target_passage": "The WSM’s nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "to þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that\nof untrained) was accompanied by a more modest difference\nin patella tendon moment arm (þ 18%) and was not matched\nby a proportional difference in tendon size (þ 30%).\nDATA AVAILABILITY\nData will be made available upon reasonable request.\nSUPPLEMENTAL MATERIAL\nSupplemental Material: https://doi.org/10.6084/m9. figshare.\n26152939.\nACKNOWLEDGMENTS\nThe authors thank radiographer Julie Thompson.\nDISCLOSURES\nNo conflicts of interest,financial or otherwise, are declared by\nthe authors.\nAUTHOR CONTRIBUTIONS\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M.,\nR.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M.,\nE.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted\nresults of experiments; T.G.B. preparedfigures; T.G.B. and J.P.F.\ndrafted manuscript; T.G.B. and J.P.F. edited and revised manuscript;\nT.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approvedfinal ver-\nsion of manuscript.\nREFERENCES\n1. Crowther NB.Weightlifting in antiquity: achievement and training.\nGreece Rome24: 111–120, 1977. doi:10.1017/s0017383500018416.\n2. Dixon E. How Wave.tv is making the World’s Strongest Man think\nbigger with its digital plans (Online). SportsPro, 2020.https://www.\nsportspromedia.com/insights/analysis/worlds-strongest-man-wavetv-\nthe-pump-snapchat-brian-verne-interview/[Apr 6, 2024].\n3. Suchomel TJ, Nimphius S, Stone MH.The importance of muscular\nstrength in athletic performance.Sports Med 46: 1419–1449, 2016.\ndoi:10.1007/s40279-016-0486-0.\n4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ.\nEccentric hamstring strength and hamstring injury risk in Australian\nfootballers.Med Sci Sports Exerc47: 857–865, 2015. doi:10.1249/\nmss.0000000000000465.\n5. McLeod M, Breen L, Hamilton DL, Philp A.Live strong and prosper:\nthe importance of skeletal muscle strength for healthy ageing.\nBiogerontology17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER,\nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh\nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM.Body com-\nposition in elite strongman competitors.JS t r e n g t hC o n dR e s34:\n3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser\nJG, Loenneke JP.Skeletal muscle mass in human athletes: what is\nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/\najhb.23102.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n798 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "as the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of\nits role in athletic performance (3), injury prevention (4), and\nhealthy aging (5). However, our knowledge of extreme human\nstrength is limited.\nTo date, there is little scientific information on the charac-\nteristics of extremely strong humans in terms of laboratory-\nbased tests of strength and power, particularly the size and dis-\ntribution of their muscle mass, as well as tendon size and joint\nmechanics (moment arm). Kraemer et al. (6)e x a m i n e dt h e\nbody composition of elite strongman competitors using dual-\nenergy X-ray absorptiometry scanning and found that they\nh a dab o d ym a s s( 1 5 3 ± 1 9k g )a n dl e a nm a s s( 1 1 8 ± 1 2k g )\napproximately twice that of an average untrained healthy\nyoung man. Whole body skeletal muscle mass of athletes from\nstrength- and power-based sports has also been estimated\nusing ultrasound measurements at a limited number of ana-\ntomical locations (7, 8). However, neither ultrasound-derived\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk).\nSubmitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024\nwww.jappl.org 8750-7587/24 Copyright© 2024 The Authors. Licensed underCreative Commons Attribution CC-BY 4.0.\nPublished by the American Physiological Society.\n789\nJ Appl Physiol137: 789–799, 2024.\nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "8. Abe T, Buckner SL, Mattocks KT, Jessee MB, Dankel SJ, Mouser\nJG, Bell ZW, Loenneke JP.Skeletal muscle mass and architecture\nof the world’s strongest raw powerlifter: a case study.Asian J Sports\nMed 9: e61763, 2018. doi:10.5812/asjsm.61763.\n9. Powell PL, Roy RR, Kanim P, Bello MA, Edgerton VR.Predictability\nof skeletal muscle tension from architectural determinations in\nguinea pig hindlimbs.J Appl Physiol Respir Environ Exerc Physiol\n57: 1715–1721, 1984. doi:10.1152/jappl.1984.57.6.1715.\n10. Maden-Wilkinson TM, Balshaw TG, Massey G, Folland JP. What\nmakes long-term resistance-trained individuals so strong? A com-\nparison of skeletal muscle morphology, architecture, and joint\nmechanics. J Appl Physiol (1985)128: 1000–1011, 2019. doi:10.1152/\njapplphysiol.00224.2019.\n11. Balshaw TG, Maden-Wilkinson TM, Massey GJ, Folland JP. The\nhuman muscle size and strength relationship: effects of architecture,\nmuscle force, and measurement location.Med Sci Sports Exerc53:\n2140–2151, 2021. doi:10.1249/mss.0000000000002691.\n12. Baxter JR, Piazza SJ.Plantar flexor moment arm and muscle volume\npredict torque-generating capacity in young men.J Appl Physiol\n(1985)116: 538–544, 2014. doi:10.1152/japplphysiol.01140.2013.\n13. Miller R, Balshaw TG, Massey GJ, Maeo S, Lanza MB, Johnston\nM, Allen SJ, Folland JP. The muscle morphology of elite sprint\nrunning. Med Sci Sports Exerc 53: 804–815, 2021. doi:10.1249/\nmss.0000000000002522 .\n14. Balshaw TG, Funnell MP, McDermott E, Maden-Wilkinson TM,\nAbela S, Quteishat B, Edsey M, James LJ, Folland JP.The effect of\nspecific bioactive collagen peptides on function and muscle remod-\neling during human resistance training. Acta Physiol (Oxf) 237:\ne13903, 2023 [Erratum in Acta Physiol (Oxf) 237:e13952, 2023].\ndoi:10.1111/apha.13903.\n15. Massey GJ, Balshaw TG, Maden-Wilkinson TM, Folland JP.\nTendinous tissue properties after short- and long-term functional\noverload: differences between controls, 12 weeks and 4 years of re-\nsistance training.Acta Physiol (Oxf)222: e13019, 2018. doi:10.1111/\napha.13019.\n16. Sugisaki N, Kobayashi K, Tsuchie H, Kanehisa H. Associations\nbetween individual lower-limb muscle volumes and 100-m sprint\ntime in male sprinters.Int J Sports Physiol Perform13: 214–219, 2018.\ndoi:10.1123/ijspp.2016-0703.\n17. Seynnes OR, Erskine RM, Maganaris CN, Longo S, Simoneau EM,\nGrosset JF, Narici MV.Training-induced changes in structural and\nmechanical properties of the patellar tendon are related to muscle\nhypertrophy but not to strength gains.J Appl Physiol (1985)107:\n523–530, 2009. doi:10.1152/japplphysiol.00213.2009.\n18. Beckham GK, Sato K, Santana HAP, Mizuguchi S, Haff GG, Stone\nMH. Effect of body position on force production during the isometric\nmidthigh pull. JS t r e n g t hC o n dR e s32: 48–56, 2018. doi:10.1519/\njsc.0000000000001968.\n19. Travis SK, Goodin JR, Beckham GK, Bazyler CD.Identifying a test\nto monitor weightlifting performance in competitive male and female\nweightlifters.Sports 6: 46, 2018. doi:10.3390/sports6020046.\n20. Beckham G, Mizuguchi S, Carter C, Sato K, Ramsey M, Lamont H,\nHornsby G, Haff G, Stone M.Relationships of isometric mid-thigh\npull variables to weightlifting performance.J Sports Med Phys Fit53:\n573–581, 2013.\n21. Hornsby WG, Gentles JA, MacDonald CJ, Mizuguchi S, Ramsey\nMW, Stone MH. Maximum strength, rate of force development,\njump height, and peak power alterations in weightlifters acrossfive\nmonths of training.Sports 5: 78, 2017. doi:10.3390/sports5040078.\n22. Beckham GK, Lamont HS, Sato K, Ramsey MW, Gh G, Stone MH.\nIsometric strength of powerlifters in key positions of the conventional\ndeadlift.J Trainology1: 32–35, 2012. doi:10.17338/trainology.1.2_32.\n23. Stone MH, Sands WA, Pierce KC, Carlock J, Cardinale M, Newton\nRU. Relationship of maximum strength to weightlifting performance.\nMed Sci Sports Exerc 37: 1037–1043, 2005. doi:10.1249/01.mss.\n0000171621.45134.10.\n24. Beattie K, Carson BP, Lyons M, Kenny IC.The relationship between", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "RESEARCH ARTICLE\nMuscle and tendon morphology of a world strongman and deadlift champion\nThomas G. Balshaw,1 Garry J. Massey,1,2\n Robert Miller,1,3,4 Emmet J. McDermott,1,5\nThomas M. Maden-Wilkinson,6 and\n Jonathan P. Folland1\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom;2College of Life\nand Environmental Sciences, University of Exeter, Exeter, United Kingdom;3UK Athletics, Loughborough University,\nLoughborough, United Kingdom;4Department of Sport Science, Aspire Academy, Doha, Qatar;5Department of Physical\nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and6Academy of Sport and Physical Activity, Faculty\nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\nAbstract\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’sS t r o n g e s tM a na n dd e a d l i f t\nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following:1)3 . 0 - T\nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec-\ntional area (CSA), and PT moment arm; and2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The\nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature\n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than\nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls\n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantarflexor group (þ 120%) and the\nguy rope muscles (sartorius, gracilis, and semitendinosus:þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the\nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs.\nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT\nCSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual,\nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited\ndistinct anatomical variability and with muscle size largely uncoupled from tendon size.\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift\nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the\nextent of muscular development (þ 23–202%): the plantarflexor group and guy rope muscles demonstrating the largest differen-\nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten-\ndon moment arm (þ 18%) and was uncoupled from patellar tendon size (þ 30%).\nisometric force; magnetic resonance imaging; power; strength\nINTRODUCTION\nFeats of strength have fascinated man since the early stages\nof human civilization, as shown by the archeological evidence\nof inscribed heavy stones at Olympia and Thera in Greece,\ndated to the 6th century BC, detailing the way they were lifted\nby Bybon and Eumastus, respectively (1). Over the centuries,\nmany types of strength competitions have existed; some of\nwhich have been codified and endured within modern sport-\ning competitions (e.g., weightlifting, powerlifting, and shot\np u t ) .I na d d i t i o n ,p r o f e s s i o n a ls t r o n g m a nc o m p e t i t i o n s ,s u c h\nas the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray\nabsorptiometry provides detailed information on the size of\nspecific individual muscles. Given the known importance of\nmuscle size as a determinant of muscular strength (9–11), pro-\nnounced muscle size seems likely to be critical to extreme\nhuman strength; however, the speci ficm u s c l es i z eo f\nextremely strong individuals remains unknown. Similarly, a\nlarge moment arm (e.g., of the patella tendon at the knee joint)\ncould contribute to the expression of high muscular strength\n(10, 12), and a large tendon may mitigate the mechanical stress\nit experiences with very high muscular loads, and therefore,\nthese characteristics may also be expected in individuals\nselected for exceptional strength.\nIn this paper, we present thefindings from a unique op-\nportunity to examine the laboratory function, muscle size,\nand distribution of muscle mass, as well as patellar tendon\nsize and moment arm, of a World’s Strongest Man and dead-\nlift champion (WSM) in comparison with existing data on\nuntrained individuals, power athletes (100-m-track sprint-\ners), and long-term resistance-trained populations that we\nhave assessed previously (10, 11, 13– 15).\nMATERIALS AND METHODS\nParticipant\nThe WSM’s achievements included one World’sS t r o n g e s t\nMan title (14 mo prior to measurement), five Britain’s\nStrongest Man titles (the most recent 6 mo prior to measure-\nment), twice being World Deadlift Champion and Deadlift\nW o r l dR e c o r dh o l d e r( 5 0 0k g ;a tt h et i m eo fm e a s u r e m e n t ) ,\nand second place at Europe’s Strongest Man. Prior to agreeing\nto participate, the purpose of the research study and the test-\ning procedures were explained to the participant along with\nthe risks and benefits of taking part. The participant gave his\nwritten informed consent to participate in the study that was\napproved by the Loughborough University Ethical Advisory\nCommittee (Ethics Number R18-P090). Included in the writ-\nten consent was a statement providing permission for publi-\ncation of the collected data and the likelihood that their\nidentity may be evident based on their achievements and\ncharacteristics, despite anonymization.\nTraining History\nThe WSM had been continuously involved in systematic,\nregular upper- and lower-body resistance training for 15 yr at\nthe time of testing. In the 12 mo prior to testing, the partici-\npant’s resistance training consisted of the following typical\nexercises: lower body: squats, deadlifts, leg press, and knee\nextension; and upper body: bench press, shoulder press,\ndumbbell/barbell rows, and lat pull-down. The proportion of\nthe participant’s training within the following repetition\nranges over the last 12 mo was as follows: near maximum\nloads [1– 5 repetition maximum (RM)]: 10%; heavy loads (6–\n14 RM): 80%; and moderate loads (/C21 15 RM): 10%. The partici-\npant reported only occasional (<1/C2 /week) use of advanced\nresistance training practices (i.e., complex training and ac-\ncommodating resistance method) but frequently ( >3/C2 /\nweek) executed training repetitions with the intention to\nmove the load as fast as possible. The WSM’sn u t r i t i o n a l\nsupplement consumption included protein, branched-chain\namino acids, and electrolytes.\nOverview\nThe WSM reported for a single test session that involved\nthe following assessments (listed in order): axial T1 weighted\n3.0-T MRI scans from T12 to the lateral malleolus [to assess\nmuscle size throughout the lower body (left and right sides)],\naxial and sagittal T1-weighted MRI scans of both knees [to\nassess patellar tendon cross-sectional area (CSA) and patellar\ntendon moment arm], maximum countermovement jumps\n(CMJ), and maximum isometric midthigh pulls (IMTPs). The\nmuscle size, patellar tendon CSA, and patellar tendon\nmoment arm of the WSM were compared with various popu-\nlations measured within our laboratory, as indicated in", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "assessed (Fig. 5B). BFsh volume (135 cm3)o ft h eW S Mw a sa\nmodest 26% greater than that of our pool of untrained control\nparticipants (107 ± 31 cm3; Fig. 5E) but smaller than that of\nboth long-term resistance-trained individuals (/C0 1%; 136 ± 27\ncm3) and elite sprinters (/C0 19%; 167 ± 26 cm3; Fig. 5E).\nPatella Tendon Cross-Sectional Area and Moment Arm\nThe patellar tendon mean CSA of the WSM (133.8 mm2)w a s\nlarger than that of average untrained (þ 30%; 103.2 ± 12.5\nmm2) and long-term resistance-trained individuals (þ 27%;\n105.4 ± 13.0 mm2; Fig. 6A)b u tw a ss m a l l e rt h a nt h el a r g e s t\nindividual we have measured from these groups (149.5 mm2).\nThe WSM’s patellar tendon moment arm (51.5 mm) was also\nlarger than that of average untrained (þ 18%; 43.8 ± 2.7 mm)\nor long-term resistance-trained groups (þ 12%; 45.8 ± 2.5 mm;\nFig. 6B) as well as being 3% greater than the highest individ-\nual moment arm we have previously assessed within these\ngroups (49.9 mm).\nDISCUSSION\nThis study is thefirst to document the lower-body muscle\nand tendon morphology of a World’s Strongest Man and\ndeadlift champion (i.e., an exceptionally strong individual),\nand these are presented alongside functional whole body\nassessments, which exceeded the highest IMTP force (gross\nand net) and CMJ power values previously reported by 54%,\n100%, and 164%, respectively. The WSM had overall lower-\nb o d ym u s c u l a r i t ya p p r o x i m a t e l yt w i c et h a to fu n t r a i n e dc o n -\ntrols (þ 96%) and 32% greater than that of elite 100-m sprint-\ners. However, there was substantial anatomical variability in\nthe magnitude of the differences, ranging from the plantar\nflexors (þ 120% vs. untrained) to the hipflexors (þ 65% vs.\nuntrained). Similarly, some specific muscles, such as the guy\nrope muscles that stabilize the femur and pelvis, were 2.5– 3.0\ntimes the volume of untrained individuals (gracilisþ 140%,\nsemitendinosusþ 157%, and sartoriusþ 202%) but others dis-\nplayed more marginal differences (BFsh þ 23%, iliopsoas\nþ 32% vs. untrained). Considering the knee extensors, the\nWSM had both quadriceps femoris volume greater than or\nequal to twofold that of untrained controls and a greater pa-\ntella tendon moment arm than we have previously measured\n( þ 18% vs. untrained), which would be expected to combine\nto facilitate extraordinary strength. Furthermore, despite the\nWSM’se x t r e m e l yl a r g eq u a d r i c e p sf e m o r i s ,t h e i rp a t e l l a rt e n -\nd o nC S Aw a so n l y3 0 %g r e a t e rt h a nt h a to fu n t r a i n e dc o n t r o l s\nand not outside the range of tendons we have previously\nassessed. The results of this study provide novel insights into\nthe muscle and tendon characteristics, as well as the strength\nand power capabilities, of an extraordinarily strong individual\nthat may be toward the upper limit of human variation in\nthese characteristics.\nTable 2.Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a\nWorld’s Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained\ncontrol participants\nMuscle Group/Muscle or Compartment\nMuscle Volume, cm3\nWSM Elite Sprinters ( n 5 5) Subelite Sprinters ( n 5 26) Untrained ( n 5 11)\nAll muscles 14,922 11,323 ± 1,328 9,164 ± 1,207 7,628 ± 1,548\nHip flexors 1,704 1,620 ± 200 1,314 ± 216 1,031 ± 151\nHip extensors 4,724 4,002 ± 489 3,029 ± 422 2,257 ± 220\nKneeflexors 3,060 2,304 ± 178 1,859 ± 301 1,460 ± 196\nKnee extensors 4,386 3,218 ± 400 2,636 ± 401 2,202 ± 315\nPlantar flexors 1,888 1,112 ± 181 943 ± 156 860 ± 172\nIliopsoas 681 702 ± 97 618 ± 101 514 ± 75\nSartorius 429 306 ± 46 209 ± 50 142 ± 25\nTensor fasciae latae 142 135 ± 41 86 ± 25 73 ± 24\nAdductor magnus 1,334 1,056 ± 83 828 ± 128 624 ± 81\nGracilis 235 180 ± 37 142 ± 37 98 ± 23\nGluteus maximus 1,980 1,797 ± 376 1,257 ± 197 931 ± 108\nGluteus medius and minimus 1,172 626 ± 129 575 ± 97 583 ± 76\nRectus femoris 453 476 ± 45 401 ± 78 303 ± 55", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "signal (Quattro jump software, type 2822A1-1, version 1.1.1.4)\nto derive velocity (multiplied by force to calculate power)\nand displacement (jump height).\nIsometric Midthigh Pull\nIMTP contractions were performed within an isometric\nrig consisting of a base plate with stainless steel uprights\n(ESP Fitness, Loughborough, UK), which facilitated barbell\nTable 1.Descriptive characteristics of a World’s Strongest Man and deadlift champion and populations featured\nwithin this study for the purposes of providing comparative muscle and tendon morphology data\nn Age, yr Height, m Body Mass, kg Source of Comparative Data\nWSM 1 30.6 1.90 172.0\nOverall muscle morphology\nElite sprint runners 5 27.4 ± 4.1 1.83 ± 0.06 86.4 ± 6.7 Miller et al. ( 13)\nSubelite sprint runners 26 22.0 ± 2.2 1.78 ± 0.06 75.4 ± 7.3\nUntrained controls 11 25.8 ± 2.6 1.80 ± 0.08 75.2 ± 5.6\nQuadriceps femoris muscle morphology\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 91 ± 10 Maden-Wilkinson et al. ( 10)\nUntrained controls 102 25 ± 3 1.78 ± 0.08 73 ± 10 Pooled sample from Miller et al. ( 13)( n ¼ 11),\nBalshaw et al. (11)( n ¼ 52), and pretest of\nBalshaw et al. (14)( n ¼ 39)\nHamstrings muscle morphology\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 91 ± 10 Unpublished observations from the sample\nin Maden-Wilkinson et al. (10)\nUntrained controls 50 26 ± 4 1.79 ± 0.08 75 ± 11 Pooled sample from Miller et al. ( 13)( n ¼ 11)\nand pretest of Balshaw et al. (14)( n ¼ 39)\nPatellar tendon CSA and moment arm\nLong-term resistance-trained 16 22 ± 2 1.83 ± 0.06 90 ± 10 Massey et al. ( 15)\nUntrained controls 39 25 ± 2 1.76 ± 0.06 72 ± 9\nValues for comparative populations are means ± SD. CSA, cross-sectional area.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\nJ Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org 791\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - }, - { - "text": "International rugby union forwards (n=15) (27)\nCollegiate baseball players (n=28) (26)\nCollegiate soccer players (n=23) (26)\nWSM\nNet IMTP peak force (N)\nFigure 2.Gross (including body weight) isometric midthigh pull (IMTP) peak force (A), net (above body weight) IMTP peak force (B), countermovement\njump (CMJ) peak power (C), and CMJ height (D) of a World’s Strongest Man and deadlift champion (WSM) displayed against comparative data from the\nexisting research literature. CMJ was performed with an arm swing by WSM and within all comparative data included in thefigure. /C3 Athletes from differ-\nent sports or disciplines featured within the sample. Descriptive information (age, height, and body mass) of the groups included as comparative data\ncan be found in Supplemental Materials 1 (IMTP) and 2 (CMJ).\nWORLD STRONGMAN AND DEADLIFT CHAMPION\nJ Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org 793\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance\ntraining. For example, we previously found patellar ten-\ndon CSA to show very subtle changes after 15 wk (45 train-\ning sessions) of heavy resistance training [þ 1.4% (41)] and\nno differences between long-term resistance-trained indi-\nviduals and untrained controls (15).\nLimitations\nAlthough the current investigation provides a detailed\nassessment of an individual at/toward the upper limit of\nhuman strength performance, it is important to appreciate\nstudy limitations. First, the participant was not measured im-\nmediately before their World’sS t r o n g e s tM a nc h a m p i o n s h i p\nsuccess or other landmark performances, and it is entirely pos-\nsible the functional and structural characteristics we assessed\nm a yh a v eb e e ne v e nh i g h e rd i r e c t l yp r i o rt op e a kp e r f o r m a n -\nces. Despite using a wide-bore MRI scanner, due to the size of\nthe WSM’s shoulders and arms, it was not possible to scan their\nu p p e rb o d y .T h u s ,w ew e r en o ta b l et oi n v e s t i g a t et h i sa s p e c to f\nthe WSM’s muscle morphology; although given that greater hy-\npertrophy occurs in the upper body compared with the lower\nbody (42), it is possible that the WSM’s upper-body muscle size\nrelative to untrained controls may have been even more pro-\nnounced than what we have documented for the lower body.\nIn the current study to provide the most representative data on\nuntrained control participants, the largest available untrained\ncontrol populations were used for each category of measure-\nments. Thus, different untrained control populations were\nused [e.g., comparison of quadricep and hamstring size (n ¼\n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to\nsome subtle discrepancies in the contrasts between these\ngroups and the WSM [e.g., quadriceps femoris/knee extensors,\nþ 127% andþ 99% relative to our large pooled (n ¼ 102) and\nsmaller (n ¼ 11) untrained control samples, respectively].\nImportantly, however, this discrepancy does not appear to\nmeaningfully affect the interpretation of thefindings. There\nwere subtle differences in the precise scanning and analysis\napproaches used with the reference populations featured in\nthis study, including1)m a g n e t i cfield strength [1.5 T (10, 11, 15)\nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to\nquantify quadriceps femoris and hamstrings muscle volume\n[1.5 cm (10, 11, 14)v s .2 . 0c m ,W S Ma n d(13)]; 3)t h ec a l c u l a t i o n\nof muscle volume [area under the cubic spline ACSA-muscle\nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM\nand (13)]; and4)t h eu s eo fu n i l a t e r a lM R Im e a s u r e sd e r i v e d\nfrom one limb (10, 11, 14, 15) or collapsed across two limbs\n[WSM and (13)]. However, it seems likely that these subtle dif-\nferences would have had at most a very minor effect on the\nfin d i n g s .F i n a l l y ,i ti sa l s oi m p o r t a n tt oh i g h l i g h tt h a tt h ed i f f e r -\nences documented between the WSM and comparative popula-\ntions for the various measures included in the current study\ncannot be assumed to be anything other than a combination of\nboth innate (genetic) and environmental (training and nutri-\ntion) factors.\nConclusions\nIn conclusion, this novel investigation documented the\nmuscle and tendon morphology and whole body strength\nand power characteristics of an exceptionally strong individ-\nual, relative to comparative athletic, trained, and untrained\npopulations. Overall leg muscle volume of the WSM was\napproximately twice that of untrained controls but with pro-\nnounced anatomical variability in the extent of muscular de-\nvelopment. The plantar flexor muscle group and the guy\nrope muscles (sartorius, gracilis, and semitendinosus:þ 140\nto þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "comparative populations drawn from the existing literature\ncan be found in Supplemental Materials 1 (gross IMTP peak\nforce and net IMTP peak force) and 2 (CMJ peak power and\nheight).\nIsometric Midthigh Pull and Countermovement Jump\nGross (including body weight) and net (above body\nweight) IMTP peak forces of the WSM were 9,171 N and 7,480\nN, respectively. The WSM’s gross IMTP peak force was 54%\ngreater than the highest comparable group mean we located\n(subelite weightlifters: 5,942 ± 844 N (20); Fig. 2A). The\nWSM’s net IMTP peak force was 100% greater than the high-\nest comparable group mean value in the literature (collegiate\nsoccer athletes: 3,740 ± 692 N (26); Fig. 2B).\nThe WSM’s CMJ peak power and jump height were 9,866 W\nand 53.3 cm, respectively. The peak CMJ power of the WSM\nwas>2.5-fold (164%) that of the mean of an untrained control\ngroup previously measured in our laboratory (3,735 ± 760 W;\nunpublished) and 51% greater than the highest comparable\ngroup mean value we located in the literature (professional\nbasketball players: 6,518 ± 923 W (32); Fig. 2C). Not surpris-\ningly, given the WSM’sh i g hb o d ym a s s ,h i sj u m ph e i g h tw a s\nless exceptional, while still being 20% greater than that of a\ngroup of untrained control participants previously measured\nin our laboratory (44.3 ± 9.2 cm; unpublished). However, his\njump height was 25% lower than the highest group mean CMJ\nheight we are aware of in the published literature (elite inter-\nnational gymnasts: 71.3 ± 4.5 cm (37); Fig. 2D).\nLeg Muscle Volumes\nThe total unilateral muscle volume of the 22 measured\nmuscles/compartments of WSM (14,922 cm3) was nearly\ntwice that of a relatively modest (n ¼ 11) sample of untrained\ncontrols (7,628 ± 1,548 cm3; þ 96%; Fig. 3), while being 63%\ngreater than subelite (9,164 ± 1,207 cm3) and þ 32% greater\nthan elite 100-m sprinters (11,323 ± 1,328 cm3; Table 2). The\nmuscle group differences were largest for the plantarflexors\n( þ 120% vs. untrained;þ 100% vs. subelite sprinters;þ 70%\nvs. elite sprinters) and smallest for the hipflexors (þ 65% vs.\nuntrained; þ 30% vs. subelite sprinters; þ 5% vs. elite\nsprinters). The WSM had the highest values of any individ-\nual we have observed for four out offive muscle groups, but\nnot the hipflexors, which were inferior to three of the elite\n100-m sprinters (n ¼ 5).\nCompared with untrained control participants (n ¼ 11),\nall 22 of the WSM ’s individual muscles/compartments\nwere larger than untrained controls (Table 2 and Fig. 3).\nHowever, the differences in muscle volume were extremely\nvariable, with the biggest differences being for the“guy\nropes,” which were 2.5– 3.0 times that of untrained controls\n( þ 140% gracilis; þ 157% ST; þ 202% sartorius), compared\nwith more modest differences such as 23% (BFsh) and 32%\n(iliopsoas) greater.\nQuadriceps Femoris and Hamstring Size\nOverall quadriceps femoris volume of the WSM (4,386 cm3)\nwas 127% greater than a large, pooled population of untrained\ncontrols (1,932 ± 336;n ¼ 102), 66% greater than subelite sprint-\ners (2,636 ± 401 cm3), 53% greater than long-term resistance-\ntrained individuals (2,876 ± 311 cm3), and 36% greater than elite\nsprinters (3,218 ± 400 cm3; Fig. 4A). Moreover, the WSM’s\nquadriceps femoris was 18% larger than the most muscular\nindividual we have previously assessed (elite sprinter: 3,716\ncm3). The volumes of the individual vasti muscles of the WSM\n(VL: 1,508 cm3;V I :1 , 3 3 6c m3;V M :1 , 0 8 8c m3)w e r e1 3 0–138%\nlarger than untrained controls (VL: 633 ± 117 cm3;V I :5 8 1 ± 1 2 0\ncm3;V M :4 6 1 ± 8 9c m3) and also greater than any trained/ath-\nletic individual we have previously assessed (Fig. 4, B– D).\nHowever, the WSM’sR F( 4 5 3c m3)w a sn o tq u i t es ol a r g e ,b e i n g\n76% greater than untrained controls (257 ± 57 cm3)b u ts m a l l e r\nt h a nt h ea v e r a g ee l i t es p r i n t e r(/C0 5%; Fig. 4E), 13% greater than\nsubelite sprinters, and 21% greater than long-term resistance-\ntrained individuals.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "Why constraint made the scanning of the word's strongest man's upper body impossible using a MRI ?", - "target_page": 10, - "target_passage": "Despite using a wide-bore MRI scanner, due to the size of the WSM’s shoulders and arms, it was not possible to scan their upper body", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "muscle size, patellar tendon CSA, and patellar tendon\nmoment arm of the WSM were compared with various popu-\nlations measured within our laboratory, as indicated in\nTable 1,a l o n g s i d ep a r t i c i p a n td e s c r i p t i v e s(10, 11, 13– 15). In\naddition, the IMTP and CMJ measures were compared with\nexisting published literature (included studies are summar-\nized in Supplemental Materials 1 and 2, alongside participant\ndescriptives).\nMRI Measurement of Muscle Tendon Unit Morphology\nand Moment Arm\nThe participant reported for their MRI scan [3.0-T\nDiscovery MR750W (70-cm-wide bore), GE Medical] having\nnot completed any strenuous physical activity in/C21 24 h and\nhad received prior instruction to arrive in a relaxed state hav-\ning eaten and drunk normally. The participant sat quietly for\n15 min prior to their scan. The participant lay supine for the\nMRI scan of the lower-body musculature from T12 to the lat-\neral malleolus. A body coil (GE Medical) allowed axial T1-\nweighted images (time of repetition/time to echo 600/8.144\nms, image matrix 512/C2 512, field of view 500/C2 500 mm,\npixel size 0.9766/C2 0.9766 mm, slice thickness 5 mm, and\ninterslice gap 5 mm) to be acquired in five overlapping\nblocks. Images of both sides of the body were acquired\nwithin a single scan for blocks 1 (T12 to pelvis), 4 (knee joint\nspace to midshank), and 5 (midshank to lateral malleolus).\nHowever, due to the size of the participant’s thighs, it was\nnecessary to scan each thigh individually for blocks 2 (pelvis\nto midthigh) and 3 (midthigh to knee joint space); this\ninvolved the radiographer repositioning thefield of view\nbetween scanning the first and the second thigh but not\nphysically moving the coil or the participant. Oil-filled cap-\nsules were secured to the surface of the participant’ss k i n\nwith Transpore tape at intervals along the length of the lower\nbody prior to the scan and in an offline analysis used to ver-\nify the alignment of the blocks (Horos software, Version 3.36,\nhttps://horosproject.org/).\nThe offline analysis was of the following muscles/com-\npartments (Fig. 1): iliopsoas (psoas major and iliacus com-\nbined); sartorius; tensor fasciae latae; adductor magnus;\ngracilis; gluteus maximus; gluteus medius and minimus\n(combined, due to difficulty separating the two muscles);\nrectus femoris (RF); vastus lateralis (VL), medialis (VM), and\nintermedius (VI); semimembranosus (SM); semitendinosus\n(ST); biceps femoris long (BFlh) and short heads (BFsh); pop-\nliteus; lateral and medial gastrocnemius; soleus; and the an-\nterior, lateral, and deep posterior compartments of the\nshank. The anterior shank compartment consisted of the\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n790 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "to þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that\nof untrained) was accompanied by a more modest difference\nin patella tendon moment arm (þ 18%) and was not matched\nby a proportional difference in tendon size (þ 30%).\nDATA AVAILABILITY\nData will be made available upon reasonable request.\nSUPPLEMENTAL MATERIAL\nSupplemental Material: https://doi.org/10.6084/m9. figshare.\n26152939.\nACKNOWLEDGMENTS\nThe authors thank radiographer Julie Thompson.\nDISCLOSURES\nNo conflicts of interest,financial or otherwise, are declared by\nthe authors.\nAUTHOR CONTRIBUTIONS\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M.,\nR.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M.,\nE.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted\nresults of experiments; T.G.B. preparedfigures; T.G.B. and J.P.F.\ndrafted manuscript; T.G.B. and J.P.F. edited and revised manuscript;\nT.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approvedfinal ver-\nsion of manuscript.\nREFERENCES\n1. Crowther NB.Weightlifting in antiquity: achievement and training.\nGreece Rome24: 111–120, 1977. doi:10.1017/s0017383500018416.\n2. Dixon E. How Wave.tv is making the World’s Strongest Man think\nbigger with its digital plans (Online). SportsPro, 2020.https://www.\nsportspromedia.com/insights/analysis/worlds-strongest-man-wavetv-\nthe-pump-snapchat-brian-verne-interview/[Apr 6, 2024].\n3. Suchomel TJ, Nimphius S, Stone MH.The importance of muscular\nstrength in athletic performance.Sports Med 46: 1419–1449, 2016.\ndoi:10.1007/s40279-016-0486-0.\n4. Opar DA, Williams MD, Timmins RG, Hickey J, Duhig SJ, Shield AJ.\nEccentric hamstring strength and hamstring injury risk in Australian\nfootballers.Med Sci Sports Exerc47: 857–865, 2015. doi:10.1249/\nmss.0000000000000465.\n5. McLeod M, Breen L, Hamilton DL, Philp A.Live strong and prosper:\nthe importance of skeletal muscle strength for healthy ageing.\nBiogerontology17: 497–510, 2016. doi:10.1007/s10522-015-9631-7.\n6. Kraemer WJ, Caldwell LK, Post EM, DuPont WH, Martini ER,\nRatamess NA, Szivak TK, Shurley JP, Beeler MK, Volek JS, Maresh\nCM, Todd JS, Walrod BJ, Hyde PN, Fairman C, Best TM.Body com-\nposition in elite strongman competitors.JS t r e n g t hC o n dR e s34:\n3326–3330, 2020. doi:10.1519/jsc.0000000000003763.\n7. Abe T, Buckner SL, Dankel SJ, Jessee MB, Mattocks KT, Mouser\nJG, Loenneke JP.Skeletal muscle mass in human athletes: what is\nthe upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/\najhb.23102.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n798 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "changes in response to functional overload/resistance\ntraining. For example, we previously found patellar ten-\ndon CSA to show very subtle changes after 15 wk (45 train-\ning sessions) of heavy resistance training [þ 1.4% (41)] and\nno differences between long-term resistance-trained indi-\nviduals and untrained controls (15).\nLimitations\nAlthough the current investigation provides a detailed\nassessment of an individual at/toward the upper limit of\nhuman strength performance, it is important to appreciate\nstudy limitations. First, the participant was not measured im-\nmediately before their World’sS t r o n g e s tM a nc h a m p i o n s h i p\nsuccess or other landmark performances, and it is entirely pos-\nsible the functional and structural characteristics we assessed\nm a yh a v eb e e ne v e nh i g h e rd i r e c t l yp r i o rt op e a kp e r f o r m a n -\nces. Despite using a wide-bore MRI scanner, due to the size of\nthe WSM’s shoulders and arms, it was not possible to scan their\nu p p e rb o d y .T h u s ,w ew e r en o ta b l et oi n v e s t i g a t et h i sa s p e c to f\nthe WSM’s muscle morphology; although given that greater hy-\npertrophy occurs in the upper body compared with the lower\nbody (42), it is possible that the WSM’s upper-body muscle size\nrelative to untrained controls may have been even more pro-\nnounced than what we have documented for the lower body.\nIn the current study to provide the most representative data on\nuntrained control participants, the largest available untrained\ncontrol populations were used for each category of measure-\nments. Thus, different untrained control populations were\nused [e.g., comparison of quadricep and hamstring size (n ¼\n102) vs. comparison of all the leg muscles (n ¼ 11)], which led to\nsome subtle discrepancies in the contrasts between these\ngroups and the WSM [e.g., quadriceps femoris/knee extensors,\nþ 127% andþ 99% relative to our large pooled (n ¼ 102) and\nsmaller (n ¼ 11) untrained control samples, respectively].\nImportantly, however, this discrepancy does not appear to\nmeaningfully affect the interpretation of thefindings. There\nwere subtle differences in the precise scanning and analysis\napproaches used with the reference populations featured in\nthis study, including1)m a g n e t i cfield strength [1.5 T (10, 11, 15)\nvs. 3.0 T, WSM and (13, 14)]; 2) the interslice distance used to\nquantify quadriceps femoris and hamstrings muscle volume\n[1.5 cm (10, 11, 14)v s .2 . 0c m ,W S Ma n d(13)]; 3)t h ec a l c u l a t i o n\nof muscle volume [area under the cubic spline ACSA-muscle\nlength curve: (10, 11, 14) vs. the equation detailed earlier: WSM\nand (13)]; and4)t h eu s eo fu n i l a t e r a lM R Im e a s u r e sd e r i v e d\nfrom one limb (10, 11, 14, 15) or collapsed across two limbs\n[WSM and (13)]. However, it seems likely that these subtle dif-\nferences would have had at most a very minor effect on the\nfin d i n g s .F i n a l l y ,i ti sa l s oi m p o r t a n tt oh i g h l i g h tt h a tt h ed i f f e r -\nences documented between the WSM and comparative popula-\ntions for the various measures included in the current study\ncannot be assumed to be anything other than a combination of\nboth innate (genetic) and environmental (training and nutri-\ntion) factors.\nConclusions\nIn conclusion, this novel investigation documented the\nmuscle and tendon morphology and whole body strength\nand power characteristics of an exceptionally strong individ-\nual, relative to comparative athletic, trained, and untrained\npopulations. Overall leg muscle volume of the WSM was\napproximately twice that of untrained controls but with pro-\nnounced anatomical variability in the extent of muscular de-\nvelopment. The plantar flexor muscle group and the guy\nrope muscles (sartorius, gracilis, and semitendinosus:þ 140\nto þ 202%), which stabilize the pelvis and femur, demon-\nstrated the largest differences. The pronounced quadriceps\nfemoris size of the WSM (greater than or equal to twice that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "as the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of\nits role in athletic performance (3), injury prevention (4), and\nhealthy aging (5). However, our knowledge of extreme human\nstrength is limited.\nTo date, there is little scientific information on the charac-\nteristics of extremely strong humans in terms of laboratory-\nbased tests of strength and power, particularly the size and dis-\ntribution of their muscle mass, as well as tendon size and joint\nmechanics (moment arm). Kraemer et al. (6)e x a m i n e dt h e\nbody composition of elite strongman competitors using dual-\nenergy X-ray absorptiometry scanning and found that they\nh a dab o d ym a s s( 1 5 3 ± 1 9k g )a n dl e a nm a s s( 1 1 8 ± 1 2k g )\napproximately twice that of an average untrained healthy\nyoung man. Whole body skeletal muscle mass of athletes from\nstrength- and power-based sports has also been estimated\nusing ultrasound measurements at a limited number of ana-\ntomical locations (7, 8). However, neither ultrasound-derived\nCorrespondence: T. G. Balshaw (t.g.balshaw@lboro.ac.uk).\nSubmitted 8 May 2024 / Revised 2 July 2024 / Accepted 16 July 2024\nwww.jappl.org 8750-7587/24 Copyright© 2024 The Authors. Licensed underCreative Commons Attribution CC-BY 4.0.\nPublished by the American Physiological Society.\n789\nJ Appl Physiol137: 789–799, 2024.\nFirst published August 15, 2024; doi:10.1152/japplphysiol.00342.2024\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "A rigid-body transformation aligned each T2w image to the respective \nT1w scan for each day. Using ANTs deformable registration, the T1w \nwas registered to the population atlas. The resulting deformation \nfields were used to resample the data into the space of the left and \nright template MTL ROI. Within each template ROI, each of the T2w \nscans of the atlas package was registered to that day’s T2w scan. The \nmanual atlas segmentations were then mapped into the space of the \nT2w scan, with segmentation of the T2w scan computed using joint \nlabel fusion69. Finally, the corrective learning classifiers contained in \nASHS were applied to the consensus segmentation produced by joint \nlabel fusion. The output of this step is a corrected segmentation of \nthe T2w scan. Further description of the ASHS protocol can be found \nhere67. T2w scans and segmentations were first visually examined using \nITK-SNAP70 for quality assurance and then subjected to manual editing \nin native space using ITK-SNAP (v.3.8.0-b; C.M.T.). One session (scan \n15, third trimester) was discarded due to erroneous scan orientation. \nThe anterior extent of the segmented labels was anchored 4 mm (two \nslices) anterior to the appearance of the limen insulae, and the posterior \nextent was anchored to the disappearance of hippocampal gray matter \nfrom the trigone of the lateral ventricle. Boundaries between perirhinal, \nentorhinal and parahippocampal cortices were established in keeping \nwith the Olsen–Amaral–Palombo (OAP) segmentation protocol71. In \ninstances where automatic segmentation did not clearly correspond \nto the underlying neuroanatomy, such as when a certain label was \nmissing several gray matter voxels, manual retouching allowed for \nindividual voxels to be added or removed. All results are reported \nusing the manually retouched subregion volumes to ensure the most \nfaithful representation of the underlying neuroanatomy. Scans were \nrandomized and segmentation was performed in a random order, \nblind to pregnancy stage. T o assess intrarater reliability for the pre-\nsent analyses, two days underwent manual editing a second time. The \ngeneralized Dice similarity coefficient72 across subregions was 0.87 \nand the intraclass correlation coefficient was 0.97, suggesting robust \nreliability in segmentation.\nWhite matter microstructure. Diffusion scans were preprocessed using \nthe automation software QSIprep (version 0.16.1) compiled using a \nsingularity container73 and run primarily with the default parameters, \nwith the exceptions ‘–output resolution 1.8’ , ‘–dwi denoise window 5′, \n–force-spatial-normalization’ , ‘–hmc model 3dSHORE’ , ‘–hmc- \ntransform Rigid’ and ‘–shoreline iters 2’ . Twenty-three sessions were \npreprocessed and analyzed, with the remaining three scans excluded \ndue to missing DSI scans (sessions 9 and 15) or corresponding field map \nfor distortion correction (session 7). Despite passing QC assessments \nduring preprocessing, visual inspection of the field maps in session 10 \nrevealed a slight artifact. However, removal of this session had minimal \nimpact on the overall results and remained in the final analyses. T1w \nimages were corrected for intensity nonuniformity (N4BiasFieldCorrec-\ntion) and skull-stripped (antsBrainExtraction). The images underwent \nspatial normalization and registration to the ICBM 152 Nonlinear Asym-\nmetric template. Finally, brain tissue segmentation of CSF , GM and WM \nwas performed on each brain-extracted T1w using FMRIB’s Automated \nSegmentation T ool (FAST). Preprocessing of diffusion images began by \nimplementing MP-PCA denoising with a 5-voxel window using MRtrix3’s \ndwidenoise function. B1 field inhomogeneity was corrected using dwibi-\nascorrect from MRtrix3 with the N4 algorithm. Motion was corrected \nusing the SHORELine method. Susceptibility distortion correction was \nbased on GRE field maps. Preprocessed Nifti scans were prepared for \ntractography using DSI Studio via singularity container version Chen-", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed4.pdf" - }, - { - "text": "The participant underwent a blood draw (n  = 19; Fig. 1c ) before \nMRI scanning. Sex steroid concentrations were determined via \nultra-sensitive liquid chromatography–mass spectrometry at the \nBrigham and Women’s Hospital Research Assay Core (BRAC). Assay \nsensitivities, dynamic range and intra-assay coefficients of variation \nwere as follows: estradiol—1.0 pg ml−1, 1–500 pg ml−1, <5% relative s.d. \n(RSD); progesterone—0.05 ng ml−1, 0.05–10 ng ml−1, 9.33% RSD. Sero-\nlogical samples were not acquired in five sessions due to scheduling \nconflicts with UC Irvine’s Center for Clinical Research.\nMRI acquisition. MRI scanning sessions at the University of Califor -\nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners \nequipped with 64-channel phased-array head/neck coil (of which 50 \ncoils are used for axial brain imaging). High-resolution anatomical scans \nwere acquired using a T1-weighted (T1w) magnetization prepared rapid \ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, \ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, \n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, \nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) \nturbo spin echo scan was also acquired with an oblique coronal orienta-\ntion positioned orthogonally to the main axis of the hippocampus (TR/\nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, \n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi-\ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) \nprotocol sampled the entire brain with the following parameters: \nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, \nb-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm \nvoxel resolution. These images were linearly registered to the \nwhole-brain T1w MPRAGE image. A custom foam headcase was used \nto provide extra padding around the head and neck, as well as to mini-\nmize head motion. Additionally, a custom-built sound-absorbing foam \ngirdle was placed around the participant’s waist to attenuate sound \nnear the fetus during second-trimester and third-trimester scanning.\nImage processing. Cortical volume and thickness. CT and GMV were \nmeasured with Advanced Normalization T ools54 version 2.1.0 (ANTs). \nWe first built a subject-specific template (SST) (antsMultivariateT em-\nplateConstruction2) and tissue priors (antsCookT emplatePriors) \nbased on our participant’s two preconception whole-brain T1-weighted \nscans to examine neuroanatomical changes relative to the participant’s \nprepregnancy baseline. We used labels from the OASIS population \ntemplate, provided by ANTs, as priors for this step. For each session, \nthe structural image was processed and registered to the SST using the \nANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias \nfield correction for field inhomogeneity, then brain extraction using a \nhybrid registration/segmentation method55. Tissue segmentation was \nperformed using Atropos54 to create tissue masks of CSF , gray matter, \nwhite matter and deep gray matter. Atropos allows prior knowledge \nto guide the segmentation algorithm, and we used labels from our SST \nas priors to minimize warping and remain in native participant space. \nCT measurements were then estimated using the DiReCT algorithm56, \nwhich estimates the gray–white matter interface and the gray mat -\nter–CSF interface and computes a diffeomorphic mapping between \nthe two interactions, from which thickness is derived. Each gray matter \ntissue mask was normalized to the template and multiplied to a Jaco-\nbian image that was computed via affine and nonlinear transforms. \nUsing MATLAB (version 2022a), summary, regional-level estimates \nof CT, GMV and CSF for each scan were obtained by taking the first \neigenvariate (akin to a ‘weighted mean’57) across all voxels within each", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "predictions of skeletal muscle mass nor dual-energy X-ray\nabsorptiometry provides detailed information on the size of\nspecific individual muscles. Given the known importance of\nmuscle size as a determinant of muscular strength (9–11), pro-\nnounced muscle size seems likely to be critical to extreme\nhuman strength; however, the speci ficm u s c l es i z eo f\nextremely strong individuals remains unknown. Similarly, a\nlarge moment arm (e.g., of the patella tendon at the knee joint)\ncould contribute to the expression of high muscular strength\n(10, 12), and a large tendon may mitigate the mechanical stress\nit experiences with very high muscular loads, and therefore,\nthese characteristics may also be expected in individuals\nselected for exceptional strength.\nIn this paper, we present thefindings from a unique op-\nportunity to examine the laboratory function, muscle size,\nand distribution of muscle mass, as well as patellar tendon\nsize and moment arm, of a World’s Strongest Man and dead-\nlift champion (WSM) in comparison with existing data on\nuntrained individuals, power athletes (100-m-track sprint-\ners), and long-term resistance-trained populations that we\nhave assessed previously (10, 11, 13– 15).\nMATERIALS AND METHODS\nParticipant\nThe WSM’s achievements included one World’sS t r o n g e s t\nMan title (14 mo prior to measurement), five Britain’s\nStrongest Man titles (the most recent 6 mo prior to measure-\nment), twice being World Deadlift Champion and Deadlift\nW o r l dR e c o r dh o l d e r( 5 0 0k g ;a tt h et i m eo fm e a s u r e m e n t ) ,\nand second place at Europe’s Strongest Man. Prior to agreeing\nto participate, the purpose of the research study and the test-\ning procedures were explained to the participant along with\nthe risks and benefits of taking part. The participant gave his\nwritten informed consent to participate in the study that was\napproved by the Loughborough University Ethical Advisory\nCommittee (Ethics Number R18-P090). Included in the writ-\nten consent was a statement providing permission for publi-\ncation of the collected data and the likelihood that their\nidentity may be evident based on their achievements and\ncharacteristics, despite anonymization.\nTraining History\nThe WSM had been continuously involved in systematic,\nregular upper- and lower-body resistance training for 15 yr at\nthe time of testing. In the 12 mo prior to testing, the partici-\npant’s resistance training consisted of the following typical\nexercises: lower body: squats, deadlifts, leg press, and knee\nextension; and upper body: bench press, shoulder press,\ndumbbell/barbell rows, and lat pull-down. The proportion of\nthe participant’s training within the following repetition\nranges over the last 12 mo was as follows: near maximum\nloads [1– 5 repetition maximum (RM)]: 10%; heavy loads (6–\n14 RM): 80%; and moderate loads (/C21 15 RM): 10%. The partici-\npant reported only occasional (<1/C2 /week) use of advanced\nresistance training practices (i.e., complex training and ac-\ncommodating resistance method) but frequently ( >3/C2 /\nweek) executed training repetitions with the intention to\nmove the load as fast as possible. The WSM’sn u t r i t i o n a l\nsupplement consumption included protein, branched-chain\namino acids, and electrolytes.\nOverview\nThe WSM reported for a single test session that involved\nthe following assessments (listed in order): axial T1 weighted\n3.0-T MRI scans from T12 to the lateral malleolus [to assess\nmuscle size throughout the lower body (left and right sides)],\naxial and sagittal T1-weighted MRI scans of both knees [to\nassess patellar tendon cross-sectional area (CSA) and patellar\ntendon moment arm], maximum countermovement jumps\n(CMJ), and maximum isometric midthigh pulls (IMTPs). The\nmuscle size, patellar tendon CSA, and patellar tendon\nmoment arm of the WSM were compared with various popu-\nlations measured within our laboratory, as indicated in", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "RESEARCH ARTICLE\nMuscle and tendon morphology of a world strongman and deadlift champion\nThomas G. Balshaw,1 Garry J. Massey,1,2\n Robert Miller,1,3,4 Emmet J. McDermott,1,5\nThomas M. Maden-Wilkinson,6 and\n Jonathan P. Folland1\n1School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom;2College of Life\nand Environmental Sciences, University of Exeter, Exeter, United Kingdom;3UK Athletics, Loughborough University,\nLoughborough, United Kingdom;4Department of Sport Science, Aspire Academy, Doha, Qatar;5Department of Physical\nEducation and Sport Sciences, University of Limerick, Limerick, Ireland; and6Academy of Sport and Physical Activity, Faculty\nof Health and Wellbeing, Sheffield Hallam University, Sheffield, United Kingdom\nAbstract\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World’sS t r o n g e s tM a na n dd e a d l i f t\nchampion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following:1)3 . 0 - T\nMRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sec-\ntional area (CSA), and PT moment arm; and2) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The\nWSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature\n(CMJ and IMTP). The WSM’s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than\nany previously published values. The WSM’s overall measured leg muscle volume was approximately twice that of untrained controls\n( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantarflexor group (þ 120%) and the\nguy rope muscles (sartorius, gracilis, and semitendinosus:þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the\nlargest differences relative to that of untrained controls. The WSM’s pronounced quadriceps size (greater than or equal to twofold vs.\nuntrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT\nCSA (þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual,\nwhich may be toward the upper limit of human variation, such that the WSM’s very pronounced lower limb muscularity also exhibited\ndistinct anatomical variability and with muscle size largely uncoupled from tendon size.\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World’s Strongest Man and deadlift\nchampion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the\nextent of muscular development (þ 23–202%): the plantarflexor group and guy rope muscles demonstrating the largest differen-\nces. The WSM’s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella ten-\ndon moment arm (þ 18%) and was uncoupled from patellar tendon size (þ 30%).\nisometric force; magnetic resonance imaging; power; strength\nINTRODUCTION\nFeats of strength have fascinated man since the early stages\nof human civilization, as shown by the archeological evidence\nof inscribed heavy stones at Olympia and Thera in Greece,\ndated to the 6th century BC, detailing the way they were lifted\nby Bybon and Eumastus, respectively (1). Over the centuries,\nmany types of strength competitions have existed; some of\nwhich have been codified and endured within modern sport-\ning competitions (e.g., weightlifting, powerlifting, and shot\np u t ) .I na d d i t i o n ,p r o f e s s i o n a ls t r o n g m a nc o m p e t i t i o n s ,s u c h\nas the annually contested“World’sS t r o n g e s tM a n” event,\ngenerate extensive global interest (2). Moreover, scientific\nunderstanding of muscular strength is important because of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "the load cells across the two platforms) was displayed in\nfront of the participant during the IMTP efforts, and a hori-\nzontal marker was placed on the highest force obtained after\nthe first maximum effort. In the offline analysis, the force\nsignals were low passfiltered (10 Hz using a fourth-order\nzero-lag Butterworthfilter) before summating the force out-\nput from the two platforms to derive overall force produced.\nThe instantaneous highest force during maximum efforts\nwas identified as the measure of gross IMTP peak force (i.e.,\nincluding body weight). Force while the WSM was standing\nupright on the platform at rest (i.e., body weight) was also\nsubtracted from the peak instantaneous force to calculate\nnet IMTP peak force.\nAnalysis and Comparative Data\nMuscle volumes, patellar tendon CSA, and patellar tendon\nmoment arm measurements assessed on both legs of the\nWSM were averaged to provide unilateral criterion values;\nthis facilitated comparisons with various untrained, resist-\nance-trained, and athletic groups previously investigated in\npublished works from our laboratory (10, 11, 13– 15; Table 1).\nIMTP and CMJ values were predominantly compared with\nexisting research literature with the highest comparable male\ndata [e.g., IMTP gross peak force: (18– 25); IMTP net peak force:\n(26– 31); CMJ performed with an arm swing on a force plat-\nform (32– 38)]. Where the numerical values (means and SD)\nfrom previously published studies were not reported, they\nwere extracted using online software (WebPlotDigitizer, ver-\nsion 4.6, https://automeris.io/WebPlotDigitizer). For IMTP\npeak force in cases where it was not clearly stated that body\nweight was subtracted from gross IMTP peak force, measures\nwere assumed to be gross IMTP peak force. Muscle and ten-\ndon morphologyfigures display means ± SD as well as indi-\nvidual participant data for comparative populations, as these\nvalues are from published research from our laboratory. IMTP\npeak force and CMJ outcomefigures display only means ± SD\nvalues for comparative populations, as we relied on published\nvalues from the literature where individual participant values\nwere not typically available.\nRESULTS\nParticipant Descriptives and Anthropometrics\nThe WSM was 30.6 yr old and 1.90 m tall and his body\nmass was 172 kg upon reporting for the laboratory visit. The\nage, height, and body mass of participants from the compar-\native datasets featured in our previously published research\nare presented in Table 1. Age, height, and body mass for\n0 2000 4000 6000 8000 1000012000\nUntrained controls (n=39) (14)\nPhysically active college students (n=25) (38)\nInternational gymnasts (n=5) (37)\nCollegiate athletes* (n=69) (36)\nProfessional Australian rules footballers (n=14) (35)\nVarsity rugby union players (n=18) (34)\nProfessional basketballers (n=10) (33)\nProfessional basketballers (n=13) (32)\nWSM\nCMJ peak power (W)\nC\n0 2 04 06 08 0\nPhysically active college students (n=25) (38)\nProfessional basketballers (n=10) (33)\nProfessional Australian rules footballers (n=14) (35)\nUntrained controls (n=39) (14)\nProfessional basketballers (n=13) (32)\nVarsity rugby union players (n=18) (34)\nCollegiate athletes* (n=69) (36)\nInternational gymnasts (n=5) (37)\nWSM\nCMJ height (cm)\n0 2000 4000 6000 8000 10000\nStrength-trained population* (n=13) (25)\nCollege athletes* (n=11) (24)\nExperienced weightlifters (n=5) (18)\nInternational level weightlifters (n=9) (23)\nCompetitive weighlifters (n=31) (19)\nCompetitive powerlifters (n=14) (22)\nCompetitive weightlifters (n=4) (21)\nSub-elite weightlifters (n=10) (20)\nWSM\nGross IMTP peak force (N)\nA\nD\nB\n0 2000 4000 6000 8000\nResistance-trained population (n=8) (31)\nCollegiate rugby union athletes (n=15) (30)\nCollegiate weightlifters (n=8) (29)\nInternational Rugby union backs (n=14) (27)\nSpecial Forces Selection Candidates (n=59) (28)\nInternational rugby union forwards (n=15) (27)\nCollegiate baseball players (n=28) (26)\nCollegiate soccer players (n=23) (26)\nWSM\nNet IMTP peak force (N)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - }, - { - "text": "adjustment to different heights. A bar height producing a\nknee joint angle of 145/C14 (measured by a manual goniometer)\nwas selected, and the participant was instructed to keep his\ntorso upright while completing the IMTP efforts. Two cali-\nbrated 10-kN-capacity force platforms (model 9286B, Kistler\nInstruments, Ltd., London, UK), one underneath each foot,\nwere placed on top of the isometric rig’sb a s ep l a t e ,a n dv e r t i -\ncal force signals from the eight individual load cells across the\ntwo force platforms were outputted (External Control Unit\nmodel 5233 A, Kistler Instruments, Ltd.) and sampled at 2,000\nHz using an external analog-to-digital converter (Micro 1401;\nCED, Cambridge, UK) and recorded with Spike 2 computer\nsoftware (CED, Cambridge, UK).\nFollowing a warm-up consisting of a series of incremental\nwarm-up contractions of/C24 5 s duration ranging from 50% to\n90% of maximum perceived effort, two maximum IMTP\nefforts of 3– 5 s duration were performed under the instruc-\ntion to“pull as hard as possible.” Six minutes separated the\nmaximum efforts, based on a self-selected recovery period.\nWrist wraps were worn to remove the influence of grip\nstrength from the assessment. Real-time overall feedback\nfrom the force platforms (the sum of the force signals from\nFigure 1.Example axial MRI images from\nthe World’s Strongest Man and deadlift\nchampion (WSM; A–C) and an untrained\ncontrol participant ( D–F) from the hip\n(A and D), thigh (B and E), and lower leg (C\nand F). Image location relative to femur\nand shank length was matched between\nthe WSM and the untrained control as fol-\nlows: hip image is at approximately midfe-\nmoral head, thigh image is at/C24 52% of\nfemur length (0% is distal end of femur,\n100% is greater trochanter), and lower leg\nimage is at/C24 70% of shank length (0% is\nlateral malleolus, 100% is proximal end of\ntibia). The untrained control participant\ndisplayed was from the work by Miller et al.\n(13) and had a total measured muscle vol-\nume of all measured muscles that was 5.1%\nsmaller than the mean of the untrained\ngroup within that study.\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n792 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What is typical age at which multiple sclerosis is diagnosed ?", - "target_page": 2, - "target_passage": "Multiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of ag", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written\ninformed consent to participate in this study.\nAuthor contributions\nSD: Conceptualization, Data curation, Formal Analysis,\nInvestigation, Methodology, Project administration, Resources,\nVisualization, Writing – original draft, Writing – review &\nediting. EA: Conceptualization, Formal Analysis, Methodology,\nSupervision, Writing – review & editing. BN: Conceptualization,\nFormal Analysis, Funding acquisition, Methodology, Project\nadministration, Resources, Supervision, Writing– review & editing.\nFunding\nThe author(s) declare thatfinancial support was received for\nthe research, authorship, and/or publication of this article.\nThe development of the CoreDISTparticipation and the RCT is\nfunded by the Northern Norway Health Authority (Helse Nord\nRHF). This interview study was funded by Nord University\n(PhD salary).\nAcknowledgments\nThe authors would like to thank the participants in this study\nand the user representatives from Nordland MS Association for\ntheir valuable contributions. The authors also acknowledge\nphilosopher of the mind and cognitive sciences Hanne De\nJaegher for the valuable comments on the interpretations and\ndiscussions of the results.\nConflict of interest\nThe authors declare that the research was conducted in the\nabsence of any commercial or financial relationships that could\nbe construed as a potential conflict of interest.\nPublisher’s note\nAll claims expressed in this article are solely those of the authors\nand do not necessarily represent those of their affiliated organizations,\nor those of the publisher, the editors and the reviewers. Any product\nthat may be evaluated in this article, or claim that may be made by its\nmanufacturer, is not guaranteed or endorsed by the publisher.\nReferences\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising\nprevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third\nedition.Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in\npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28\n(9):1960–9. doi: 10.1111/sms.13214\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less\nphysically active than healthy controls but as active as those with other chronic\ndiseases: an updated meta-analysis.Mult Scler Relat Disord . (2017) 13:38 –43.\ndoi: 10.1016/j.msard.2017.01.016\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia\n(ESSA) position statement on exercise for people with mild to moderate multiple\nsclerosis.J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG.\nExercise as medicine in multiple sclerosis— time for a paradigm shift: preventive,\nsymptomatic, and disease-modifying aspects and perspectives.Curr Neurol Neurosci\nRep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF,\nGaemelke T, et al. Investigating the potential disease-modifying and neuroprotective\nefficacy of exercise therapy early in the disease course of multiple sclerosis: the early\nmultiple sclerosis exercise study (EMSES).Mult Scler. (2022) 28(10):1620–9. doi: 10.\n1177/13524585221079200\n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and\nlifestyle physical activity recommendations for people with multiple sclerosis\nthroughout the disease course.Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/\n1352458520915629\n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ,\net al. Test-retest reliability and known-groups validity of trunk muscle tests in people\nwith multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "with multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049\n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of\ntrunk impairments and its relationship with disability level in individuals with\nmultiple sclerosis?Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard.\n2021.103325\n10. Normann B, Arntzen EC. What are the relationships between trunk control,\nbalance and walking in individuals with multiple sclerosis with minor to moderate\ndisability?Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the\nrelationship between trunk motor control and balance, functional mobility, and gait\ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor\nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin\nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple\nsclerosis: a review and content analysis of qualitative research identifying perceived\ndeterminants and consequences.Disabil Rehabil. (2016) 38(13):1227–42. doi: 10.\n3109/09638288.2015.1077397\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing\nsensorimotor function, physical activity and employment for people with MS— a\nfeasibility study. Fysioterapeuten. (2023) 90(1):32 –42. doi: 10.52705/\nc14a8ca05f7546dabc18bd0275cf2edd\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based,\nindividualized, comprehensive core stability and balance intervention provides\nimmediate and long-term improvements in walking in individuals with multiple\nsclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798.\ndoi: 10.1002/pri.1798\n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Group-\nbased individualized comprehensive core stability intervention improves balance in\npersons with multiple sclerosis: a randomized controlled trial.Phys Ther. (2019) 99\n(8):1027–38. doi: 10.1093/ptj/pzz017\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized\nexercises can provide perceived bodily changes and strengthen aspects of self in\nindividuals with MS: a qualitative interview study.Physiother Theory Pract. (2019)\n37(10):1080–95. doi: 10.1080/09593985.2019.1683923\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The\nimportance of the patient’s perspective in decision-making in multiple sclerosis:\nresults of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023)\n75:104757. doi: 10.1016/j.msard.2023.104757\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity:\nimplications for rehabilitation after brain damage.J Speech Lang Hear Res. (2008)\n51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n19. Thompson E.Mind in Life: Biology, Phenomenology, and The Sciences of Mind.\nCambridge, Mass: Harvard University Press (2007).\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics\n(2008).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 10 frontiersin.org", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "cluser severity groups in multiple sclerosis?Disabil Health J. (2021) 14(4):101163.\ndoi: 10.1016/j.dhjo.2021.101163\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative\nreview of history, benefits, safety, guidelines, and promotion. Int J Environ Res\nPublic Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical\nactivity interventions among persons with multiple sclerosis. Neurorehabil Neural\nRepair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity infitness,\nmobility and cognition with exercise-training in MS.Acta Neurol Scand. (2019) 139\n(2):183–91. doi: 10.1111/ane.13041\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based,\nindividualized physiotherapy intervention for people with multiple sclerosis: a\nqualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n44. Normann B. Facilitation of movement: new perspectives provide expanded\ninsights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78.\ndoi: 10.1080/09593985.2018.1493165\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in\nphysical therapy. Physiother Theory Pract . (2015) 31(4):244 –52. doi: 10.3109/\n09593985.2014.1002873\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported\nphysical activity correlates in Swedish adults with multiple sclerosis: a\ncross-sectional study.BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-017-\n0981-4\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for\npersons with multiple sclerosis: a review and agenda for future research.Int J MS\nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n48. Creswell JW, Poth CN.Qualitative Inquiry & Research Design: Choosing Among\nFive Approaches. 4th ed. California: Sage (2018).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 11 frontiersin.org", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 10 \n \nbefore 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests. \n \nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 20 \n \nTable 9: Table showing the age breakdown of individuals testing positive for opiates-only or \npositive-for-both as a proportion of all individuals first testing positive in that year. \nYear of \nfirst test \nAge \n18 - 24 \nAge \n25 - 29 \nAge \n30 - 34 \nAge \n35 - 39 \nAge \n40 over \n \nTotal \n2004 26% 27% 24% 16% 7% 100% \n2005 23% 27% 24% 17% 9% 100% \n2006 25% 26% 22% 17% 11% 100% \n2007 24% 25% 21% 16% 13% 100% \n2008 21% 23% 21% 18% 16% 100% \n2009 23% 22% 20% 17% 18% 100% \n2010 22% 21% 20% 17% 20% 100% \n2011 22% 19% 20% 16% 22% 100% \n2012 19% 20% 22% 17% 23% 100% \n2013 17% 20% 22% 16% 25% 100% \n \nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the \nnumber and the proportion of new positive testers. However, the proportion of those aged 40+ \nhas consistently risen and now constitutes the largest group of all new individuals testing \npositive. \nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very \ndifferent age profile to that we would expect from a cohort of recent initiates. It is far older, \nsuggesting again that many of those are actually pre-existing users only tested (positively) for \nthe first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence \ndemonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to \nbe longer-term users who have only been first arrested in 2013, rather than genuinely new \nOCUs. \nIn the next section, analysis will examine whether there has been a possible shift towards an \nolder profile amongst new initiates. But even taking this into account, it is unlikely that the \nmajority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 \nbelow, which compares the age-of-initiation curve from Figure 11 (in the next section) to the \n2013 ‘new-individuals’ cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team\nincluded three individuals representing users from the Nordland\nMS Association, along with an MS nurse and a neurologist from\nthe MS-outpatient clinic, and three physiotherapists/ researchers.\n2.4 Research team and reflexivity\nAll researchers on the team are clinical specialists in\nneurological physiotherapy. BN and ECA developed the\nCoreDISTparticipation intervention, and SSHD contributed to\nthe development of the outdoor part.\nThe researchers ’ closeness to the intervention and the\nclinical field may have strengthened the depth and relevance\nof their interpretations in this study ( 27), as it was easy to\nunderstand what participan ts described and helped form\nfollow-up questions during the interviews. However, closeness\nm a ya l s op r o d u c ear i s ko f“blind spots ”, as the researchers\nmay prejudice participants ’ experiences, omitting questions\nwhere the answers are believed to be obvious ( 27). Thus,\nthroughout the process, trustworthiness and rigor were\nenhanced by discussing the methodology, findings, and\ninterpretations with external res earchers (including specialists\nin enactive theory), as well as user representatives. The\npresented theoretical framework (enactive theory) enhanced\nthe distance to the material, as recommended in qualitative\nresearch (28).\n2.5 Recruitment and participants\nPrior to recruitment, the study was introduced to individuals\nwith multiple sclerosis (pwMS) through a seminar hosted by the\nNordland MS Association. Additionally, seminars were\nconducted for health professionals in community healthcare and\nat the regional hospital. Written information about this study\n(and the RCT) was sent from the MS clinic at the regional\nhospital by post to all eligible individuals af filiated with the\nhospital. Individuals who wished to participate signed the\nattached consent form and returned it in the pre-stamped\nenvelope. The inclusion criteria were as follows: had been\ndiagnosed with MS, had a score on the Expanded Disability\nStatus Scale (EDSS) (29)o f ≤3.5, was ≥18 years, was employed\n(10%–100% of full-time) and residential address in the two\npredefined municipalities. The exclusion criteria were as follows:\npregnancy, exacerbation of symptoms within two weeks prior to\nenrollment and other serious conditions compromising balance,\nwalking or work capacity. All participants in the intervention\ngroup of the RCT (n = 15) were included (Table 3).\n2.6 Data collection\nThe interview guide (Table 4) was developed based on literature\nreviews, clinical experience and discussions within the research\ngroup and with user representatives. Two test interviews were\nconducted (with pwMS who were not part of the sample), and the\ninterview guide was then refined around the following themes:\noverall experience and re flections from participation, content,\noutdoor setting, the group, and the physiotherapists. Questions\nwere open-ended to capture rich, in-depth reflections regarding\nparticipants’ experiences, following a phenomenological approach.\nThe interviewer asked for both negative and positive experiences\nTABLE 4 Interview guide.\nTheme Potential questions\nOverall experiences and\nreflections from participation\nGenerally, what are your main experiences of\nparticipation?\nWhat did you perceive as meaningful?\nWhat did you perceive as negative?\nContent How did you experience:\n The content of the sessions in general\n The high-intensity walking/running\n The specific exercises\n The combination of specific exercises and\nintervals of running/walking\n The exercise intensity\nHow did you respond to the exercises? How did\nyou experience getting tired?\nHow do you perceive your specific movement\nimpairments (if any) being addressed?\nPlease elaborate on situations where you\nexperienced the feeling of mastery/failure.\nIf anything: What was challenging? What would\nyou prefer to have been done differently? What\ndid you enjoy?\nWhat was the value of participating in the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "926–933 (2010).\n42. Lövdén, M. et al. Experience-dependent plasticity of white-matter \nmicrostructure extends into old age. Neuropsychologia 48, \n3878–3883 (2010).\n43. Bethlehem, R. A. et al. Brain charts for the human lifespan. Nature \n604, 525–533 (2022).\n44. Tooley, U. A., Bassett, D. S. & Mackey, A. P. Environmental \ninfluences on the pace of brain development. Nat. Rev. Neurosci. \n22, 372–384 (2021).\n45. Wang, Z. et al. Mapping global prevalence of depression among \npostpartum women. Transl. Psychiatry 11, 543 (2021).\n46. Deligiannidis, K. M. et al. Zuranolone for the treatment of \npostpartum depression. Am. J. Psychiatry 180, 668–675 (2023).\n47. Shehata, H. A. & Okosun, H. Neurological disorders in pregnancy. \nCurr. Opin. Obstet. Gynecol. 16, 117–122 (2004).\n48. Mowinckel, A. M. & Vidal-Piñeiro, D. Visualization of brain statistics \nwith R packages ggseg and ggseg3d. Adv. Methods Pract. \nPsychol. Sci. 3, 466–483 (2020).\nPublisher’s note Springer Nature remains neutral with regard to \njurisdictional claims in published maps and institutional affiliations.\nOpen Access This article is licensed under a Creative Commons \nAttribution 4.0 International License, which permits use, sharing, \nadaptation, distribution and reproduction in any medium or format, \nas long as you give appropriate credit to the original author(s) and the \nsource, provide a link to the Creative Commons licence, and indicate \nif changes were made. The images or other third party material in this \narticle are included in the article’s Creative Commons licence, unless \nindicated otherwise in a credit line to the material. If material is not \nincluded in the article’s Creative Commons licence and your intended \nuse is not permitted by statutory regulation or exceeds the permitted \nuse, you will need to obtain permission directly from the copyright \nholder. To view a copy of this licence, visit http://creativecommons.\norg/licenses/by/4.0/.\n© The Author(s) 2024", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 29 \n \nFigure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 \nand 2013, by age of individual at first presentation. \n \nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age \nprofile throughout. Rises in average age of initiation have also been reported recently in cohorts \nof Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible \nexplanations. \n There is a genuine shift towards new initiates being older, and for them to present to \ntreatment much faster than in previous years. \n There is a consistent, but small number of individuals who mis-report their age of onset \nwhen attending treatment i.e. who report that they have only been using opiates/crack for \na short period when in fact they have been using for a far longer period, and that this is \nstarting to really bias the numbers for recent cohorts because attendees from the original \nepidemic are becoming smaller. \nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of \nolder initiates, although mis-reporting may also explain that phenomenon. Either way though, as \nthis analysis has made clear throughout, absolute numbers of new OCUs appear to be small – \nprobably fewer than 10,000 per annum and the numbers of those involved with crime will be \nsmaller still. In addition, despite a flattening in the probable trend in new users, there is currently \nno sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to \nresume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "prerecorded message then inquired whether any house-\nhold member was $ 18 years of age and had experi-\nenced respiratory symptoms (eg, shortness of breath,\nwheezing, increased mucus or sputum, prolonged\ncough) within the past 6 months. Households with affir-\nmative responses were subsequently contacted by the\nlocal study coordinator for a follow-up call. The house-\nhold member reporting respiratory symptoms was\nverbally consented and screened for eligibility to partic-\nipate in the study over the telephone.8,9\nExclusion criteria included the following: (1) a history of\ndiagnosis of lung or airway disease, (2) use of respiratory\ninhalers aside from as-needed salbutamol, (3) contrain-\ndications for spirometry (eg, occurrences of myocardial\ninfarction, stroke, aortic or cerebral aneurysm, eye sur-\ngery, detached retina within the last 3 months), (4)\ninability or refusal to provide informed consent, (5) be-\ning in the third trimester of pregnancy, and (6) being<\n18 years of age.\nEach participant completed the Asthma Screening Ques-\ntionnaire (ASQ)10 via telephone. Individuals aged$ 60\nyears, and those aged< 60 years who scored< 6 points\non the ASQ, also completed the COPD-Diagnostic\nQuestionnaire.11,12 Participants scoring $ 6 points on\nthe ASQ or$ 20 points on the COPD-Diagnostic Ques-\ntionnaire were invited to the study site for pre- and post-\nbronchodilator (BD) spirometry.\nA control group without respiratory symptoms was\nselected randomly using identical random digit dialing\nmethods. Control patients reported no respiratory\nsymptoms in the preceding 6 months and obtained a\nscore of 0 on the ASQ. Participants were recruited as\ncontrol patients if they could be matched with an indi-\nvidual from the undiagnosed group based on age (/C6 5\nyears) and sex. This matching process aimed to have\nsimilar demographic profiles between the control group\nand the newly found cases. This matching was imple-\nmented solely to ensure demographic comparability\nacross the study groups and not for pairing patients\nfor statistical analysis purposes.\nAll participants filled out the COPD Assessment Test\n(CAT) questionnaire. Elevated CAT scores indicate a\ngreater burden of respiratory symptoms impacting\ndaily activities and health status. 13 The St. George ’s\nRespiratory Questionnaire (SGRQ) 14-16 was used to\nassess respiratory disease-related quality of life. Higher\nSGRQ scores indicate poorer health status. Both the\nCAT and SGRQ questionnaires were completed prior\nto spirometry to avoid influencing patients’ perceptions\nof their dyspnea.\nClassification of Undiagnosed Cases\nCertified study personnel administered spirometry tests\nbefore and after BD use. Participants showing an in-\ncrease of at least 12% and 200 mL in their FEV1 after\nreceiving 400mg of salbutamol were classified as having\nspirometry indicative of asthma.17 Those whose post-BD\nratio of FEV1/FVC fell below the lower 95% confidence\nlimit (ie, FEV1/FVC < lower limit of normal) were clas-\nsified as having spirometry indicative of COPD.18 Partic-\nipants meeting the criteria for both conditions were\nlabeled as having COPD. Those with a post-BD\nFEV1 < 80% of the predicted normal and a post-BD\nFEV1/FVC ratio > 0.70 were classi fied as having\nspirometry indicative of preserved ratio impaired\nspirometry (PRISm). PRISm was de fined based on\npost-BD spirometry values for a more specific classifica-\ntion.19 Participants not meeting criteria for asthma,\nCOPD, or PRISm were labeled as having normal\nspirometry.\nAssessment of the Impact of Participants’ Dyspnea\nAlthough neither the CAT nor the SGRQ are dyspnea-\nspecific tools, both are recommended by the Global Initia-\ntive for Chronic Obstructive Lung Disease to evaluate\nsymptoms, including dyspnea,20 and both yield a richer\nassessment of dyspnea than the modi fied Medical\nResearch Council breathlessness scale.20 Fifteen questions\nwere taken from the CAT and SGRQ questionnaires that\nreferred to individuals’ experiences with dyspnea, and a", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "However, 1,415 either did not attend or were unable to\ncomplete adequate spirometry. Ultimately, 2,857 (67%)\nof those eligible underwent both pre- and post-BD\nspirometry.\nOf these 2,857 participants, 2,090 (73.2%) had normal\nspirometry, 265 (9.3%) had undiagnosed asthma, 330\n(11.5%) had undiagnosed COPD, and 172 (6.0%) had\nPRISm based on post-BD spirometry. Of the 595\nindividuals with spirometric evidence of asthma or\nCOPD, 253 were independently assessed by a\npulmonologist. In 245 of these 253 cases (97%), the\nindependent physician diagnosis agreed with the study\ndiagnosis of asthma or COPD.\nIndividuals in the COPD group were generally older\na n dm o r el i k e l yt ob em a l ec o m p a r e dw i t ha l lo t h e r\nstudy groups (Table 1). All groups, including healthy\ncontrol participants, had mean BMIs in the overweight\no ro b e s er a n g e s .T h eP R I S mg r o u pw a sh e a v i e s tw i t ha n\naverage BMI of 34.7, and 22% of PRISm patients met\nBMI criteria for morbid obesity. Compared with all\nother groups, those with COPD were the most likely to\nhave active or previous tobacco use, with the highest\naverage total pack-years of 32.7. The control group had\nthe lowest number of people with active or previous\ntobacco use.\nTable 2 shows mean responses to the 15 dyspnea\nquestions for each disease classification and presents\nquestion weights (PCA scoring coefficients) used for\ncalculating the dyspnea impact assessment.\nIndividuals with PRISm reported the highest dyspnea\nimpact, with a significantly greater mean score (63.0;\n95% CI, 59.5-66.4) than those with undiagnosed\nasthma or COPD (Table 3). Those with undiagnosed\nasthma or COPD had similar mean scores (56.6;\n95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9,\nrespectively), followed by those with normal\nspirometry (51.8; 95% CI, 50.7-52.8). All four groups\nreported significantly more impactful dyspnea than\nthe control group (mean score, 13.8; 95% CI, 11.8-\n15.7). Table 3 shows between-group differences in\nmean dyspnea impact assessments for each pair of\ndisease outcomes. Figure 2 compares box plots of the\ndyspnea impact assessment values across disease\nclassifications.\nTable 4 presents the association of dyspnea with\npatient-speci fic risk factors. Dyspnea impact increased\nwith younger age, being female, higher BMI, higher\nsmoking and smoke exposure history, and total work\nTABLE 2] (Continued)\nQuestions About Dyspnea From CAT and SGRQ\nControl Group\n(n ¼ 231)\nNormal Spirometry\nGroup (n ¼ 2,090)\nAsthma Group\n(n ¼ 265)\nCOPD Group\n(n ¼ 330)\nPRISm Group\n(n ¼ 172)\nQ13 (weight¼ 0.132) My breathing makes it dif ficult to do things such as\nclimbing up hills, carrying things up stairs, light\ngardening such as weeding, dancing, bowling, orgolfing, %\n85 45 9 6 9 7 4\nQ14 (weight¼ 0.123) My breathing makes it dif ficult to do things such as\ncarrying heavy loads, digging the garden or shoveling\nsnow, jogging, or walking at 5 km/h, playing tennis orswimming, %\n13 65 71 78 81\nQ15 (weight¼ 0.108) My breathing makes it dif ficult to do things such as very\nheavy manual work, running, cycling, swimming fast,\nor playing competitive sports, %\n17 74 79 85 88\nData are presented as mean (SD) for Q1, Q2, and Q3 (total), and Q3 to Q15 were presented to participants as yes or no questions, where percentages of participants who answered yes are shown. Question weights\n(principal component analysis scoring coefficients) used for calculating the dyspnea assessment are shown below individual questions. CAT¼ COPD Assessment Test; PRISm¼ preserved ratio impaired spirometry;\nQ ¼ question; SGRQ ¼ St. George’s Respiratory Questionnaire.\n1302 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What was the average year of the group that participated to the study concerning the impact of outdoor pysiotherapy on patient with multiple sclerosis", - "target_page": 4, - "target_passage": "Age in years Mean 47.6", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "cluser severity groups in multiple sclerosis?Disabil Health J. (2021) 14(4):101163.\ndoi: 10.1016/j.dhjo.2021.101163\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative\nreview of history, benefits, safety, guidelines, and promotion. Int J Environ Res\nPublic Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical\nactivity interventions among persons with multiple sclerosis. Neurorehabil Neural\nRepair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity infitness,\nmobility and cognition with exercise-training in MS.Acta Neurol Scand. (2019) 139\n(2):183–91. doi: 10.1111/ane.13041\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based,\nindividualized physiotherapy intervention for people with multiple sclerosis: a\nqualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n44. Normann B. Facilitation of movement: new perspectives provide expanded\ninsights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78.\ndoi: 10.1080/09593985.2018.1493165\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in\nphysical therapy. Physiother Theory Pract . (2015) 31(4):244 –52. doi: 10.3109/\n09593985.2014.1002873\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported\nphysical activity correlates in Swedish adults with multiple sclerosis: a\ncross-sectional study.BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-017-\n0981-4\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for\npersons with multiple sclerosis: a review and agenda for future research.Int J MS\nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n48. Creswell JW, Poth CN.Qualitative Inquiry & Research Design: Choosing Among\nFive Approaches. 4th ed. California: Sage (2018).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 11 frontiersin.org", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team\nincluded three individuals representing users from the Nordland\nMS Association, along with an MS nurse and a neurologist from\nthe MS-outpatient clinic, and three physiotherapists/ researchers.\n2.4 Research team and reflexivity\nAll researchers on the team are clinical specialists in\nneurological physiotherapy. BN and ECA developed the\nCoreDISTparticipation intervention, and SSHD contributed to\nthe development of the outdoor part.\nThe researchers ’ closeness to the intervention and the\nclinical field may have strengthened the depth and relevance\nof their interpretations in this study ( 27), as it was easy to\nunderstand what participan ts described and helped form\nfollow-up questions during the interviews. However, closeness\nm a ya l s op r o d u c ear i s ko f“blind spots ”, as the researchers\nmay prejudice participants ’ experiences, omitting questions\nwhere the answers are believed to be obvious ( 27). Thus,\nthroughout the process, trustworthiness and rigor were\nenhanced by discussing the methodology, findings, and\ninterpretations with external res earchers (including specialists\nin enactive theory), as well as user representatives. The\npresented theoretical framework (enactive theory) enhanced\nthe distance to the material, as recommended in qualitative\nresearch (28).\n2.5 Recruitment and participants\nPrior to recruitment, the study was introduced to individuals\nwith multiple sclerosis (pwMS) through a seminar hosted by the\nNordland MS Association. Additionally, seminars were\nconducted for health professionals in community healthcare and\nat the regional hospital. Written information about this study\n(and the RCT) was sent from the MS clinic at the regional\nhospital by post to all eligible individuals af filiated with the\nhospital. Individuals who wished to participate signed the\nattached consent form and returned it in the pre-stamped\nenvelope. The inclusion criteria were as follows: had been\ndiagnosed with MS, had a score on the Expanded Disability\nStatus Scale (EDSS) (29)o f ≤3.5, was ≥18 years, was employed\n(10%–100% of full-time) and residential address in the two\npredefined municipalities. The exclusion criteria were as follows:\npregnancy, exacerbation of symptoms within two weeks prior to\nenrollment and other serious conditions compromising balance,\nwalking or work capacity. All participants in the intervention\ngroup of the RCT (n = 15) were included (Table 3).\n2.6 Data collection\nThe interview guide (Table 4) was developed based on literature\nreviews, clinical experience and discussions within the research\ngroup and with user representatives. Two test interviews were\nconducted (with pwMS who were not part of the sample), and the\ninterview guide was then refined around the following themes:\noverall experience and re flections from participation, content,\noutdoor setting, the group, and the physiotherapists. Questions\nwere open-ended to capture rich, in-depth reflections regarding\nparticipants’ experiences, following a phenomenological approach.\nThe interviewer asked for both negative and positive experiences\nTABLE 4 Interview guide.\nTheme Potential questions\nOverall experiences and\nreflections from participation\nGenerally, what are your main experiences of\nparticipation?\nWhat did you perceive as meaningful?\nWhat did you perceive as negative?\nContent How did you experience:\n The content of the sessions in general\n The high-intensity walking/running\n The specific exercises\n The combination of specific exercises and\nintervals of running/walking\n The exercise intensity\nHow did you respond to the exercises? How did\nyou experience getting tired?\nHow do you perceive your specific movement\nimpairments (if any) being addressed?\nPlease elaborate on situations where you\nexperienced the feeling of mastery/failure.\nIf anything: What was challenging? What would\nyou prefer to have been done differently? What\ndid you enjoy?\nWhat was the value of participating in the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "EDITED BY\nJacqui H Morris,\nUniversity of Dundee, United Kingdom\nREVIEWED BY\nNicola Saywell,\nAuckland University of Technology,\nNew Zealand\nVerna Stavric,\nAuckland University of Technology,\nNew Zealand\n*CORRESPONDENCE\nStine Susanne Haakonsen Dahl\nstine.s.dahl@nord.no\nRECEIVED 27 September 2023\nACCEPTED 06 March 2024\nPUBLISHED 18 March 2024\nCITATION\nDahl SSH, Arntzen EC and Normann B (2024)\nThe meaningfulness ofexploring one’s own\nlimits through interactions and enjoyment in\noutdoor high-intensity physiotherapy for\npeople with multiple sclerosis: a qualitative\nstudy.\nFront. Rehabil. Sci. 5:1303094.\ndoi: 10.3389/fresc.2024.1303094\nCOPYRIGHT\n© 2024 Dahl, Arntzen and Normann. This is an\nopen-access article distributed under the\nterms of theCreative Commons Attribution\nLicense (CC BY). The use, distribution or\nreproduction in other forums is permitted,\nprovided the original author(s) and the\ncopyright owner(s) are credited and that the\noriginal publication in this journal is cited, in\naccordance with accepted academic practice.\nNo use, distribution or reproduction is\npermitted which does not comply with\nthese terms.\nThe meaningfulness ofexploring\none’s own limitsthrough\ninteractions and enjoyment\nin outdoor high-intensity\nphysiotherapy for people\nwith multiple sclerosis: a\nqualitative study\nStine Susanne Haakonsen Dahl\n1*, Ellen Christin Arntzen\n1\nand\nBritt Normann\n1,2\n1Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway,2Department of Physiotherapy,\nNordland Hospital Trust, Bodø, Norway\nBackground and purpose:Physical activity (PA) is often reduced in people with\nMS (pwMS), even when disability is low. Understanding the perspectives of pwMS\non interventions aiming to improve PA is important to inform the development\nof such services. The aim of this study was to explore the experiences\nof pwMS participating in an outdoor, high-intensity and balance exercise\ngroup intervention.\nMethods: This qualitative study was nested within an RCT exploring a novel\nintervention integrating sensorimotor exercises with high-intensity intervals of\nrunning/walking. Individual, in-depth interviews with the intervention group\n(n = 15; 12 women, 3 men; age 38– 66; EDSS score 0– 3.5) were conducted\npostintervention (mean days = 14), analyzed using a phenomenological-\ninspired approach with systematic text condensation, and interpreted based on\nenactive theory.\nResults:Four categories were generated: (1)Exploration of one’s own physical\nabilities: Challenging one’s own limits was perceived by all participants to\nimprove movement performance and/or intensity level. Such bodily changes\nengendered strong positive feelings. Some negative consequences of high-\nintensity training were described, increasing a feeling of loss. (2)New insights\nand beliefs: Participants experienced enhanced beliefs in their own\ncapabilities, which they integrated in activities outside the intervention. (3)An\nengaging environment: The group setting was perceived as supportive, and\nthe outdoor environment was perceived as stimulating activity. (4)Professional\nleadership, tailoring and co-creation of enjoyment: Physiotherapist-led,\nindividualized interactions were regarded as necessary to safely revisit prior\nactivities, such as running. Co-creating enjoyment facilitated high-intensity\ntraining and intervention adherence.\nTYPE Original Research\nPUBLISHED 18 March 2024\n| DOI 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 01 frontiersin.org", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "institutional requirements. The participants provided their written\ninformed consent to participate in this study.\nAuthor contributions\nSD: Conceptualization, Data curation, Formal Analysis,\nInvestigation, Methodology, Project administration, Resources,\nVisualization, Writing – original draft, Writing – review &\nediting. EA: Conceptualization, Formal Analysis, Methodology,\nSupervision, Writing – review & editing. BN: Conceptualization,\nFormal Analysis, Funding acquisition, Methodology, Project\nadministration, Resources, Supervision, Writing– review & editing.\nFunding\nThe author(s) declare thatfinancial support was received for\nthe research, authorship, and/or publication of this article.\nThe development of the CoreDISTparticipation and the RCT is\nfunded by the Northern Norway Health Authority (Helse Nord\nRHF). This interview study was funded by Nord University\n(PhD salary).\nAcknowledgments\nThe authors would like to thank the participants in this study\nand the user representatives from Nordland MS Association for\ntheir valuable contributions. The authors also acknowledge\nphilosopher of the mind and cognitive sciences Hanne De\nJaegher for the valuable comments on the interpretations and\ndiscussions of the results.\nConflict of interest\nThe authors declare that the research was conducted in the\nabsence of any commercial or financial relationships that could\nbe construed as a potential conflict of interest.\nPublisher’s note\nAll claims expressed in this article are solely those of the authors\nand do not necessarily represent those of their affiliated organizations,\nor those of the publisher, the editors and the reviewers. Any product\nthat may be evaluated in this article, or claim that may be made by its\nmanufacturer, is not guaranteed or endorsed by the publisher.\nReferences\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising\nprevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third\nedition.Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in\npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28\n(9):1960–9. doi: 10.1111/sms.13214\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less\nphysically active than healthy controls but as active as those with other chronic\ndiseases: an updated meta-analysis.Mult Scler Relat Disord . (2017) 13:38 –43.\ndoi: 10.1016/j.msard.2017.01.016\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia\n(ESSA) position statement on exercise for people with mild to moderate multiple\nsclerosis.J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG.\nExercise as medicine in multiple sclerosis— time for a paradigm shift: preventive,\nsymptomatic, and disease-modifying aspects and perspectives.Curr Neurol Neurosci\nRep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF,\nGaemelke T, et al. Investigating the potential disease-modifying and neuroprotective\nefficacy of exercise therapy early in the disease course of multiple sclerosis: the early\nmultiple sclerosis exercise study (EMSES).Mult Scler. (2022) 28(10):1620–9. doi: 10.\n1177/13524585221079200\n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and\nlifestyle physical activity recommendations for people with multiple sclerosis\nthroughout the disease course.Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/\n1352458520915629\n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ,\net al. Test-retest reliability and known-groups validity of trunk muscle tests in people\nwith multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42).\nHowever, our findings illuminate qualitative aspects of how to\nachieve tailored and meaningful intersubjective interactions in an\nexercise intervention.\nWe consider the instances of the physiotherapist running\ntogether with the participant, which were perceived as important\nfor participants’ performance, to be an example of“participatory\nsense-making” (22). As participants appreciated being guided or\neven pushed by the physiotherapists, it appears that the\nphysiotherapists were trusted in directing this interaction. As\nsuch, we argue that the physiotherapists ’ ability to adapt to\nparticipants’ movements, speech and gestures — tailoring the\ninteraction to their needs— was important for this ability to be\nperceived as purposeful. This is supported by the few negative\nincidents described where the participant-physiotherapist\ninteraction seemed to not be jointly coordinated and appeared to\nfail. The reported mutual influences of sensorimotor capabilities\nand interpersonal coordination, with the physiotherapists but\nalso the group, are in accordance with sensorimotor capacities\nand intersubjective interactions being important for sense-\nmaking in the world (35). The benefits of these individualized\nparticipant-physiotherapist interactions are also described in\nspecific core-stability exercises in indoor groups (16, 43) and are\nin line with the theoretical framework of facilitation of\nmovement through hands-on interaction previously proposed\n(44, 45). Our study informs new knowledge of physiotherapist-\nparticipant interactions to achieve the recommended high-\nintensity training and calls for physiotherapy clinical reasoning\nthrough bodily and verbal communication skills adapted to the\nparticipants’ responses in an ongoing and situated way.\nEnjoyment has previously been reported to promote PA\nin pwMS, and our study brings requested knowledge of what\ncan constitute enjoyment in an exercise intervention ( 46):\nplayful group-exercise tasks, a cheerful physiotherapist, and the\noutdoor environment.\nThe appreciation of being active outdoors in the study sample\naligns with that in the general population ( 47). The outdoors\nprovided a natural environment, which both invited participants to\nactively explore abilities thought of as left behind after their\ndiagnosis with MS, such as running, and provided an appreciated\nbreak from focusing on MS symptoms. We also suggest that the\npositive experiences of mastering the challenging weather\nconditions and the added meaning of exercising among other\npeople in the city park can be explained according to such terms.\nThese positive experiences show how we are enmeshed in our\nhistory, context and social encounters (35) and how these aspects\nshould also be accounted for when designing exercise interventions.\n4.3 Methodological considerations\nThe design and methods were adequate for deriving\nknowledge from individuals’ experiences. The participants self-\nreferred to the intervention and were recruited based on pre-set\ncriteria. This approach yielded rich information from people\nwith mild to moderate disabilities due to MS who were\nmotivated for physical activity (PA), employed, and residing in\nnorthern Norway. Ethnicity or socio-economic class were not\nrecorded. However, considering that all these factors can\ninfluence PA engagement ( 46), it is possible that additional\naspects of the phenomenon could be uncovered in a different\nsample ( 48). There was a higher percentage of women\nparticipating than men; however, this corresponds to the gender\ndistribution in the MS population (1).\nThe use of enactive theory was innovative within thefield and\nallowed for, in particular, new aspects of importance for self-\nefficacy to be identified. Transference of our results to similar\npopulations can be achieved through theoretical generalization (28).\n4.4 Implications for clinical practice\nCombining high-intensity walking/running and detailed", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "with multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049\n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of\ntrunk impairments and its relationship with disability level in individuals with\nmultiple sclerosis?Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard.\n2021.103325\n10. Normann B, Arntzen EC. What are the relationships between trunk control,\nbalance and walking in individuals with multiple sclerosis with minor to moderate\ndisability?Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the\nrelationship between trunk motor control and balance, functional mobility, and gait\ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor\nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin\nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple\nsclerosis: a review and content analysis of qualitative research identifying perceived\ndeterminants and consequences.Disabil Rehabil. (2016) 38(13):1227–42. doi: 10.\n3109/09638288.2015.1077397\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing\nsensorimotor function, physical activity and employment for people with MS— a\nfeasibility study. Fysioterapeuten. (2023) 90(1):32 –42. doi: 10.52705/\nc14a8ca05f7546dabc18bd0275cf2edd\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based,\nindividualized, comprehensive core stability and balance intervention provides\nimmediate and long-term improvements in walking in individuals with multiple\nsclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798.\ndoi: 10.1002/pri.1798\n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Group-\nbased individualized comprehensive core stability intervention improves balance in\npersons with multiple sclerosis: a randomized controlled trial.Phys Ther. (2019) 99\n(8):1027–38. doi: 10.1093/ptj/pzz017\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized\nexercises can provide perceived bodily changes and strengthen aspects of self in\nindividuals with MS: a qualitative interview study.Physiother Theory Pract. (2019)\n37(10):1080–95. doi: 10.1080/09593985.2019.1683923\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The\nimportance of the patient’s perspective in decision-making in multiple sclerosis:\nresults of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023)\n75:104757. doi: 10.1016/j.msard.2023.104757\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity:\nimplications for rehabilitation after brain damage.J Speech Lang Hear Res. (2008)\n51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n19. Thompson E.Mind in Life: Biology, Phenomenology, and The Sciences of Mind.\nCambridge, Mass: Harvard University Press (2007).\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics\n(2008).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 10 frontiersin.org", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "2 Materials and methods\n2.1 Design\nIndividual in-depth interviews using a phenomenological-\ninspired approach were chosen, as this is suitable for exploring\nthe meaning and signi ficance of pwMS ’s experiences and\nreflections (23, 24).\n2.2 Ethical considerations\nThe study was conducted according to the Declaration of\nHelsinki and approved by the Regional Committee for Medical\nResearch Ethics in North Norway (REK North: 174837). Written\ninformed consent was obtained prior to the intervention and\nconfirmed verbally when arranging the interviews. Participation\nwas voluntary and anonymous, and the participants were\ninformed about the opportunity to withdraw from the study. The\nConsolidated Criteria for Reporting Qualitative Research (COREQ)\n(25) were used to optimize the conduct and reporting of the study.\n2.3 Study context\nThis interview study was nested within a randomized\ncontrolled trial (RCT) comparing the CoreDISTparticipation\nintervention to usual care ( 26) and conducted at a regional\nhospital MS-outpatient clinic (Nordland Hospital Trust) and in\ntwo affiliated municipalities in the northern Norway. The current\nstudy investigates participants in the intervention group ’s\nexperiences of the four-week outdoor group, which was part of\nthis new intervention ( Table 2 ). The outdoor sessions were\nconducted by three trained physiotherapists working in the\nTABLE 2 Description of the outdoor group.\nContent Purpose\nWarm-up and recording one’s own balance\nExercises for detailed sensorimotor\nactivation, larger muscle groups, muscle\nlength and balance while standing.\nPreparation.\nExperience one’s own balance and\nrecord eventual changes.\nDual task: motor (using spiky balls and\nmedicine balls individually, in pairs and\nin the group) and cognitive (singing,\nrhymes and counting).\nMain part\n(1) High-intensity training (85%–95%\nmaxHR/min 16 RPE) × 4 min: Running\nor walking with long strides and large\narm movements. Participants chose their\nown route, marking it with a cone, and\npicked up a bean bag for each new lap to\ncount how many laps for each interval.\nImprove stamina.\nExperience one’s own opportunities for\nhigh-intensity physical activity.\nImprove sensorimotor control and\nbalance as prerequisites for walking and\nrunning.\n(2) Moderate-intensity detailed exercises\n(approx. 70% maxHR) × 3 min.\nCoreDIST exercises while standing\napproximately (10 repetitions × 2 set).\nExamples of exercises: squat, one legged\nstance, rise on toes, reaching, turning and\nrolling down to touch the ground in\nstanding.\nProgressions was individually tailored\n(during both running/walking and the\ndetailed exercises) through instructions,\ndemonstration and hands-on facilitations\nby the physiotherapists. Quality and\nefficiency of movement were addressed\nby the physiotherapists. Optimalization\nof trunk control during movement were\nemphasised.\nA combination of high-intensity and\nCoreDIST exercises was repeated 3–4\ntimes during one session.\nCool-down and recording one’s own balance\nHold/relax muscle contraction. Experience one ’s own balance and\nrecord eventual changes.Balance on one leg.\nTABLE 1 Overview of the CoreDISTparticipation intervention.\nWeek 1: MS outpatient\nclinic\nConsultation with the MS nurse(20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge\nof MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators.\nPhysiotherapy assessment(60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus,\nmotivate the patient.\nBased on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the\nmunicipal physiotherapist.\nStandardized testing (baseline, for the RCT).\nWeek 2–5: Municipality Physiotherapy assessment (60–90 min) to explore the patient’s impairments and potential for improvements in a clinical examination prior to\ngroup-training.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "away from MS symptoms. Cold, rainy or snowy weather\nconditions required planning of adequate clothing; in addition,\nthese conditions led some participants to use cautious behavior\nwhen the ground was slippery and led a few to omit sessions.\nHowever, mastering outdoor exercise was highlighted in positive\nterms, such as discovering new ways to become active.\n3.4 Professional leadership, tailoring and\nco-creation of enjoyment\nThe way the physiotherapists led the group and, in particular,\ninteracted with each participant were regarded as helpful for\nimproving their bodily functions and activity levels. Some\nparticipants reported being afraid to try out new activities or\ntraining at high intensities after being diagnosed with MS but felt\nsafe to explore when supervised by the physiotherapist because of\ntheir trust in the relationship between them and in the\nphysiotherapist’s professional knowledge.\nHow the physiotherapist approached the participants\nindividually was described as important from this perspective. In\nparticular, bodily interactions in which the physiotherapist\ndemonstrated with his or her own body or placed his or her\nhands on the participant’s body to correct a movement were\nreported to be successful, as it helped to increase speed and gave\nparticipants a sense of performing better or for a longer duration.\nIf they did an exercise in a suboptimal way, participants reported\nreceiving precise supervision, or if they expressed pain or were\ninjured, the physiotherapist was supportive, assessed them and\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 07 frontiersin.org", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed13.pdf" - }, - { - "text": "Discussion: High-intensity training combined with detailed exercises in a\nphysiotherapy outdoor group was perceived to create meaningful bodily changes\nand enhance PA and prospects for both PA and life. Importantly, however, some\nnegative experiences were also reported from the high-intensity training. Enactive\ntheory allowed for the illumination of new perspectives: the importance of\nembodiment for self-efficacy and of tailored physiotherapy and an outdoor-group\nenvironment for exploring one’s own limits to physical capabilities. These aspects\nshould inform future exercise interventions in pwMS with low disability.\nKEYWORDS\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy,\npostural balance, enactive theory\n1 Introduction\nMultiple sclerosis (MS) is a progressive inflammatory disease of\nthe central nervous system (CNS) that is typically diagnosed at 30–\n40 years of age (1). A great concern is the significantly lower levels\nof physical activity (PA) in people with MS (pwMS) across\ndisability levels than in their healthy counterparts (2, 3).\nEarly promotion of PA and exercise is recommended due to\nnumerous established benefits in health, symptom management\nand well-being for pwMS ( 4). In particular, high-intensity\ntraining is endorsed, as it has possible neuroprotective effects in\nthe disease course ( 5, 6). In addition, exercises addressing\nsensorimotor impairments (e.g., reduced muscle strength,\nreduced neuromuscular control) are recommended, as they target\nindividuals’ capability to remain physically active ( 7).\nSensorimotor impairments can influence trunk control, which is\ncommonly disturbed in pwMS, even when disability is low (8, 9),\nand correlate with impaired balance, walking capacity and\ndistance ( 10, 11). PwMS ’s knowledge of exercise bene fits,\nattitudes and motivations, as well as contextual aspects such as\nlack of optimal exercise interventions, accessibility and support,\naffect the level of PA and exercise participation (12).\nCoreDISTparticipation (Table 1 ) is a new comprehensive\nintervention addressing sensorimotor function, trunk control,\nhigh-intensity running/walking and work participation in pwMS\nwith low disability ( 13). It is based on the GroupCoreDIST 1\nintervention, which has been shown to have signi ficant short-\nand long-term effects on trunk control, balance and walking\namong pwMS (14, 15). However, no effects of the intervention\non objectively measured PA have been identified, even though\nthe participants reported perceptions of new possibilities to be\nphysically active as their sensorimotor impairments improved\n(16). To address PA challenges in pwMS, GroupCoreDIST was\nfurther developed to include a four-week period of outdoor\ntraining, in which high-intensity walking/running and\nGroupCoreDIST exercises are integrated ( Table 2 ). To our\nknowledge, combinations of high-intensity training and\nrehabilitation of speci fic sensorimotor functions have been\nsparsely explored. Patient perspectives are essential for the\nevaluation of healthcare interventions ( 17); however, the new\noutdoor component of CoreDISTparticipation has yet to be\ninvestigated from a first-person perspective. Particularly\ninteresting is what participants perceive as meaningful regarding\nthe intervention, as this is essential for motivation, motor\nlearning and exercise adherence (18).\nTo deepen our understanding of what the participants\nperceive as meaningful, we turn to a theoretical perspective\nthat integrates bodily capacities with the construction of\nmeaning. Enactive theory emphasizes that making sense of the\nworld depends essentially on th e biological (living) body and\nthe phenomenological (lived or experienced) body (19), which\nimplies that the body is viewed as a neurobiological organism\nthat is concurrently experiencing, expressing and social\n(embodiment) (20). Thus, what is experienced by an individual\nduring an exercise intervent ion is constituted by her", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "Week 2–5: Municipality Physiotherapy assessment (60–90 min) to explore the patient’s impairments and potential for improvements in a clinical examination prior to\ngroup-training.\nIndoor group(60 min × 2 weekly, for 4 weeks). There were three tofive participants in each group and one physiotherapist. Trunk control, balance\nand physical activity were addressed (GroupCoreDIST). Participants received a link toCoreDIST digital exercise-videosand were advised to do\nthem 1 × weekly throughout the intervention. (videos can be accessed here:https://www.nord.no/en/node/35,098)\nDigital meeting with a multidisciplinary team(pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation\nand needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting).\nWeek 6 Standardized testing (midway, for the RCT).\nWeek 7–10: Municipality Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk\ncontrol and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was\nconducted in a city park where bothflat and uneven surfaces and hilly terrain were available (Table 2).\nAdditionally, participants were encouraged to comply with the exercise-videos through a weekly SMS-reminder.\nWeek 11–14 Standardized testing (final, for the RCT) andqualitative interviews.\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 03 frontiersin.org", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What were the prerequisites allowing to be involved in the study concerning the impact of outdoor sport on patients witg multiple sclerosis ?", - "target_page": 4, - "target_passage": "The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written\ninformed consent to participate in this study.\nAuthor contributions\nSD: Conceptualization, Data curation, Formal Analysis,\nInvestigation, Methodology, Project administration, Resources,\nVisualization, Writing – original draft, Writing – review &\nediting. EA: Conceptualization, Formal Analysis, Methodology,\nSupervision, Writing – review & editing. BN: Conceptualization,\nFormal Analysis, Funding acquisition, Methodology, Project\nadministration, Resources, Supervision, Writing– review & editing.\nFunding\nThe author(s) declare thatfinancial support was received for\nthe research, authorship, and/or publication of this article.\nThe development of the CoreDISTparticipation and the RCT is\nfunded by the Northern Norway Health Authority (Helse Nord\nRHF). This interview study was funded by Nord University\n(PhD salary).\nAcknowledgments\nThe authors would like to thank the participants in this study\nand the user representatives from Nordland MS Association for\ntheir valuable contributions. The authors also acknowledge\nphilosopher of the mind and cognitive sciences Hanne De\nJaegher for the valuable comments on the interpretations and\ndiscussions of the results.\nConflict of interest\nThe authors declare that the research was conducted in the\nabsence of any commercial or financial relationships that could\nbe construed as a potential conflict of interest.\nPublisher’s note\nAll claims expressed in this article are solely those of the authors\nand do not necessarily represent those of their affiliated organizations,\nor those of the publisher, the editors and the reviewers. Any product\nthat may be evaluated in this article, or claim that may be made by its\nmanufacturer, is not guaranteed or endorsed by the publisher.\nReferences\n1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising\nprevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third\nedition.Mult Scler. (2020) 26(14):1816–21. doi: 10.1177/1352458520970841\n2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in\npeople with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28\n(9):1960–9. doi: 10.1111/sms.13214\n3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less\nphysically active than healthy controls but as active as those with other chronic\ndiseases: an updated meta-analysis.Mult Scler Relat Disord . (2017) 13:38 –43.\ndoi: 10.1016/j.msard.2017.01.016\n4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia\n(ESSA) position statement on exercise for people with mild to moderate multiple\nsclerosis.J Sci Med Sport. (2022) 25(2):146–54. doi: 10.1016/j.jsams.2021.08.015\n5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG.\nExercise as medicine in multiple sclerosis— time for a paradigm shift: preventive,\nsymptomatic, and disease-modifying aspects and perspectives.Curr Neurol Neurosci\nRep. (2019) 19(11):1–12. doi: 10.1007/s11910-019-1002-3\n6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF,\nGaemelke T, et al. Investigating the potential disease-modifying and neuroprotective\nefficacy of exercise therapy early in the disease course of multiple sclerosis: the early\nmultiple sclerosis exercise study (EMSES).Mult Scler. (2022) 28(10):1620–9. doi: 10.\n1177/13524585221079200\n7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and\nlifestyle physical activity recommendations for people with multiple sclerosis\nthroughout the disease course.Mult Scler. (2020) 26(12):1459–69. doi: 10.1177/\n1352458520915629\n8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ,\net al. Test-retest reliability and known-groups validity of trunk muscle tests in people\nwith multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team\nincluded three individuals representing users from the Nordland\nMS Association, along with an MS nurse and a neurologist from\nthe MS-outpatient clinic, and three physiotherapists/ researchers.\n2.4 Research team and reflexivity\nAll researchers on the team are clinical specialists in\nneurological physiotherapy. BN and ECA developed the\nCoreDISTparticipation intervention, and SSHD contributed to\nthe development of the outdoor part.\nThe researchers ’ closeness to the intervention and the\nclinical field may have strengthened the depth and relevance\nof their interpretations in this study ( 27), as it was easy to\nunderstand what participan ts described and helped form\nfollow-up questions during the interviews. However, closeness\nm a ya l s op r o d u c ear i s ko f“blind spots ”, as the researchers\nmay prejudice participants ’ experiences, omitting questions\nwhere the answers are believed to be obvious ( 27). Thus,\nthroughout the process, trustworthiness and rigor were\nenhanced by discussing the methodology, findings, and\ninterpretations with external res earchers (including specialists\nin enactive theory), as well as user representatives. The\npresented theoretical framework (enactive theory) enhanced\nthe distance to the material, as recommended in qualitative\nresearch (28).\n2.5 Recruitment and participants\nPrior to recruitment, the study was introduced to individuals\nwith multiple sclerosis (pwMS) through a seminar hosted by the\nNordland MS Association. Additionally, seminars were\nconducted for health professionals in community healthcare and\nat the regional hospital. Written information about this study\n(and the RCT) was sent from the MS clinic at the regional\nhospital by post to all eligible individuals af filiated with the\nhospital. Individuals who wished to participate signed the\nattached consent form and returned it in the pre-stamped\nenvelope. The inclusion criteria were as follows: had been\ndiagnosed with MS, had a score on the Expanded Disability\nStatus Scale (EDSS) (29)o f ≤3.5, was ≥18 years, was employed\n(10%–100% of full-time) and residential address in the two\npredefined municipalities. The exclusion criteria were as follows:\npregnancy, exacerbation of symptoms within two weeks prior to\nenrollment and other serious conditions compromising balance,\nwalking or work capacity. All participants in the intervention\ngroup of the RCT (n = 15) were included (Table 3).\n2.6 Data collection\nThe interview guide (Table 4) was developed based on literature\nreviews, clinical experience and discussions within the research\ngroup and with user representatives. Two test interviews were\nconducted (with pwMS who were not part of the sample), and the\ninterview guide was then refined around the following themes:\noverall experience and re flections from participation, content,\noutdoor setting, the group, and the physiotherapists. Questions\nwere open-ended to capture rich, in-depth reflections regarding\nparticipants’ experiences, following a phenomenological approach.\nThe interviewer asked for both negative and positive experiences\nTABLE 4 Interview guide.\nTheme Potential questions\nOverall experiences and\nreflections from participation\nGenerally, what are your main experiences of\nparticipation?\nWhat did you perceive as meaningful?\nWhat did you perceive as negative?\nContent How did you experience:\n The content of the sessions in general\n The high-intensity walking/running\n The specific exercises\n The combination of specific exercises and\nintervals of running/walking\n The exercise intensity\nHow did you respond to the exercises? How did\nyou experience getting tired?\nHow do you perceive your specific movement\nimpairments (if any) being addressed?\nPlease elaborate on situations where you\nexperienced the feeling of mastery/failure.\nIf anything: What was challenging? What would\nyou prefer to have been done differently? What\ndid you enjoy?\nWhat was the value of participating in the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "EDITED BY\nJacqui H Morris,\nUniversity of Dundee, United Kingdom\nREVIEWED BY\nNicola Saywell,\nAuckland University of Technology,\nNew Zealand\nVerna Stavric,\nAuckland University of Technology,\nNew Zealand\n*CORRESPONDENCE\nStine Susanne Haakonsen Dahl\nstine.s.dahl@nord.no\nRECEIVED 27 September 2023\nACCEPTED 06 March 2024\nPUBLISHED 18 March 2024\nCITATION\nDahl SSH, Arntzen EC and Normann B (2024)\nThe meaningfulness ofexploring one’s own\nlimits through interactions and enjoyment in\noutdoor high-intensity physiotherapy for\npeople with multiple sclerosis: a qualitative\nstudy.\nFront. Rehabil. Sci. 5:1303094.\ndoi: 10.3389/fresc.2024.1303094\nCOPYRIGHT\n© 2024 Dahl, Arntzen and Normann. This is an\nopen-access article distributed under the\nterms of theCreative Commons Attribution\nLicense (CC BY). The use, distribution or\nreproduction in other forums is permitted,\nprovided the original author(s) and the\ncopyright owner(s) are credited and that the\noriginal publication in this journal is cited, in\naccordance with accepted academic practice.\nNo use, distribution or reproduction is\npermitted which does not comply with\nthese terms.\nThe meaningfulness ofexploring\none’s own limitsthrough\ninteractions and enjoyment\nin outdoor high-intensity\nphysiotherapy for people\nwith multiple sclerosis: a\nqualitative study\nStine Susanne Haakonsen Dahl\n1*, Ellen Christin Arntzen\n1\nand\nBritt Normann\n1,2\n1Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway,2Department of Physiotherapy,\nNordland Hospital Trust, Bodø, Norway\nBackground and purpose:Physical activity (PA) is often reduced in people with\nMS (pwMS), even when disability is low. Understanding the perspectives of pwMS\non interventions aiming to improve PA is important to inform the development\nof such services. The aim of this study was to explore the experiences\nof pwMS participating in an outdoor, high-intensity and balance exercise\ngroup intervention.\nMethods: This qualitative study was nested within an RCT exploring a novel\nintervention integrating sensorimotor exercises with high-intensity intervals of\nrunning/walking. Individual, in-depth interviews with the intervention group\n(n = 15; 12 women, 3 men; age 38– 66; EDSS score 0– 3.5) were conducted\npostintervention (mean days = 14), analyzed using a phenomenological-\ninspired approach with systematic text condensation, and interpreted based on\nenactive theory.\nResults:Four categories were generated: (1)Exploration of one’s own physical\nabilities: Challenging one’s own limits was perceived by all participants to\nimprove movement performance and/or intensity level. Such bodily changes\nengendered strong positive feelings. Some negative consequences of high-\nintensity training were described, increasing a feeling of loss. (2)New insights\nand beliefs: Participants experienced enhanced beliefs in their own\ncapabilities, which they integrated in activities outside the intervention. (3)An\nengaging environment: The group setting was perceived as supportive, and\nthe outdoor environment was perceived as stimulating activity. (4)Professional\nleadership, tailoring and co-creation of enjoyment: Physiotherapist-led,\nindividualized interactions were regarded as necessary to safely revisit prior\nactivities, such as running. Co-creating enjoyment facilitated high-intensity\ntraining and intervention adherence.\nTYPE Original Research\nPUBLISHED 18 March 2024\n| DOI 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 01 frontiersin.org", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42).\nHowever, our findings illuminate qualitative aspects of how to\nachieve tailored and meaningful intersubjective interactions in an\nexercise intervention.\nWe consider the instances of the physiotherapist running\ntogether with the participant, which were perceived as important\nfor participants’ performance, to be an example of“participatory\nsense-making” (22). As participants appreciated being guided or\neven pushed by the physiotherapists, it appears that the\nphysiotherapists were trusted in directing this interaction. As\nsuch, we argue that the physiotherapists ’ ability to adapt to\nparticipants’ movements, speech and gestures — tailoring the\ninteraction to their needs— was important for this ability to be\nperceived as purposeful. This is supported by the few negative\nincidents described where the participant-physiotherapist\ninteraction seemed to not be jointly coordinated and appeared to\nfail. The reported mutual influences of sensorimotor capabilities\nand interpersonal coordination, with the physiotherapists but\nalso the group, are in accordance with sensorimotor capacities\nand intersubjective interactions being important for sense-\nmaking in the world (35). The benefits of these individualized\nparticipant-physiotherapist interactions are also described in\nspecific core-stability exercises in indoor groups (16, 43) and are\nin line with the theoretical framework of facilitation of\nmovement through hands-on interaction previously proposed\n(44, 45). Our study informs new knowledge of physiotherapist-\nparticipant interactions to achieve the recommended high-\nintensity training and calls for physiotherapy clinical reasoning\nthrough bodily and verbal communication skills adapted to the\nparticipants’ responses in an ongoing and situated way.\nEnjoyment has previously been reported to promote PA\nin pwMS, and our study brings requested knowledge of what\ncan constitute enjoyment in an exercise intervention ( 46):\nplayful group-exercise tasks, a cheerful physiotherapist, and the\noutdoor environment.\nThe appreciation of being active outdoors in the study sample\naligns with that in the general population ( 47). The outdoors\nprovided a natural environment, which both invited participants to\nactively explore abilities thought of as left behind after their\ndiagnosis with MS, such as running, and provided an appreciated\nbreak from focusing on MS symptoms. We also suggest that the\npositive experiences of mastering the challenging weather\nconditions and the added meaning of exercising among other\npeople in the city park can be explained according to such terms.\nThese positive experiences show how we are enmeshed in our\nhistory, context and social encounters (35) and how these aspects\nshould also be accounted for when designing exercise interventions.\n4.3 Methodological considerations\nThe design and methods were adequate for deriving\nknowledge from individuals’ experiences. The participants self-\nreferred to the intervention and were recruited based on pre-set\ncriteria. This approach yielded rich information from people\nwith mild to moderate disabilities due to MS who were\nmotivated for physical activity (PA), employed, and residing in\nnorthern Norway. Ethnicity or socio-economic class were not\nrecorded. However, considering that all these factors can\ninfluence PA engagement ( 46), it is possible that additional\naspects of the phenomenon could be uncovered in a different\nsample ( 48). There was a higher percentage of women\nparticipating than men; however, this corresponds to the gender\ndistribution in the MS population (1).\nThe use of enactive theory was innovative within thefield and\nallowed for, in particular, new aspects of importance for self-\nefficacy to be identified. Transference of our results to similar\npopulations can be achieved through theoretical generalization (28).\n4.4 Implications for clinical practice\nCombining high-intensity walking/running and detailed", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "2 Materials and methods\n2.1 Design\nIndividual in-depth interviews using a phenomenological-\ninspired approach were chosen, as this is suitable for exploring\nthe meaning and signi ficance of pwMS ’s experiences and\nreflections (23, 24).\n2.2 Ethical considerations\nThe study was conducted according to the Declaration of\nHelsinki and approved by the Regional Committee for Medical\nResearch Ethics in North Norway (REK North: 174837). Written\ninformed consent was obtained prior to the intervention and\nconfirmed verbally when arranging the interviews. Participation\nwas voluntary and anonymous, and the participants were\ninformed about the opportunity to withdraw from the study. The\nConsolidated Criteria for Reporting Qualitative Research (COREQ)\n(25) were used to optimize the conduct and reporting of the study.\n2.3 Study context\nThis interview study was nested within a randomized\ncontrolled trial (RCT) comparing the CoreDISTparticipation\nintervention to usual care ( 26) and conducted at a regional\nhospital MS-outpatient clinic (Nordland Hospital Trust) and in\ntwo affiliated municipalities in the northern Norway. The current\nstudy investigates participants in the intervention group ’s\nexperiences of the four-week outdoor group, which was part of\nthis new intervention ( Table 2 ). The outdoor sessions were\nconducted by three trained physiotherapists working in the\nTABLE 2 Description of the outdoor group.\nContent Purpose\nWarm-up and recording one’s own balance\nExercises for detailed sensorimotor\nactivation, larger muscle groups, muscle\nlength and balance while standing.\nPreparation.\nExperience one’s own balance and\nrecord eventual changes.\nDual task: motor (using spiky balls and\nmedicine balls individually, in pairs and\nin the group) and cognitive (singing,\nrhymes and counting).\nMain part\n(1) High-intensity training (85%–95%\nmaxHR/min 16 RPE) × 4 min: Running\nor walking with long strides and large\narm movements. Participants chose their\nown route, marking it with a cone, and\npicked up a bean bag for each new lap to\ncount how many laps for each interval.\nImprove stamina.\nExperience one’s own opportunities for\nhigh-intensity physical activity.\nImprove sensorimotor control and\nbalance as prerequisites for walking and\nrunning.\n(2) Moderate-intensity detailed exercises\n(approx. 70% maxHR) × 3 min.\nCoreDIST exercises while standing\napproximately (10 repetitions × 2 set).\nExamples of exercises: squat, one legged\nstance, rise on toes, reaching, turning and\nrolling down to touch the ground in\nstanding.\nProgressions was individually tailored\n(during both running/walking and the\ndetailed exercises) through instructions,\ndemonstration and hands-on facilitations\nby the physiotherapists. Quality and\nefficiency of movement were addressed\nby the physiotherapists. Optimalization\nof trunk control during movement were\nemphasised.\nA combination of high-intensity and\nCoreDIST exercises was repeated 3–4\ntimes during one session.\nCool-down and recording one’s own balance\nHold/relax muscle contraction. Experience one ’s own balance and\nrecord eventual changes.Balance on one leg.\nTABLE 1 Overview of the CoreDISTparticipation intervention.\nWeek 1: MS outpatient\nclinic\nConsultation with the MS nurse(20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge\nof MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators.\nPhysiotherapy assessment(60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus,\nmotivate the patient.\nBased on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the\nmunicipal physiotherapist.\nStandardized testing (baseline, for the RCT).\nWeek 2–5: Municipality Physiotherapy assessment (60–90 min) to explore the patient’s impairments and potential for improvements in a clinical examination prior to\ngroup-training.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "with multiple sclerosis: a cross-sectional, case-control study.Phys Ther. (2021) 101\n(5):1–9. doi: 10.1093/ptj/ptzab049\n9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of\ntrunk impairments and its relationship with disability level in individuals with\nmultiple sclerosis?Mul Scler Relat Disord. (2021) 57:103325. doi: 10.1016/j.msard.\n2021.103325\n10. Normann B, Arntzen EC. What are the relationships between trunk control,\nbalance and walking in individuals with multiple sclerosis with minor to moderate\ndisability?Eur J Physiother. (2021) 23(6):377–83. doi: 10.1080/21679169.2020.1772870\n11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the\nrelationship between trunk motor control and balance, functional mobility, and gait\ncapacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor\nkontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin\nincelenmesi. Türk Nöroloji Dergisi. (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple\nsclerosis: a review and content analysis of qualitative research identifying perceived\ndeterminants and consequences.Disabil Rehabil. (2016) 38(13):1227–42. doi: 10.\n3109/09638288.2015.1077397\n13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing\nsensorimotor function, physical activity and employment for people with MS— a\nfeasibility study. Fysioterapeuten. (2023) 90(1):32 –42. doi: 10.52705/\nc14a8ca05f7546dabc18bd0275cf2edd\n14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based,\nindividualized, comprehensive core stability and balance intervention provides\nimmediate and long-term improvements in walking in individuals with multiple\nsclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798.\ndoi: 10.1002/pri.1798\n15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Group-\nbased individualized comprehensive core stability intervention improves balance in\npersons with multiple sclerosis: a randomized controlled trial.Phys Ther. (2019) 99\n(8):1027–38. doi: 10.1093/ptj/pzz017\n16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized\nexercises can provide perceived bodily changes and strengthen aspects of self in\nindividuals with MS: a qualitative interview study.Physiother Theory Pract. (2019)\n37(10):1080–95. doi: 10.1080/09593985.2019.1683923\n17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The\nimportance of the patient’s perspective in decision-making in multiple sclerosis:\nresults of the OwnMS patient perspectives study. Mult Scler Relat Disord. (2023)\n75:104757. doi: 10.1016/j.msard.2023.104757\n18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity:\nimplications for rehabilitation after brain damage.J Speech Lang Hear Res. (2008)\n51(1):225–39. doi: 10.1044/1092-4388(2008/018)\n19. Thompson E.Mind in Life: Biology, Phenomenology, and The Sciences of Mind.\nCambridge, Mass: Harvard University Press (2007).\n20. Merleau-Ponty M. Phenomenology of Perception. London: Routledge Classics\n(2008).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 10 frontiersin.org", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "away from MS symptoms. Cold, rainy or snowy weather\nconditions required planning of adequate clothing; in addition,\nthese conditions led some participants to use cautious behavior\nwhen the ground was slippery and led a few to omit sessions.\nHowever, mastering outdoor exercise was highlighted in positive\nterms, such as discovering new ways to become active.\n3.4 Professional leadership, tailoring and\nco-creation of enjoyment\nThe way the physiotherapists led the group and, in particular,\ninteracted with each participant were regarded as helpful for\nimproving their bodily functions and activity levels. Some\nparticipants reported being afraid to try out new activities or\ntraining at high intensities after being diagnosed with MS but felt\nsafe to explore when supervised by the physiotherapist because of\ntheir trust in the relationship between them and in the\nphysiotherapist’s professional knowledge.\nHow the physiotherapist approached the participants\nindividually was described as important from this perspective. In\nparticular, bodily interactions in which the physiotherapist\ndemonstrated with his or her own body or placed his or her\nhands on the participant’s body to correct a movement were\nreported to be successful, as it helped to increase speed and gave\nparticipants a sense of performing better or for a longer duration.\nIf they did an exercise in a suboptimal way, participants reported\nreceiving precise supervision, or if they expressed pain or were\ninjured, the physiotherapist was supportive, assessed them and\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 07 frontiersin.org", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed13.pdf" - }, - { - "text": "cluser severity groups in multiple sclerosis?Disabil Health J. (2021) 14(4):101163.\ndoi: 10.1016/j.dhjo.2021.101163\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative\nreview of history, benefits, safety, guidelines, and promotion. Int J Environ Res\nPublic Health. (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical\nactivity interventions among persons with multiple sclerosis. Neurorehabil Neural\nRepair. (2019) 33(1):3–14. doi: 10.1177/1545968318818904\n42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity infitness,\nmobility and cognition with exercise-training in MS.Acta Neurol Scand. (2019) 139\n(2):183–91. doi: 10.1111/ane.13041\n43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based,\nindividualized physiotherapy intervention for people with multiple sclerosis: a\nqualitative study. Physiother Res Int. (2019) 25(3):e1829. doi: 10.1002/pri.1829\n44. Normann B. Facilitation of movement: new perspectives provide expanded\ninsights to guide clinical practice. Physiother Theory Pract. (2020) 36(7):769–78.\ndoi: 10.1080/09593985.2018.1493165\n45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in\nphysical therapy. Physiother Theory Pract . (2015) 31(4):244 –52. doi: 10.3109/\n09593985.2014.1002873\n46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported\nphysical activity correlates in Swedish adults with multiple sclerosis: a\ncross-sectional study.BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-017-\n0981-4\n47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for\npersons with multiple sclerosis: a review and agenda for future research.Int J MS\nCare. (2021) 23(4):186–92. doi: 10.7224/1537-2073.2020-066\n48. Creswell JW, Poth CN.Qualitative Inquiry & Research Design: Choosing Among\nFive Approaches. 4th ed. California: Sage (2018).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 11 frontiersin.org", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "populations can be achieved through theoretical generalization (28).\n4.4 Implications for clinical practice\nCombining high-intensity walking/running and detailed\nsensorimotor exercises was valued and provided meaningful\nembodied experiences, improving participants’ ability to master\nPA and their beliefs of their own possibilities for being active in\nthe future. However, the manner in which the content of an\nexercise intervention is delivered and the environment in which\nit is delivered should be accounted for, as these aspects were\nperceived to be of great importance in creating and shaping\nparticipants’ experiences. In particular, tailored physiotherapist-\nparticipant bodily interactions and an engaging group and\noutdoor environment were perceived to be pertinent for\nexploring one’s own potential.\nTo minimize negative incidents in future interventions, we\nsuggest that (1) the effort required from one ’sl e gm u s c l e s\nduring the detailed exercises (in between the running/walking\nintervals) should be low to minimize the negative\nconsequences of leg muscle fat igue prior to high-intensity\nrunning/walking, (2) the capacity for running/walking at high-\nintensity should be explored in one-to-one physiotherapy\nassessment prior to group training to optimize individuals\ncapabilities and safety, and (3) homogenous and small-sized\ngroups should be used to enable ongoing and tailored\nphysiotherapist-participant interactions.\nData availability statement\nThe datasets presented in this article are not readily available\nbecause of ethical and legal restrictions. Requests to access the\ndatasets should be directed to stine.s.dahl@nord.no.\nEthics statement\nThis study involving humans was approved by Regional\nCommittee for Medical Research Ethics in North Norway (REK\nNorth: 174,837) and the Data Protection Of ficer at\nNordlandssykehuset Hospital Trust, Norway. This study was\nconducted in accordance with the local legislation and\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 09 frontiersin.org", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "Discussion: High-intensity training combined with detailed exercises in a\nphysiotherapy outdoor group was perceived to create meaningful bodily changes\nand enhance PA and prospects for both PA and life. Importantly, however, some\nnegative experiences were also reported from the high-intensity training. Enactive\ntheory allowed for the illumination of new perspectives: the importance of\nembodiment for self-efficacy and of tailored physiotherapy and an outdoor-group\nenvironment for exploring one’s own limits to physical capabilities. These aspects\nshould inform future exercise interventions in pwMS with low disability.\nKEYWORDS\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy,\npostural balance, enactive theory\n1 Introduction\nMultiple sclerosis (MS) is a progressive inflammatory disease of\nthe central nervous system (CNS) that is typically diagnosed at 30–\n40 years of age (1). A great concern is the significantly lower levels\nof physical activity (PA) in people with MS (pwMS) across\ndisability levels than in their healthy counterparts (2, 3).\nEarly promotion of PA and exercise is recommended due to\nnumerous established benefits in health, symptom management\nand well-being for pwMS ( 4). In particular, high-intensity\ntraining is endorsed, as it has possible neuroprotective effects in\nthe disease course ( 5, 6). In addition, exercises addressing\nsensorimotor impairments (e.g., reduced muscle strength,\nreduced neuromuscular control) are recommended, as they target\nindividuals’ capability to remain physically active ( 7).\nSensorimotor impairments can influence trunk control, which is\ncommonly disturbed in pwMS, even when disability is low (8, 9),\nand correlate with impaired balance, walking capacity and\ndistance ( 10, 11). PwMS ’s knowledge of exercise bene fits,\nattitudes and motivations, as well as contextual aspects such as\nlack of optimal exercise interventions, accessibility and support,\naffect the level of PA and exercise participation (12).\nCoreDISTparticipation (Table 1 ) is a new comprehensive\nintervention addressing sensorimotor function, trunk control,\nhigh-intensity running/walking and work participation in pwMS\nwith low disability ( 13). It is based on the GroupCoreDIST 1\nintervention, which has been shown to have signi ficant short-\nand long-term effects on trunk control, balance and walking\namong pwMS (14, 15). However, no effects of the intervention\non objectively measured PA have been identified, even though\nthe participants reported perceptions of new possibilities to be\nphysically active as their sensorimotor impairments improved\n(16). To address PA challenges in pwMS, GroupCoreDIST was\nfurther developed to include a four-week period of outdoor\ntraining, in which high-intensity walking/running and\nGroupCoreDIST exercises are integrated ( Table 2 ). To our\nknowledge, combinations of high-intensity training and\nrehabilitation of speci fic sensorimotor functions have been\nsparsely explored. Patient perspectives are essential for the\nevaluation of healthcare interventions ( 17); however, the new\noutdoor component of CoreDISTparticipation has yet to be\ninvestigated from a first-person perspective. Particularly\ninteresting is what participants perceive as meaningful regarding\nthe intervention, as this is essential for motivation, motor\nlearning and exercise adherence (18).\nTo deepen our understanding of what the participants\nperceive as meaningful, we turn to a theoretical perspective\nthat integrates bodily capacities with the construction of\nmeaning. Enactive theory emphasizes that making sense of the\nworld depends essentially on th e biological (living) body and\nthe phenomenological (lived or experienced) body (19), which\nimplies that the body is viewed as a neurobiological organism\nthat is concurrently experiencing, expressing and social\n(embodiment) (20). Thus, what is experienced by an individual\nduring an exercise intervent ion is constituted by her", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What was the sales revenue of Santos in 2004 ?", - "target_page": 12, - "target_passage": " Sales revenue was a record $1,501 million", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "Annual Report 200444 Annual Report 200444\n10 YEAR SUMMARY 1995–2004\nAs at 31 December 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004\nSantos average realised oil price (A$/bbl) 24.96 27.43 27.42 20.95 27.57 46.54 45.53 44.74 43.59 51.83\nFinancial performance($million)\nProduct sales revenue 671.6 729.2 778.5 769.4 944.5 1,497.1 1,459.7 1,478.4 1,465.0 1,500.9\nTotal operating revenue 740.1 804.0 859.5 1,000.8 995.6 1,556.2 1,561.8 1,542.3 1,619.4 1,753.2\nForeign currency gains/(losses) (16.0) 25.0 3.6 2.0 0.3 2.7 0.2 (0.7) (7.9) (3.0)\nProfit from ordinary activities before tax 241.0 331.9 322.3 267.3 339.6 725.9 627.6 493.3 430.9 540.8\nIncome tax relating to ordinary activities 130.4 136.0 116.1 91.0 30.5 239.1 181.7 171.2 103.9 160.9\nNet profit after income tax attributable \nto the shareholders of Santos Ltd 110.6 195.9 206.2 176.3 309.1 486.8 445.9 322.1 327.0 379.9\nFinancial position ($million)\nTotal assets 2,915.5 3,443.4 4,036.2 4,236.1 4,338.7 4,659.8 5,048.7 5,320.8 5,218.3 5,956.0\nNet debt 642.0 938.6 1,114.2 1,280.0 1,301.1 866.6 1,060.8 1,162.9 897.6 1,131.4\nTotal equity 1,519.3 1,586.3 1,919.0 1,939.2 2,056.7 2,310.9 2,726.6 2,863.9 3,087.9 3,498.3\nReserves and production(mmboe)\nProven plus Probable reserves (2P) 703 860 1,009 966 941 921 724 732 636 643\nProduction 36.8 39.2 41.1 45.6 49.2 56.0 55.7 57.3 54.2 47.1\nExploration*\nWells drilled (number) 66 91 112 81 34 42 26 18 19 16\nExpenditure ($million) 87.9 121.1 190.1 180.7 78.1 100.1 93.4 133.1 136.4 125.6\nOther capital expenditure($million)\nDelineation and development* 53.9 105.8 179.7 158.1 116.8 187.1 308.1 308.8 519.0 672.7\nBuildings, plant and equipment 40.1 150.3 205.4 165.7 102.5 153.5 258.7 319.0 94.9 131.1\n* From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.\nSAN165 WWW Text 30/3/05 12:07 PM Page 44", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200450\nSTATEMENTS OF FINANCIAL PERFORMANCE\nfor the year ended 31 December 2004\nConsolidated Santos Ltd\n2004 2003 2004 2003\nNote $million $million $million $million\nProduct sales 2 1,500.9 1,465.0 568.8 616.3\nCost of sales 3 (1,049.8) (974.4) (414.5) (356.6)\nGross profit 451.1 490.6 154.3 259.7\nOther revenue 2 252.3 154.4 858.0 126.2\nOther expenses 3 (129.0) (179.5) (221.0) (108.3)\nBorrowing costs 4 (33.6) (34.6) (91.1) (84.0)\nProfit from ordinary activities before income tax expense 540.8 430.9 700.2 193.6\nIncome tax expense relating to ordinary activities 6 (160.9) (103.9) (57.1) (10.7)\nNet profit after income tax attributable to the shareholders of Santos Ltd 379.9 327.0 643.1 182.9\nNet exchange differences relating to self-sustaining foreign operations 19 (0.2) (4.7) – –\nTotal changes in equity from non-owner related transactions attributable \nto the shareholders of Santos Ltd 379.7 322.3 643.1 182.9\nEarnings per share (cents)\nBasic 21 58.6 52.1\nDiluted 21 58.5 51.5\nThe statements of financial performance are to be read in conjunction with the notes to the financial statements.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 50", - "page_start": 51, - "page_end": 51, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200456\nNOTES TO THE FINANCIAL STATEMENTS\nfor the year ended 31 December 2004\nConsolidated Santos Ltd\n2004 2003 2004 2003\n2. Revenue from Ordinary Activities $million $million $million $million\nProduct sales:\nGas and ethane 680.1 720.8 294.6 306.1\nCrude oil 501.8 477.7 198.5 175.7\nCondensate and naphtha 228.5 150.0 44.2 63.8\nLiquefied petroleum gas 90.5 116.5 31.5 70.7\n1,500.9 1,465.0 568.8 616.3\nOther:\nOverriding royalties 14.3 13.3 18.7 18.4\nEquipment rentals, pipeline tariffs and other 19.0 7.6 6.6 3.9\nInterest revenue:\nControlled entities – – 42.8 35.5\nOther entities 3.5 2.5 2.3 1.4\nDividends from other entities – 0.4 – 0.4\nDividends from controlled entities – – 251.7 –\nInsurance recovery 116.6 – 73.8 –\nProceeds from sale of non-current assets 98.9 108.0 462.1 62.7\nProceeds from sale of controlled entities – 22.6 – 3.9\n252.3 154.4 858.0 126.2\n3. Expenses from Ordinary Activities\nCost of sales:\nProduction costs 308.5 263.6 113.8 95.2\nPipeline tariffs and tolls 32.6 33.3 7.4 3.2\nRoyalty, excise and PRRT 154.0 131.4 73.1 41.6\nDepreciation, depletion and amortisation 536.4 528.8 209.2 194.7\nThird party gas purchases 14.9 5.4 12.2 12.4\n1,046.4 962.5 415.7 347.1\nDecrease/(increase) in product stock 3.4 11.9 (1.2) 9.5\n1,049.8 974.4 414.5 356.6\nOther:\nSelling, general and administrative expenses:\nOperating expenses 57.1 41.6 50.3 34.1\nDepreciation and amortisation 3.3 2.8 1.7 1.1\nWrite-down of investment in controlled entities – – – 40.8\nWrite-down of investment in listed shares – 4.4 – 4.4\n60.4 48.8 52.0 80.4\nBook value of non-current assets sold 46.5 52.9 164.4 16.9\nBook value of controlled entities sold – 18.1 – 4.9\nWrite-down of exploration and development expenditure 22.1 59.7 4.6 6.1\n129.0 179.5 221.0 108.3\n4. Borrowing Costs\nInterest expense:\nControlled entities – – 90.7 83.6\nOther entities 65.7 57.2 0.4 0.4\nLess interest capitalised (32.1) (22.6) – –\n33.6 34.6 91.1 84.0\nSAN165 WWW Fins 30/3/05 11:55 AM Page 56", - "page_start": 57, - "page_end": 57, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200452\nSTATEMENTS OF CASH FLOWS\nfor the year ended 31 December 2004\nConsolidated Santos Ltd\n2004 2003 2004 2003\nNote $million $million $million $million\nCash flows from operating activities\nReceipts from customers 1,544.3 1,637.3 644.4 683.0\nDividends received – 0.4 251.7 0.4\nInterest received 3.5 2.5 45.1 36.9\nOverriding royalties received 14.5 17.0 19.0 22.1\nPipeline tariffs and other receipts 19.9 28.2 18.0 1.6\nPayments to suppliers and employees (583.6) (439.9) (279.0) (186.4)\nRoyalty, excise and PRRT payments (169.6) (118.7) (78.4) (39.8)\nBorrowing costs paid (65.2) (60.9) (90.6) (83.6)\nIncome taxes paid (158.8) (168.6) (137.5) (65.1)\nNet cash provided by operating activities 24 605.0 897.3 392.7 369.1\nCash flows from investing activities\nPayments for:\nExploration (126.0) (149.8) (65.7) (30.6)\nDelineation (73.7) (75.0) (6.1) (29.5)\nDevelopment (256.1) (188.1) (124.4) (68.7)\nLand and buildings, plant and equipment (343.1) (337.8) (127.7) (91.7)\nAcquisitions of oil and gas assets (14.5) (7.6) – (1.5)\nAcquisitions of controlled entities (112.3) (22.7) (93.6) (22.7)\nShare subscriptions in controlled entities – – (151.7) (469.9)\nRestoration (7.3) (2.6) (0.1) (0.3)\nProceeds from disposal of non-current assets 39.9 108.0 430.0 62.7\nProceeds from disposal of controlled entities – 22.6 – 3.9\nOther investments (0.5) – (0.5) –\nNet cash used in investing activities (893.6) (653.0) (139.8) (648.3)\nCash flows from financing activities\nDividends paid (212.8) (198.0) (212.8) (198.0)\nProceeds from issues of ordinary shares 6.4 8.3 6.4 8.3\nProceeds from issue of redeemable convertible preference shares 18 589.5 – 589.5 –\nRedemption of reset convertible preference shares 18 (350.0) – (350.0) –\nNet drawdowns/(repayments) of borrowings 282.8 (20.4) – –\nNet (payments to)/receipts from controlled entities – – (297.0) 494.1\nPremium paid on buy-back of reset convertible preference shares 20 (2.4) – (2.4) –\nOther 0.4 – – –\nNet cash (used in)/provided by financing activities 313.9 (210.1) (266.3) 304.4\nNet increase/(decrease) in cash 25.3 34.2 (13.4) 25.2\nCash at the beginning of the year 111.1 84.8 52.9 26.6\nEffects of exchange rate changes on the balances of cash held in foreign currencies (8.4) (7.9) (0.2) 1.1\nCash at the end of the year 128.0 111.1 39.3 52.9\nThe statements of cash flows are to be read in conjunction with the notes of the financial statements.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 52", - "page_start": 53, - "page_end": 53, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 23\nIn 2004, Santos continued its\nnormal business of actively\nmanaging its portfolio through\nthe divestment of non-core assets\nand the acquisition of assets that\nfit well with existing Santos\nassets or can add to the ability \nof the Company to meet its\nstrategic goals.\nAs a result of this activity, \nSantos realised an after-tax profit\nof $47.4 million on oil and gas\nasset sales and will continue to\nhigh-grade its portfolio on an\nongoing basis. \nSantos entered into an agreement\nwith PT Medco during the first\nhalf of 2004 to acquire some of\nNovus Petroleum’s Indonesian and\nCooper Basin assets conditional\non the success of PT Medco’s\ntakeover offer for Novus, which\nwas ultimately successful.\nSpecifically, Santos announced \nin September 2004 that it had\nexecuted formal agreements to\nacquire an additional 4.75% of\nthe South Australian Cooper\nBasin, 18% of the Brantas PSC\nand 9% of the Kakap PSC from\nMedco for US$110 million. On \n31 December 2004, Santos paid\nMedco US$98 million for the\nmajority of the assets, with\npayment for the remaining 2.75%\nof Kakap PSC expected to be\nmade in the first quarter of 2005.\nThis acquisition was an important\npiece in the strategic puzzle to\ntie up access to follow-up\npotential from the successful\nexploration at Jeruk and to\nprovide a production base for \nthe newly established Indonesian\ncore area.\nAlso during the first half of 2004,\nSantos divested its remaining\n18.4% shareholding in Magellan\nPetroleum Australia Ltd, raising\napproximately $10.6 million.\nEarly in the second half of 2004,\nSantos concluded the sale of its\nnon-core onshore Otway Basin\ninterests to Origin Energy for\n$25.75 million. This sale \nresulted in an after-tax profit \nof $18 million that was booked \nin 2004.\nIn addition, an exploration \njoint venture was formed with\nConocoPhillips in the NT/P61\nblock offshore Darwin, Northern\nTerritory, to drill the Caldita well\nand provide Santos with access\nrights to a potential expansion of\nthe Wickham Point LNG facility.\nThis deal further enhances Santos’\ninfrastructure strategy to leverage\nits position within vital\ninfrastructure to improve\nshareholder value while reducing\nthe risk profile of the wildcat\nexploration program.\nDuring the third quarter, Santos\nexpanded its offshore Victorian\ngas interests to 50% in both the\nPatricia-Baleen and the Sole gas\nfields through the acquisition\nfrom Trinity Gas Resources of an\nadditional 30% interest in the\nPatricia-Baleen gas field and\nassociated processing facilities in\neastern Victoria and an additional\n15% interest in the Sole gas field. \nSantos earned its 30% additional\nequity in the Patricia-Baleen gas\nfield by meeting Trinity’s\nremaining share of drilling costs\non the Baleen 4 well which was\ndrilled successfully as a sidetrack\nwell of Baleen 3. Santos will earn\nits 15% additional equity in the\nSole gas field by meeting certain\ndevelopment costs on behalf of\nTrinity, if and when the Sole joint\nventure partners proceed to\ndevelop this gas resource.\nThe acquisition of these Victorian\ngas interests strengthens Santos’\ndomestic gas and infrastructure\nstrategy that was further\nenhanced by the OMV purchase\nannounced early in 2005.\nImportantly, Santos is now the\noperator of the strategic Orbost\ngas processing facility.\nLate in the year, Santos sold its\n18.02% share in the Carpentaria\nGas Pipeline between Ballera \nand Mount Isa in Queensland \nto Australian Pipeline Trust for \n$59 million, resulting in a \n$21 million after-tax profit \nthat was booked in the 2004\nfinancial year.\nENHANCING THE PORTFOLIO\nBRANTAS PSC\nSAN165 WWW Text 30/3/05 12:07 PM Page 23", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200462\nNOTES TO THE FINANCIAL STATEMENTS\nfor the year ended 31 December 2004\nConsolidated Santos Ltd\n2004 2003 2004 2003\n18. Contributed Equity $million $million $million $million\nShare capital\n585,520,675 (2003: 584,475,013) ordinary shares, fully paid 1,557.2 1,550.8 1,557.2 1,550.8\n181,000 (2003: 231,000) ordinary shares, paid to one cent – – – –\nNil (2003: 3,500,000) reset convertible preference shares – 342.3 – 342.3\n6,000,000 (2003: nil) redeemable convertible preference shares 581.8 – 581.8 –\n2,139.0 1,893.1 2,139.0 1,893.1\nMovement in fully paid ordinary shares\n2004 2003 2004 2003\nNote Number of shares $million $million\nBalance at the beginning of the year 584,475,013 582,782,293 1,550.8 1,542.5\nSantos Executive Share Plan (a) 50,000 35,750 0.1 0.1\nSantos Employee Share Acquisition Plan (b) 157,014 254,106 1.3 1.5\nSantos Employee Share Purchase Plan (c) 123,648 152,864 0.9 1.0\nShares issued on exercise of options (d) 715,000 1,250,000 4.1 5.7\nBalance at the end of the year 585,520,675 584,475,013 1,557.2 1,550.8\nMovement in reset convertible preference shares\nBalance at the beginning of the year 3,500,000 3,500,000 342.3 342.3\nTransfer to redeemable convertible preference shares – – 7.7 –\nShares redeemed (f) (3,500,000) – (350.0) –\nBalance at the end of the year – 3,500,000 – 342.3\nMovement in redeemable convertible preference shares\nBalance at the beginning of the year – – – –\nShares issued (g) 6,000,000 – 600.0 –\nShare issue cost – – (10.5) –\nTransfer from reset convertible preference shares – – (7.7) –\nBalance at the end of the year 6,000,000 – 581.8 –\nThe market price of the Company’s ordinary shares on 31 December 2004 was $8.48 (2003: $6.87).\n(a) Santos Executive Share Plan\nThe Santos Executive Share Plan was approved by shareholders at a general meeting held on 22 December 1987.\nUnder the terms of the Plan, shares were initially issued as partly paid shares, paid to one cent. While partly paid, the Plan Shares are not\ntransferable, carry no voting right and no entitlement to dividend but are entitled to participate in any bonus or rights issue.\nShares were issued principally on: 22 December 1987; 7 February and 5 December 1989; and 24 December 1990. In 1997 the Board determined\nthat the Plan be discontinued and, accordingly, there has been no further issues of shares under the Plan.\nAt the beginning of the financial year there were 231,000 Plan Shares on issue. During the financial year 50,000 Plan Shares were fully paid and\naggregate proceeds of $138,200 received by the Company. As at 31 December 2004 there were 181,000 Plan Shares outstanding.\n(b) Santos Employee Share Acquisition Plan\nThe Santos Employee Share Acquisition Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation,\nwith amendment, approved at the Annual General Meeting on 5 May 2000.\nBroadly, permanent eligible employees with at least a minimum period of service determined by Directors as at the offer date (one year of completed\nservice for issues so far) are entitled to acquire shares under this Plan. Executives participating in the Santos Executive Share Option Plan (refer\nnote 18(d)) or in the Executive Long Term Incentive Plan in 2004, casual employees and Directors of the Company are excluded from participating in\nthis Plan. Employees are not eligible to participate under the Plan while they are resident overseas unless the Board decides otherwise.\nThe Plan provides for grants of fully paid ordinary shares in the capital of the Company up to a value determined by the Board which, to date,\nhas been $1,000 per annum per eligible employee. A trustee is funded by the Santos Group to acquire shares directly from the Company or on\nmarket. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 63\n18. Contributed Equity (continued)\n(b) Santos Employee Share Acquisition Plan (continued)\nSummary of share movements in the Plan during 2004 (and comparative 2003 information):\nOpening Granted during Distributions\nbalance the year during the year Closing balance\nNumber Fair value Fair value Fair value \nGrant dates Number of shares per share Number aggregate Number aggregate\n$$$\n2004\n24 August 2001 177,908 – – 177,908 1,180,728 – –\n2 September 2002 195,624 – – 32,760 227,623 162,864 1,381,087\n2 September 2003 242,991 – – 42,237 294,081 200,754 1,702,394\n22 November 2004 – 157,014 8.14 244 2,089 156,770 1,329,410\n616,523 157,014 253,149 1,704,521 520,388 4,412,891\n2003\n25 August 2000 192,950 – – 192,950 1,163,949 – –\n24 August 2001 196,552 – – 18,644 111,036 177,908 1,222,228\n2 September 2002 216,840 – – 21,216 126,185 195,624 1,343,937\n2 September 2003 – 254,106 5.84 11,115 67,943 242,991 1,669,348\n606,342 254,106 243,925 1,469,113 616,523 4,235,513\nShares are allocated at a price equal to the weighted average sale price of the Company’s ordinary shares on the Australian Stock Exchange during\nthe one week period up to and including the Grant Date. This is shown as fair value per share for shares granted during the year. The fair value of\nshares distributed from the trust during the year and remaining in the trust at the end of the financial year is the market price of shares of the\nCompany on the Australian Stock Exchange as at close of trading on the respective dates.\nDistributions during the year occurred at various dates throughout the year and therefore have not been separately listed.\nThe amounts recognised in the financial statements of the Santos Group and the Company in relation to the Santos Employee Share Acquisition\nPlan during the year were:\nConsolidated Santos Ltd\n2004 2003 2004 2003\n$million $million $million $million\nEmployee expenses 1.2 1.4 1.2 1.4\nIssued ordinary share capital 1.3 1.5 1.3 1.5\nAt 31 December 2004, the total number of shares acquired under the Plan since its commencement was 1,874,287.\n(c) Santos Employee Share Purchase Plan\nThe Santos Employee Share Purchase Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation,\nwith amendment, approved at the Annual General Meeting on 5 May 2000.\nGeneral Employee Participation\nThe Plan is open to all employees (other than a casual employee or Director of the Company) determined by the Board who are continuing\nemployees at the date of the offer. However, employees who are not resident in Australia at the time of an offer under the Plan and those who\nhave participated in the Executive Long Term Incentive Plan during the year will not be eligible to participate in that offer unless the Board\notherwise decides.\nUnder the Plan, eligible employees may be offered the opportunity to subscribe for or acquire fully paid ordinary shares in the capital of the\nCompany at a discount to market price, subject to restrictions, including on disposal, determined by the Board (which has been a period of one\nyear for issues so far). The subscription or acquisition price is Market Value (being the weighted average sale price of the Company’s ordinary\nshares on the Australian Stock Exchange during the one week period up to and including the offer date) less any discount determined by the\nBoard (5% for issues so far). Under the Plan, at the discretion of the Board, financial assistance may be provided to employees to subscribe for\nand acquire shares under the Plan. The 5% discount constitutes financial assistance for these purposes. Participants are entitled to vote, receive\ndividends and participate in bonus and rights issues while the shares are restricted.\nOn 26 November 2004, the Company issued 32,400 ordinary shares to 49 eligible employees at a subscription price of $8.14 per share under", - "page_start": 64, - "page_end": 64, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200410\n2004 WAS A YEAR OF GOOD\nOPERATING RESULTS\nOverall the increase in 2004 profit\nof 16% reflected a year of sound\noperating performance. Sales\nrevenue was a record $1,501\nmillion, up 2.5% on 2003,\nreflecting higher prices across\nmost products and was achieved\ndespite lower production as a\nresult of the Moomba incident\nand declining output from late\nlife fields.\nSantos benefited from higher\nworld oil prices and realised\nUS$51.83 per boe in 2004, an\nincrease of 19% over 2003. The\nbenefit of higher world oil prices\nsubstantially offset the impact \nof lower production volumes. \nSantos was also able to negotiate\nhigher domestic gas prices (up\n4% on average) and deliver new\nrevenue streams from project\nstart-ups and acquisitions during\nthe year.\nPRODUCTION HAMPERED BY\nMOOMBA INCIDENT\n2004 production was lower due \nto the Moomba incident, which\nreduced production by 4.6 million\nboe. Field decline reduced\nproduction by a further \n5.0 million boe.\nOffsetting these factors, Santos’\ngrowth projects are starting to\ncome on line and have begun to\nreverse the decline experienced\nover the past three years. Two\nprojects were commissioned in\n2004: the Bayu-Undan liquids\nproject and the Minerva gas\nproject. In addition, acquisitions\ncontributed 0.8 million boe to\nproduction. \nFor 2005, production is expected\nto improve by around 15%, or \n4% excluding the impact of the\nMoomba incident. Santos now\nexpects production to be around\n54 million boe in 2005. This\nincrease is largely driven by the\ncommissioning of Mutineer-Exeter\nin March 2005 and the John\nBrookes gas field in the middle \nof the year.\nPRODUCTION COSTS \nUNDER CONTROL\nProduction costs in 2004 were\n$309 million, up $45 million or\n17% on 2003. Analysis shows\nthat Santos was able to continue\nto effectively control its costs \nin the face of significant external\npressures in the form of rising\nservices and materials prices.\nExamining production costs in\ndetail reveals:\n• the start-up of Bayu-Undan and\nacquisitions added $16 million\nto Santos’ cost base\n• changes in our accounting\nadded a further $16 million \nto Santos’ production costs\n• higher insurance premiums \n($8 million) and one-off stock\nwrite-offs ($5 million) were\noffset by $17 million in cost\nsavings largely as a result of\nSantos’ continuous\nimprovement initiatives\n• the Moomba incident resulted\nin $17 million of one-off costs\nin 2004.\nPiecing this together, the key\nthemes in our financial\nperformance were:\n• cost savings in established\nproduction areas more than\noffset increases in the price \nof services and materials\n• Santos’ cost base rose as\nproduction from new\ndevelopments and acquisitions\nwere added to the Company’s\nexpanding portfolio of\nproducing assets.\nANALYSING FINANCIAL PERFORMANCE \n‘The sound operating results\nachieved in 2004 underline \nthe changing face of Santos\ntowards a higher value, higher\nmargin business. We ended the\nyear with a strong financial\nposition and our financial\nflexibility intact. ’ \nPETER WASOW\nChief Financial Officer\n’01 ’02 ’03 ’04\nPRODUCTION AND SALES REVENUE\nRevenue Net profit after tax Production\n1,460\n445\n322 327 380\n1,478 1,465\n54.257.355.7\n1,501\n47.1\n0\n500\n1000\n1500\n2000\n0\n10\n20\n30\n40\n50\n60\n$million\nmmboe\nSAN165 WWW Text 30/3/05 12:06 PM Page 10", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200468\nNOTES TO THE FINANCIAL STATEMENTS\nfor the year ended 31 December 2004\nConsolidated Santos Ltd\n2004 2003 2004 2003\n19. Foreign Currency Translation Reserve $million $million $million $million\nBalance at the end of the year (9.0) (8.8) – –\nMovements during the year\nBalance at the beginning of the year (8.8) (4.1) – –\nExchange difference on net investment in foreign operations and related hedges:\nGross hedges 17.3 123.5 – –\nRelated income tax (5.2) (37.1) – –\nOverseas net assets (12.3) (91.1) – –\nNet translation adjustment (0.2) (4.7) – –\nBalance at the end of the year (9.0) (8.8) – –\nThe foreign currency translation reserve records the foreign currency differences arising from the translation of self-sustaining foreign operations, the\ntranslation of transactions that hedge the Company’s net investment in a foreign operation or the translation of foreign currency monetary items\nforming part of the net investment in a self-sustaining operation.\nConsolidated Santos Ltd\n2004 2003 2004 2003\n20. Retained Profits $million $million $million $million\nBalance at the end of the year 1,368.3 1,203.6 1,299.8 871.9\nMovements during the year\nBalance at the beginning of the year 1,203.6 983.2 871.9 795.5\nEffect of initial adoption of revised AASB 1028 “Employee Benefits” – (1.9) – (1.8)\nEffect of initial adoption of AASB 1044 “Provisions, Contingent Liabilities and \nContingent Assets” – 93.3 – 93.3\nNet profit after income tax attributable to the shareholders of Santos Ltd 379.9 327.0 643.1 182.9\nDividends recognised during the year (212.8) (198.0) (212.8) (198.0)\nPremium paid on buy-back of reset convertible preference share (2.4) – (2.4) –\nBalance at the end of the year 1,368.3 1,203.6 1,299.8 871.9\nDividends provided for and paid by the Company\nSpecial dividend of $5.00 per redeemable convertible preference share paid on \n7 October 2004 on 2,865,821 shares, fully franked 14.3 – 14.3 –\nPreferential, non-cumulative dividend of $3.2940 per reset convertible preference \nshare paid on 31 March 2004, fully franked (2003: $3.2760 per share provided \nand paid on 31 March 2003, fully franked)11.5 11.5 11.5 11.5\nPreferential, non-cumulative dividend of $3.2940 per reset convertible preference \nshare paid on 30 September 2004, fully franked (2003: $3.2940 per share paid on\n30 September 2003, fully franked)11.5 11.5 11.5 11.5\nFinal 2003 dividend of 15.0 cents per ordinary share paid on 31 March 2004, \nfully franked (2003: 15.0 cents per share, fully franked) 87.7 87.4 87.7 87.4\nInterim dividend of 15.0 cents per ordinary share paid on 30 September 2004, \nfully franked (2003: 15.0 cents per share, fully franked) 87.8 87.6 87.8 87.6\n212.8 198.0 212.8 198.0\nSubsequent to reporting date\nSince the end of the financial year, the Directors have declared the following \ndividends payable on 31 March 2005:\nFinal 2004 dividend of 18.0 cents per ordinary share, fully franked 105.4 105.4\nPreferential, non-cumulative floating rate dividend of $2.4497 per redeemable \nconvertible preference share, fully franked 14.7 14.7\n120.1 120.1\nThe financial effect of these dividends has not been brought to account in the \nconsolidated financial statements for the year ended 31 December 2004.\nFranking credits\nBalance of franking account credits at 30% available for future distribution, \nafter adjusting for franking credits which will arise from the payment of the \ncurrent income tax provision at 31 December 2004 394.7 358.3\nSAN165 WWW Fins 30/3/05 11:55 AM Page 68", - "page_start": 69, - "page_end": 69, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 81\nAustralia International Consolidated\n2004 2003 2004 2003 2004 2003\n28. Segment Information (continued) $million $million $million $million $million $million\nPrimary Reporting\nGeographic segments\nRevenue\nTotal segment revenue 1,633.1 1,445.9 120.7 134.6 1,753.8 1,580.5\nOther unallocated revenue (0.6) 38.9\nTotal revenue 1,753.2 1,619.4\nResults\nEarnings before interest, tax and significant items 505.9 529.8 3.8 15.6 509.7 545.4\nSignificant items:\nInsurance recovery 116.6 – – – 116.6 –\nCosts associated with Moomba liquids recovery plant fire (17.5) – – – (17.5) –\nProfit on sale of oil and gas assets 43.9 – – – 43.9 –\nWrite-down of exploration and development expenditure (4.7) (1.3) (17.4) (58.4) (22.1) (59.7)\nOrganisation restructure costs (21.6) – – – (21.6) –\nAccelerated depreciation – Heytesbury – (20.2) – – – (20.2)\n622.6 508.3 (13.6) (42.8) 609.0 465.5\nGain on sale of listed investments 0.1 45.8\nUnallocated corporate expenses (34.7) (45.8)\nEarnings before interest and tax 574.4 465.5\nUnallocated borrowing costs (33.6) (34.6)\nProfit from ordinary activities before income tax expense 540.8 430.9\nIncome tax expense (160.9) (103.9)\nNet profit after income tax attributable to the \nshareholders of Santos Ltd 379.9 327.0\nNon-cash expenses\nDepreciation, depletion and amortisation 434.4 454.9 90.8 65.9 525.2 520.8\nUnallocated corporate depreciation, depletion and amortisation 14.5 10.8\nTotal depreciation, depletion and amortisation 539.7 531.6\nWrite-down of exploration and development expenditure 4.7 1.3 17.4 58.4 22.1 59.7\nUnallocated corporate write-down of listed investment – 4.4\nTotal non-cash expenses 561.8 595.7\nAcquisition of non-current assets\nControlled entities 92.2 24.0 35.1 – 127.3 24.0\nOil and gas assets, property, plant and equipment 761.8 587.0 146.4 140.0 908.2 727.0\nUnallocated corporate acquisition of oil and gas assets, \nproperty, plant and equipment 21.3 23.3\nTotal acquisition of non-current assets 1,056.8 774.3\nAssets\nSegment assets 5,120.1 4,447.8 694.7 602.7 5,814.8 5,050.5\nUnallocated corporate assets 141.2 167.8\nConsolidated total assets 5,956.0 5,218.3\nLiabilities\nSegment liabilities 2,129.1 1,678.3 120.9 174.9 2,250.0 1,853.2\nUnallocated corporate liabilities 207.7 277.2\nConsolidated total liabilities 2,457.7 2,130.4\nSecondary Reporting\nBusiness segments\nThe Santos Group operates predominantly in one business, namely the exploration, development, production, transportation and marketing of\nhydrocarbons. Revenue is derived from the sale of gas and liquid hydrocarbons and the transportation of crude oil.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 81", - "page_start": 82, - "page_end": 82, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "How have been confirmed nonvanishing neutrino ?", - "target_page": 2, - "target_passage": "The nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "parameter to be consistent with the current observations. We als o calculate the scattering\ncross section between the DM particle and nucleon and discuss the im plication for the direct\nDM search experiments. We summarize our results in the section IV. Our notations and the\nformulas used in our analysis are listed in Appendix.\nII. THE MINIMAL GAUGEDU(1)B−L MODEL WITH Z2 PARITY\nThe model is based on the gauge group SU(3)C ×SU(2)L ×U(1)Y ×U(1)B−L. Additional\nfields besides the standard model fields are a gauge field Z′\nµ of the U(1)B−L, a SM singlet\nB − L Higgs boson Ψ with two U(1)B−L charge, and three RH neutrinos Ni which are\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH\nneutrinos, we use the four component representation of RH neut rino constructed from the\nWeyl spinor νRi ,\nNi ≡\n\nνRi\nǫν∗\nRi\n\n, (1)\nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that\nthe RH neutrino N3 is stable and, hence, the DM candidate.\nDue to the additional gauge symmetry U(1)B−L, the covariant derivative for each fields\nis given by\nDµ = D(SM )\nµ − iqB−LgB−LZ′\nµ , (2)\nwhere D(SM )\nµ is the covariant derivative in the SM, and qB−L is the charge of each fields\nunder the U(1)B−L with its gauge coupling gB−L.\nYukawa interactions relevant for the neutrino masses are given by\nLint =\n3∑\nα =1\n2∑\ni=1\nyαi ¯Lα ˜Φ Ni − 1\n2\n3∑\ni=1\nλRi\n¯NiΨ PRNi + h.c., (3)\nwhere ˜Φ = −iτ2Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we hav e\nworked out in the basis where the second term in the right-hand-sid e is in flavor diagonal\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings\nwith the left-handed lepton doublets.\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B− L Higgs Ψ is\ngenerally given by\nV(Φ ,Ψ) = m2\n1|Φ |2 + m2\n2|Ψ |2 + λ1|Φ |4 + λ2|Ψ |4 + λ3|Φ |2|Ψ |2. (4)\n3", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "I. INTRODUCTION\nThe nonvanishing neutrino masses have been confirmed by various n eutrino oscillation\nphenomena and indicate the evidence of new physics beyond the Sta ndard Model. The most\nattractive idea to naturally explain the tiny neutrino masses is the se esaw mechanism [1], in\nwhich the right-handed (RH) neutrinos singlet under the SM gauge g roup are introduced.\nThe minimal gauged U(1)B−L model based on the gauge group SU(3)C × SU(2)L × U(1)Y ×\nU(1)B−L [2] is an elegant and simple extension of the SM, in which the RH neutrino s of\nthree generations are necessarily introduced because of the gau ge and gravitational anomaly\ncancellations. In addition, the mass of RH neutrinos arises associat ed with the U(1)B−L\ngauge symmetry breaking.\nAlthough the scale of the B−Lgauge symmetry breaking is basically arbitrary as long as\nphenomenological constraints are satisfied, one interesting optio n is to take it to be the TeV\nscale [3]. It has been recently pointed out [4] that when the classica l conformal invariance\nis imposed on the minimal U(1)B−L model, the symmetry breaking scale appears to be the\nTeV scale naturally. If this is the case, all new particles, the Z′ gauge boson, the B − L\nHiggs boson H and the RH neutrinos appear at the TeV scale unless the U(1)B−L gauge\ncoupling is extremely small, and they can be discovered at Large Hadr on Collider [5–8].\nThen we may be able to understand the relation between the gauge s ymmetry breaking and\nthe origin of neutrino masses.\nAlthough such a TeV scale model is interesting and appealing, one migh t think that the\nabsence of dark matter (DM) candidate is a shortcoming of this mod el. A sterile RH neutrino\nwith mass of the order of MeV is one possibility [9]. In this paper, we pro pose a very simple\nidea to introduce the DM candidate in the minimal gauged U(1)B−L model. We introduce\nthe Z2 parity into the model and impose one of three RH neutrinos to be odd , while the\nothers even. In this way, the Z2-odd RH neutrino becomes stable and the DM candidate.\nNote that two RH neutrinos are enough to reconcile with the observ ed neutrino oscillation\ndata, with a prediction of one massless light neutrino. Therefore, w ithout introducing any\nadditional new dynamical degrees of freedom, the DM particle arise s in the minimal gauged\nU(1)B−L model.\nThe paper is organized as follows. In the next section, we briefly des cribe our model. In\nsection III, we estimate the thermal relic density of the RH neutrin o and identify the model\n2", - "page_start": 1, - "page_end": 1, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Nex t we calculate the scattering\ncross section between the DM particle and a proton and discuss the implication for the direct\nDM search experiments.\nA. Thermal relic density\nThe DM RH neutrino interacts with the SM particles through couplingswith B − L\ngauge and B− L Higgs bosons. Note that neutrino Dirac Yukawa interactions are ab sent\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z′,H and\nh exchange processes in the s-channel. In practice, the dominant contributions come from\nthe Higgs ( h and H) exchange diagrams, because the Z′ exchange processes are suppressed\nby the inverse square of the B−LHiggs VEV v′ ≳ 3 TeV. Thus, we obtain Higgs portal DM\nof RH neutrino effectively. The relevant annihilation modes are the an nihilation into f ¯f,\nW+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B− L Higgs Ψ while\na SM particle does to SM Higgs Φ, the DM annihilation occurs only throug h the mixing\nbetween these two Higgs bosons. Although it is not so severe, the p recision electroweak\nmeasurements [12] as well as the unitarity bound [13] give constra ints on the mixing angle\nand mass spectrum of the Higgs bosons.\nThe thermal relic abundance of DM\nΩ N h2 = 1 .1 × 109 mN /Td\n√g∗MP ⟨σv⟩GeV−1, (14)\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section\nand the relative velocity ⟨σv⟩, the total number of relativistic degrees of freedom in the\nthermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann\nequation for the number density of RH neutrino nN ;\ndnN\ndt + 3HnN = −⟨σv⟩(n2\nN− n2\nEQ), (15)\nand the Friedmann equation\nH2 ≡\n( ˙a\na\n) 2\n= 8π\n3M2\nP\nρ, (16)\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under th e\nradiation dominated Universe with the energy density ρ= ρrad [14].\n5", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "0.001\n 0.01\n 0.1\n 1\n 10\n 100\n 1000\n 60 80 100 120 140 160 180 200\nΩ N h 2\nm N [GeV]\nFIG. 2: The same as Fig. 1 but for sinθ = 0. 3.\nmode into W-boson pair becomes kinematically available, it is not possible to obtain t he\ndesired DM abundance without the Higgs resonant annihilation becau se the bound on v′\ngiven by Eq. (12) is stringent.\nB. Direct detection of dark matter\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino\nDM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process\nis Higgs exchange and the resultant cross section for a proton is giv en by\nσ(p)\nSI = 4\nπ\n( mpmN\nmp + mN\n) 2\nf2\np , (17)\nwith the hadronic matrix element\nfp\nmp\n=\n∑\nq=u,d,s\nf(p)\nT q\nαq\nmq\n+ 2\n27f(p)\nT G\n∑\nc,b,t\nαq\nmq\n, (18)\nand the effective vertex (see Appendix for notations)\nαq = −λN yq\n( ∂Φ\n∂h\n1\nM2\nh\n∂Ψ\n∂h + ∂Φ\n∂H\n1\nM2\nH\n∂Ψ\n∂H\n)\n, (19)\nwhere mq is a mass of a quark with a Yukawa coupling yq, and f(p)\nT q and f(p)\nT G are constants.\n7", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\nΦ =\n\n 0\n1\n√\n2 (v+ φ)\n\n, (5)\nΨ = 1\n√\n2(v′ + ψ), (6)\naround the true vacuum with the vacuum expectation values v and v′. These are related\nwith the mass eigenstates h and H through\n\nh\nH\n\n=\n\ncos θ − sin θ\nsin θ cos θ\n\n\n\nφ\nψ\n\n, (7)\nwith θ being the mixing angle. Their masses are given by\nM2\nh = 2 λ1v2 cos2 θ+ 2λ2v′2 sin2 θ− 2λ3vv′ sin θcos θ, (8)\nM2\nH = 2 λ1v2 sin2 θ+ 2λ2v′2 cos2 θ+ 2λ3vv′ sin θcos θ. (9)\nThe mass of the new neutral gauge boson Z′ arises by the U(1)B−L gauge symmetry\nbreaking,\nM2\nZ′ = 4 g2\nB−Lv′2. (10)\nAssociated with the U(1)B−L gauge symmetry breaking, the RH neutrinos Ni acquire masses\nMNi = −λRi\nv′\n√\n2. (11)\nFrom LEP experiment, the current lower bound on the Z′ boson mass has been found to\nbe [10, 11]\nMZ′\ngB−L\n= 2 v′ ≳ 6 − 7 TeV. (12)\nTwo Z2-even RH neutrinos N1 and N2 are responsible for light neutrino masses via the\nseesaw mechanism,\nmναβ = −\n∑\ni=1, 2\nyαi yiβ\nv2\n2MNi\n. (13)\nNote that the rank of this mass matrix is two, so that the lightest ne utrino is massless.\nIII. RIGHT-HANDED NEUTRINO DARK MATTER\nDue to the Z2 parity, one of RH neutrino N3 (we denote it as N hereafter) in our model\ncan be the DM candidate. We first estimate its relic abundance and ide ntify the model\n4", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ(p)\nSI ∝ (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows\nthe spin-independent cross section of RH neutrino with a proton. T he resultant cross section\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]:\nσSI ≲ 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such\nas XENON1T [26] can reach the cross section predicted in our model.\n10 -10\n10 -9\n10 -8\n 60 80 100 120 140 160 180 200\nσ p [pb]\nm N [GeV]\nFIG. 3: The spin independent scattering cross section with aproton. All parameters are same as\nthose used in the previous section. The upper and lower linescorrespond to sinθ = 0. 7 and 0. 3,\nrespectively.\nIV. SUMMARY\nWe have proposed a scenario of the RH neutrino dark matter in the c ontext of the minimal\ngauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism.\nNo additional degrees of freedom are necessary to be added. We h ave evaluated the relic\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal\nDM model. It has been found that the relic density consistent with th e current observation\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "b. Annihilation into νs, ν s (heavy sterile-like neutrinos)\n|M|2 =\n32\n⏐\n⏐\n⏐\n⏐\ng2\nB−Lqf qN\ns− M2\nZ′ + iMZ′ ΓZ′\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n( 3\n8s− 1\n2\n( s\n2 + m2\nνs\n)\n+ 1\n2\n( s\n4 + m2\nνs\n)\ncos2 θ\n)\n+4λ2\nNλ2\nνs\n⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\n∂Ψ\n∂h + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\n∂Ψ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)(s− 4m2\nνs ).\n(B3)\n3. Annihilation into W +W −\n|M|2 = 8 λ2\nN\n( 1\n2g2v\n) 2 ⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\n1\ns− M2\nh + iMhΓh\n∂φ\n∂h + ∂Ψ\n∂H\n1\ns− M2\nH + iMH ΓH\n∂φ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n(\n1 + 1\n2M4\nW\n( s\n2 − M2\nW\n) 2)\n. (B4)\n4. Annihilation into ZZ\n|M|2 = 8 λ2\nN\n( 1\n4(g2 + g′2)v\n) 2 ⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\n1\ns− M2\nh + iMhΓh\n∂φ\n∂h + ∂Ψ\n∂H\n1\ns− M2\nH + iMH ΓH\n∂φ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n(\n1 + 1\n2M4\nZ\n( s\n2 − M2\nZ\n) 2)\n. (B5)\n5. Annihilation into hh\nM1 denotes the amplitude by s-channel Higgs bosons hand H exchange, while M2 does\nthat for t(u)-channel N exchange diagram. The formulas for NN → hH and HH can be\nobtained by appropriate replacement of the vertexes, e.g., λhhh → λhhH .\n|M|2 = |M1 + M2|2, (B6)\n|M1|2 = λ2\nN\n( s\n2 − 2m2\nN\n)\n⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\niλhhh + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\niλHhh\n⏐\n⏐\n⏐\n⏐\n2\n, (B7)\n11", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "14\nmodified MFLI models. It is interesting that this holds\ndespite the fact that for largeλ CB model displays the\nphysics one apparently needs to reverse the sign of ∆ WK\n– the absence of the quasiparticle peak in the NS and its\nemergence in the SCS accompanied by the dip and the\nhump at larger energies. The absence of coherent quasi-\nparticle in the NS at largeλ is also apparent form Fig\n21 where we show the normal state distribution functions\nfor two differentλ. For large λ the jump (which indicates\nthe presence of quasiparticles) virtually disappears.\nOn a more careful look, we found that indifference of\nδW (ωc) to the increase of λ is merely the consequence of\nthe fact that above we kept λωsf constant. Indeed, at\nsmall frequencies, fermionic self-energy in the NS is Σ ′ =\nλω, Σ” = λ2ω2/(λωsf ), and both Σ ′ and Σ ′′ increase\nwith λ if we keep λωsf constant. But at frequencies larger\nthan ωsf , which we actually probe by ∆ W (ωc), the self-\nenergy essentially depends only on λωsf , and increasing λ\nbut keeping λωsf constant does not bring us closer to the\nphysics associated with the recovery of electron coherence\nin the SCS. To detect this physics, we need to see how\nthings evolve when we increaseλωsf above the scale of\n∆ , i.e., consider a truly strong coupling when not only\nλ≫ 1 but also the normal state Σ NS (ω ≥ ∆) >> ∆.\nTo address this issue, we took a larger λ for the same\nωsf and re-did the calculation of the conductivities and\noptical integrals. The results for σ(ω) and ∆ W (ωc) are\npresented in Fig. 22. We found the same behavior as be-\nfore, i.e., ∆WK is negative. But we also found that the\nlarger is the overall scale for the self-energy, the larger is a\nfrequency of zero-crossing of ∆W (ωc). In particular, for\nthe same λ and ωsf that were used in Ref. 33 to fit the NS\nconductivity data, the zero crossing is at ∼ 0.8 eV which\nis quite close to the bandwidth. This implies that at a\ntruly strong coupling the frequency at which ∆W (ωc)\nchanges sign can well be larger than the bandwidth of\n1eV in which case ∆ W integrated up to the bandwidth\ndoes indeed remain positive. Such behavior would be\nconsistent with Refs.8,9. we also see from Fig. 22 that\n∆WK becomes small at a truly strong coupling, and over\na wide range of frequencies the behavior of ∆ W (ωc) is\npredominantly governed by ∆ f(ωc), i.e. by the cut-off\nterm.50 The implication is that, to first approximation,\n∆ WK can be neglected and positive ∆ W (wc) integrated\nto a frequency where it is still positive is almost compen-\nsated by the integral over larger frequencies. This again\nwould be consistent with the experimental data in Refs.\n8,9.\nIt is also instructive to understand the interplay be-\ntween the behavior of ∆ W (ωc) and the behavior of the\ndifference of the kinetic energy between the SCS and the\nNS,δKE . We computed the kinetic energy as a function\nof λωsf and present the results in Fig. 23 for λ = 1 and\n10. For a relatively weak λ = 1 the behavior is clearly\nBCS like- δKE > 0 and increases with increasing λωsf .\nHowever, at large λ = 10, we see that the kinetic energy\nbegin decreasing at large λωsf and eventually changes\nsign. The behavior of δKE at a truly strong coupling is\nconsistent with earlier calculation of the kinetic energy\nfor Ornstein-Zernike form of the spin susceptibility43.\nWe clearly see that the increase of the zero crossing\nfrequency of ∆ W (ωc) at a truly strong coupling is cor-\nrelated with the non-BCS behavior of δKE . At the same\ntime, the behavior of δW (ωc) is obviously not driven by\nthe kinetic energy as eventually δW (ωc) changes sign and\nbecome negative. Rather, the increase in the frequency\nrange where ∆W (ωc) remains positive and non-BCS be-\nhavior of δKE are two indications of the same effect that\nfermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "10\n0 0.5 10 \n0.4\n0.8\nConductivities (Corrected MFLI)\nσ ( ω )\nω in eV\nNS\nSC\n2 ∆\n0 50 100\n100\n120\nW K (meV)\nΓ in meV\nCorrected MFLI\nSC\nNS\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’\nMFLI model with the feedback from SC on the quasiparticle\ndamping:iΓ term transforms into Γ\n√\n−ω 2+∆ 2 . In the SCS σ\nnow begins at Ω = 2∆. The parameters are same as in Fig.\n10. Bottom – the behavior of Kubo sum with Γ. Observe\nthatW (ωc) in the NS is larger than in the SCS.\n0.2 0.4 0.6 0.8\n−10\n0 \n10 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\nCorrected MFLI\nwithout lattice\nwith lattice\n∆ W K\nFIG. 16: Evolution of the difference of the optical integrals\nbetween the SCS and the NS with the upper cut-offωc for\nthe “corrected” MFLI model. Now ∆ W (ωc) is negative above\nsome frequency. Parameters are same as in the Fig 15.\nmodel, whereWK is larger in the NS for all Γ (see Fig.\n4). In other words, the original MFLI model does not\nhave the BCSI theory as its limiting case.\nWe modified the MFLI model is a minimal way by\nchanging the damping term in a SCS to Γ\n√\n−ω2+∆ 2 to be\nconsistent with BCSI model. We still use Eq. (18) for\nthe MFL term simply because this term was introduced\nin the NS on phenomenological grounds and there is no\nway to guess how it gets modified in the SCS state with-\nout first deriving the normal state self-energy microscop-\nically (this is what we will do in the next section). The\nresults of the calculations for the modified MFLI model\nare presented in Figs. 15 and 16. We clearly see that the\nbehavior is now different and ∆WK < 0 for all Γ. This\nis the same behavior as we previously found in BCSI\nand EB models. So we argue that the ‘unconventional’\nbehavior exhibited by the original MFLI model is most\nlikely the manifestation of a particular modeling incon-\nsistency. Still, Ref. 30 made a valid point that the fact\nthat quasiparticles behave more close to free fermions in\na SCS than in a NS, and this effect tends to reverse the\nsigns of ∆WK and of the kinetic energy 43. It just hap-\npens that in a modified MFLI model the optical integral\nis still larger in the NS.\nD. The collective boson model\nWe now turn to a more microscopic model- the CB\nmodel. The model describes fermions interacting by ex-\nchanging soft, overdamped collective bosons in a partic-\nular, near-critical, spin or charge channel31,44,45. This\ninteraction is responsible for the normal state self-energy\nand also gives rise to a superconductivity. A peculiar\nfeature of the CB model is that the propagator of a col-\nlective boson changes belowTc because this boson is not\nan independent degree of freedom (as in EB model) but\nis made out of low-energy fermions which are affected by\nsuperconductivity32.\nThe most relevant point for our discussion is that this\nmodel contains the physics which we identified above as\na source of a potential sign change of ∆WK . Namely,\nat strong coupling the fermionic self-energy in the NS\nis large because there exists strong scattering between\nlow-energy fermions mediated by low-energy collective\nbosons. In the SCS, the density of low-energy fermions\ndrops and a continuum collective excitations becomes\ngaped. Both effects reduce fermionic damping and lead\nto the increase ofWK in a SCS. If this increase exceeds a\nconventional loss of WK due to a gap opening, the total\n∆ WK may become positive.\nThe CB model has been applied numerous times to the\ncuprates, most often under the assumption that near-\ncritical collective excitations are spin fluctuations with\nmomenta nearQ = ( π, π). This version of a CB bo-\nson is commonly known as a spin-fermion model. This\nmodel yieldsdx2−y2 superconductivity and explains in a\nquantitative way a number of measured electronic fea-\ntures of the cuprates, in particular the near-absence of\nthe quasiparticle peak in the NS of optimally doped and\nunderdoped cuprates39 and the peak-dip-hump structure\nin the ARPES profile in the SCS 31,32,46,47. In our analy-\nsis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "In the expression of annihilation cross section, we used the following notations :\n∂Φ\n∂h = 1√\n2 cos θ,\n∂Φ\n∂H = 1√\n2\nsin θ,\n∂Ψ\n∂h = − 1√\n2 sin θ,\n∂Ψ\n∂H = 1√\n2\ncos θ. (A6)\nAppendix B: Amplitude\nWe give explicit formulas of the invariant amplitude squared for the pair annihilation\nprocesses of the RH neutrinos.\n1. Annihilation into charged fermions\n|M|2 =\n32\n⏐\n⏐\n⏐\n⏐\ng2\nB−Lqf qN\ns− M2\nZ′ + iMZ′ ΓZ′\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n( 3\n8s− 1\n2\n( s\n2 − m2\nf\n)\n+ 1\n2\n( s\n4 − m2\nf\n)\ncos2 θ\n)\n+16λ2\nN\n⏐\n⏐\n⏐\n⏐yf\n( ∂Φ\n∂h\ni\ns− M2\nh + iMhΓh\n∂Ψ\n∂h + ∂Φ\n∂H\ni\ns− M2\nH + iMH ΓH\n∂Ψ\n∂H\n) ⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n( s\n4 − m2\nf\n)\n. (B1)\n2. Annihilation into neutrinos\na. Annihilation intoνa, ν a (light active-like neutrinos)\n|M|2 =\n32\n⏐\n⏐\n⏐\n⏐\ng2\nB−Lqf qN\ns− M2\nZ′ + iMZ′ ΓZ′\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n( 3\n8s− 1\n2\n( s\n2 + m2\nνa\n)\n+ 1\n2\n( s\n4 + m2\nνa\n)\ncos2 θ\n)\n.(B2)\n10", - "page_start": 9, - "page_end": 9, - "source_file": "1002.2525.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What are the dominant contributions in thermal relic density ?", - "target_page": 5, - "target_passage": "In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density Ω N h2 as a function of the DM mass mN for a set of\nparameters: ( v′,Mh,MH ,MZ′ ,sin θ) = (4000 GeV ,120 GeV ,200 GeV ,1000 GeV ,0.7), for\nexample. Willkinson Microwave Anisotropy Probe measured the value o f DM abundance as\nΩ DM h2 ≃ 0.1 [15]. The figure shows that a desired DM relic abundance can be obta ined for\nonly near Higgs resonances, mN ≈ Mh/2 or MH /2.\nFig. 2 shows the relic density Ω N h2 as a function of the DM mass mN for a smaller Higgs\nmixing sin θ= 0 .3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN ≲ MW\nwhere the DM particles dominantly annihilate into f ¯f, the relic density further increases\nbecause of the small mixing angle. When the DM is heavier, the annihilat ion mode into\nHiggs boson pairs is opened and the relic density slightly deceases, bu t the reduction is not\nenough to reach Ω N h2 ≃ 0.1.\n 0.001\n 0.01\n 0.1\n 1\n 10\n 100\n 1000\n 60 80 100 120 140 160 180 200\nΩ N h 2\nm N [GeV]\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter\nset: (v′, M h, M H , M Z′ , sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0. 7).\nOur model is quite analogous to the so-called gauge singlet scalar dar k matter [16–18].\nSome recent studies can be found in Refs. [19, 20]. In the gauge sing let scalar DM model, the\nthermal abundance is mainly controlled by the interactions between the SM Higgs boson and\nthe DM particle. In our model, B− LHiggs VEV v′ can play the same role for mN MW the difference appears. Even if the annihilation\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Nex t we calculate the scattering\ncross section between the DM particle and a proton and discuss the implication for the direct\nDM search experiments.\nA. Thermal relic density\nThe DM RH neutrino interacts with the SM particles through couplingswith B − L\ngauge and B− L Higgs bosons. Note that neutrino Dirac Yukawa interactions are ab sent\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z′,H and\nh exchange processes in the s-channel. In practice, the dominant contributions come from\nthe Higgs ( h and H) exchange diagrams, because the Z′ exchange processes are suppressed\nby the inverse square of the B−LHiggs VEV v′ ≳ 3 TeV. Thus, we obtain Higgs portal DM\nof RH neutrino effectively. The relevant annihilation modes are the an nihilation into f ¯f,\nW+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B− L Higgs Ψ while\na SM particle does to SM Higgs Φ, the DM annihilation occurs only throug h the mixing\nbetween these two Higgs bosons. Although it is not so severe, the p recision electroweak\nmeasurements [12] as well as the unitarity bound [13] give constra ints on the mixing angle\nand mass spectrum of the Higgs bosons.\nThe thermal relic abundance of DM\nΩ N h2 = 1 .1 × 109 mN /Td\n√g∗MP ⟨σv⟩GeV−1, (14)\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section\nand the relative velocity ⟨σv⟩, the total number of relativistic degrees of freedom in the\nthermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann\nequation for the number density of RH neutrino nN ;\ndnN\ndt + 3HnN = −⟨σv⟩(n2\nN− n2\nEQ), (15)\nand the Friedmann equation\nH2 ≡\n( ˙a\na\n) 2\n= 8π\n3M2\nP\nρ, (16)\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under th e\nradiation dominated Universe with the energy density ρ= ρrad [14].\n5", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "Giddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev.\nB78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys.\nRev. B 79, 214430 (2009).\n2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A.\nBorchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys.\nRev. Lett.101, 237202 (2008).\n3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Ed-\nmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett.\n93, 132103 (2008).\n4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer,\nand N. Samarth, Appl. Phys. Lett.91, 192503 (2007); M.\nZhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth,\nPhys. Rev. B78, 195307 (2008).\n5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner,\nG. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett.103,\n017204 (2009).\n6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54, 137\n(2005).\n7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\nPolesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G.\nRossi, G. Woltersdorf, W. Wegscheider, and C. H. Back,\nPhys. Rev. Lett.101, 267201 (2008).\n8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang,\nC. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crys-\ntal Growth247, 42 (2003).\n9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser,\nM. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider,\nand C. H. Back, Phys. Rev. B74, 104421 (2006).\n10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev.\nLett.96, 067201 (2006).\n11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q.\nQiu, Phys. Rev. Lett.99, 077203 (2007).\n12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192,\n203 (1999).\n13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer,\nN. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys.\nLett.85, 1556 (2004).\n14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan,\nPhys. Rev. Lett.68, 1943 (1992); P. Carra, B. T. Thole,\nM. Altarelli, and X. Wang, Phys. Rev. Lett. 70, 694 (1993).\n15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "3\ndependence of different samples during the measurement\nstage. For each temperature we have usually performed\nthree independent simulations, each one containing at\nleast 2×105 measurements, taken after discarding up to\n5×104 Monte Carlo steps in order to assure thermal equi-\nlibration.\nIn the proximity of the critical region the multiple his-\ntogram (MH) technique was also employed 21, as it allows\nus to estimate the physical observables of interest over a\nwhole temperature range in a substantially continuous\nway by interpolating results obtained from sets of simu-\nlations performed at some different temperatures.\nFor all the quantities of interest, the average value and\nthe error estimate were obtained by the bootstrap re-\nsampling method22 given that, as pointed out in Ref. 23,\nfor a large enough number of measurements, this method\nturns out to be more accurate than the usual blocking\ntechnique. In our implementation, we pick out randomly\na sizable number of measurements (typically, between 1\nand 1×103 for the single simulation, and between 1 and\n5×104 for the MH technique), and iterate the re-sampling\nat least one hundred times.\nThe thermodynamic observables we have investigated\ninclude the FM order parameter for each plane l:\nml =\n√\n(mx\nl)2 + (my\nl)2 , (2)\nwhich is related to the SO(2) symmetry breaking. At the\nsame time, it turns out to be significant also the average\norder parameter of the film, defined as\nM = 1\nn\nn∑\nl=1\nml . (3)\nTurning to the helical order, which is the relevant\nquantity for the Z2 × SO(2) symmetry, we can explore\nit along two different directions. The first one is by the\nintroduction of the chirality order parameter1,2\nκ = 1\n4(n − 1)L2 sin Qz\n∑\n⟨ij⟩\n[\nSx\ni Sy\nj − Sy\ni Sx\nj\n]\n, (4)\nwhere the sum refers to spins belonging to NN layers\niand j, respectively, while Qz is the bulk helical pitch\nvector along the z direction. The second possibility is\nthat of looking at the integral of the structure factor:\nMHM = 1\nK\n∫ π\n0\ndqzS(⃗ q) (5)\nwhere S(⃗ q), with ⃗ q= (0 , 0, qz), is the structure factor 24\n(i.e. the Fourier transform of the spin correlation func-\ntion) along the z-direction of the film, while the normal-\nization factorK is the structure factor integral at T = 0.\nAlthough the use of the last observable can be seen as a\nsuitable and elegant way to overcome the intrinsic diffi-\nculties met in defining a correct helical order parameter,\nfree of any undue external bias (as the wave-vectorQz\n0 20 40 60 80 100 120 140\nT (K)\n0\n0.5\n1\n1.5\n2\n2.5\nc v / k B\nL = 24\nL = 32\nL = 48\nL = 64\n20 30 40 50 60 70\n2.1\n2.2\n2.3\n2.4\n2.5\n2.6\nc v, max\nL\nFIG. 2: (color online) Specific heat cv per spin vs. temper-\nature for thickness n = 16 (for lateral dimension, see the\nlegend inside the figure). Inset: Maximum of cv vs. L ob-\ntained through MH technique. The continuum red line is a\npower law fit.\nentering the definition ofκ in Eq. (4)), we remind that\nsuch quantity has generally to be managed with particu-\nlar care, as discussed in details in Refs.14,15, where it was\nshown that the presence of block structures prevents us\nto unambiguously relate the evolution ofS(⃗ q) with the\nonset of helical order. However, for the specific case of\nthe model under investigation such integrated quantity\ncan still be considered a fairly significant order parame-\nter, as no block structures emerge from the simulations\n(see below).\nIn order to get a clear picture of the critical region and\nto give an accurate estimate of the critical temperature,\nwe look also at the following quantities\ncv = nL2β2 (\n⟨e2⟩ − ⟨e⟩2)\n, (6)\nχo = nL2β\n(\n⟨o2⟩ − ⟨o⟩2)\n, (7)\n∂β o = nL2 (⟨oe⟩ − ⟨o⟩⟨e⟩) , (8)\nu4(o) = 1 − ⟨o4⟩\n3⟨o2⟩2 , (9)\nwhere β = 1 /kBT , and o is one of the relevant observ-\nables, i.e. ml, M, κ, M HM . In this paper, we shall mainly\nlocate the critical temperature by looking at the intersec-\ntion of the graphs of the Binder cumulant25, Eq. (9), as a\nfunction of T obtained at different L. For clarity reasons,\nwe introduce also the following symbols: by TN (n) we", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "14\nmodified MFLI models. It is interesting that this holds\ndespite the fact that for largeλ CB model displays the\nphysics one apparently needs to reverse the sign of ∆ WK\n– the absence of the quasiparticle peak in the NS and its\nemergence in the SCS accompanied by the dip and the\nhump at larger energies. The absence of coherent quasi-\nparticle in the NS at largeλ is also apparent form Fig\n21 where we show the normal state distribution functions\nfor two differentλ. For large λ the jump (which indicates\nthe presence of quasiparticles) virtually disappears.\nOn a more careful look, we found that indifference of\nδW (ωc) to the increase of λ is merely the consequence of\nthe fact that above we kept λωsf constant. Indeed, at\nsmall frequencies, fermionic self-energy in the NS is Σ ′ =\nλω, Σ” = λ2ω2/(λωsf ), and both Σ ′ and Σ ′′ increase\nwith λ if we keep λωsf constant. But at frequencies larger\nthan ωsf , which we actually probe by ∆ W (ωc), the self-\nenergy essentially depends only on λωsf , and increasing λ\nbut keeping λωsf constant does not bring us closer to the\nphysics associated with the recovery of electron coherence\nin the SCS. To detect this physics, we need to see how\nthings evolve when we increaseλωsf above the scale of\n∆ , i.e., consider a truly strong coupling when not only\nλ≫ 1 but also the normal state Σ NS (ω ≥ ∆) >> ∆.\nTo address this issue, we took a larger λ for the same\nωsf and re-did the calculation of the conductivities and\noptical integrals. The results for σ(ω) and ∆ W (ωc) are\npresented in Fig. 22. We found the same behavior as be-\nfore, i.e., ∆WK is negative. But we also found that the\nlarger is the overall scale for the self-energy, the larger is a\nfrequency of zero-crossing of ∆W (ωc). In particular, for\nthe same λ and ωsf that were used in Ref. 33 to fit the NS\nconductivity data, the zero crossing is at ∼ 0.8 eV which\nis quite close to the bandwidth. This implies that at a\ntruly strong coupling the frequency at which ∆W (ωc)\nchanges sign can well be larger than the bandwidth of\n1eV in which case ∆ W integrated up to the bandwidth\ndoes indeed remain positive. Such behavior would be\nconsistent with Refs.8,9. we also see from Fig. 22 that\n∆WK becomes small at a truly strong coupling, and over\na wide range of frequencies the behavior of ∆ W (ωc) is\npredominantly governed by ∆ f(ωc), i.e. by the cut-off\nterm.50 The implication is that, to first approximation,\n∆ WK can be neglected and positive ∆ W (wc) integrated\nto a frequency where it is still positive is almost compen-\nsated by the integral over larger frequencies. This again\nwould be consistent with the experimental data in Refs.\n8,9.\nIt is also instructive to understand the interplay be-\ntween the behavior of ∆ W (ωc) and the behavior of the\ndifference of the kinetic energy between the SCS and the\nNS,δKE . We computed the kinetic energy as a function\nof λωsf and present the results in Fig. 23 for λ = 1 and\n10. For a relatively weak λ = 1 the behavior is clearly\nBCS like- δKE > 0 and increases with increasing λωsf .\nHowever, at large λ = 10, we see that the kinetic energy\nbegin decreasing at large λωsf and eventually changes\nsign. The behavior of δKE at a truly strong coupling is\nconsistent with earlier calculation of the kinetic energy\nfor Ornstein-Zernike form of the spin susceptibility43.\nWe clearly see that the increase of the zero crossing\nfrequency of ∆ W (ωc) at a truly strong coupling is cor-\nrelated with the non-BCS behavior of δKE . At the same\ntime, the behavior of δW (ωc) is obviously not driven by\nthe kinetic energy as eventually δW (ωc) changes sign and\nbecome negative. Rather, the increase in the frequency\nrange where ∆W (ωc) remains positive and non-BCS be-\nhavior of δKE are two indications of the same effect that\nfermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "∫ dcos θ\n2 |M2|2 = λ4\nN\n( ∂Ψ\n∂h\n) 4 (\n−8 − I22 + J22 ln\n⏐\n⏐\n⏐\n⏐\nA+ 2b\nA− 2b\n⏐\n⏐\n⏐\n⏐\n)\n, (B8)\n∫ dcos θ\n2 M1M∗\n2 = 4 mN λ3\nN\n( ∂Ψ\n∂h\n) 2 ( ∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\niλhhh + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\niλHhh\n)\n(\n−4 + s− 4m2\nN+ A\n2b ln\n⏐\n⏐\n⏐\n⏐\nA+ 2b\nA− 2b\n⏐\n⏐\n⏐\n⏐\n)\n, (B9)\nwhere θ is the scattering angle in the center of mass frame. The auxiliary fun ctions appear\nabove are defined as\nI22(s) ≡ 4(A+ 2a)2 − 2(s+ 4m2\nN)A− s(A+ m2\nN) − 3m2\nN(s− 4m2\nN)\nA2 − 4b2 , (B10)\nJ22(s,mh) ≡ 1\nAb\n(\n2A(A+ 2a) − A(s+ 4m2\nN) + A2 − 4a2 − (s− 2m2\nN)(m2\nN− m2\nh)\n+3m2\nN(s− 4m2\nN)\n)\n, (B11)\nA(s,mh) ≡ − s\n2 + m2\nh, (B12)\nb(s,mN ,mh) ≡\n√\ns\n4 − m2\nh\n√\ns\n4 − m2\nN. (B13)\nAppendix C: Thermal averaged annihilation cross section\nIn partial wave expansion, the thermal averaged cross section isgiven by\n⟨σv⟩ = 1\nm2\nN\n[\nw(s) − 3\n2\n(\n2w(s) − 4m2\nN\ndw\nds\n) T\nmN\n] ⏐\n���\n⏐\n⏐\ns=4m2\nN\n(C1)\n= 6 dw\nds\n⏐\n⏐\n⏐\n⏐\ns=4m2\nN\nT\nmN\n, (C2)\nwith\n4w(s) ≡\n∫\ndLIPS\n∑\n|M|2 = 1\n8π\n√\ns− 4m2\nfinal\ns\n∫ dcos θ\n2\n∑\n|M|2, (C3)\nwhere mfinal is the mass of final state particle.\n[1] T. Yanagida, inProceedings of Workshop on the Unified Theory and the Baryon Nu mber in\nthe Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979),\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, inSupergravity, Proceedings of Workshop,\n12", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "6 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nReferences\n[1] M. Sikora and G. Madejski, in American Insti-\ntute of Physics Conference Series, edited by F. A.\nAharonian and H. J. V¨ olk (2001), vol. 558 of\nAmerican Institute of Physics Conference Series ,\npp. 275–288.\n[2] M. Sikora, in Blazar Demographics and Physics ,\nedited by P. Padovani and C. M. Urry (2001), vol.\n227 of Astronomical Society of the Pacific Con-\nference Series, pp. 95–104.\n[3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H.\nHughes, W. K. Gear, H. Terasranta, E. Valtaoja,\nand M. Tornikoski, ApJ 437, 91 (1994).\n[4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl\n616, L1 (2004).\n[5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R.\nDarrah, and C. A. Katz, in From Z-Machines to\nALMA: (Sub)Millimeter Spectroscopy of Galax-\nies, edited by A. J. Baker, J. Glenn, A. I. Harris,\nJ. G. Mangum, and M. S. Yun (2007), vol. 375\nof Astronomical Society of the Pacific Conference\nSeries, p. 234.\n[6] S. E. Healey, R. W. Romani, G. Cotter, P. F.\nMichelson, E. F. Schlafly, A. C. S. Readhead,\nP. Giommi, S. Chaty, I. A. Grenier, and L. C.\nWeintraub, ApJS 175, 97 (2008).\n[7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. At-\nwood, M. Axelsson, L. Baldini, J. Ballet, G. Bar-\nbiellini, D. Bastieri, B. M. Baughman, et al., ApJ\n700, 597 (2009).\n[8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Val-\ntaoja, M. F. Aller, and H. D. Aller, A&A 485, 51\n(2008).\n[9] B. C. Kelly, J. Bechtold, and A. Siemiginowska,\nApJ 698, 895 (2009).\n[10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ\n675, 71 (2008).\neConf C091122", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - }, - { - "text": "10\n0 0.5 10 \n0.4\n0.8\nConductivities (Corrected MFLI)\nσ ( ω )\nω in eV\nNS\nSC\n2 ∆\n0 50 100\n100\n120\nW K (meV)\nΓ in meV\nCorrected MFLI\nSC\nNS\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’\nMFLI model with the feedback from SC on the quasiparticle\ndamping:iΓ term transforms into Γ\n√\n−ω 2+∆ 2 . In the SCS σ\nnow begins at Ω = 2∆. The parameters are same as in Fig.\n10. Bottom – the behavior of Kubo sum with Γ. Observe\nthatW (ωc) in the NS is larger than in the SCS.\n0.2 0.4 0.6 0.8\n−10\n0 \n10 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\nCorrected MFLI\nwithout lattice\nwith lattice\n∆ W K\nFIG. 16: Evolution of the difference of the optical integrals\nbetween the SCS and the NS with the upper cut-offωc for\nthe “corrected” MFLI model. Now ∆ W (ωc) is negative above\nsome frequency. Parameters are same as in the Fig 15.\nmodel, whereWK is larger in the NS for all Γ (see Fig.\n4). In other words, the original MFLI model does not\nhave the BCSI theory as its limiting case.\nWe modified the MFLI model is a minimal way by\nchanging the damping term in a SCS to Γ\n√\n−ω2+∆ 2 to be\nconsistent with BCSI model. We still use Eq. (18) for\nthe MFL term simply because this term was introduced\nin the NS on phenomenological grounds and there is no\nway to guess how it gets modified in the SCS state with-\nout first deriving the normal state self-energy microscop-\nically (this is what we will do in the next section). The\nresults of the calculations for the modified MFLI model\nare presented in Figs. 15 and 16. We clearly see that the\nbehavior is now different and ∆WK < 0 for all Γ. This\nis the same behavior as we previously found in BCSI\nand EB models. So we argue that the ‘unconventional’\nbehavior exhibited by the original MFLI model is most\nlikely the manifestation of a particular modeling incon-\nsistency. Still, Ref. 30 made a valid point that the fact\nthat quasiparticles behave more close to free fermions in\na SCS than in a NS, and this effect tends to reverse the\nsigns of ∆WK and of the kinetic energy 43. It just hap-\npens that in a modified MFLI model the optical integral\nis still larger in the NS.\nD. The collective boson model\nWe now turn to a more microscopic model- the CB\nmodel. The model describes fermions interacting by ex-\nchanging soft, overdamped collective bosons in a partic-\nular, near-critical, spin or charge channel31,44,45. This\ninteraction is responsible for the normal state self-energy\nand also gives rise to a superconductivity. A peculiar\nfeature of the CB model is that the propagator of a col-\nlective boson changes belowTc because this boson is not\nan independent degree of freedom (as in EB model) but\nis made out of low-energy fermions which are affected by\nsuperconductivity32.\nThe most relevant point for our discussion is that this\nmodel contains the physics which we identified above as\na source of a potential sign change of ∆WK . Namely,\nat strong coupling the fermionic self-energy in the NS\nis large because there exists strong scattering between\nlow-energy fermions mediated by low-energy collective\nbosons. In the SCS, the density of low-energy fermions\ndrops and a continuum collective excitations becomes\ngaped. Both effects reduce fermionic damping and lead\nto the increase ofWK in a SCS. If this increase exceeds a\nconventional loss of WK due to a gap opening, the total\n∆ WK may become positive.\nThe CB model has been applied numerous times to the\ncuprates, most often under the assumption that near-\ncritical collective excitations are spin fluctuations with\nmomenta nearQ = ( π, π). This version of a CB bo-\nson is commonly known as a spin-fermion model. This\nmodel yieldsdx2−y2 superconductivity and explains in a\nquantitative way a number of measured electronic fea-\ntures of the cuprates, in particular the near-absence of\nthe quasiparticle peak in the NS of optimally doped and\nunderdoped cuprates39 and the peak-dip-hump structure\nin the ARPES profile in the SCS 31,32,46,47. In our analy-\nsis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\nΦ =\n\n 0\n1\n√\n2 (v+ φ)\n\n, (5)\nΨ = 1\n√\n2(v′ + ψ), (6)\naround the true vacuum with the vacuum expectation values v and v′. These are related\nwith the mass eigenstates h and H through\n\nh\nH\n\n=\n\ncos θ − sin θ\nsin θ cos θ\n\n\n\nφ\nψ\n\n, (7)\nwith θ being the mixing angle. Their masses are given by\nM2\nh = 2 λ1v2 cos2 θ+ 2λ2v′2 sin2 θ− 2λ3vv′ sin θcos θ, (8)\nM2\nH = 2 λ1v2 sin2 θ+ 2λ2v′2 cos2 θ+ 2λ3vv′ sin θcos θ. (9)\nThe mass of the new neutral gauge boson Z′ arises by the U(1)B−L gauge symmetry\nbreaking,\nM2\nZ′ = 4 g2\nB−Lv′2. (10)\nAssociated with the U(1)B−L gauge symmetry breaking, the RH neutrinos Ni acquire masses\nMNi = −λRi\nv′\n√\n2. (11)\nFrom LEP experiment, the current lower bound on the Z′ boson mass has been found to\nbe [10, 11]\nMZ′\ngB−L\n= 2 v′ ≳ 6 − 7 TeV. (12)\nTwo Z2-even RH neutrinos N1 and N2 are responsible for light neutrino masses via the\nseesaw mechanism,\nmναβ = −\n∑\ni=1, 2\nyαi yiβ\nv2\n2MNi\n. (13)\nNote that the rank of this mass matrix is two, so that the lightest ne utrino is massless.\nIII. RIGHT-HANDED NEUTRINO DARK MATTER\nDue to the Z2 parity, one of RH neutrino N3 (we denote it as N hereafter) in our model\ncan be the DM candidate. We first estimate its relic abundance and ide ntify the model\n4", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ(p)\nSI ∝ (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows\nthe spin-independent cross section of RH neutrino with a proton. T he resultant cross section\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]:\nσSI ≲ 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such\nas XENON1T [26] can reach the cross section predicted in our model.\n10 -10\n10 -9\n10 -8\n 60 80 100 120 140 160 180 200\nσ p [pb]\nm N [GeV]\nFIG. 3: The spin independent scattering cross section with aproton. All parameters are same as\nthose used in the previous section. The upper and lower linescorrespond to sinθ = 0. 7 and 0. 3,\nrespectively.\nIV. SUMMARY\nWe have proposed a scenario of the RH neutrino dark matter in the c ontext of the minimal\ngauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism.\nNo additional degrees of freedom are necessary to be added. We h ave evaluated the relic\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal\nDM model. It has been found that the relic density consistent with th e current observation\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What happend to the annihilation and the relic density when the DM is heavier ?", - "target_page": 6, - "target_passage": "When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density Ω N h2 as a function of the DM mass mN for a set of\nparameters: ( v′,Mh,MH ,MZ′ ,sin θ) = (4000 GeV ,120 GeV ,200 GeV ,1000 GeV ,0.7), for\nexample. Willkinson Microwave Anisotropy Probe measured the value o f DM abundance as\nΩ DM h2 ≃ 0.1 [15]. The figure shows that a desired DM relic abundance can be obta ined for\nonly near Higgs resonances, mN ≈ Mh/2 or MH /2.\nFig. 2 shows the relic density Ω N h2 as a function of the DM mass mN for a smaller Higgs\nmixing sin θ= 0 .3 (others are the same as in Fig. 1). Compared with Fig. 1, for mN ≲ MW\nwhere the DM particles dominantly annihilate into f ¯f, the relic density further increases\nbecause of the small mixing angle. When the DM is heavier, the annihilat ion mode into\nHiggs boson pairs is opened and the relic density slightly deceases, bu t the reduction is not\nenough to reach Ω N h2 ≃ 0.1.\n 0.001\n 0.01\n 0.1\n 1\n 10\n 100\n 1000\n 60 80 100 120 140 160 180 200\nΩ N h 2\nm N [GeV]\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter\nset: (v′, M h, M H , M Z′ , sin θ) = (3000 GeV, 120 GeV, 200 GeV, 1000 GeV, 0. 7).\nOur model is quite analogous to the so-called gauge singlet scalar dar k matter [16–18].\nSome recent studies can be found in Refs. [19, 20]. In the gauge sing let scalar DM model, the\nthermal abundance is mainly controlled by the interactions between the SM Higgs boson and\nthe DM particle. In our model, B− LHiggs VEV v′ can play the same role for mN MW the difference appears. Even if the annihilation\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Nex t we calculate the scattering\ncross section between the DM particle and a proton and discuss the implication for the direct\nDM search experiments.\nA. Thermal relic density\nThe DM RH neutrino interacts with the SM particles through couplingswith B − L\ngauge and B− L Higgs bosons. Note that neutrino Dirac Yukawa interactions are ab sent\nbecause of the Z2 parity. The most of annihilation of the RH neutrinos occurs via Z′,H and\nh exchange processes in the s-channel. In practice, the dominant contributions come from\nthe Higgs ( h and H) exchange diagrams, because the Z′ exchange processes are suppressed\nby the inverse square of the B−LHiggs VEV v′ ≳ 3 TeV. Thus, we obtain Higgs portal DM\nof RH neutrino effectively. The relevant annihilation modes are the an nihilation into f ¯f,\nW+W−, ZZ, and h(H)h(H). Since RH neutrino DM couples to only B− L Higgs Ψ while\na SM particle does to SM Higgs Φ, the DM annihilation occurs only throug h the mixing\nbetween these two Higgs bosons. Although it is not so severe, the p recision electroweak\nmeasurements [12] as well as the unitarity bound [13] give constra ints on the mixing angle\nand mass spectrum of the Higgs bosons.\nThe thermal relic abundance of DM\nΩ N h2 = 1 .1 × 109 mN /Td\n√g∗MP ⟨σv⟩GeV−1, (14)\nwith the Planck mass MP , the thermal averaged product of the annihilation cross section\nand the relative velocity ⟨σv⟩, the total number of relativistic degrees of freedom in the\nthermal bath g∗, and the decoupling temperature Td, is evaluated by solving the Boltzmann\nequation for the number density of RH neutrino nN ;\ndnN\ndt + 3HnN = −⟨σv⟩(n2\nN− n2\nEQ), (15)\nand the Friedmann equation\nH2 ≡\n( ˙a\na\n) 2\n= 8π\n3M2\nP\nρ, (16)\nwith nEQ and a(t) being the equilibrium number density and the scale factor, under th e\nradiation dominated Universe with the energy density ρ= ρrad [14].\n5", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "0.001\n 0.01\n 0.1\n 1\n 10\n 100\n 1000\n 60 80 100 120 140 160 180 200\nΩ N h 2\nm N [GeV]\nFIG. 2: The same as Fig. 1 but for sinθ = 0. 3.\nmode into W-boson pair becomes kinematically available, it is not possible to obtain t he\ndesired DM abundance without the Higgs resonant annihilation becau se the bound on v′\ngiven by Eq. (12) is stringent.\nB. Direct detection of dark matter\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino\nDM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process\nis Higgs exchange and the resultant cross section for a proton is giv en by\nσ(p)\nSI = 4\nπ\n( mpmN\nmp + mN\n) 2\nf2\np , (17)\nwith the hadronic matrix element\nfp\nmp\n=\n∑\nq=u,d,s\nf(p)\nT q\nαq\nmq\n+ 2\n27f(p)\nT G\n∑\nc,b,t\nαq\nmq\n, (18)\nand the effective vertex (see Appendix for notations)\nαq = −λN yq\n( ∂Φ\n∂h\n1\nM2\nh\n∂Ψ\n∂h + ∂Φ\n∂H\n1\nM2\nH\n∂Ψ\n∂H\n)\n, (19)\nwhere mq is a mass of a quark with a Yukawa coupling yq, and f(p)\nT q and f(p)\nT G are constants.\n7", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ(p)\nSI ∝ (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows\nthe spin-independent cross section of RH neutrino with a proton. T he resultant cross section\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]:\nσSI ≲ 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such\nas XENON1T [26] can reach the cross section predicted in our model.\n10 -10\n10 -9\n10 -8\n 60 80 100 120 140 160 180 200\nσ p [pb]\nm N [GeV]\nFIG. 3: The spin independent scattering cross section with aproton. All parameters are same as\nthose used in the previous section. The upper and lower linescorrespond to sinθ = 0. 7 and 0. 3,\nrespectively.\nIV. SUMMARY\nWe have proposed a scenario of the RH neutrino dark matter in the c ontext of the minimal\ngauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism.\nNo additional degrees of freedom are necessary to be added. We h ave evaluated the relic\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal\nDM model. It has been found that the relic density consistent with th e current observation\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We als o calculate the scattering\ncross section between the DM particle and nucleon and discuss the im plication for the direct\nDM search experiments. We summarize our results in the section IV. Our notations and the\nformulas used in our analysis are listed in Appendix.\nII. THE MINIMAL GAUGEDU(1)B−L MODEL WITH Z2 PARITY\nThe model is based on the gauge group SU(3)C ×SU(2)L ×U(1)Y ×U(1)B−L. Additional\nfields besides the standard model fields are a gauge field Z′\nµ of the U(1)B−L, a SM singlet\nB − L Higgs boson Ψ with two U(1)B−L charge, and three RH neutrinos Ni which are\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH\nneutrinos, we use the four component representation of RH neut rino constructed from the\nWeyl spinor νRi ,\nNi ≡\n\nνRi\nǫν∗\nRi\n\n, (1)\nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that\nthe RH neutrino N3 is stable and, hence, the DM candidate.\nDue to the additional gauge symmetry U(1)B−L, the covariant derivative for each fields\nis given by\nDµ = D(SM )\nµ − iqB−LgB−LZ′\nµ , (2)\nwhere D(SM )\nµ is the covariant derivative in the SM, and qB−L is the charge of each fields\nunder the U(1)B−L with its gauge coupling gB−L.\nYukawa interactions relevant for the neutrino masses are given by\nLint =\n3∑\nα =1\n2∑\ni=1\nyαi ¯Lα ˜Φ Ni − 1\n2\n3∑\ni=1\nλRi\n¯NiΨ PRNi + h.c., (3)\nwhere ˜Φ = −iτ2Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we hav e\nworked out in the basis where the second term in the right-hand-sid e is in flavor diagonal\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings\nwith the left-handed lepton doublets.\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B− L Higgs Ψ is\ngenerally given by\nV(Φ ,Ψ) = m2\n1|Φ |2 + m2\n2|Ψ |2 + λ1|Φ |4 + λ2|Ψ |4 + λ3|Φ |2|Ψ |2. (4)\n3", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "can be achieved only when the annihilation processes are enhanced b y Higgs resonances.\nTherefore, the mass of the RH neutrino DM should be around a half o f Higgs boson masses.\nWe have also calculated the elastic scattering cross section betwee n the DM particle and a\nproton and found it within the reach of future experiments for the direct DM search.\nAppendix A: The Higgs sector\nThe Higgs potential (4) contains five parameters:m2\n1,m2\n2,λ1,λ2 and λ3. These parameters\ncan be rewritten in terms of two Higgs VEVs, two physical Higgs mass es and the mixing\nangle between them. The stationary conditions are\nm2\n1+ λ1v2 + 1\n2λ3v′2 = 0 , (A1)\nm2\n2+ λ2v2 + 1\n2λ3v′2 = 0 . (A2)\nThe physical Higgs masses are given by Eqs. (8) and (9) with the mixin g angle that θsatisfies\ntan 2θ= − λ3vv′\n(λ1v2 − λ2v′2). (A3)\nHiggs self interaction terms are expressed as\nLint = λ1vφ3 + λ2v′ψ3 + 1\n2λ3(vφψ2 + v′ψφ2) + 1\n4(λ1φ4 + λ2ψ4 + λ3φ2ψ2), (A4)\nin terms of φ and ψ. With Eq. (7), these are rewritten in terms of h and H with θ as\nLint\n=\n[\nλ1vcos3 θ− λ2v′ sin3 θ+ 1\n2λ3(vcos θsin2 θ− v′ sin θcos2 θ)\n]\nhhh\n+\n[\n3λ1vcos2 θsin θ+ 3λ2v′ sin2 θcos θ+ 1\n2λ3(v(sin3 θ− 2 cos2 θsin θ)\n+v′(cos3 θ− 2 sin2 θcos θ))\n]\nhhH\n+\n[\n3λ1vcos θsin2 θ− 3λ2v′ sin θcos2 θ+ 1\n2λ3(v(cos3 θ− 2 sin2 θcos θ)\n+v′(− sin3 θ+ 2 sin θcos2 θ))\n]\nhHH\n+\n[\nλ1vsin3 θ+ λ2v′ cos3 θ+ 1\n2λ3(vsin θcos2 θ+ v′ sin2 θcos θ)\n]\nHHH\n+four point interactions . (A5)\nWe can read off a Higgs three point vertex from Eq. (A5).\n9", - "page_start": 8, - "page_end": 8, - "source_file": "1002.2525.pdf" - }, - { - "text": "∫ dcos θ\n2 |M2|2 = λ4\nN\n( ∂Ψ\n∂h\n) 4 (\n−8 − I22 + J22 ln\n⏐\n⏐\n⏐\n⏐\nA+ 2b\nA− 2b\n⏐\n⏐\n⏐\n⏐\n)\n, (B8)\n∫ dcos θ\n2 M1M∗\n2 = 4 mN λ3\nN\n( ∂Ψ\n∂h\n) 2 ( ∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\niλhhh + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\niλHhh\n)\n(\n−4 + s− 4m2\nN+ A\n2b ln\n⏐\n⏐\n⏐\n⏐\nA+ 2b\nA− 2b\n⏐\n⏐\n⏐\n⏐\n)\n, (B9)\nwhere θ is the scattering angle in the center of mass frame. The auxiliary fun ctions appear\nabove are defined as\nI22(s) ≡ 4(A+ 2a)2 − 2(s+ 4m2\nN)A− s(A+ m2\nN) − 3m2\nN(s− 4m2\nN)\nA2 − 4b2 , (B10)\nJ22(s,mh) ≡ 1\nAb\n(\n2A(A+ 2a) − A(s+ 4m2\nN) + A2 − 4a2 − (s− 2m2\nN)(m2\nN− m2\nh)\n+3m2\nN(s− 4m2\nN)\n)\n, (B11)\nA(s,mh) ≡ − s\n2 + m2\nh, (B12)\nb(s,mN ,mh) ≡\n√\ns\n4 − m2\nh\n√\ns\n4 − m2\nN. (B13)\nAppendix C: Thermal averaged annihilation cross section\nIn partial wave expansion, the thermal averaged cross section isgiven by\n⟨σv⟩ = 1\nm2\nN\n[\nw(s) − 3\n2\n(\n2w(s) − 4m2\nN\ndw\nds\n) T\nmN\n] ⏐\n⏐\n⏐\n⏐\ns=4m2\nN\n(C1)\n= 6 dw\nds\n⏐\n⏐\n⏐\n⏐\ns=4m2\nN\nT\nmN\n, (C2)\nwith\n4w(s) ≡\n∫\ndLIPS\n∑\n|M|2 = 1\n8π\n√\ns− 4m2\nfinal\ns\n∫ dcos θ\n2\n∑\n|M|2, (C3)\nwhere mfinal is the mass of final state particle.\n[1] T. Yanagida, inProceedings of Workshop on the Unified Theory and the Baryon Nu mber in\nthe Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979),\np 95; M. Gell-Mann, P. Ramond, and R. Slansky, inSupergravity, Proceedings of Workshop,\n12", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\nΦ =\n\n 0\n1\n√\n2 (v+ φ)\n\n, (5)\nΨ = 1\n√\n2(v′ + ψ), (6)\naround the true vacuum with the vacuum expectation values v and v′. These are related\nwith the mass eigenstates h and H through\n\nh\nH\n\n=\n\ncos θ − sin θ\nsin θ cos θ\n\n\n\nφ\nψ\n\n, (7)\nwith θ being the mixing angle. Their masses are given by\nM2\nh = 2 λ1v2 cos2 θ+ 2λ2v′2 sin2 θ− 2λ3vv′ sin θcos θ, (8)\nM2\nH = 2 λ1v2 sin2 θ+ 2λ2v′2 cos2 θ+ 2λ3vv′ sin θcos θ. (9)\nThe mass of the new neutral gauge boson Z′ arises by the U(1)B−L gauge symmetry\nbreaking,\nM2\nZ′ = 4 g2\nB−Lv′2. (10)\nAssociated with the U(1)B−L gauge symmetry breaking, the RH neutrinos Ni acquire masses\nMNi = −λRi\nv′\n√\n2. (11)\nFrom LEP experiment, the current lower bound on the Z′ boson mass has been found to\nbe [10, 11]\nMZ′\ngB−L\n= 2 v′ ≳ 6 − 7 TeV. (12)\nTwo Z2-even RH neutrinos N1 and N2 are responsible for light neutrino masses via the\nseesaw mechanism,\nmναβ = −\n∑\ni=1, 2\nyαi yiβ\nv2\n2MNi\n. (13)\nNote that the rank of this mass matrix is two, so that the lightest ne utrino is massless.\nIII. RIGHT-HANDED NEUTRINO DARK MATTER\nDue to the Z2 parity, one of RH neutrino N3 (we denote it as N hereafter) in our model\ncan be the DM candidate. We first estimate its relic abundance and ide ntify the model\n4", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "b. Annihilation into νs, ν s (heavy sterile-like neutrinos)\n|M|2 =\n32\n⏐\n⏐\n⏐\n⏐\ng2\nB−Lqf qN\ns− M2\nZ′ + iMZ′ ΓZ′\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n( 3\n8s− 1\n2\n( s\n2 + m2\nνs\n)\n+ 1\n2\n( s\n4 + m2\nνs\n)\ncos2 θ\n)\n+4λ2\nNλ2\nνs\n⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\n∂Ψ\n∂h + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\n∂Ψ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)(s− 4m2\nνs ).\n(B3)\n3. Annihilation into W +W −\n|M|2 = 8 λ2\nN\n( 1\n2g2v\n) 2 ⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\n1\ns− M2\nh + iMhΓh\n∂φ\n∂h + ∂Ψ\n∂H\n1\ns− M2\nH + iMH ΓH\n∂φ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n(\n1 + 1\n2M4\nW\n( s\n2 − M2\nW\n) 2)\n. (B4)\n4. Annihilation into ZZ\n|M|2 = 8 λ2\nN\n( 1\n4(g2 + g′2)v\n) 2 ⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\n1\ns− M2\nh + iMhΓh\n∂φ\n∂h + ∂Ψ\n∂H\n1\ns− M2\nH + iMH ΓH\n∂φ\n∂H\n⏐\n⏐\n⏐\n⏐\n2\n(s− 4m2\nN)\n(\n1 + 1\n2M4\nZ\n( s\n2 − M2\nZ\n) 2)\n. (B5)\n5. Annihilation into hh\nM1 denotes the amplitude by s-channel Higgs bosons hand H exchange, while M2 does\nthat for t(u)-channel N exchange diagram. The formulas for NN → hH and HH can be\nobtained by appropriate replacement of the vertexes, e.g., λhhh → λhhH .\n|M|2 = |M1 + M2|2, (B6)\n|M1|2 = λ2\nN\n( s\n2 − 2m2\nN\n)\n⏐\n⏐\n⏐\n⏐\n∂Ψ\n∂h\ni\ns− M2\nh + iMhΓh\niλhhh + ∂Ψ\n∂H\ni\ns− M2\nH + iMH ΓH\niλHhh\n⏐\n⏐\n⏐\n⏐\n2\n, (B7)\n11", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "arXiv:1002.2525v2 [hep-ph] 13 Feb 2010\nHGU-CAP 002\nHiggs portal dark matter in the minimal gaugedU(1)B−L model\nNobuchika Okada ∗\nDepartment of Physics and Astronomy,\nUniversity of Alabama, Tuscaloosa, AL 35487, USA\nOsamu Seto †\nDepartment of Architecture and Building Engineering,\nHokkai-Gakuen University, Sapporo 062-8605, Japan\nAbstract\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal\ngauged U(1)B−L model by introducing an additional parity which ensures thestability of dark\nmatter particle. The annihilation of this right-handed neutrino takes place dominantly through the\ns-channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model.\nWe show that the thermal relic abundance of the right-handedneutrino dark matter with help of\nHiggs resonance can match the observed dark matter abundance. In addition we estimate the cross\nsection with nucleon and show that the next generation direct dark matter search experiments can\nexplore this model.\nPACS numbers:\n∗ Electronic address: okadan@ua.edu\n†Electronic address: seto@phyics.umn.edu\n1", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is the aim of LLM routers ?", - "target_page": 1, - "target_passage": "LLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of\nresponses [31, 45, 57, 58].\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes\ndo. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying\nmodels to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly,\nbut route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference\ncosts by using fewer and/or less complex underlying models.\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several\ncommercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a\nfew lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The\nservice selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant\ncost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7].\n3 LLM Control Plane Integrity\nIn this section, we define LLM control plane integrity. Informally, it means that decisions made about underlying LLM\nqueries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus\non one class of control plane: predictive LLM routing as used to manage cost.\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by\na string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the\ncase of n = 2, and, for reasons that will be clear in a moment, use Ms (“strong”) and Mw (“weak”) to denote the two\nunderlying LLMs. Then inference on an input x ∈ Xfor some set X of allowed queries is performed by computing\na response via y ←$ RM\nω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is\ndeterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control\nplanes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a\nfunction of a sequence of queries and responses.\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying\nLLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive\ncontrol plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example,\npredictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a\nquery.\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of\nLLM invocations Mij (zj) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RM\nω (x). Here m is the total number of\nLLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence\nand its length are random variables. An inference flow can be written as a transcript\nT = (i1, z1), (i2, z2), . . . ,(im, zm)\nof pairs of model indexes ij ∈ {w, s} and model inputs zj. Note that for simplicity we ignore the potential for paral-\nlelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x), (s, x)}. We write\nsubmitting a sequence of inferences ⃗ x= ⃗ x1, . . . , ⃗ xq to a control plane as\nRM\nω (⃗ x) = (RM\nω (⃗ x1), . . . , RM\nω (⃗ xq))\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however,\neach invocation results in a single LLM invocation.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "instead of a prefix. See Appendix B for details.\n5 Open-Source Routers: Experimental Setup\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with\nseveral LLM routers. This section explains our experimental setup for the open-source routers proposed in the research\nliterature [47]; results of this evaluation appear in Section 6. In Section 7, we discuss experiments with proprietary,\ncommercial routers. Figure 3 shows the summary of our experimental setup.\n6", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "REROUTING LLM R OUTERS\nA PREPRINT\nAvital Shafran\nThe Hebrew University\nof Jerusalem\nRoei Schuster\nWild Moose\nThomas Ristenpart\nCornell Tech\nVitaly Shmatikov\nCornell Tech\nABSTRACT\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to\na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what\nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we\ninvestigate routers’ adversarial robustness.\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in-\nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query-\nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM\nrouters to send the query to a strong LLM.\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings\nagainst a variety of open-source and commercial routers, and that confounding queries do not affect\nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining\nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating\nalternative defenses.\n1 Introduction\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and\nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller,\nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a\npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want\nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each\nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of\nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10,\no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a\ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality\nanswer.\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul-\ntiple LLMs at different price-performance points. Recently proposed LLM routingsystems [5, 12, 27, 47, 53] orchestrate\ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of\nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one.\nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1\nif Ms is required. The system then routes q accordingly.\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple\nLLMs to process inputs, as further described in Section 2.\nOur contributions. First, we introduce LLM control plane integrityas a novel problem in AI safety. Recently proposed\nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially\nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial\nrobustness of the underlying LLMs.\narXiv:2501.01818v1 [cs.CR] 3 Jan 2025", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to\nbuild larger models at a fixed compute budget—not all parameters are used at the same time.\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus\ncontrol plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore\nthis connection further.\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users’ prompts. We expect\nthat side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing\nof responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n10 Conclusion\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an\nexample of a broader, emerging class of systems we call “LLM control planes” that aim to achieve various quality,\nefficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an\nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not\nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query-\nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the\nquery to the adversary-chosen LLM.\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that\nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against\nthese attacks and indicated directions for future research.\nAcknowledgments\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda-\ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however\nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council.\nNeither the European Union nor the granting authority can be held responsible for them.\n18", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 1: LLM routers classify queries and route complex ones to an expensive/strong model, others to a cheaper/weak\nmodel. To control costs, LLM routers can be calibrated to maintain (for an expected workload) a specific ratio between\nqueries sent to the strong and weak models.\nTo initiate the study of this problem, we show that existing LLM routing algorithms are not adversarially robust. We\ndesign, implement, and evaluate a method that generates query-independent adversarial token sequences we call “con-\nfounder gadgets.” If a gadget is added to any query, this query is routed to the strong model with high probability. Next,\nwe show that this attack is effective even in the transfer setting where the adversary does not have full knowledge of the\ntarget LLM router (it is black-box), but has access to another router (e.g., an internally trained surrogate). We also evaluate\nthe integrity of commercial LLM routers, showing that they can be confounded as well.\nThird, we investigate defenses. Our basic method generates gadgets that have anomalously high perplexity. Confounded\nqueries are thus easily distinguished from normal queries and can be filtered out by the routing system. Unfortunately, this\ndefense can be evaded by an adversary who incorporates a low-perplexity objective into the gadget generation algorithm,\nproducing gadgets that have low perplexity—and yet are effective at re-routing queries to the strong model. We also\ndiscuss higher-level defenses, such as identifying users whose queries are routed to the strong model with abnormal\nfrequency.\nRouting attacks can be deployed for various adversarial objectives, e.g., to ensure that the adversary always obtains the\nhighest-quality answer regardless of the target applications’s internal routing policies and cost constraints, or to mali-\nciously inflate the target’s LLM costs. As LLM control planes grow in importance and sophistication, we hope that this\nwork will motivate further research on their adversarial robustness.\n2 LLM Control Planes and Routing\nInference using large language models (LLMs) is traditionally monolithic: a single model is applied to an input or se-\nquence of inputs. This methodology can be sub-optimal for various reasons. State-of-the-art models are often expensive,\nwith API access to LLMs costing as much as several dollars for each query. Elsewhere, distinct LLMs may excel at dif-\nferent tasks, and selectively using them may improve overall quality on a diverse workload. Finally, combining multiple\nLLMs, even all trained for similar tasks, may become increasingly prevalent as performance improvements of individual\nLLMs plateaus [8–10].\nResearchers and practitioners are therefore now developing inference architectures that use multiple LLMs to answer\nqueries. These LLMs are orchestrated by what we call an LLM control plane (borrowing the terminology from network-\ning [13]). The control plane may route queries or parts of queries to different LLMs, derive new strings to query to\nunderlying LLMs, combine answers from underlying LLMs, and more.\nLLM routers. A prominent example of this emerging class of LLM control planes are LLM routers [27, 41, 47, 53, 59].\nLLM routers decide which of the two (or, sometimes, more) LLMs to use to answer a query. In prescriptive routing,\nthe router applies some lightweight classifier to the input query that determines which underlying LLM to utilize for a\nresponse. The classifier is itself a learned function that scores the complexity of the query. Deployments can then configure\na score threshold for when to route a query to the more expensive LLM. This threshold can be tuned using representative\nworkloads to achieve a desired cost-performance trade-off. Figure 1 shows the basic workflow of binary LLM routers.\nNon-prescriptive routing [15, 20, 68] uses the responses from one or more underlying LLMs to determine which response", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv1.pdf" - }, - { - "text": "Routers Notation\nSimilarity-weighted ranking RSW\nMatrix factorization RMF\nBERT classifier RCLS\nLLM scoring RLLM\nLLM pair Strong (Ms) Weak (Mw)\n1 Llama-3.1-8B 4-bit Mixtral 8x7B\n2 Llama-3.1-8B Mistral-7B-Instruct-v0.3\n3 Llama-3.1-8B Llama-2-7B-chat-hf\n4 GPT-4-1106-preview 4-bit Mixtral 8x7B\nBenchmark Description\nMT-Bench [71] 160 open-ended questions\nMMLU [35] 14,042 multi-choice questions\nGSM8K [24] 1,319 grade-school math problems\nFigure 3: Summary of our setup for routers, underlying LLMs, and benchmark datasets used in the experiments.\nIn all experiments, we assume that the adversary’s goal is to reroute queries to the strong model. In Appendix E, we\nevaluate efficacy of the attack when the goal is to reroute to the weak model.\nTarget routers. We focus our evaluation on the four prescriptive routing algorithms proposed by Ong et al. [47],\nwhich provides open-source code and trained parameters, and does so for a representative variety of routing ap-\nproaches: similarity-based classification [41, 59], an MLP constructed via matrix factorization [59], BERT-based clas-\nsification [27, 53, 59], and a fine-tuned LLM.\nThe routers we evaluate were trained in a supervised fashion using a set of reference (training) queries whose performance\nscore on each of the considered models is known. The scores were computed from a collection of human pairwise rankings\nof model answers for each of the queries. We note that while the routers we consider are all learned using this training\nset, there is no reason to believe a non-learning-based approach (e.g., rule based) to routing would be more adversarially\nrobust.\nWe now outline the routing methods considered in this work. See Ong et al. [47] for their full implementation details.\nSimilarity-weighted ranking: The first method is based on the Bradley-Terry (BT) model [17]. For a given user query,\nthis model derives a function to compute the probability of the weak model being preferred over the strong model. The\nprobability-function expressions all share parameters, which are optimized to minimize the sum of cross-entropy losses\nover the training-set queries, where each element in the sum is weighted by the respective query’s similarity with the\nuser’s query (computed as embeddings cosine similarity, with the embedding derived using OpenAI’s text-embedding-3-\nsmall [6]). We denote this method as RSW .\nMatrix factorization: The second method is based on matrix factorization. The training queries are used to train a bilinear\nfunction mapping a model’s embedding and a query’s embedding to a score corresponding to how well the model performs\non the query. Routing is done by computing the score of the input query for each model, and choosing the highest-scoring\nmodel. We denote this method as RMF .\nBERT classifier: The third method involves fine-tuning a classifier, based on the BERT-base architecture [26], to predict\nwhich of the two models produces a better response for the given query or whether they do equally well (a tie). The\nrouting decision is based on the probability of the weak model providing a better response versus the strong model or the\ntie. We denote this method as RCLS .\nLLM classifier: The last method is based on asking an LLM to provide a score in the range 1–5 of how an AI expert\nwould struggle to respond to a given query based on the query’s complexity. For this, Ong et al. fine-tuned a Llama-3-8B\nmodel [4] using their reference set of queries and corresponding scores. We denote this method as RLLM .\nUnderlying LLMs. In [47], Ong et al. trained the routers with GPT-4-1106-preview [14] as the strong model and Mixtral\n8x7B [39] as the weak model. They report successful generalization between the underlying LLMs, stating that their\nrouters trained for a particular strong-weak LLM pair can be used with other strong-weak LLM pairs.\nTo allow our evaluation to scale, we use as the strong model Ms the open-sourced Llama-3.1-8B [3] and as Mw the", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality\nof responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user work-\nloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The\nrouter can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user’s\nqueries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For\nexample, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent\nfraction of queries being routed to the strong model.\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there\nis sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be\ncircumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit,\neach query.\n9 Related Work\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25,\n43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of\nmulti-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our\nresults compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity\nattacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates\nthe prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adver-\nsarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely\nexplored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as “do\nnot output expletives” [23, 42, 54, 66, 72, 73].\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for\nexample, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection\nattacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into third-\nparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its\nusers. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate\ntheir integrity by exploiting the weaknesses of the underlying LLM [19, 55].\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the\ncontrol plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks\nthat, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming control-\nplane-confounding queries.\nAttacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a\ngiven query with a lower computational cost by including an inner routing mechanism that in every layer routes different\ntokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM,\nrather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "RSW RMF RCLS RLLM\nOrig. Conf. Orig. Conf. Orig. Conf. Orig. Conf.\nLLM pair 2\nMT-Bench 8.5 8 .3 ± 0.0 8.4 8 .3 ± 0.1 8.4 8 .4 ± 0.1 8.4 8 .3 ± 0.1\nMMLU 55 64 ± 1 63 64 ± 0 58 66 ± 1 62 66 ± 0\nGSM8K 46 64 ± 1 51 67 ± 1 49 63 ± 1 38 63 ± 2\nLLM pair 3\nMT-Bench 8.4 8 .3 ± 0.0 8.1 8 .3 ± 0.1 8.3 8 .4 ± 0.1 8.1 8 .2 ± 0.1\nMMLU 51 64 ± 1 57 63 ± 1 52 66 ± 1 59 66 ± 1\nGSM8K 40 64 ± 1 44 67 ± 1 45 63 ± 1 37 64 ± 1\nTable 4: Average benchmark-specific scores of responses to the original and confounded queries with Mistral-7B-Instruct-\nv0.3 (LLM pair 2) or Llama-2-7B-chat-hf (LLM pair 3) as the weak model, in the white-box setting. Results further\nemphasize that the rerouting attack improves quality of responses when there is a significant gap between the weak and\nstrong LLMs.\nSurrogate ˆRSW ˆRMF ˆRCLS ˆRLLM\nTarget RMF RCLS RLLM RSW RCLS RLLM RSW SFM RLLM RSW RMF RCLS\nMT-Bench 99±1 88 ±5 45 ±5 100±0 96 ±2 39 ±3 100±0 79 ±9 51 ±5 100±0 83 ±5 85 ±7\nMMLU 66±5 44 ±11 81 ±3 82±4 56 ±7 74 ±2 64±6 16 ±7 80 ±5 53±4 20 ±5 46 ±11\nGSM8K 99±1 72 ±11 63 ±4 92±2 88 ±3 62 ±4 76±6 60 ±9 65 ±8 60±8 70 ±7 73 ±10\nTable 5: Average upgrade rates for our attack in the black-box setting. This is the average percentage of queries rerouted\nfrom the weak to strong model under the target router due to a confounder gadget generated using the surrogate. The\naverage downgrade rate (i.e., strong-to-weak rerouting) is 1.2% across all routers. Upgrade rates are lower than in the\nwhite-box setting but still high, indicating that the attack transfers.\nabnormal about the query. Intuitively, this reflects the fact that while LLMs are built to be robust to noisy inputs, the\nrouter itself is not.\nIn summary, the attack is highly successful at rerouting queries from the weak to the strong model. Overall, quality\nimproves if there is a significant gap between the strong and weak LLMs used by the router. Either way, confounding has\nno negative impact on the quality of responses.\nBlack-box attack results. Next, we consider the black-box attack, where the attacker does not know the algorithm\nused by the target router. We assume that the attacker has access to another, surrogate router that it can use to generate\nconfounder gadgets. In effect, we evaluate transferability of the attack from a known, white-box router to unknown,\nblack-box routers.\nTable 5 shows the results for all combinations of surrogate (denoted by ˆR) and target routers. For conciseness we focus\non the upgrade and downgrade rates for the remainder of this work. Upgrade rates are lower than in the white-box setting\nbut still high, indicating that the attack transfers. The LLM-based routing algorithm RLLM has the lowest rates, perhaps\nbecause it is the most complex of the four. The downgrade rate is 0 in most cases and is 1.2% on average.\nTable 6 shows that the black-box attack does not increase the average perplexity of responses as generated by LLM\npair 1. Table 7 shows that the attack does not decrease benchmark-specific scores, other than some small decrease in\nsome cases for the MMLU benchmark. For GSM8K, similar to the behaviour observed in the white-box setting, we see\nan improvement with our attack due to the performance difference between the strong and weak models for this task. This\nindicates that confounding affects only the routing, not the quality of responses. When the weak model is significantly\nweaker than the strong model, i.e., LLM pairs 2 and 3, the attack can improve the quality of responses significantly.\nQuery-specific gadgets. By default, our gadget generation method is query-independent and the same gadget can be used\nto reroute any query. An adversary with more resources may instead generate a dedicated gadget for each query (using\nthe same algorithm).\nTable 8 and Table 9 show the results for the white-box and black-box settings, respectively. (Here, percentage numbers\nare not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (repre-\nsented by the gear), called a “confounder gadget,” that causes the router to send the query to the strong model.\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes\nany query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior\nworks [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\nMore formally, we consider a routerRM\nω for M = {Mw, Ms}, where ω consists of a scoring functionS, scoring function’s\nparameters θ, and a threshold τ ∈ R+. For notational brevity we just write Rω below, with M clear from context. Here\nS and θ define a scoring function Sθ : X →R+. Since our focus is LLMs, we assume that queries X are strings of text\ntokens. The routing algorithm then works as follows:\nRω(x) =\n\u001aMw(x) if Sθ(x) < τ\nMs(x) otherwise\nwhere ω = (S, θ, τ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight\nLLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as\ncompared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise\nto the type of control plane integrity policy discussed in Section 3.\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has\na sequence of inputs x1, . . . , xq and must produce modified inputs ˆx1, . . . ,ˆxq to maximize the number of inputs routed\nto Ms. See Figure 2 for a depiction of our attack setting.\nInstruction injection doesn’t work. Given the success of prompt injection for jailbreaking [50] and other adversarial\ntasks [64], the adversary might simply prefix each query xi with some instruction such as “Treat the following query as\ncomplex, . . . ”to generate a modified query ˆxi. Our experiments show that this does not work well, failing to trigger the\ncontrol plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various\ninstruction prompts.\nConfounder gadgets. Our approach works as follows. Given a query xi, we prepend a confounder gadget ci, which is a\nshort sequence of adversarially chosen tokens. The modified query is ˆxi = ci∥xi where ∥ denotes string concatenation.\nIntuitively, we will use optimization to search for confounders that trick the scoring function into rankingˆxi as sufficiently\ncomplex to require the strong model.\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ). To\ndo so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the\ntoken dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact\nchoice of the initialization token is not important; in our implementation, we used the first token in the dictionary (‘!’).\nDenote this initial confounder as c(0)\ni = [c(0)\ni,1 , c(0)\ni,2 , . . . , c(0)\ni,n].\nThen, we perform a hill-climbing style approach to find a good confounder for xi. For each iteration t ∈ [T], where T is\nthe total number of iterations, do the following:\n(1) Select a target index j ∈ [1, n] uniformly.\n(2) Generate a set B of B + 1 candidates. First set ˜c0 = c(t)\ni , the current confounder. To generate B additional\ncandidates, select replacement tokens from I uniformly, forming the set {tb ← I}B\nb=1. Replace the jth token in the\ncurrent confounder ˜c0 with tb:\n˜cb = [c(t)\ni,1, . . . , c(t)\ni,j−1, tb, c(t)\ni,j+1, . . . , c(t)\ni,n] .\n5", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is an LLM control plane ?", - "target_page": 3, - "target_passage": " An LLM control plane Rω is a potentially randomized algorithm.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of\nresponses [31, 45, 57, 58].\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes\ndo. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying\nmodels to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly,\nbut route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference\ncosts by using fewer and/or less complex underlying models.\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several\ncommercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a\nfew lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The\nservice selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant\ncost savings: up to 98% in the case of Martian [5], and 10× in the case of NotDiamond [7].\n3 LLM Control Plane Integrity\nIn this section, we define LLM control plane integrity. Informally, it means that decisions made about underlying LLM\nqueries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus\non one class of control plane: predictive LLM routing as used to manage cost.\nFormalizing control planes. An LLM control plane Rω is a potentially randomized algorithm. It is parameterized by\na string ω, called the parameters. It utilizes some number n of LLMs denoted by M. We will mostly focus on the\ncase of n = 2, and, for reasons that will be clear in a moment, use Ms (“strong”) and Mw (“weak”) to denote the two\nunderlying LLMs. Then inference on an input x ∈ Xfor some set X of allowed queries is performed by computing\na response via y ←$ RM\nω (x). Here we use ←$ to denote running R with fresh random coins; we use ← when R is\ndeterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control\nplanes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a\nfunction of a sequence of queries and responses.\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying\nLLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive\ncontrol plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example,\npredictive binary routers use relatively simple classifiers to determine which of Ms or Mw should be used to respond to a\nquery.\nInference flow. Given a set of LLMs M, a control plane Rω, and an input x, an LLM inference flow is the sequence of\nLLM invocations Mij (zj) for 1 ≤ j ≤ m and ij ∈ {w, s} made when executing RM\nω (x). Here m is the total number of\nLLM invocations, and z1, . . . , zm are the queries made to the underlying LLMs. Should R be randomized, the sequence\nand its length are random variables. An inference flow can be written as a transcript\nT = (i1, z1), (i2, z2), . . . ,(im, zm)\nof pairs of model indexes ij ∈ {w, s} and model inputs zj. Note that for simplicity we ignore the potential for paral-\nlelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ {(w, x), (s, x)}. We write\nsubmitting a sequence of inferences ⃗ x= ⃗ x1, . . . , ⃗ xq to a control plane as\nRM\nω (⃗ x) = (RM\nω (⃗ x1), . . . , RM\nω (⃗ xq))\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however,\neach invocation results in a single LLM invocation.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to\nbuild larger models at a fixed compute budget—not all parameters are used at the same time.\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus\ncontrol plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore\nthis connection further.\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users’ prompts. We expect\nthat side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing\nof responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n10 Conclusion\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an\nexample of a broader, emerging class of systems we call “LLM control planes” that aim to achieve various quality,\nefficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "ω (⃗ xq))\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however,\neach invocation results in a single LLM invocation.\nAn inference flow policy dictates the control plane designer’s intention regarding use of the underlying models. For\nexample, an application may want to ensure that only a small fraction of queries go to the expensive model Ms. We can\ndefine this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply\ndefined as a predicate P over (input, model) pairs (⃗ x1, i1), . . . ,(⃗ xq, iq) since this fully defines the sequence of transcripts.\nFor example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences:\nP((⃗ x1, i1), . . . ,(⃗ xq, iq)) =\n\n\nqX\nj=1\nI(ij)\nq ≤ ϵ\n\n\n3", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "REROUTING LLM R OUTERS\nA PREPRINT\nAvital Shafran\nThe Hebrew University\nof Jerusalem\nRoei Schuster\nWild Moose\nThomas Ristenpart\nCornell Tech\nVitaly Shmatikov\nCornell Tech\nABSTRACT\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to\na cheaper or more expensive LLM depending on their complexity. Routers represent one type of what\nwe call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we\ninvestigate routers’ adversarial robustness.\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial in-\nputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate query-\nindependent token sequences we call “confounder gadgets” that, when added to any query, cause LLM\nrouters to send the query to a strong LLM.\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings\nagainst a variety of open-source and commercial routers, and that confounding queries do not affect\nthe quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining\nlow perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating\nalternative defenses.\n1 Introduction\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and\nproprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller,\nless capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a\npay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want\nto maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each\nother: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of\nthis writing, GPT-3.5-turbo costs $0.5/$1.5 per 1M input/output tokens, GPT-4o-mini $0.15/$0.6, GPT-4o $2.5/$10,\no1-preview $15/$60. The difference in quality between models is not uniform across queries. For some queries, even a\ncheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality\nanswer.\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of mul-\ntiple LLMs at different price-performance points. Recently proposed LLM routingsystems [5, 12, 27, 47, 53] orchestrate\ntwo or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of\nsufficient quality. In the two-LLM case, let Ms be an expensive, high-quality model and Mw a weaker, lower-grade one.\nGiven query q, the routing algorithm R(·) applies a classifier to q that outputs 0 if Mw is sufficient for answering q, or 1\nif Ms is required. The system then routes q accordingly.\nLLM routing is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple\nLLMs to process inputs, as further described in Section 2.\nOur contributions. First, we introduce LLM control plane integrityas a novel problem in AI safety. Recently proposed\nLLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially\nadversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial\nrobustness of the underlying LLMs.\narXiv:2501.01818v1 [cs.CR] 3 Jan 2025", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "We now discuss adversarial capabilities. We assume that our victim application’s prompt includes a substring that can be\ncontrolled by the adversary. This represents many real-world apps such as chatbots, coding assistants, writing assistants,\nand others, that insert user inputs into an LLM prompt. In crafting adversarial portions of prompts, an adversary may have\nvarious levels of knowledge about the victim application’s router. We consider the following knowledge settings:\n• White-box setting: The adversary knows the control plane algorithm and its parameters ω.\n• Black-box (transfer) setting: The adversary does not know the control plane algorithm R and ω for the target model,\nbut knows instead another control plane algorithm R′\nω′ and its parameters. We refer to R′\nω′ as the surrogate. For\nexample, this could arise if an adversary trains their own router using available data. In this setting our attacks are\nalso zero-shot in that they do not require any interaction with the target control plane before the query that is being\nrerouted.\n4 Confounding Control Planes with Gadgets\nWe now turn to our main contribution: a methodology for attacking LLM control plane integrity. The key insight is that\nan adversary can modify queries to mislead or “confound” the routing logic into routing these queries to an LLM of the\nadversary’s choosing. Furthermore, we will demonstrate that these attacks can be black-box and query-independent, i.e.,\na single modification works for all queries and does not require advance knowledge of the specific router being attacked.\n4", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality\nof responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user work-\nloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The\nrouter can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user’s\nqueries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For\nexample, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent\nfraction of queries being routed to the strong model.\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there\nis sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be\ncircumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit,\neach query.\n9 Related Work\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25,\n43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of\nmulti-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our\nresults compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity\nattacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates\nthe prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adver-\nsarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely\nexplored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as “do\nnot output expletives” [23, 42, 54, 66, 72, 73].\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for\nexample, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection\nattacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into third-\nparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its\nusers. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate\ntheir integrity by exploiting the weaknesses of the underlying LLM [19, 55].\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the\ncontrol plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks\nthat, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming control-\nplane-confounding queries.\nAttacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a\ngiven query with a lower computational cost by including an inner routing mechanism that in every layer routes different\ntokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM,\nrather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an\nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not\nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query-\nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the\nquery to the adversary-chosen LLM.\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that\nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against\nthese attacks and indicated directions for future research.\nAcknowledgments\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda-\ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however\nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council.\nNeither the European Union nor the granting authority can be held responsible for them.\n18", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "where I(ij) = 1 if ij = s and I(ij) = 0 if ij = w. In other words, the predicate is that the fraction of queries routed to the\nstrong model is bounded by ϵ.\nControl plane integrity. A control plane integrity adversaryis a randomized algorithm A that seeks to maliciously guide\ninference flow.\nIn an unconstrained LLM control plane integrity attack, the adversary A seeks to generate inputs ⃗ x= ⃗ x1, . . . , ⃗ xq such\nthat running RM\nω (⃗ x) generates a transcript for which P((x1, i1), . . . ,(xq, iq)) = 0. This attack could be launched by an\nadversary who wants to maximize inference costs for a victim application using an LLM router.\nA harder setting requires input adaptation, where the adversary is given inputs x1, . . . , xq and it must find new inputs\nˆx1, . . . ,ˆxq for which the transcript resulting fromP((ˆx1, i1), . . . ,(ˆxq, iq)) = 0. There will be some competing constraint,\nsuch as that xj and ˆxj are very similar for each j, or that the outputs yj ←$ RM\nω (xj) and ˆyj ←$ RM\nω (ˆxj) are close. In the\nrouting context, the adversary’s goal is to increase the fraction of queries that get routed to the strong model, in order to\nimprove the overall quality of responses, drive up the victim application’s inference costs, or both.\nRelationship to evasion attacks. Evasion attacks [25, 43, 60] against an inference system (also called adversarial exam-\nples [32, 48, 49]) would, in our setting, seek to find a small modification∆ to an input x such that RM\nω (x + ∆) ̸= RM\nω (x)\nwhere addition is appropriately defined based on input type (e.g., slight changes to text).\nOur attack setting is not the same. The control plane integrity adversary seeks to maliciously control the inferenceflow, not\nnecessarily the output of inference. In an unconstrained attack, the adversary does not care what outputs are generated.\nIn the input adaptation attack, the adversary seeks to craft inputs that modify the inference flow yet do not change the\nresponses of the strong underlying LLM to the extent possible. Looking ahead, we will use evasion techniques in our\nadaptation attacks against learned control plane routers, but, importantly, not the overall inference.\nIn the other direction, undermining LLM control plane integrity could be a stepping stone toward evasion attacks. For\nexample, if RM\nω is used to classify malicious content by combining LLMs each tuned to different types of harm categories,\nthen modifying inputs to force inference flows away from appropriate models could aid evasion. We leave evaluation of\nhow control-plane integrity attacks can enable evasion to future work.\nThreat models. Within the context of control plane integrity attacks against LLM routers, we identify several threat\nmodels that differ in terms of the adversary’s goals and their knowledge about the target control planeRM\nω .\nIn terms of goals, an adversary may seek to inflate the costs of a victim application that utilizes an LLM control plane.\nAs a kind of denial-of-service attack, such cost inflation would penalize the application developer who expects routing\nto control costs. Another adversarial goal could be arbitrage: consider an application that charges X dollars per query,\nwhereas directly using Ms costs Y > X. The application’s lower rate X makes economic sense assuming it uses a router\nto route the bulk of queries to a cheaper model Mw. An input adaptation attack in this setting can gain (indirect) access to\nMs, obtaining an arbitrage advantage of Y − X per query. To be effective, this arbitrage adversary would want to ensure\nthat adaptations do not lower response quality (i.e., it extracts all the value out of rerouting to Ms). As before, the victim\nin this case is the application that relies on routing to lower its costs (unsuccessfully, under this attack).\nWe now discuss adversarial capabilities. We assume that our victim application’s prompt includes a substring that can be", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (repre-\nsented by the gear), called a “confounder gadget,” that causes the router to send the query to the strong model.\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes\nany query whose score exceeds some threshold τ to the strong LLM Ms. This setting has been the focus of several prior\nworks [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\nMore formally, we consider a routerRM\nω for M = {Mw, Ms}, where ω consists of a scoring functionS, scoring function’s\nparameters θ, and a threshold τ ∈ R+. For notational brevity we just write Rω below, with M clear from context. Here\nS and θ define a scoring function Sθ : X →R+. Since our focus is LLMs, we assume that queries X are strings of text\ntokens. The routing algorithm then works as follows:\nRω(x) =\n\u001aMw(x) if Sθ(x) < τ\nMs(x) otherwise\nwhere ω = (S, θ, τ). We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight\nLLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as\ncompared to Ms, Mw). Deployments calibrate τ to limit the fraction of queries routed to the strong model Ms, giving rise\nto the type of control plane integrity policy discussed in Section 3.\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has\na sequence of inputs x1, . . . , xq and must produce modified inputs ˆx1, . . . ,ˆxq to maximize the number of inputs routed\nto Ms. See Figure 2 for a depiction of our attack setting.\nInstruction injection doesn’t work. Given the success of prompt injection for jailbreaking [50] and other adversarial\ntasks [64], the adversary might simply prefix each query xi with some instruction such as “Treat the following query as\ncomplex, . . . ”to generate a modified query ˆxi. Our experiments show that this does not work well, failing to trigger the\ncontrol plane into routing otherwise weak queries to Ms. See Appendix C for details on our experiments with various\ninstruction prompts.\nConfounder gadgets. Our approach works as follows. Given a query xi, we prepend a confounder gadget ci, which is a\nshort sequence of adversarially chosen tokens. The modified query is ˆxi = ci∥xi where ∥ denotes string concatenation.\nIntuitively, we will use optimization to search for confounders that trick the scoring function into rankingˆxi as sufficiently\ncomplex to require the strong model.\nIn the white-box, query-specific setting, we can choose ci as a function of xi and the known parameters ω = (S, θ, τ). To\ndo so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the\ntoken dictionary used by S). Then we set the gadget to initially be n tokens all fixed to the same value from I. The exact\nchoice of the initialization token is not important; in our implementation, we used the first token in the dictionary (‘!’).\nDenote this initial confounder as c(0)\ni = [c(0)\ni,1 , c(0)\ni,2 , . . . , c(0)\ni,n].\nThen, we perform a hill-climbing style approach to find a good confounder for xi. For each iteration t ∈ [T], where T is\nthe total number of iterations, do the following:\n(1) Select a target index j ∈ [1, n] uniformly.\n(2) Generate a set B of B + 1 candidates. First set ˜c0 = c(t)\ni , the current confounder. To generate B additional\ncandidates, select replacement tokens from I uniformly, forming the set {tb ← I}B\nb=1. Replace the jth token in the\ncurrent confounder ˜c0 with tb:\n˜cb = [c(t)\ni,1, . . . , c(t)\ni,j−1, tb, c(t)\ni,j+1, . . . , c(t)\ni,n] .\n5", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - }, - { - "text": "NAVWEPS 00-80’1-80 \nSlABILITY AND CONTROL \nMAXIMUM MOST FORWARD \nDEFLECTION CG FOR MANEUVERING \nCONTROLLABILITY \nDOWN POSITION \nTAIL \nLOAD \n!'.',i:'. \nWEIGHT \nTAKE OFF CONTROL \nREDUCED DOWNWASH \nDUE TO GROUND EFFECT \n. .:,.,. ‘,:::.;,y ,;,,.,,>: ::..‘~~,‘i;,:,‘,,:.~,,‘: y: :, ,: ,/. :“‘J.:;:‘j:~!,.: : :., :, .‘. ;. ~.. i... .,-: -, :,.: ~, :,., :.:, :~’ \nLANDING CONTROL \nFigure 4.19. Longitudinal Control Requirements \n176", - "page_start": 293, - "page_end": 293, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is a confounder gadget ?", - "target_page": 5, - "target_passage": " Given a query xi, we prepend a confounder gadget ci, which is a short sequence of adversarially chosen tokens.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Let B = {˜c0, . . . ,˜cB}.\n(3) Find the candidate that maximizes the score:\nc(t+1)\ni ← arg max\nc∈B\nSθ(c∥xi) . (1)\nThe final confounder c(T)\ni is used with query xi. We early abort if, after 25 iterations, there is no update to the confounder\ngadget. Technically, we could abort early if we find a confounder whose score exceeds τ. Running further can be useful\nwhen an adversary does not know τ.\nThe attack’s runtime is dominated byT ·B times the cost of executing S. In practice, S are designed to be fast (otherwise\nrouters would significantly increase the latency of applications that use them). We report precise timings later; in summary,\nthe attack is fast because we can set T to be relatively small and still find high-scoring confounders.\nDue to the randomness in index and token selection, the method converges to different, yet similarly effective, confounder\ngadgets on each run. Our evaluation will thus measure average performance over multiple gadgets.\nQuery-independent confounders. One downside of the per-query approach is that the adversary must repeat, for each\nquery, the search for a good confounder. In practice, the adversary might prefer a query-independent attack. Our con-\nfounder gadget approach extends to this setting readily: perform the search routine above for an empty query. In other\nwords, just ignore xi in the query-dependent attack above, replacing Sθ(c∥xi) in Eq. 1 with Sθ(c). This finds a sin-\ngle query-independent confounder c that can be prefixed to all queries, i.e., ˆxi = c∥xi. We will show that this works\nsurprisingly well.\nIt is tempting to assume the reason a query-independent confounder works well is that a good scoring function should be\nroughly monotonic in query extensions, i.e., one might expect thatSθ(c∥x) ≥ Sθ(c) for almost any suffixx. This intuition\nis not correct. In our experiments, we found that Sθ(c∥x) < Sθ(c) for many x and some of the routers discussed below.\nNevertheless, by ensuring that Sθ(c) is pretty high (set the number of iterationsT higher) the resulting query-independent\nconfounder works well. That is, we at least get that Sθ(c∥x) > Sθ(x).\nThe black-box setting: confounders that transfer. Finally, the attacks so far are in the white-box setting, where the\nattacker can optimize directly against Sθ. While in some cases routing control planes will be public knowledge, in others,\nincluding the proprietary control planes we explore in Section 7, they are hidden. This gives rise to the black-box setting.\nWhile an attacker might seek to perform model extraction attacks [43, 65] to learn θ, we instead explore attacks that\ntransfer from one router to another.\nIn more detail, we assume the adversary has access to a router R′\nω′ , called the surrogate, that is trained on data similar to\nthat used for the target router. Then the attack is the same as above, except that we use the surrogate’s scoring function\nS′\nθ′ instead of the target’s Sθ. Again, we will see that this works surprisingly well: the query-independent confounders\nfound for the surrogate transfer to successfully reroute queries against the target router.\nPutting it all together. In summary, our methodology for input adaptation attacks is:\n(1) (Preprocessing) Develop a single query-independent confounder gadget c, using either the target router or surrogate\nto score the confounder.\n(2) (Input adaptation) For each query xi, submit ˆxi = c∥xi instead to obtain a response ˆyi.\nThe confounder is applied to all queries, i.e., the adversary does not need to guess whether the original query would\nhave been routed to the weak or strong model. In the rest of the paper, we demonstrate the confounders rarely result in\n“downgrades,” i.e., rerouting of queries from the strong to weak model.\nWe have experimented with variations of this approach that don’t work quite as well, for example adding c as a suffix\ninstead of a prefix. See Appendix B for details.\n5 Open-Source Routers: Experimental Setup", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "set of gadgets and then uses them to attack arbitrarily many queries. This is the conservative setting, and query-specific\ngadgets — which carry a higher computational cost — generally work better.\nIn Appendix C we evaluate optimization-free alternatives for generating our confounding gadgets, and show they signifi-\ncantly underperform our optimization-based approach.\nWhite-box confounder gadget generation. Following our attack framework described in Section 4, we construct a\nquery-independent control-plane gadget designed to confuse each router. We start with the white-box setting, setting the\nbatch size to B = 32 and the number of iterations to T = 100, ignoring thresholds. We generate four sets of n = 10\ngadgets, i.e., ten for each router. Examples of generated gadgets can be found in Appendix A.\nWhen reporting scores below, we therefore report the average over the n gadgets used with all 72 MT-bench queries, 100\nrandomly selected MMLU queries, and 100 randomly selected GSM8K queries. None of these testing queries were used\nin the training of the routers or their calibration.\nRuntime and convergence. Figure 4 shows the convergence rates for 10 different gadgets, against different routing\nalgorithms. The overall average number of iterations before convergence is 58. Generation against RSW converges the\n8", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv1.pdf" - }, - { - "text": "LLM responses are sometimes affected by the confounder gadget. In some cases, the LLM responded with, for example,\n“I can’t answer that question as it appears to be a jumbled mix of characters”. Still, the response continued with “However,\nI can help you with the actual question you’re asking,” followed by the actual answer. We observed very few cases where\nan LLM refused to answer due to the presence of the gadget. In most cases, the response did not mention anything\n1Some responses had abnormally high perplexity values (> 100), which we found do not correlate with quality, but these variations\ndisproportionately contribute to the average. We thus filter out such high-perplexity responses as outliers in both benign and attack\nsettings. We provide examples of filtered responses in Appendix D.\n10", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv1.pdf" - }, - { - "text": "instead of a prefix. See Appendix B for details.\n5 Open-Source Routers: Experimental Setup\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with\nseveral LLM routers. This section explains our experimental setup for the open-source routers proposed in the research\nliterature [47]; results of this evaluation appear in Section 6. In Section 7, we discuss experiments with proprietary,\ncommercial routers. Figure 3 shows the summary of our experimental setup.\n6", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "20 30 40 50\nPerplexity\n0.0\n2.5\n5.0\n7.5\n10.0\n12.5\n15.0\n17.5\n20.0Count\nOriginal\nConfounded\n(a) RSW\n20 30 40 50\nPerplexity\n0\n5\n10\n15\n20Count\nOriginal\nConfounded (b) RMF\n20 30 40 50\nPerplexity\n0\n5\n10\n15\n20Count\nOriginal\nConfounded (c) RCLS\n20 30 40 50\nPerplexity\n0\n5\n10\n15\n20Count\nOriginal\nConfounded (d) RLLM\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0TPR\nAUC = 0.65\n(e) RSW\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0TPR\nAUC = 0.73 (f) RMF\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0TPR\nAUC = 0.64 (g) RCLS\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.0\n0.2\n0.4\n0.6\n0.8\n1.0TPR\nAUC = 0.65 (h) RLLM\nFigure 6: Perplexity values of the original and confounded queries, and the corresponding ROC curves of the defense that\ndetects confounded queries by checking if they cross a perplexity threshold, when the confounder gadget is optimized for\nlow perplexity, in the GSM8K benchmark and for one gadget sampled uniformly at random. Confounded queries have\nsimilar perplexity values as the original queries, and can no longer be easily distinguished based on perplexity alone.\nRSW RMF RCLS RLLM\nOrig. PPL-opt. Orig. PPL-opt. Orig. PPL-opt. Orig. PPL-opt.\nMT-Bench 100 ± 0 100 ± 0 100 ± 0 98 ± 2 100 ± 0 98 ± 1 73 ± 5 51 ± 8\nMMLU 90 ± 1 59 ± 5 78 ± 4 74 ± 5 100 ± 0 66 ± 12 95 ± 1 89 ± 3\nGSM8K 98 ± 0 70 ± 7 100 ± 0 98 ± 2 100 ± 0 88 ± 6 94 ± 3 81 ± 8\nTable 11: Average upgrade rates for gadgets generated without (“Orig.”) and with (“PPL-opt.”) low-perplexity optimiza-\ntion, for the balancing coefficient α = 0.01. In some cases, optimizing for low perplexity has a negative effect on the\nattack success rate, however the attack can still be considered successful. A more careful choice ofα can potentially limit\nthe effect on the attack success.\nLLM-based filtering. Even though adversarially modified queries cannot be easily detected using perplexity, they may\nstill be “unnatural.” A possible defense is to employ an oracle LLM to determine if the query is natural or not. This defense\nrequires the router to invoke an additional LLM for every processed query, which is computationally expensive in the case\nof a high-quality open-sourced LLM or financially costly in the case of a high-quality commercial LLM. Therefore, this\ndefense is unlikely to be practical. Furthermore, it is possible to optimize gadgets so that they both have low perplexity\nand appear “natural” to LLM evaluators [69].\nParaphrasing. Filtering defenses like those discussed above are passive. An active alternative is to paraphrase queries\nusing an oracle LLM. LLMs are trained to generate natural text and are thus likely to remove unnatural substrings when\nparaphrasing a query. This defense is likely impractical for two reasons. First, and as with LLM-based filtering, it requires\n16", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an\nadversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not\nsatisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating query-\nindependent “confounder gadgets.” When added to any query, the confounder gadget confuses the router into routing the\nquery to the adversary-chosen LLM.\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that\nthey successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against\nthese attacks and indicated directions for future research.\nAcknowledgments\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Founda-\ntion (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however\nthose of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council.\nNeither the European Union nor the granting authority can be held responsible for them.\n18", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "the observation of a pattern does not tell us how it\nis used.\" There is also the issue of how complex a\nprobe should be allowed to be (Liu et al., 2019a). If\na more complex probe recovers more information,\nto what extent are we still relying on the original\nmodel?\nFurthermore, different probing methods may\nlead to complementary or even contradictory con-\nclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "0 50 100 150 200 250 300\nPerplexity\n0\n20\n40\n60\n80Count\nOriginal\nConfounded\n(a) RSW\n20 40 60 80 100 120 140\nPerplexity\n0\n10\n20\n30\n40\n50Count\nOriginal\nConfounded (b) RMF\n50 100 150 200\nPerplexity\n0\n10\n20\n30\n40\n50Count\nOriginal\nConfounded (c) RCLS\n20 40 60 80 100\nPerplexity\n0\n10\n20\n30\n40\n50Count\nOriginal\nConfounded (d) RLLM\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0TPR\nAUC = 1.00\n(e) RSW\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.4\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0TPR\nAUC = 0.97 (f) RMF\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.4\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0TPR\nAUC = 0.99 (g) RCLS\n0.0 0.2 0.4 0.6 0.8 1.0\nFPR\n0.3\n0.4\n0.5\n0.6\n0.7\n0.8\n0.9\n1.0TPR\nAUC = 0.95 (h) RLLM\nFigure 5: Perplexity of the original queries in the GSM8K benchmark compared to the perplexity of confounded queries\nusing a single uniformly sampled gadget. We additionally present the ROC curve of the defense that detects confounded\nqueries by checking if they cross a perplexity threshold, and it’s corresponding ROCAUC score. Confounded queries have\nsignificantly higher perplexity values, and are thus easy to recognize and filter out.\nwhere PPL(·) denotes the perplexity function computed using GPT-2, the value ρ denotes a target perplexity value to\nwhich we want gadgets’ perplexity to be close, and the value α is a balancing coefficient. For the experiments below, we\nset ρ to be the average perplexity value of 100 uniformly sampled queries3 from the GSM8K benchmark.\nFigure 6 shows the results when setting α = 0.01, for the GSM8K benchmark and one confounder gadget. The results\ndemonstrate that modified queries can no longer be easily distinguished from normal queries by their perplexity alone.\nFor instance, in the case of the RSW router, setting the threshold value at 55 as before, no confounded queries are flagged\nas anomalous, meaning the true-positive rate is zero. We note that there is some variability across gadgets. The average\nROCAUC scores of the defense across ten gadgets with standard deviation indicated parenthetically, are 0.66 (±0.04),\n0.69 (±0.02), 0.71 (±0.02), and 0.69 (±0.03) for the RSW , RMF , RCLS , and RLLM routers, respectively.\nAt the same time, optimizing for low perplexity does not significantly impact the attack success rate. Table 11 compares\nthe average upgrade rates (over n = 10 gadgets) of the original perplexity-agnostic optimization approach from Section 4\nand the perplexity-minimizing one described above. The attack efficacy might be improvable further by adjusting α to\nfind a sweet spot that avoids the defense effectively while ensuring high rerouting success rate.\nThe attack is not particularly sensitive to the choice of queries used to obtain the calibration value ρ. Although ρ was\ncomputed using GSM8K queries, we observe similar performance when evaluating on the MT-bench and MMLU bench-\nmarks, with average ROCAUC scores of0.50 (±0.01), 0.51 (±0.01), 0.52 (±0), and 0.51 (±0.01) for MT-bench, and0.52\n(±0.03), 0.54 (±0.02), 0.55 (±0.01), and 0.53 (±0.02) for MMLU. One might also try removing the calibration value al-\ntogether, instead simply minimizing the gadget’s perplexity value. However, this can result with an “overshooting” effect,\nwhere the perplexity value is significantly lower than that of normal queries, thereby making it still distinguishable from\nstandard queries.\nIn summary, perplexity-based filtering is not an effective defense against against rerouting.\n3The perplexity calibration queries were chosen such that they do not overlap with the queries used for evaluation.\n15", - "page_start": 14, - "page_end": 14, - "source_file": "arxiv1.pdf" - }, - { - "text": "are not averaged and there is no standard error since we used a single gadget per query.) The white-box results are nearly\nperfect; the black-box results are often better but sometimes somewhat worse than those for query-independent gadgets.\nWe conjecture that this is due to some level of overfitting.\n11", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "making them readily distinguishable from the original queries. For instance, in the case of the RSW router, setting the\nthreshold value at55 yields a false-positive rate of3% and a true-positive rate of97%. Results are similar for other gadgets\nand benchmarks and were omitted due to space constraints.\nUnfortunately, this defense can be evaded if an adversary incorporates a perplexity constraint into the gadget generation\nprocess. To demonstrate the feasibility of this evasion strategy, we modify gadget generation to maximize the score of the\nrouting algorithm R and simultaneously aligning the the gadget’s perplexity to some predefined perplexity value. In more\ndetail, in each iteration t ∈ [T], we uniformly sample a target index j ∈ [1, n] and generate a set B of B + 1candidates as\nexplained in Section 4. We then modify Eq. 1 such that we now find the candidate that maximizes the difference between\nthe router’s score and the perplexity constraint for the confounder:\nc(t+1) ← arg max\nc∈B\n\u0000\nSθ(c∥xi) − α · |PPL(c) − ρ|\n\u0001\n,\n14", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What is called bad-cavity Ramsey laser ?", - "target_page": 1, - "target_passage": "We considerthe case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "arXiv:1001.2670v1 [quant-ph] 15 Jan 2010\n.\nThe Linewidth of Ramsey Laser with Bad Cavity\nY ang Li, Wei Zhuang, Jinbiao Chen, ∗ and Hong Guo †\nCREAM Group, State Key Laboratory of Advanced Optical Commu nication\nSystems and Networks (Peking University) and Institute of Q uantum Electronics,\nSchool of Electronics Engineering and Computer Science,\nand Center for Computational Science and Engineering (CCSE ), Peking University, Beijing 100871, P . R. China\n(Dated: October 29, 2018)\nWe investigate a new laser scheme by using Ramsey separated- field technique with bad cavity. By studying\nthe linewidth of the stimulated-emission spectrum of this k ind of laser inside the cavity, we find its linewidth\nis more than two orders of magnitude narrower than atomic nat ural linewidth, and it is far superior to that\nof conventional optical Ramsey method and any other availab le subnatural linewidth spectroscopy at present.\nSince any cavity related noise is reduced to cavity-pulling e ffect in bad cavity laser, this Ramsey laser provides\nthe possibility of precision subnatural linewidth spectro scopy, which is critical for the next generation of optical\nclock and atom interferometers.\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\nIntroduction: Since the invention of the separated-field\ntechnique [1], it has played an important role in the field of\nprecision spectroscopy due to its linewidth narrowing effect\nvia multiple coherent interaction. Atomic clocks based on\nthis technique have greatly extended our ability for frequency\nmeasurement, further, almost all the atom interferometers are\nbased on this technique [2].\nThough, the natural linewidth of quantum transition was\nregarded as the ultimate limit to high-resolution laser spe c-\ntroscopy [4], several methods of subnatural linewidth spec -\ntroscopy have been proposed to gain subnatural linewidth [3 –\n10]. However, in all these e fforts, including optical Ramsey\nspectroscopy, subnatural line is realized at the expense of a\nquick reduction in signal-to-noise (SNR) ratio due to the ex -\nponential decaying of signal, thus all these schemes can onl y\nget the linewidth several times narrower than the atomic nat -\nural linewidth. In the past three decades, this situation do es\nnot change in the field of the precision laser spectroscopy.\nOn the other hand, the thermal noise of the cavity mirrors is\nthe main obstacle for further linewidth reduction of a laser\n[11, 12], and it is a challenge to substantially reduce this noise\nfurther[13]. Recently, a new scheme, called active optical\nclock [14–18], was proposed to substantially reduce the las er\nlinewidth. With lattice trapped atoms, it is possible to rea ch\nmHz linewidth laser based on the mechanism of active optical\nclock [14, 15, 19]. The principal mechanism of active optica l\nclock is to directly extract light emitted from the ultranar row\natomic transition with a cavity mode linewidth much wider\nthan that of lasing. This bad cavity ensures that any frequen cy\nshift due to cavity noise reduces to cavity-pulling e ffect [15–\n17], then the thermal noise is not the major obstacle again fo r\nreducing the linewidth. This means the bad cavity can play an\nindispensable role in new subnatural linewidth spectroscopy.\nIn this Letter, we propose a new scheme called Ramsey\nlaser with bad cavity. Distinct from any previous applicati ons\nof conventional Ramsey separated oscillating fields method\n[1], which focuses on the absorption spectrum, we here fo-\ncus on the stimulated emission spectrum via multiple coher-\nent interactions inside the cavity. We find this Ramsey laser\ncan provide a stimulated-emission spectrum with a linewidth\nmuch narrower than that of any conventional optical Ramsey\nseperated-field spectroscopy, which is commonly applied in\noptical atomic clock. Our results also show that a subnatural\nlinewidth spectroscopy, superior to any other available su bnat-\nural spectroscopy technique at present [3–10], can be reach ed", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "4\nConclusion: In summary, we propose a new subnatural\nlinewidth spectroscopy technique, which is a laser by us-\ning Ramsey seperated-field cavity to realize the output of\nstimulated-emission radiation via multiple coherent interac-\ntion with atomic beam. We find the linewidth of Ramsey laser\nis subnatural if we choose an appropriate atomic level, and the\nbad-cavity laser mechanism will dramatically reduce cavit y-\nrelated noise as discussed in active optical clock [15–19]. Our\nresults show that this new subnatural linewidth spectrosco py\nis superior to conventional optical Ramsey seperated-field\nspectroscopy and any other available subnatural spectrosc opy\ntechnique at present [3–10]. Considering one have to ap-\nply the separated-field method in any phase detection as in\nRamsey-Borde´interferometer [2], to investigate the e ffects of\nphase di fferences between the two oscillating fields [31] in\nthis stimulated separated-field method with such subnatura l\nlinewidth will be our next research aim.\nWe acknowledge Yiqiu Wang and Deshui Y u for fruitful\ndiscussions. This work is supported by MOST of China\n(grant 2005CB724500, National Natural Science Foundation\nof China (grant 60837004, 10874009), National Hi-Tech Re-\nsearch and Development (863) Program.\n∗ E-mail: jbchen@pku.edu.cn\n† E-mail: hongguo@pku.edu.cn.\n[1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n[2] B. Dubetsky and P . R. Berman, In Atom Interferometry , edited\nby P . R. Berman (Academic Press, Cambridge, MA, 1997).\n[3] M. M. Salour, Rev. Mod. Phys. 50 , 667 (1978).\n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett. 44 , 1254 (1980).\n[5] P . L. Knight and P . E. Coleman, J. Phys. B: Atom. Molec. Phy s.\n13 4345 (1980).\n[6] H. -W. Lee, P . Meystre, and M. O. Scully, Phys. Rev. A 24 , 1914\n(1981).\n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A 28 , 2248\n(1983).\n[8] W. Gawlik, J. Kowalski, F. Tr¨ ager, and M. V ollmer, Phys. Rev.\nLett. 48 , 871 (1982).\n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and\nP . R. Rice, Phys. Rev. A 40 , 5516 (1989).\n[10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physi cs 34 ,\n297 (1995)\n[11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, 93 , 250602\n(2004).\n[12] A. D. Ludlow et al. , Opt. Lett. 32 , 641 (2007).\n[13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. 101 , 260602\n(2008).\n[14] J. Chen, and X.Chen, In Proceedings of the 2005 IEEE Inter-\nnational Frequency Control Symposium and Exposition , (IEEE,\n2005), p.608.\n[15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Scie nce Bul-\nletin 54 , 348 (2009).\n[16] D. Y u and J. Chen, Phys. Rev. A 78 , 013846 (2008).\n[17] J. Chen, In Frequency Standards and Metrology: Proceedings\nof the 7th Symposium , edited by Maleki Lute (World Scientific\nPublishing Company, 2009).\n[18] Y . Wang, Chinese Science Bulletin 54 , 347 (2009).\n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. R ev.\nLett. 102 , 163601 (2009)\n[20] F. Strumia, Metrologia 8 , 85 (1972).\n[21] G. Kramer, J. Opt. Soc. Am. 68 , 1634 (1978).\n[22] V . S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR 32 , 455\n(1972).\n[23] Ye. V . Baklanov, B. Ya, Dubetsky, V . P . Chebotayev, Appl .\nPhys. 9 , 171 (1976).\n[24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett . 38 ,\n159 (1977).\n[25] L. Davidovich, Rev. Mod. Phys. 68 , 127 (1996).\n[26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre ,\nPhys. Rev. A 47 , 1431 (1993).\n[27] M. Sargent III, M. O. Scully, and W. E. Lamb, Laser Physics\n(Addition Wesley, Reading, MA, 1974).\n[28] N. A. Abraham, P . Mandel, and L. M. Narducci, Dynamic In-\nstabilities and Pulsations in Lasers , Progress in Optics XXV ,\nedited by E. Wolf (Elsevier, Amsterdam, 1988).\n[29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P . J. Dagd igian,\nJ. Phys. B 13 , 2231 (1980).\n[30] K. An and M. S. Feld, Phys. Rev. A 56 , 1662(1997).\n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "optical atomic clock. Our results also show that a subnatural\nlinewidth spectroscopy, superior to any other available su bnat-\nural spectroscopy technique at present [3–10], can be reach ed\nby this kind of laser, if a suitable atomic level structure is cho-\nsen. Thus, this method can provide an e ffective subnatural\nspectroscopy, and the possibilities for the new optical clo ck\nscheme [15] and atom interferometers [2].\nTheoretical framework: We consider the case of a two-level\natomic beam interacting with a single-mode Ramsey cavity\nof separated-oscillating-field resonators with the cavitymode\nlinewidth is much wider than the atomic gain linewidth. Thus\nwe call it bad-cavity Ramsey laser. All atoms are pumped\nonto the upper lasing statea before entering the first cavity\nof seperated field, and the lower lasing state is b . We assume\nall the atoms have the same velocities υ, that means what we\nconsider here is a homogeneous laser system. And for the\nsake of simplicity, we consider the two-standing waves line ar\noptical Ramsey configuration with a grid as spatial selector\n[20, 21]. Our treatment can be extended to other configura-\ntions as in [22–24]. The length of each oscillating part isl,\nand the length of the free drift region is L . The corresponding\nHamiltonian is\nH = ℏωˆa †ˆa +ℏ\n∑\nj\n[ ωj\na ( t) σj\na +ωj\nb ( t) σj\nb ]\n+ ℏg\n∑\nj\nΓj ( t)(ˆa † ˆσj\n−e −i⃗k ·⃗r j + ˆσj\n+ˆae i⃗k ·⃗r j ) , (1)\nwhere ˆ a , ˆa † are the annihilation and creation operators of the\nfield mode inside the cavity, with the frequency ω, σj\na =\n( |a ⟩⟨a |) j and σj\nb = ( |b ⟩⟨b |) j are the projection operators for the\njth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "beam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-\ninteraction region is on the order of magnitude of 1µs. If\na bad cavity with κ is on the order of 10 7 Hz, the relation\nκ/2 ≫ τ−1 is satisfied. Then when g is on the order of the\nmagnitude of kHz, which can be easily achieved for current\ntechnique [30], from the linewidth expression of Eq.(16) th e\norder of magnitude of linewidth is below 1 Hz. This means\nthe linewidth of a Ramsey laser can be more than two or-\nders of magnitude narrower than the atomic natural linewidth,\ntherefore our Ramsey method provides a new subnatural spec-\ntroscopy technique. And since it is stimulated-emission spec-\ntrum, it overcomes the di fficulty in other subnatural linewidth\nspectroscopy schemes where the quick reduction of signal to\nnoise ratio is a formidable limit. We should point out that\nthis Ramsey laser does not escape the limitation of all active\noptical clock: in order to pump atoms to the excited state ef-\nfectively and to be stimulated emit photon during the lifetime\nof a metastable state, this new method will only be applicabl e\nto some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "3\n˜N bss = R τ\n2\n[\n1 − C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n.\nA detailed analysis about the stability of the steady-state can\nbe found such as in [28]. In this paper, we assume the steady-\nstate solution is stable.\nLaser linwidth: Suppose the quantum fluctuation is small,\nthe evolution of the fluctuations can be obtained by making a\nlinearization of the c-number Langevin equations around th e\nsteady-state solution. Then the measured spectra of field flu c-\ntuations will be directly related to these quantities. By Fo urier\ntransformations of the linearized equation, we get the ampl i-\ntude and phase quadrature components δX ( ω) and δY ( ω) [26].\nWell above threshold, one can neglect the amplitude fluctu-\nations, and the linewidth inside the cavity is related to the\nphase-diffusion coe fficient [25]. For small fluctuation of laser\nphase, the spectrum of phase fluctuations is simply related t o\nthe spectrum of the phase quadrature component of the field\nfluctuations, namely,\n( δϕ2 ) ω = 1\nI 0\n( δY 2 ) ω.\nIn the region γab ≪ T −1 ≪ τ−1 ≪ κ/2, as in the recently\nproposed active optical clock [15] with atomic beam. The\nphase quadrature component of the field fluctuations can be\nexpressed as\n( δϕ2 ) ω\n≈ ( κ/2 +γab ) 2\nI 0 ω2 [( κ/2 +γab ) 2 +ω2 ]\ng 2\n4( κ/2 +γab ) 2 {4 γab ˜N ass\n+ 2 R [( A 0 + B 0 ) +( A 2 + B 2 )]\n+ Rp [( C 0 −C ∗\n0 ) 2 +( C 1 −C ∗\n1 ) 2 +( C 2 −C ∗\n2 ) 2 ] }. (9)\nSince the time τ and T is much shorter than the time scale\nof the atomic dampings, we can neglect the dampings when\ncalculateA i , B i , C i . By using\nA 0 = cos 2\n( ΩR\n2 τ\n)\n, A 1 = cos 2\n( ΩR\n2 τ\n)\n,\nA 2 = 1 −sin 2 ( ΩR τ) cos 2\n( ∆2\n2 T\n)\n, B 0 = sin 2\n( ΩR\n2 τ\n)\n,\nB 1 = sin 2\n( ΩR\n2 τ\n)\n, B 2 = sin 2 ( ΩR τ) cos 2\n( ∆2 T\n2\n)\n,\n( C 0 −C ∗\n0 ) 2 = 0 ,( C 1 −C ∗\n1 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\n( C 2 −C ∗\n2 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\nwe get\n( δϕ2 ) ω = ( κ/2 +γab ) 2\nω2 [( κ/2 +γab ) 2 +ω2 )]\nγ2\nab\n( κ/2 +γab ) 2 {D S T\n+ D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }, (10)\nwhere ΩR is the Rabi frequency on resonance,\nD S T =g 2 ˜N ass /I 0 γab , D Ram = g 2 R /2 I 0 γ2\nab , and\n∆2 = ω − ( ωa 2 − ωb 2 ) presents the detuning in the free\ndrift region. p is a parameter, which characterizes the pump-\ning statistics: a Poissonian excitation statistics corres ponds to\np = 0 , and for a regular statistics we have p = 1.\nThen the linewidth of Ramsey laser with bad cavity is given\nby\nD = γ2\nab\n( κ/2 +γab ) 2 {D S T + D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }.\n(11)\nSince D S T /D Ram ≪ 1 in our situation, and in the case of max-\nimal photon number, the steady state value of ˜N ass is about\nR τ/2. Then we get the\nD ≈ 2 g 2\nκ [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] . (12)\nFrom the expression above, we find that the pumping statis-\ntic can influence the linewidth. For regular injection (p = 1),\nthe linewidth is the narrowest, while for Poissonian inject ion\n( p = 0), the linewidth is the broadest. But even for regular\ninjection, the linewidth is larger than the case of one cavit y.\nThat means the mechanism of separated-field does not play\nthe role in reducing the linewidth as in the conventional opt i-\ncal Ramsey method, which is counter-intuitive. However, th e\nseparated fields are indispensable for any phase detection l ike\natom interferometry. The details about the method of active\natom interferometry will appear elsewhere.\nOur method of Ramsey laser is suitable for any atoms with\nmetastable energy level, as an example, we choose the tran-\nsition from the metastable state 4s 4 p 3 P 1 to the ground state\n4 s 2 1 S 0 of 40 Ca to check the striking feature of this laser: sub-\nnatural linewidth. As mentioned in [29], the corresponding\nnatural linewidth of the metastable state 4s 4 p 3 P 1 is 320Hz.\nAs in the recently proposed active optical clock with atomic\nbeam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "number Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this\npaper, we only care about the bad cavity limit γmax ≪ T −1 ≪\nτ−1 ≪ κ/2. Since the atomic transit time is much shorter than\nthe damping times of atomic variables, one could ignore the\neffect of the spontaneous emission of the atom. By the stan-\ndard way [25], We get the following steady-state values:\n⏐\n⏐\n⏐˜A ss\n⏐\n⏐\n⏐2\n= R (1 −A 0 + A 1 −A 2 )\nκ = R ( B 0 − B 1 + B 2 )\nκ ,\n˜N ass = R τ\n2\n[\n1 + C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "2\nwith frequency ωj\na and ωj\nb , and σj\n− = ( |b ⟩⟨a |) j is the “spin-\nflip” operator for the jth atom, with its adjoint σj\n+ = ( |a ⟩⟨b |) j .\nThe coupling constant g is given by g = µ√ω/2 ℏǫ0 V , where\nµ is the magnitude of the atomic dipole moment, and V is the\ne ffective volume of the cavity.\nIn order to denote the finite-time interaction between the\natoms and Ramsey separated field, we introduce the function\nΓj ( t) = Θ( t −t j ) −Θ( t −t j −τ) +Θ( t −t j −τ−T ) −Θ( t −t j −2 τ−T ) ,\n(2)\nwhere Θ( t) is the Heaviside step function [ Θ( t) = 1 for t > 0,\nΘ( t) = 1 /2 for t = 0, and Θ( t) = 0 for t < 0]. T is the free\ndrift time of the atoms, and τ is the interacting time between\nthe atom and one cavity.\nBy the standard way [25], we can get the Heisenberg-\nLangevin equations of the motion for the single-atom and\nfiled operators. By introducing the macroscopic atomic oper -\nator, M ( t) = −i ∑\nj Γj ( t) σj\n−( t), N a ( t) = ∑\nj Γj ( t) σj\naa ( t), N b ( t) =∑\nj Γj ( t) σj\nbb ( t), the dynamic equations for the field and macro-\nscopic atomic operators yield\n˙a ( t) = −κ\n2 a ( t) +gM ( t) +F κ( t) , (3)\n˙N a ( t) = R (1 −A 0 + A 1 −A 2 ) −( γa +γ′\na ) N a ( t)\n− g [ M †( t) a ( t) +a †( t) M ( t)] +F a ( t) , (4)\n˙N b ( t) = − R ( B 0 − B 1 + B 2 ) −γb N b ( t) +γ′\na N a ( t)\n+ g [ a †( t) M ( t) + M †( t) a ( t)] +F b ( t) , (5)\n˙M ( t) = − R ( C 0 −C 1 +C 2 ) −γab M ( t)\n+ g [ N a ( t) −N b ( t)] a ( t) +F M ( t) , (6)\nwhere the macroscopic noise operators are defined as\nF a ( t) =\n∑\nj\n˙Γj ( t) σj\na ( t) −R (1 −A 0 + A 1 −A 2 ) +\n∑\nj\nΓj ( t) f j\na ( t) ,\nF b ( t) =\n∑\nj\n˙Γj ( t) σj\nb ( t) +R ( B 0 − B 1 + B 2 ) +\n∑\nj\nΓj ( t) f j\nb ( t) ,\nF M ( t) = −i\n∑\nj\n˙Γj ( t) ˜σj\n−( t) +R ( C 0 −C 1 +C 2 ) −i\n∑\nj\nΓj ( t) f j\nσ( t) ,\nwith A 0 =\n⣨\nσj\na ( t j +τ)\n⟩\nq , A 1 =\n⣨\nσj\na ( t j +τ+T )\n⟩\nq ,\nA 2 =\n⣨\nσj\na ( t j +2 τ+T )\n⟩\nq , B 0 =\n⣨\nσj\nb ( t j +τ)\n⟩\nq ,\nB 1 =\n⣨\nσj\nb ( t j +τ+T )\n⟩\nq , B 2 =\n⣨\nσj\nb ( t j +2 τ+T )\n⟩\nq ,\nC 0 =\n⣨\n−iσj\n−( t j +τ)\n⟩\nq , C 1 =\n⣨\n−iσj\n−( t j +τ+T )\n⟩\nq ,\nC 2 =\n⣨\n−iσj\n−( t j +2 τ+T )\n⟩\nq . R is the mean pumping\nrate, which is defined in [26]. It is very easy to check that the\naverage values of the above Langevin forces are all zero.\nBy using the above definitions of the noise operators, we\nfind the correlation functions of macroscopic noise forces c an\nbe generally written in the form\n⟨F k ( t) F l ( t′) ⟩\n= D (0)\nkl δ( t −t′) + D (1)\nkl δ( t −t′ −τ)\n+ D (2)\nkl δ( t −t′ +τ) + D (3)\nkl δ( t −t′ −τ−T )\n+ D (4)\nkl δ( t −t′ +τ+T ) +D (5)\nkl δ( t −t′ −2 τ−T )\n+ D (6)\nkl δ( t −t′ +2 τ+T ) +D (7)\nkl δ( t −t′ −T )\n+ D (8)\nkl δ( t −t′ +T ) , (7)\nwhere D ( i)\nkl ( k ,l = a ,b ,M ,M †; i = 0 ,1 ,2) are the quantum dif-\nfusion coe fficients.\nc-number correlation functions: By choosing some partic-\nular ordering for products of atomic and field operators, one\ncould derive the c-number stochastic Langevin equations from\nthe quantum Langevin equations derived above, and all of the\ndynamic equations for c-number stochastic variables are th e\nsame as in [26]. The di fferences are from the correlation func-\ntions. On the other hand, we convert the quantum noise oper-\nators into the c-number noise variables˜F k ( t)( k = a ,b ,M ,M †),\nwhose correlation functions are expressed as\n⣨˜F k ( t) ˜F k ( t′)\n⟩\n= ˜D (0)\nkl δ( t −t′) + ˜D (1)\nkl δ( t −t′ −τ)\n+ ˜D (2)\nkl δ( t −t′ +τ) + ˜D (3)\nkl δ( t −t′ −τ−T )\n+ ˜D (4)\nkl δ( t −t′ +τ+T ) + ˜D (5)\nkl δ( t −t′ −2 τ−T )\n+ ˜D (6)\nkl δ( t −t′ +2 τ+T ) + ˜D (7)\nkl δ( t −t′ −T )\n+ ˜D (8)\nkl δ( t −t′ +T ) , (8)\nwhere ˜D ( i)\nkl are the c-number Langevin di ffusion coe fficients,\nrelated to quantum Langevin di ffusion coe fficients D ( i)\nkl as in\n[27].\nSteady-state solutions: The steady-state solutions for the\nmean values of the field and atomic variables for laser op-\neration are obtained by dropping the noise terms of the c-\nnumber Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "12\nform of the imaginary part.\n0 0.5 10 \n0.2\n0.4\nω in eV\nσ ( ω )\nConductivities (CB model λ =1)\nNS\nSC\n2 ∆ + ω o\n0 0.5 1\n0.2\n0.6\n1 \nω in eV\nσ ( ω )\nConductivities (CB model λ =10)\nNS\nSC\n2 ∆ + ω o\nFIG. 17: Conductivities and ∆ W for a fixed λωsf . Top –\nωsf = 26 meV ,λ = 1, ωo = 40 meV ,Zo = 0 .77 Bottom –\nωsf = 2 .6 meV ,λ = 10, ωo = 13 .5 meV ,Zo = 1 .22. The zero\ncrossing for ∆ W is not affected by a change in λ because it\nis determined only by λωsf . We set ∆ = 30 meV .\n1 2 3\n120\n160\n200\nλ (coupling)\nCB model ( Ω o =40 meV)\nW K (meV)\nSCS\nNS\nFIG. 18: The behavior of Kubo sums in the CB model. Note\nthat the spectral weight in the NS is always larger than in the\nSCS. We setωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\nWe performed the same calculations of conductivities\nand optical integrals as in the previous three cases. The\nresults are summarized in Figs. 17 - 22. Fig 17 shows con-\nductivities in the NS and the SCS for two couplingsλ = 1\nand λ = 10 (keeping λωsf constant). Other parameters\nZo and ωo are calculated according to the discussion after\nEq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV ,\nZo = 0 .77. And for ωsf = 2 .6 meV , λ = 10, we find\nωo = 13 .5 meV , Zo = 1 .22. Note that the conductivity\nin the SCS starts at 2∆ + ωo (i.e. the resonance energy\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNS Optical Sums (CB model)\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSCS Optical Sums (CB model)\nFIG. 19: The evolution of the optical integrals in the NS\nand the SCS in the CB model. Note that about∼ 75% of\nthe spectral weight is recovered up to 1 eV . We set ωsf =\n26 meV ,λ = 1, and ∆ = 30 meV .\n0 0.5 1\n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =1)\nwith lattice\nwithout lattice\n∆ W K\n0.2 0.6 1 \n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =10)\nwith lattice\nwithout lattice\n∆ W K\nFIG. 20: ∆ W (in meV) for λ = 1(top) and λ = 10(bottom).\nWe used ωsf = 26 meV /λ and ∆ = 30 meV . The zero crossing\nis not affected because we keep λωsf constant. The notable\ndifference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett.44,\n912 (1980).\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett.44, 1316 (1980) [Erratum-ibid. 44,\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B91, 222 (1980).\n[3] S. Khalil, J. Phys. G35, 055001 (2008).\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B676, 81 (2009); Phys. Rev. D80, 115007\n(2009).\n[5] W. Emam and S. Khalil, Eur. Phys. J. C522, 625 (2007).\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D80, 055030\n(2009).\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D80, 073015 (2009).\n[9] S. Khalil and O. Seto, JCAP0810, 024 (2008).\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D70, 093009 (2004).\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D74, 033011 (2006).\n[12] S. Dawson and W. Yan, Phys. Rev. D79, 095002 (2009).\n[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].\n[14] E. W. Kolb and M. S. Turner,The Early Universe , Addison-Wesley (1990).\n[15] D. N. Spergelet al. [WMAP Collaboration], Astrophys. J. Suppl.170, 377 (2007).\n[16] J. McDonald, Phys. Rev. D50, 3637 (1994).\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001).\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005).\n[19] T. Kikuchi and N. Okada, Phys. Lett. B665, 186 (2008).\n[20] C. E. Yaguna, JCAP0903, 003 (2009).\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D67, 085002 (2003).\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D67, 043516 (2003).\n[23] K. Cheung and O. Seto, Phys. Rev. D69, 113009 (2004).\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett.100 021303 (2008).\n[25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n[26] http://xenon.astro.columbia.edu/.\n13", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "illumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is \nenlarged through two identical sized sets of right and left eye \nlenses. The zoom provides different magnification and features an \ninversion system which allows the image to be viewed normally \nand right side up.\n109\nModel AY11230 Model AY11234\nDiopter\nAdjustment Diopter\nAdjustment\nPrism\nCap\nPrism\nCap\nEyepiece\nStage\nLens\nStage\nVertical \nTube\nVertical \nTube\nIllumination\nControls\nRotary\nCase\nSpring \nClips\nSpring \nClips\nFocus\nKnob\nMagnification\nAdjustment\nKnob\nFocus\nKnob\nTightening\nKnob\nOblique\nIlluminatorOblique\nIlluminator\nLens \nHousing\nEyepiece\nIllumination\nControls", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "How the steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained ?", - "target_page": 2, - "target_passage": "The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the c-number Langevin equations and setting the time derivatives equal to zero.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "3\n˜N bss = R τ\n2\n[\n1 − C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n.\nA detailed analysis about the stability of the steady-state can\nbe found such as in [28]. In this paper, we assume the steady-\nstate solution is stable.\nLaser linwidth: Suppose the quantum fluctuation is small,\nthe evolution of the fluctuations can be obtained by making a\nlinearization of the c-number Langevin equations around th e\nsteady-state solution. Then the measured spectra of field flu c-\ntuations will be directly related to these quantities. By Fo urier\ntransformations of the linearized equation, we get the ampl i-\ntude and phase quadrature components δX ( ω) and δY ( ω) [26].\nWell above threshold, one can neglect the amplitude fluctu-\nations, and the linewidth inside the cavity is related to the\nphase-diffusion coe fficient [25]. For small fluctuation of laser\nphase, the spectrum of phase fluctuations is simply related t o\nthe spectrum of the phase quadrature component of the field\nfluctuations, namely,\n( δϕ2 ) ω = 1\nI 0\n( δY 2 ) ω.\nIn the region γab ≪ T −1 ≪ τ−1 ≪ κ/2, as in the recently\nproposed active optical clock [15] with atomic beam. The\nphase quadrature component of the field fluctuations can be\nexpressed as\n( δϕ2 ) ω\n≈ ( κ/2 +γab ) 2\nI 0 ω2 [( κ/2 +γab ) 2 +ω2 ]\ng 2\n4( κ/2 +γab ) 2 {4 γab ˜N ass\n+ 2 R [( A 0 + B 0 ) +( A 2 + B 2 )]\n+ Rp [( C 0 −C ∗\n0 ) 2 +( C 1 −C ∗\n1 ) 2 +( C 2 −C ∗\n2 ) 2 ] }. (9)\nSince the time τ and T is much shorter than the time scale\nof the atomic dampings, we can neglect the dampings when\ncalculateA i , B i , C i . By using\nA 0 = cos 2\n( ΩR\n2 τ\n)\n, A 1 = cos 2\n( ΩR\n2 τ\n)\n,\nA 2 = 1 −sin 2 ( ΩR τ) cos 2\n( ∆2\n2 T\n)\n, B 0 = sin 2\n( ΩR\n2 τ\n)\n,\nB 1 = sin 2\n( ΩR\n2 τ\n)\n, B 2 = sin 2 ( ΩR τ) cos 2\n( ∆2 T\n2\n)\n,\n( C 0 −C ∗\n0 ) 2 = 0 ,( C 1 −C ∗\n1 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\n( C 2 −C ∗\n2 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\nwe get\n( δϕ2 ) ω = ( κ/2 +γab ) 2\nω2 [( κ/2 +γab ) 2 +ω2 )]\nγ2\nab\n( κ/2 +γab ) 2 {D S T\n+ D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }, (10)\nwhere ΩR is the Rabi frequency on resonance,\nD S T =g 2 ˜N ass /I 0 γab , D Ram = g 2 R /2 I 0 γ2\nab , and\n∆2 = ω − ( ωa 2 − ωb 2 ) presents the detuning in the free\ndrift region. p is a parameter, which characterizes the pump-\ning statistics: a Poissonian excitation statistics corres ponds to\np = 0 , and for a regular statistics we have p = 1.\nThen the linewidth of Ramsey laser with bad cavity is given\nby\nD = γ2\nab\n( κ/2 +γab ) 2 {D S T + D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }.\n(11)\nSince D S T /D Ram ≪ 1 in our situation, and in the case of max-\nimal photon number, the steady state value of ˜N ass is about\nR τ/2. Then we get the\nD ≈ 2 g 2\nκ [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] . (12)\nFrom the expression above, we find that the pumping statis-\ntic can influence the linewidth. For regular injection (p = 1),\nthe linewidth is the narrowest, while for Poissonian inject ion\n( p = 0), the linewidth is the broadest. But even for regular\ninjection, the linewidth is larger than the case of one cavit y.\nThat means the mechanism of separated-field does not play\nthe role in reducing the linewidth as in the conventional opt i-\ncal Ramsey method, which is counter-intuitive. However, th e\nseparated fields are indispensable for any phase detection l ike\natom interferometry. The details about the method of active\natom interferometry will appear elsewhere.\nOur method of Ramsey laser is suitable for any atoms with\nmetastable energy level, as an example, we choose the tran-\nsition from the metastable state 4s 4 p 3 P 1 to the ground state\n4 s 2 1 S 0 of 40 Ca to check the striking feature of this laser: sub-\nnatural linewidth. As mentioned in [29], the corresponding\nnatural linewidth of the metastable state 4s 4 p 3 P 1 is 320Hz.\nAs in the recently proposed active optical clock with atomic\nbeam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "number Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this\npaper, we only care about the bad cavity limit γmax ≪ T −1 ≪\nτ−1 ≪ κ/2. Since the atomic transit time is much shorter than\nthe damping times of atomic variables, one could ignore the\neffect of the spontaneous emission of the atom. By the stan-\ndard way [25], We get the following steady-state values:\n⏐\n⏐\n⏐˜A ss\n⏐\n⏐\n⏐2\n= R (1 −A 0 + A 1 −A 2 )\nκ = R ( B 0 − B 1 + B 2 )\nκ ,\n˜N ass = R τ\n2\n[\n1 + C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "beam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-\ninteraction region is on the order of magnitude of 1µs. If\na bad cavity with κ is on the order of 10 7 Hz, the relation\nκ/2 ≫ τ−1 is satisfied. Then when g is on the order of the\nmagnitude of kHz, which can be easily achieved for current\ntechnique [30], from the linewidth expression of Eq.(16) th e\norder of magnitude of linewidth is below 1 Hz. This means\nthe linewidth of a Ramsey laser can be more than two or-\nders of magnitude narrower than the atomic natural linewidth,\ntherefore our Ramsey method provides a new subnatural spec-\ntroscopy technique. And since it is stimulated-emission spec-\ntrum, it overcomes the di fficulty in other subnatural linewidth\nspectroscopy schemes where the quick reduction of signal to\nnoise ratio is a formidable limit. We should point out that\nthis Ramsey laser does not escape the limitation of all active\noptical clock: in order to pump atoms to the excited state ef-\nfectively and to be stimulated emit photon during the lifetime\nof a metastable state, this new method will only be applicabl e\nto some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "optical atomic clock. Our results also show that a subnatural\nlinewidth spectroscopy, superior to any other available su bnat-\nural spectroscopy technique at present [3–10], can be reach ed\nby this kind of laser, if a suitable atomic level structure is cho-\nsen. Thus, this method can provide an e ffective subnatural\nspectroscopy, and the possibilities for the new optical clo ck\nscheme [15] and atom interferometers [2].\nTheoretical framework: We consider the case of a two-level\natomic beam interacting with a single-mode Ramsey cavity\nof separated-oscillating-field resonators with the cavitymode\nlinewidth is much wider than the atomic gain linewidth. Thus\nwe call it bad-cavity Ramsey laser. All atoms are pumped\nonto the upper lasing statea before entering the first cavity\nof seperated field, and the lower lasing state is b . We assume\nall the atoms have the same velocities υ, that means what we\nconsider here is a homogeneous laser system. And for the\nsake of simplicity, we consider the two-standing waves line ar\noptical Ramsey configuration with a grid as spatial selector\n[20, 21]. Our treatment can be extended to other configura-\ntions as in [22–24]. The length of each oscillating part isl,\nand the length of the free drift region is L . The corresponding\nHamiltonian is\nH = ℏωˆa †ˆa +ℏ\n∑\nj\n[ ωj\na ( t) σj\na +ωj\nb ( t) σj\nb ]\n+ ℏg\n∑\nj\nΓj ( t)(ˆa † ˆσj\n−e −i⃗k ·⃗r j + ˆσj\n+ˆae i⃗k ·⃗r j ) , (1)\nwhere ˆ a , ˆa † are the annihilation and creation operators of the\nfield mode inside the cavity, with the frequency ω, σj\na =\n( |a ⟩⟨a |) j and σj\nb = ( |b ⟩⟨b |) j are the projection operators for the\njth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "4\nConclusion: In summary, we propose a new subnatural\nlinewidth spectroscopy technique, which is a laser by us-\ning Ramsey seperated-field cavity to realize the output of\nstimulated-emission radiation via multiple coherent interac-\ntion with atomic beam. We find the linewidth of Ramsey laser\nis subnatural if we choose an appropriate atomic level, and the\nbad-cavity laser mechanism will dramatically reduce cavit y-\nrelated noise as discussed in active optical clock [15–19]. Our\nresults show that this new subnatural linewidth spectrosco py\nis superior to conventional optical Ramsey seperated-field\nspectroscopy and any other available subnatural spectrosc opy\ntechnique at present [3–10]. Considering one have to ap-\nply the separated-field method in any phase detection as in\nRamsey-Borde´interferometer [2], to investigate the e ffects of\nphase di fferences between the two oscillating fields [31] in\nthis stimulated separated-field method with such subnatura l\nlinewidth will be our next research aim.\nWe acknowledge Yiqiu Wang and Deshui Y u for fruitful\ndiscussions. This work is supported by MOST of China\n(grant 2005CB724500, National Natural Science Foundation\nof China (grant 60837004, 10874009), National Hi-Tech Re-\nsearch and Development (863) Program.\n∗ E-mail: jbchen@pku.edu.cn\n† E-mail: hongguo@pku.edu.cn.\n[1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n[2] B. Dubetsky and P . R. Berman, In Atom Interferometry , edited\nby P . R. Berman (Academic Press, Cambridge, MA, 1997).\n[3] M. M. Salour, Rev. Mod. Phys. 50 , 667 (1978).\n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett. 44 , 1254 (1980).\n[5] P . L. Knight and P . E. Coleman, J. Phys. B: Atom. Molec. Phy s.\n13 4345 (1980).\n[6] H. -W. Lee, P . Meystre, and M. O. Scully, Phys. Rev. A 24 , 1914\n(1981).\n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A 28 , 2248\n(1983).\n[8] W. Gawlik, J. Kowalski, F. Tr¨ ager, and M. V ollmer, Phys. Rev.\nLett. 48 , 871 (1982).\n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and\nP . R. Rice, Phys. Rev. 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Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "2\nwith frequency ωj\na and ωj\nb , and σj\n− = ( |b ⟩⟨a |) j is the “spin-\nflip” operator for the jth atom, with its adjoint σj\n+ = ( |a ⟩⟨b |) j .\nThe coupling constant g is given by g = µ√ω/2 ℏǫ0 V , where\nµ is the magnitude of the atomic dipole moment, and V is the\ne ffective volume of the cavity.\nIn order to denote the finite-time interaction between the\natoms and Ramsey separated field, we introduce the function\nΓj ( t) = Θ( t −t j ) −Θ( t −t j −τ) +Θ( t −t j −τ−T ) −Θ( t −t j −2 τ−T ) ,\n(2)\nwhere Θ( t) is the Heaviside step function [ Θ( t) = 1 for t > 0,\nΘ( t) = 1 /2 for t = 0, and Θ( t) = 0 for t < 0]. T is the free\ndrift time of the atoms, and τ is the interacting time between\nthe atom and one cavity.\nBy the standard way [25], we can get the Heisenberg-\nLangevin equations of the motion for the single-atom and\nfiled operators. By introducing the macroscopic atomic oper -\nator, M ( t) = −i ∑\nj Γj ( t) σj\n−( t), N a ( t) = ∑\nj Γj ( t) σj\naa ( t), N b ( t) =∑\nj Γj ( t) σj\nbb ( t), the dynamic equations for the field and macro-\nscopic atomic operators yield\n˙a ( t) = −κ\n2 a ( t) +gM ( t) +F κ( t) , (3)\n˙N a ( t) = R (1 −A 0 + A 1 −A 2 ) −( γa +γ′\na ) N a ( t)\n− g [ M †( t) a ( t) +a †( t) M ( t)] +F a ( t) , (4)\n˙N b ( t) = − R ( B 0 − B 1 + B 2 ) −γb N b ( t) +γ′\na N a ( t)\n+ g [ a †( t) M ( t) + M †( t) a ( t)] +F b ( t) , (5)\n˙M ( t) = − R ( C 0 −C 1 +C 2 ) −γab M ( t)\n+ g [ N a ( t) −N b ( t)] a ( t) +F M ( t) , (6)\nwhere the macroscopic noise operators are defined as\nF a ( t) =\n∑\nj\n˙Γj ( t) σj\na ( t) −R (1 −A 0 + A 1 −A 2 ) +\n∑\nj\nΓj ( t) f j\na ( t) ,\nF b ( t) =\n∑\nj\n˙Γj ( t) σj\nb ( t) +R ( B 0 − B 1 + B 2 ) +\n∑\nj\nΓj ( t) f j\nb ( t) ,\nF M ( t) = −i\n∑\nj\n˙Γj ( t) ˜σj\n−( t) +R ( C 0 −C 1 +C 2 ) −i\n∑\nj\nΓj ( t) f j\nσ( t) ,\nwith A 0 =\n⣨\nσj\na ( t j +τ)\n⟩\nq , A 1 =\n⣨\nσj\na ( t j +τ+T )\n⟩\nq ,\nA 2 =\n⣨\nσj\na ( t j +2 τ+T )\n⟩\nq , B 0 =\n⣨\nσj\nb ( t j +τ)\n⟩\nq ,\nB 1 =\n⣨\nσj\nb ( t j +τ+T )\n⟩\nq , B 2 =\n⣨\nσj\nb ( t j +2 τ+T )\n⟩\nq ,\nC 0 =\n⣨\n−iσj\n−( t j +τ)\n⟩\nq , C 1 =\n⣨\n−iσj\n−( t j +τ+T )\n⟩\nq ,\nC 2 =\n⣨\n−iσj\n−( t j +2 τ+T )\n⟩\nq . R is the mean pumping\nrate, which is defined in [26]. It is very easy to check that the\naverage values of the above Langevin forces are all zero.\nBy using the above definitions of the noise operators, we\nfind the correlation functions of macroscopic noise forces c an\nbe generally written in the form\n⟨F k ( t) F l ( t′) ⟩\n= D (0)\nkl δ( t −t′) + D (1)\nkl δ( t −t′ −τ)\n+ D (2)\nkl δ( t −t′ +τ) + D (3)\nkl δ( t −t′ −τ−T )\n+ D (4)\nkl δ( t −t′ +τ+T ) +D (5)\nkl δ( t −t′ −2 τ−T )\n+ D (6)\nkl δ( t −t′ +2 τ+T ) +D (7)\nkl δ( t −t′ −T )\n+ D (8)\nkl δ( t −t′ +T ) , (7)\nwhere D ( i)\nkl ( k ,l = a ,b ,M ,M †; i = 0 ,1 ,2) are the quantum dif-\nfusion coe fficients.\nc-number correlation functions: By choosing some partic-\nular ordering for products of atomic and field operators, one\ncould derive the c-number stochastic Langevin equations from\nthe quantum Langevin equations derived above, and all of the\ndynamic equations for c-number stochastic variables are th e\nsame as in [26]. The di fferences are from the correlation func-\ntions. On the other hand, we convert the quantum noise oper-\nators into the c-number noise variables˜F k ( t)( k = a ,b ,M ,M †),\nwhose correlation functions are expressed as\n⣨˜F k ( t) ˜F k ( t′)\n⟩\n= ˜D (0)\nkl δ( t −t′) + ˜D (1)\nkl δ( t −t′ −τ)\n+ ˜D (2)\nkl δ( t −t′ +τ) + ˜D (3)\nkl δ( t −t′ −τ−T )\n+ ˜D (4)\nkl δ( t −t′ +τ+T ) + ˜D (5)\nkl δ( t −t′ −2 τ−T )\n+ ˜D (6)\nkl δ( t −t′ +2 τ+T ) + ˜D (7)\nkl δ( t −t′ −T )\n+ ˜D (8)\nkl δ( t −t′ +T ) , (8)\nwhere ˜D ( i)\nkl are the c-number Langevin di ffusion coe fficients,\nrelated to quantum Langevin di ffusion coe fficients D ( i)\nkl as in\n[27].\nSteady-state solutions: The steady-state solutions for the\nmean values of the field and atomic variables for laser op-\neration are obtained by dropping the noise terms of the c-\nnumber Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett.44,\n912 (1980).\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett.44, 1316 (1980) [Erratum-ibid. 44,\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B91, 222 (1980).\n[3] S. Khalil, J. Phys. G35, 055001 (2008).\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B676, 81 (2009); Phys. Rev. D80, 115007\n(2009).\n[5] W. Emam and S. Khalil, Eur. Phys. J. C522, 625 (2007).\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D80, 055030\n(2009).\n[8] P. F. Perez, T. Han and T. 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Baltz and L. Bergstrom, Phys. Rev. D67, 043516 (2003).\n[23] K. Cheung and O. Seto, Phys. Rev. D69, 113009 (2004).\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett.100 021303 (2008).\n[25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n[26] http://xenon.astro.columbia.edu/.\n13", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "4\nan energy of interband transitions, which is roughly 2 eV .\nThis would be consistent with Refs. 8,9.\nWe begin with formulating our calculational basis in\nthe next section. Then we take up the four cases and\nconsider in each case the extent to which the Kubo sum is\nsatisfied up to the order of bandwidth and the functional\nform and the sign of ∆W (ωc). The last section presents\nour conclusions.\nII. OPTICAL INTEGRAL IN NORMAL AND\nSUPERCONDUCTING STATES\nThe generic formalism of the computation of the op-\ntical conductivity and the optical integral has been dis-\ncussed several times in the literature21–23,26,29 and we\njust list the formulas that we used in our computations.\nThe conductivityσ(Ω) and the optical integral W (ωc)\nare given by (see for example Ref. 35).\nσ′(Ω) = Im\n[\n− Π(Ω)\nΩ + iδ\n]\n= − Π ′′(Ω)\nΩ + πδ(Ω) Π ′(Ω)\n(7a)\nW (ωc) =\n∫ ωc\n0\nσ′(Ω) dΩ = −\n∫ ωc\n0+\nΠ ′′(Ω)\nΩ dΩ + π\n2 Π ′(0)\n(7b)\nwhere ‘X′’ and ‘X′′’ stand for real and imaginary parts\nof X. We will restrict with T = 0. The polarization\noperator Π(Ω) is (see Ref. 36)\nΠ( iΩ) = T\n∑\nω\n∑\n⃗k\n(∇⃗kε⃗k)2\n(\nG(iω, ⃗k)G(iω + iΩ ,⃗k) + F (iω, ⃗k)F (iω + iΩ ,⃗k)\n)\n(8a)\nΠ ′′(Ω) = − 1\nπ\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ 0\n−Ω\ndω\n(\nG′′(ω, ⃗k)G′′(ω + Ω ,⃗k) + F ′′(ω, ⃗k)F ′′(ω + Ω ,⃗k)\n)\n(8b)\nΠ ′(Ω) = 1\nπ2\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ ′ ∫ ′\ndx dy\n(\nG′′(x,⃗k)G′′(y, ⃗k) + F ′′(x,⃗k)F ′′(y, ⃗k)\n) nF (y) − nF (x)\ny − x (8c)\nwhere\n∫′ denotes the principal value of the integral,∑\n⃗k is understood to be 1\nN\n∑\n⃗k,(N is the number of lat-\ntice sites), nF (x) is the Fermi function which is a step\nfunction at zero temperature, G and F are the normal\nand anomalous Greens functions. given by 37\nFor a NS, G(ω, ⃗k) = 1\nω − Σ( k, ω) − ε⃗k + iδ (9a)\nFor a SCS, G(ω, ⃗k) = Zk,ωω + ε⃗k\nZ2\nk,ω (ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9b)\nF (ω, ⃗k) = Zk,ω∆ k,ω\nZ2\nk,ω(ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9c)\nwhere Zk,ω = 1 − Σ( k,ω)\nω , and ∆ k,ω, is the SC gap. Fol-\nlowing earlier works 31,33, we assume that the fermionic\nself-energy Σ( k, ω) predominantly depends on frequency\nand approximate Σ( k, ω) ≈ Σ( ω) and also neglect the\nfrequency dependence of the gap, i.e., approximate ∆ k,ω\nby a d−wave ∆ k. The lattice dispersion ε⃗k is taken from\nRef. 38. To calculate WK , one has to evaluate the Kubo\nterm in Eq.3 wherein the distribution function n⃗k, is cal-\nculated from\nn(ε⃗k) = −2\n∫ 0\n−∞\ndω\n2π G′′(ω, ⃗k) (10)\nThe 2 is due to the trace over spin indices. We show the\ndistribution functions in the NS and SCS under different\ncircumstances in Fig 2.\nThe ⃗k-summation is done over first Brillouin zone for a\n2-D lattice with a 62x62 grid. The frequency integrals are\ndone analytically wherever possible, otherwise performed\nusing Simpson’s rule for all regular parts. Contributions\nfrom the poles are computed separately using Cauchy’s\ntheorem. For comparison, in all four cases we also calcu-\nlated FGT sum rule by replacing\n∫\nd2k = dΩ kdǫkνǫk,Ω k\nand keeping ν constant. We remind that the FGT is\nthe result when one assumes that the integral in W (ωc)\npredominantly comes from a narrow region around the\nFermi surface.\nWe will first use Eq 3 and compute WK in NS and SCS.\nThis will tell us about the magnitude of ∆ W (ωc = ∞).\nWe next compute the conductivity σ(ω) using the equa-\ntions listed above, find W (ωc) and ∆ W (ωc) and compare\n∆ f(ωc) and ∆ WK .\nFor simplicity and also for comparisons with earlier\nstudies, for BCSI, EB, and MFLI models we assumed\nthat the gap is just a constant along the FS. For CB\nmodel, we used ad−wave gap and included into consid-\neration the fact that, if a CB is a spin fluctuation, its\npropagator develops a resonance when the pairing gap is\nd−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "4\nr (Å)\n2\n4\n6\n8\n4 6 8\n0.5\n1\n1.5\n4 6 8\n0.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 11 (r)\n1.5 mol.L\n-1\ng 22 (r)\nFIG. 5: (Color online) RDF obtained from MC simulations\n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed)\nat two concentrations.\nThe RDF obtained within BIMSA3 are compared with\nthe MC and MSA-fit results in Fig.\n5. Our BIMSA3\nmodel accounts for the strong molecular peak of the CIP\nand provides the correct distances of minimal approach;\nwhereas the naive MSA-fit procedure ignores the former\nand gives poor estimates for the latter. At larger sep-\narations, the BIMSA3 results do not reproduce the os-\ncillations observed in the MC simulations, but the cor-\nresponding energy oscillations in the effective potentials\nare less thankBT . In addition, the perturbation term\nof the BIMSA3 appears to be negligible compared to the\nreference term for concentrations less than 1 mol l��� 1. The\nperturbation can then be omitted to obtain a fully ana-\nlytical theory, determined by the hard sphere diameters\nand the pair fraction given by LPT; with the free energy\nand the RDF given in terms of the BIMSA and MSA so-\nlutions, as described above. While the procedure we have\nfollowed uses two different approximations for the refer-\nence and perturbation terms (MSA vs BIMSA), these are\nknown to be accurate for the systems under consideration\nand do not appear to be inconsistent with each other.\nTo conclude, we have combined MD simulations with\nLPT to construct simple models of electrolyte solutions\nwhich account for the molecular nature of the solvent.\nThe final result is fully analytical and it yields the ther-\nmodynamic and structural properties of the solution, in\nagreement with the original molecular description. The\nmethodology can in principle be adapted to any molecu-\nlar description of the system (MD simulations involving\ninteraction potentials accounting for polarization effects\nor Car-Parrinello MD simulations for example) as long\nas the ion-ion RDF are known. It can also be generalized\nto study interfaces. The method appears to be a promis-\ning approach toward the description of the specific effects\nof ions, especially for complex systems whose modeling\nrequires an analytic solution.\nThe authors are particularly grateful to Werner Kunz\nfor fruitful discussions.\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13,\n276 (1945).\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical\nChemistry of Electrolyte Solutions (Springer, 1998).\n[3] L. Blum, in Theoretical Chemistry: Advances and Per-\nspectives, edited by H. Eyring and D. Henderson (Aca-\ndemic Press, 1980), vol. 5, pp. 1–66.\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n[5] J.-F. Dufrˆ eche et al., J. Phys. Chem. B 109, 9873 (2005).\n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259\n(2006).\n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin.\nColloid Interface Sci.9, 1 (2004).\n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett.\n96, 147801 (2006).\n[9] I. Kalcher and J. Dzubiella, J. 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Hansen, Mol.\nPhys.101, 1741 (2003).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "ij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-\ning the same interaction potentials as in reference [16].\nThis setup corresponds to a concentration of 0. 64 mol l− 1.\nNPT ensemble sampling at standard pressure and tem-\nperature was enforced, with a time step of 1 fs and a\npressure bath coupling constant of 1 ps. An equilibration\nrun of 0.25 ns was followed by a production run of 0.6 ns\nfor five different initial configurations. The averages of\nthe resulting RDF were then used for the potential inver-\nsion via the HNC closure [15]. These effective potentials\nare assumed to be concentration independent and will be\nused for simulations at all concentrations.\nSubtracting the long-range Coulombic potential\nV LR\nij (r) (which depends on the dielectric constant of the\nsolvent) from V eff\nij (r), we obtain the short-range contri-\nbution V SR\nij (r) to the effective potentials. These are given\nin Fig.\n1 (species 1 and 2 refer to Na + and Cl − free ions,\nrespectively). All the short-range potentials exhibit os-\ncillations corresponding to the solvent layering between\nthe ions, but this effect is particularly important for the\ncation-anion interaction: a considerable potential barrier\n(≳ 2kBT ) separates the first two attractive wells. To\nserve as a reference, Monte Carlo (MC) simulations were\nperformed with these effective potentials; a comparison\nbetween MD and MC RDF is also provided in Fig.\n1. The\nexcellent agreement between both sets of RDF validates\nthe HNC inversion procedure [17], and allows us to com-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What are the consequences on the linewidth for regular and Poissonian injections ?", - "target_page": 3, - "target_passage": " For regular injection (p = 1), the linewidth is the narrowest, while for Poissonian injection (p = 0), the linewidth is the broadest.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "number Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this\npaper, we only care about the bad cavity limit γmax ≪ T −1 ≪\nτ−1 ≪ κ/2. Since the atomic transit time is much shorter than\nthe damping times of atomic variables, one could ignore the\neffect of the spontaneous emission of the atom. By the stan-\ndard way [25], We get the following steady-state values:\n⏐\n⏐\n⏐˜A ss\n⏐\n⏐\n⏐2\n= R (1 −A 0 + A 1 −A 2 )\nκ = R ( B 0 − B 1 + B 2 )\nκ ,\n˜N ass = R τ\n2\n[\n1 + C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "3\n˜N bss = R τ\n2\n[\n1 − C 0 −C 1 +C 2\ng τ\n√ κ\nR ( B 0 − B 1 + B 2 )\n]\n.\nA detailed analysis about the stability of the steady-state can\nbe found such as in [28]. In this paper, we assume the steady-\nstate solution is stable.\nLaser linwidth: Suppose the quantum fluctuation is small,\nthe evolution of the fluctuations can be obtained by making a\nlinearization of the c-number Langevin equations around th e\nsteady-state solution. Then the measured spectra of field flu c-\ntuations will be directly related to these quantities. By Fo urier\ntransformations of the linearized equation, we get the ampl i-\ntude and phase quadrature components δX ( ω) and δY ( ω) [26].\nWell above threshold, one can neglect the amplitude fluctu-\nations, and the linewidth inside the cavity is related to the\nphase-diffusion coe fficient [25]. For small fluctuation of laser\nphase, the spectrum of phase fluctuations is simply related t o\nthe spectrum of the phase quadrature component of the field\nfluctuations, namely,\n( δϕ2 ) ω = 1\nI 0\n( δY 2 ) ω.\nIn the region γab ≪ T −1 ≪ τ−1 ≪ κ/2, as in the recently\nproposed active optical clock [15] with atomic beam. The\nphase quadrature component of the field fluctuations can be\nexpressed as\n( δϕ2 ) ω\n≈ ( κ/2 +γab ) 2\nI 0 ω2 [( κ/2 +γab ) 2 +ω2 ]\ng 2\n4( κ/2 +γab ) 2 {4 γab ˜N ass\n+ 2 R [( A 0 + B 0 ) +( A 2 + B 2 )]\n+ Rp [( C 0 −C ∗\n0 ) 2 +( C 1 −C ∗\n1 ) 2 +( C 2 −C ∗\n2 ) 2 ] }. (9)\nSince the time τ and T is much shorter than the time scale\nof the atomic dampings, we can neglect the dampings when\ncalculateA i , B i , C i . By using\nA 0 = cos 2\n( ΩR\n2 τ\n)\n, A 1 = cos 2\n( ΩR\n2 τ\n)\n,\nA 2 = 1 −sin 2 ( ΩR τ) cos 2\n( ∆2\n2 T\n)\n, B 0 = sin 2\n( ΩR\n2 τ\n)\n,\nB 1 = sin 2\n( ΩR\n2 τ\n)\n, B 2 = sin 2 ( ΩR τ) cos 2\n( ∆2 T\n2\n)\n,\n( C 0 −C ∗\n0 ) 2 = 0 ,( C 1 −C ∗\n1 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\n( C 2 −C ∗\n2 ) 2 = −sin 2 ( ΩR τ) sin 2 ( ∆2 T ) ,\nwe get\n( δϕ2 ) ω = ( κ/2 +γab ) 2\nω2 [( κ/2 +γab ) 2 +ω2 )]\nγ2\nab\n( κ/2 +γab ) 2 {D S T\n+ D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }, (10)\nwhere ΩR is the Rabi frequency on resonance,\nD S T =g 2 ˜N ass /I 0 γab , D Ram = g 2 R /2 I 0 γ2\nab , and\n∆2 = ω − ( ωa 2 − ωb 2 ) presents the detuning in the free\ndrift region. p is a parameter, which characterizes the pump-\ning statistics: a Poissonian excitation statistics corres ponds to\np = 0 , and for a regular statistics we have p = 1.\nThen the linewidth of Ramsey laser with bad cavity is given\nby\nD = γ2\nab\n( κ/2 +γab ) 2 {D S T + D Ram [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] }.\n(11)\nSince D S T /D Ram ≪ 1 in our situation, and in the case of max-\nimal photon number, the steady state value of ˜N ass is about\nR τ/2. Then we get the\nD ≈ 2 g 2\nκ [2 − p sin 2 ( ΩR τ) sin 2 ( ∆2 T )] . (12)\nFrom the expression above, we find that the pumping statis-\ntic can influence the linewidth. For regular injection (p = 1),\nthe linewidth is the narrowest, while for Poissonian inject ion\n( p = 0), the linewidth is the broadest. But even for regular\ninjection, the linewidth is larger than the case of one cavit y.\nThat means the mechanism of separated-field does not play\nthe role in reducing the linewidth as in the conventional opt i-\ncal Ramsey method, which is counter-intuitive. However, th e\nseparated fields are indispensable for any phase detection l ike\natom interferometry. The details about the method of active\natom interferometry will appear elsewhere.\nOur method of Ramsey laser is suitable for any atoms with\nmetastable energy level, as an example, we choose the tran-\nsition from the metastable state 4s 4 p 3 P 1 to the ground state\n4 s 2 1 S 0 of 40 Ca to check the striking feature of this laser: sub-\nnatural linewidth. As mentioned in [29], the corresponding\nnatural linewidth of the metastable state 4s 4 p 3 P 1 is 320Hz.\nAs in the recently proposed active optical clock with atomic\nbeam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "beam [15], the velocity of the atoms in thermal atomic beam is\nabout 500m/s, and the length of the interaction region is about\n1mm, then the time for the atom to traverse each coherent-\ninteraction region is on the order of magnitude of 1µs. If\na bad cavity with κ is on the order of 10 7 Hz, the relation\nκ/2 ≫ τ−1 is satisfied. Then when g is on the order of the\nmagnitude of kHz, which can be easily achieved for current\ntechnique [30], from the linewidth expression of Eq.(16) th e\norder of magnitude of linewidth is below 1 Hz. This means\nthe linewidth of a Ramsey laser can be more than two or-\nders of magnitude narrower than the atomic natural linewidth,\ntherefore our Ramsey method provides a new subnatural spec-\ntroscopy technique. And since it is stimulated-emission spec-\ntrum, it overcomes the di fficulty in other subnatural linewidth\nspectroscopy schemes where the quick reduction of signal to\nnoise ratio is a formidable limit. We should point out that\nthis Ramsey laser does not escape the limitation of all active\noptical clock: in order to pump atoms to the excited state ef-\nfectively and to be stimulated emit photon during the lifetime\nof a metastable state, this new method will only be applicabl e\nto some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "arXiv:1001.2670v1 [quant-ph] 15 Jan 2010\n.\nThe Linewidth of Ramsey Laser with Bad Cavity\nY ang Li, Wei Zhuang, Jinbiao Chen, ∗ and Hong Guo †\nCREAM Group, State Key Laboratory of Advanced Optical Commu nication\nSystems and Networks (Peking University) and Institute of Q uantum Electronics,\nSchool of Electronics Engineering and Computer Science,\nand Center for Computational Science and Engineering (CCSE ), Peking University, Beijing 100871, P . R. China\n(Dated: October 29, 2018)\nWe investigate a new laser scheme by using Ramsey separated- field technique with bad cavity. By studying\nthe linewidth of the stimulated-emission spectrum of this k ind of laser inside the cavity, we find its linewidth\nis more than two orders of magnitude narrower than atomic nat ural linewidth, and it is far superior to that\nof conventional optical Ramsey method and any other availab le subnatural linewidth spectroscopy at present.\nSince any cavity related noise is reduced to cavity-pulling e ffect in bad cavity laser, this Ramsey laser provides\nthe possibility of precision subnatural linewidth spectro scopy, which is critical for the next generation of optical\nclock and atom interferometers.\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\nIntroduction: Since the invention of the separated-field\ntechnique [1], it has played an important role in the field of\nprecision spectroscopy due to its linewidth narrowing effect\nvia multiple coherent interaction. Atomic clocks based on\nthis technique have greatly extended our ability for frequency\nmeasurement, further, almost all the atom interferometers are\nbased on this technique [2].\nThough, the natural linewidth of quantum transition was\nregarded as the ultimate limit to high-resolution laser spe c-\ntroscopy [4], several methods of subnatural linewidth spec -\ntroscopy have been proposed to gain subnatural linewidth [3 –\n10]. However, in all these e fforts, including optical Ramsey\nspectroscopy, subnatural line is realized at the expense of a\nquick reduction in signal-to-noise (SNR) ratio due to the ex -\nponential decaying of signal, thus all these schemes can onl y\nget the linewidth several times narrower than the atomic nat -\nural linewidth. In the past three decades, this situation do es\nnot change in the field of the precision laser spectroscopy.\nOn the other hand, the thermal noise of the cavity mirrors is\nthe main obstacle for further linewidth reduction of a laser\n[11, 12], and it is a challenge to substantially reduce this noise\nfurther[13]. Recently, a new scheme, called active optical\nclock [14–18], was proposed to substantially reduce the las er\nlinewidth. With lattice trapped atoms, it is possible to rea ch\nmHz linewidth laser based on the mechanism of active optical\nclock [14, 15, 19]. The principal mechanism of active optica l\nclock is to directly extract light emitted from the ultranar row\natomic transition with a cavity mode linewidth much wider\nthan that of lasing. This bad cavity ensures that any frequen cy\nshift due to cavity noise reduces to cavity-pulling e ffect [15–\n17], then the thermal noise is not the major obstacle again fo r\nreducing the linewidth. This means the bad cavity can play an\nindispensable role in new subnatural linewidth spectroscopy.\nIn this Letter, we propose a new scheme called Ramsey\nlaser with bad cavity. Distinct from any previous applicati ons\nof conventional Ramsey separated oscillating fields method\n[1], which focuses on the absorption spectrum, we here fo-\ncus on the stimulated emission spectrum via multiple coher-\nent interactions inside the cavity. We find this Ramsey laser\ncan provide a stimulated-emission spectrum with a linewidth\nmuch narrower than that of any conventional optical Ramsey\nseperated-field spectroscopy, which is commonly applied in\noptical atomic clock. Our results also show that a subnatural\nlinewidth spectroscopy, superior to any other available su bnat-\nural spectroscopy technique at present [3–10], can be reach ed", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "ure). This plot shows that the Kubo sums are almost\ncompletely recovered by integrating up to the bandwidth\nof 1eV : the recovery is 95% in the clean limit and ∼ 90%\nin the dirty limit. In Fig 6 we plot ∆ W (ωc) as a function\nof ωc in clean and dirty limits. ∆ W (∞) is now non-zero,\nin agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "4\nConclusion: In summary, we propose a new subnatural\nlinewidth spectroscopy technique, which is a laser by us-\ning Ramsey seperated-field cavity to realize the output of\nstimulated-emission radiation via multiple coherent interac-\ntion with atomic beam. We find the linewidth of Ramsey laser\nis subnatural if we choose an appropriate atomic level, and the\nbad-cavity laser mechanism will dramatically reduce cavit y-\nrelated noise as discussed in active optical clock [15–19]. Our\nresults show that this new subnatural linewidth spectrosco py\nis superior to conventional optical Ramsey seperated-field\nspectroscopy and any other available subnatural spectrosc opy\ntechnique at present [3–10]. Considering one have to ap-\nply the separated-field method in any phase detection as in\nRamsey-Borde´interferometer [2], to investigate the e ffects of\nphase di fferences between the two oscillating fields [31] in\nthis stimulated separated-field method with such subnatura l\nlinewidth will be our next research aim.\nWe acknowledge Yiqiu Wang and Deshui Y u for fruitful\ndiscussions. This work is supported by MOST of China\n(grant 2005CB724500, National Natural Science Foundation\nof China (grant 60837004, 10874009), National Hi-Tech Re-\nsearch and Development (863) Program.\n∗ E-mail: jbchen@pku.edu.cn\n† E-mail: hongguo@pku.edu.cn.\n[1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n[2] B. Dubetsky and P . R. Berman, In Atom Interferometry , edited\nby P . R. 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Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "Surrogate ˆRSW ˆRMF ˆRCLS ˆRLLM\nTarget RMF RCLS RLLM RSW RCLS RLLM RSW SFM RLLM RSW RMF RCLS\nMT-Bench 0.4 0 .8 0 .6 1.4 0 .7 0 .3 1.7 0 .3 0 .7 0.8 −0.6 0 .0\nMMLU 0.1 0 .8 1 .1 0.2 0 .2 1 .1 0.3 0 .8 0 .9 1.3 1 .2 0 .9\nGSM8K 1.9 1 .7 0 .6 1.6 1 .7 0 .2 1.7 1 .0 0 .4 1.3 1 .3 1 .7\nTable 6: Differences between average perplexity of responses to the original and confounded queries, in the black-box\nsetting, when the confounder gadget was generated for a different surrogate router than the target, for LLM pair 1. Positive\nvalues indicate a lower average perplexity (more natural) of responses to the confounded queries; higher values are better\nfor the attacker. Standard errors were omitted for readability but are0.2 on average. As in the white-box setting, the attack\ndoes not increase the average response perplexity.\nSurrogate ˆRSW ˆRMF ˆRCLS ˆRLLM\nTarget RMF RCLS RLLM RSW RCLS RLLM RSW SFM RLLM RSW RMF RCLS\nLLM pair 1\nMT-Bench −0.1 −0.1 0 .0 −0.1 −0.1 0 .0 −0.1 0 .0 0 .1 −0.2 −0.1 −0.2\nMMLU −0.1 0 .3 −0.2 4.8 1 .0 0 .5 2.5 −1.3 −0.8 2.6 −0.9 0 .3\nGSM8K 14.9 9 .6 15 .2 18.6 13 .8 14 .7 13.4 6 .8 12 .6 13.6 11 .3 10 .4\nLLM pair 2\nMT-Bench −0.1 −0.1 −0.1 −0.2 −0.2 −0.2 −0.1 −0.1 0 .0 −0.2 −0.2 −0.2\nMMLU 1.6 4 .0 4 .2 7.9 5 .0 4 .4 5.0 −2.9 3 .2 5.2 −0.9 3 .8\nGSM8K 13.6 8 .7 18 .5 18.9 14 .4 18 .3 13.1 4 .0 15 .5 11.3 8 .4 10 .8\nLLM pair 3\nMT-Bench 0.2 0 .0 0 .1 −0.1 −0.1 0 .0 0.0 0 .2 0 .2 −0.1 0 .1 −0.1\nMMLU 5.0 6 .8 5 .8 11.3 9 .1 4 .7 8.1 −3.7 4 .8 7.8 0 .1 7 .2\nGSM8K 20.5 13 .4 20 .9 24.3 18 .6 21 .6 17.9 11 .2 18 .9 16.7 15 .2 14 .2\nTable 7: Differences between average benchmark specific scores of responses to the original and confounded queries,\nwhen the confounder gadget was generated for a different surrogate router than the target (black-box setting) for three\nLLM pairs. Positive values indicate a higher average score for responses to the confounded queries; higher values are\nbetter for the attacker. Results are averaged across gadgets. Standard errors were omitted for readability and are on\naverage 0.1, 0.8, and 1.8 for MT-bench, MMLU and GSM8K, respectively. Aligned with the white-box setting, results\nshow almost no decrease in performance, and improvement when there is a performance gap for the LLM pair.\nResults for LLM pair 4. As discussed in Section 5, we replace the strong model that was used by Ong et al. [47], GPT-4-\n1106-preview (rank 28 in the Chatbot Arena leaderboard [1, 21]), with the open-sourced Llama-3.1-8B (rank 58) to reduce\nthe costs of our extensive set of evaluations. In this section we perform a smaller-scale evaluation of the quality-enhancing\nattack performance when using GPT as the strong model, i.e., LLM pair 4. We evaluate this setting using three of the\nn = 10 confounder gadgets for each router.\nTable 10 shows the results across benchmarks in the white-box setting. Compared to the pair 1 setting (Table 3), the attack\nresults in a higher increase in benchmark performance. This further demonstrates higher attack effect on response quality\nwhen the performance gap between the weak and strong models is higher.\n7 Rerouting Commercial Routers\nWe evaluate our rerouting attack on several commercial routers: Unify [12], NotDiamond [7], OpenRouter [11], and\nMartian [5]. These routers are available through black-box APIs. Therefore, we use our black-box attack with the\n40 gadgets optimized for the open-sourced routers RSW , RMF , RCLS , and RLLM (10 per router). We perform this\nevaluation using the MT-bench benchmark.\nUnify. This router lets users specify a list of models from different providers and a metric configuration for routing\ndecisions. The available metrics are quality, time to first token, inter-token latency, and cost. The user can specify the\nweight for each metric. Time, latency, and cost metrics are static and precomputed. The quality metric is computed for\n12", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv1.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett.44,\n912 (1980).\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett.44, 1316 (1980) [Erratum-ibid. 44,\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B91, 222 (1980).\n[3] S. Khalil, J. Phys. G35, 055001 (2008).\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B676, 81 (2009); Phys. Rev. D80, 115007\n(2009).\n[5] W. Emam and S. Khalil, Eur. Phys. J. C522, 625 (2007).\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n[7] L. Basso, A. 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[The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n[26] http://xenon.astro.columbia.edu/.\n13", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "7\n0 0.1 0.2 0.3\n0 \n20\n40\nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (BCSI−clean limit)\n with lattice\nwithout lattice\n0.1 0.3 0.5\n0 \n10\nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (BCSI−dirty limit)\n0.5 1\n−1\n0\nω c in eV\n∆ W\nLarger ω c\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid\nline) compared with the case of no lattice(a constant DOS,\ndashed line) for clean and dirty limits. ∆ = 30meV , Γ =\n3.5 meV (clean limit), Γ = 150 meV (dirty limit)\nΣ ′(ω) = − 1\n2 λnωo Re\n∫\ndω′ 1\nω2o − ω′2 − iδ\nω + ω′\n√\n(ω + ω′)2 − ∆ 2\n(16)\nObserve that Σ ′′(ω) is no-zero only for ω < −ωo − ∆.\nAlso, although it does not straightforwardly follow from\nEq. 16, but real and imaginary parts of the self-energy\ndo satisfy Σ′(ω) = −Σ ′(−ω) and Σ ′′(ω) = Σ ′′(−ω).\nFig7 shows conductivities σ(ω) and Kubo sums WK\nas a function of the dimensionless coupling λ. We see\nthat, like in the previous case, the Kubo sum in the NS\nis larger than that in the SCS. The difference ∆WK is\nbetween 5 and 8 meV.\nFig 8 shows the evolution of the optical integrals. Here\nwe see the difference with the BCSI model – only about\n75% of the optical integral is recovered, both in the NS\nand SCS, when we integrate up to the bandwidth of 1eV .\nThe rest comes from higher frequencies.\nIn Fig 9 we plot ∆ W (ωc) as a function of ωc. We see\nthe same behavior as in the BCSI model in a clean limit\n– ∆W (ωc) is positive at small frequencies, crosses zero\nat some ωc, passes through a deep minimum at a larger\nfrequency, and eventually saturates at a negative value at\nthe largestwc. However, in distinction to BCSI model,\n∆ W (ωc) keeps varying with ωc up a much larger scale\nand saturates only at around 0 .8eV . In between the dip\nat 0 .1eV and 0 .8eV , the behavior of the optical integral is\npredominantly determined by the variation of the cut-off\nterm ∆f(ωc) as evidenced by a close similarity between\nthe behavior of the actual ∆ W and ∆ W in the absence\n 0.5 1 0 \n0.1 \n0.2 \nΩ in eV\nσ ( Ω )\nσ in NS and SCS(EB model)\nNS\nSC\n2 ∆ + ω o\nω o\n0 0.2 0.4 0.6\n190\n200\nλ (the coupling constant)\nW K (meV)\nKubo Sum (EB model)\nSC\nNS\nFIG. 7: Top- conductivities in the NS and the SCS for the EB\nmodel. The conductivity in the NS vanishes belowω0 because\nof no phase space for scattering. Bottom - Kubo sums as a\nfunction of coupling. Observe thatWK in the SCS is below\nthat in the NS. We set ωo = 40 meV , ∆ = 30 meV , λ = .5\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNormal State (EB model)\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSuperconducting State (EB model)\nFIG. 8: Evolution of the optical integrals in the EB model.\nNote thatW (0) has a non zero value at T = 0 in the NS\nbecause the self-energy at small frequencies is purely real and\nlinear in ω, hence the polarization bubble Π(0) ̸= 0, as in an\nideal Fermi gas. Parameters are the same as in fig. 7", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "optical atomic clock. Our results also show that a subnatural\nlinewidth spectroscopy, superior to any other available su bnat-\nural spectroscopy technique at present [3–10], can be reach ed\nby this kind of laser, if a suitable atomic level structure is cho-\nsen. Thus, this method can provide an e ffective subnatural\nspectroscopy, and the possibilities for the new optical clo ck\nscheme [15] and atom interferometers [2].\nTheoretical framework: We consider the case of a two-level\natomic beam interacting with a single-mode Ramsey cavity\nof separated-oscillating-field resonators with the cavitymode\nlinewidth is much wider than the atomic gain linewidth. Thus\nwe call it bad-cavity Ramsey laser. All atoms are pumped\nonto the upper lasing statea before entering the first cavity\nof seperated field, and the lower lasing state is b . We assume\nall the atoms have the same velocities υ, that means what we\nconsider here is a homogeneous laser system. And for the\nsake of simplicity, we consider the two-standing waves line ar\noptical Ramsey configuration with a grid as spatial selector\n[20, 21]. Our treatment can be extended to other configura-\ntions as in [22–24]. The length of each oscillating part isl,\nand the length of the free drift region is L . The corresponding\nHamiltonian is\nH = ℏωˆa †ˆa +ℏ\n∑\nj\n[ ωj\na ( t) σj\na +ωj\nb ( t) σj\nb ]\n+ ℏg\n∑\nj\nΓj ( t)(ˆa † ˆσj\n−e −i⃗k ·⃗r j + ˆσj\n+ˆae i⃗k ·⃗r j ) , (1)\nwhere ˆ a , ˆa † are the annihilation and creation operators of the\nfield mode inside the cavity, with the frequency ω, σj\na =\n( |a ⟩⟨a |) j and σj\nb = ( |b ⟩⟨b |) j are the projection operators for the\njth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "Give me the advantages of Ferromagnetic semiconductors", - "target_page": 1, - "target_passage": "Ferromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "arXiv:1001.2449v1 [cond-mat.mtrl-sci] 14 Jan 2010\nExchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\nK. Olejnik, 1, 2 P. Wadley,3 J. Haigh, 3 K. W. Edmonds, 3 R. P. Campion, 3 A. W. Rushforth, 3 B. L. Gallagher, 3\nC. T. Foxon, 3 T. Jungwirth, 2, 3 J. Wunderlich,1, 2 S. S. Dhesi, 4 S. Cavill, 4 G. van der Laan, 4 and E. Arenholz 5\n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n2Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253Praha 6, Czech Republic\n3School of Physics and Astronomy, University of Nottingham,Nottingham NG7 2RD, United Kingdom\n4Diamond Light Source, Harwell Science and Innovation Campus,\nDidcot, Oxfordshire, OX11 0DE, United Kingdom\n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n(Dated: August 24, 2018)\nWe demonstrate an exchange bias in (Ga,Mn)As induced by anti ferromagnetic coupling to a thin\noverlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic\ncircular dichroism measurements, we distinguish a strongl y exchange coupled (Ga,Mn)As interface\nlayer in addition to the biassed bulk of the (Ga,Mn)As film. Th e interface layer remains polarized\nat room temperature.\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\nFerromagnetic (FM) semiconductors offer the prospect\nof combining high-density storage and gate-controlled\nlogic in a single material. The realization of spin-valve\ndevices from FM semiconductors requires the controlled\nswitching of magnetization in adjacent layers between\nantiferromagnetic (AFM) and FM configurations. This\nhas motivated several theoretical investigations of inter-\nlayer coupling in all-semiconductor devices1, and AFM\ncoupling has recently been demonstrated in (Ga,Mn)As\nmultilayers separated byp-type non-magnetic spacers 2.\nHowever, the Curie temperature TC of (Ga,Mn)As is\ncurrently limited to 185 K in single layers 3, and is\ntypically much lower for layers embedded within a\nheterostructure2, which is an obstacle to the practical\nimplementation of semiconductor spintronics.\nThe development of FM metal/FM semiconductor het-\nerostructures has the potential to bring together the\nbenefits of metal and semiconductor based spintron-\nics, offering access to new functionalities and physi-\ncal phenomena. Recent studies of MnAs/(Ga,Mn)As\nand NiFe/(Ga,Mn)As bilayer films have shown FM in-\nterlayer coupling and independent magnetization be-\nhavior, respectively4,5. Of particular interest is the\nFe/(Ga,Mn)As system, since the growth of epitaxial\nFe/GaAs(001) films is well-established6. Remarkably, a\nrecent x-ray magnetic circular dichroism (XMCD) study\nhas shown that Fe may induce a proximity polariza-\ntion in the near-surface region of (Ga,Mn)As, antipar-\nallel to the Fe moment and persisting even above room\ntemperature7. Devices incorporating Fe/(Ga,Mn)As\ntherefore offer the prospect of obtaining non-volatile\nroom temperature spin-polarization in a semiconductor.\nUntil now, no information has been revealed about the\ncoupling of Fe to (Ga,Mn)As layers away from the near-\nsurface region. At the surface, the (Ga,Mn)As layer may\nbe highly non-stoichiometric and Mn-rich, due to its non-\nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers\nwere produced by a process including exposure to air fol-\nlowed by sputtering and annealing prior to Fe deposition,\nwhich may further disrupt the interface order. The ori-\ngin of the interface magnetism then had to be inferred by\ncomparison to a series of reference samples7. Demonstra-\ntion of coupling between the bulk of the layers, i.e., an\nexchange bias effect, would provide direct evidence of the\ninterface magnetic order. Moreover, such coupling would\noffer new means of manipulating the FM semiconductor\nspin state and utilizing the proximity polarization effect\nin a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "2\nmeasurements were performed on beamline I06 at the\nDiamond Light Source, and on beamline 4.0.2 at the Ad-\nvanced Light Source. Total-electron yield (TEY) and\nfluorescence yield (FY) were monitored simultaneously\nusing the sample drain current and the photocurrent of a\ndiode mounted at 90◦ to the incident beam, respectively.\nSQUID magnetometry measurements were\nfirst performed on control Fe/GaAs(001) and\n(Ga,Mn)As/GaAs(001) samples, grown under the\nsame conditions as the bilayers, to determine the\nmagnetic anisotropies of the individual layers and the\nCurie temperature of the (Ga,Mn)As layer. The Fe film\nhas a uniaxial magnetic anisotropy with easy axis along\nthe [110] orientation, similar to previous studies6. For\nthe (Ga,Mn)As control sample, there is a competition\nbetween cubic and uniaxial magnetic anisotropies, with\nthe former dominant at low temperatures and favoring\neasy axes along the in-plane⟨100⟩ orientations, and the\nlatter dominant close to TC (∼35 K) giving an easy axis\nalong the [1 ¯\n10] orientation. Figure 1 shows [110] magne-\ntization versus temperature curves and low temperature\nhysteresis loops for a bilayer film containing a 20 nm\nthick (Ga,Mn)As layer. The total remnant moment of\nthe bilayer film decreases on cooling under zero magnetic\nfield below theTC of the (Ga,Mn)As, indicating that\nthis layer aligns antiparallel to the Fe magnetization\nat zero field. The hysteresis curve shows a two-step\nmagnetization reversal, indicating different behavior of\nthe Fe and (Ga,Mn)As layers, with the smaller loop\nattributed to the dilute moment (Ga,Mn)As film. The\nminor hysteresis loop shown in Fig. 1 clearly shows a\nshift from zero field by a bias fieldHE , indicating that\nthe Fe layer induces an exchange bias in the magnetic\nsemiconductor. The shape and size of the minor loop\nis in agreement with the hysteresis loop for the control\n(Ga,Mn)As sample, also shown in Fig. 1. This strongly\nindicates that the exchange bias affects the whole of the\n(Ga,Mn)As layer in the bilayer sample.\nSimilar behavior is observed for bilayer samples con-\ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a\nbias field which is approximately inversely proportional\nto the thicknessd of the ferromagnetic semiconductor\nlayer (Fig. 1, inset). This 1/ d dependence of HE was\nfound previously for MnAs/(Ga,Mn)As bilayers 4, and\nis generally observed in exchanged-biased thin films 12.\nFrom this dependence it is possible to describe the ex-\nchange bias in terms of an interface energy per unit area,\n∆E = MF SHE d = 0 . 003 erg/cm 2. This value is rather\nsmall compared to typical exchange bias systems 12, re-\nflecting the low moment density MF S of the diluted\nFM semiconductor layer. However, the bias field for a\ngiven (Ga,Mn)As thickness is larger than is observed for\nMnO/(Ga,Mn)As structures13, while the reproducibility\nand flexibility of the present structures is much higher\ndue to the single-crystalline ferromagnetic nature of the\nFe layer.\nTo confirm the presence of AFM interlayer coupling,\nwe performed XMCD measurements at the Mn and Fe\nL2,3 absorption edges in order to determine the magnetic\nresponse of the individual elements. In L2,3 XMCD, elec-\ntrons are excited from a 2 p core level to the unoccupied\n3d valence states of the element of interest by circularly\npolarized x-rays at the resonance energies of the transi-\ntions. The difference in absorption for opposite polariza-\ntions gives a direct and element-specific measurement of\nthe projection of the 3d magnetic moment along the x-\nray polarization vector. The absorption cross-section is\nconventionally obtained by measuring the decay products\n– either fluorescent x-rays or electrons – of the photoex-\ncited core hole. The type of decay product measured\ndetermines the probing depth of the technique. For Mn\nL2,3 absorption, the probing depths for FY and TEY de-\ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "in a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and\nbulk-sensitive superconducting quantum interference de-\nvice (SQUID) magnetometry. As with previous studies\nof FM metal/FM semiconductor bilayers4,5 (and in con-\ntrast to AFM coupled FM metal/FM metal exchange bias\nstructures10,11) the layers are in direct contact without\na non-magnetic spacer in between. We distinguish in-\nterface and bulk (Ga,Mn)As layers that are respectively\nstrongly and weakly antiferromagnetically coupled to the\nFe overlayer. In agreement with Ref.7, the interface layer\nremains polarized at room temperature.\nThe Fe and (Ga,Mn)As layers of the present study\nwere both grown by molecular beam epitaxy in the same\nultra-high vacuum system, in order to ensure a clean in-\nterface between them. The (Ga,Mn)As layer of thickness\n10 to 50 nm was deposited on a GaAs(001) substrate\nat a temperature of 260◦C, using previously established\nmethods3,8. A low Mn concentration of x ≈ 0. 03 was\nchosen in order to avoid the formation of compensating\nMn interstitials. The substrate temperature was then\nreduced to∼0◦C, before depositing a 2 nm Fe layer,\nplus a 2 nm Al capping layer. In-situ reflection high\nenergy electron diffraction and ex-situ x-ray reflectivity\nand diffraction measurements confirmed that the layers\nare single-crystalline with sub-nm interface roughness.\nSQUID magnetometry measurements were performed us-\ning a Quantum Design Magnetic Property Measurement\nSystem. Mn and FeL2,3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "3\nsamples15, the projected Mn 3 d magnetic moments are\nobtained as −1.4 µB and +0.8 µB per ion at remanence\nand 1000 Oe, respectively.\nThe difference between these values can be understood\nas being due to an interface layer which is strongly anti-\nferromagnetically coupled to the Fe layer. At zero field,\nboth the interfacial and bulk Mn are aligned antiparallel\nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As\nlayer away from the interface is re-oriented into the exter-\nnal field direction. However, the interfacial Mn remains\nantiparallel to the Fe layer and thus partially compen-\nsates the XMCD signal from the bulk of the (Ga,Mn)As.\nFrom the size of the remanent and 1000 Oe magnetic\nmoments, it can be estimated that around 25-30% of the\nTEY XMCD signal can be ascribed to the interfacial Mn\nwhich is strongly coupled to the Fe moments.\nThe interfacial Mn moments are ascribed to the prox-\nimity polarization of the (Ga,Mn)As interface by the Fe\nlayer, such as was shown previously by XMCD as well as\nab initiotheory7. Evidence for this can be observed from\nmeasurement of the Mn L2,3 XMCD signal at tempera-\ntures above the (Ga,Mn)As TC . Similar to the previous\nstudy7, we observe a small but not negligible signal at\nroom temperature (Fig. 3), with opposite sign to the Fe\nL2,3 XMCD. Its spectral shape is characteristic of a local-\nized electronic configuration close to d5, similar to bulk\n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic\nenvironments such as Mn xFe1−x7 or MnAs 16. A slight\nbroadening is observed on the low energy side of the Mn\nL3 peak, which may be due to the different screening in-\nduced by proximity to the Fe layer. Since the measured\nintensity is attenuated with distancez from the surface\nas I = I0 exp(−z/λ T EY), the thickness of the strongly\ncoupled interface layer is estimated to be ∼0.7 nm or 2-3\nmonolayers, assuming a uniform distribution of Mn ions\nand magnetic moments throughout the (Ga,Mn)As film.\nThis is around a factor of three thinner than in Ref.7,\nwhich could be due to the lower Mn concentration or the\ndifferent preparation method of the present samples.\nIn summary, we have demonstrated antiferromagnetic\ncoupling between Fe and (Ga,Mn)As layers in bilayer\nstructures. A markedly different coupling is observed for\nthe bulk of the (Ga,Mn)As layer and for Mn moments\nin the near-interface region. A thickness-dependent ex-\nchange bias field is observed to affect the whole of the\nbulk (Ga,Mn)As layer, which aligns antiparallel to the\nFe layer at low fields, and switches to parallel when the\nexternal field is large enough to overcome the bias field\nand the magnetocrystalline anisotropy fields. In contrast,\nthe interfacial Mn moments remain aligned antiparallel\nto the Fe layer even at 20 kOe, the largest field studied,\nand are polarized at temperatures well above theTC of\nthe bulk (Ga,Mn)As layer. The latter observation con-\nfirms the recently reported result of Ref. 7, in which\nthe Fe/(Ga,Mn)As bilayers were produced by a different\nmethod but showed qualitatively similar behavior of the\ninterfacial moments. Our results shed new light on the\nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which\nare of potential interest for room temperature spintron-\nics, and also offer a means of controlling the spin orien-\ntation in a FM semiconductor.\nWe acknowledge support from EU grants\nSemiSpinNet-215368 and NAMASTE-214499, and\nSTFC studentship grant CMPC07100. The Advanced\nLight Source is supported by the U.S. Department of\nEnergy under Contract No. DE-AC02-05CH11231.\nWe thank Leigh Shelford for help during the Diamond\nbeamtime.\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-\nDonald, Phys. Rev. B59, 9818 (1999); P. Sankowski and\nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D.\nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev.\nB78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys.\nRev. B 79, 214430 (2009).\n2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "tance drops out as we evaluate a change in resistance.\nIn Fig. 3(d) we show the change in resistance calculated\nfrom Eq. (7) as a function of CO concentration for Ni occu-\npying the three types of vacancies. The background reference\nconcentration of CO is taken to be C0 = 0 .1 ppm. For the\nmonovacancy there is very little change in resistivity. This is\nbecause most active sites are blocked by O 2 at relevant CO\nconcentrations, as shown in the upper panel of Fig. 3. For Ni\nin the divacancies there is, however, a change in resistance on\nthe order of 1Ω per site. For concentrations above ∼1 ppm,\nthe CO coverage of Ni in the divacancy II increases dramati-\ncally and this leads to a significant increase in resistance.\nWe now return to the discussion of the validity of Eq. (7).\nAs mentioned, the series coupling of individual scatterers\nshould be valid when lφ < d. However, even for lφ > d\nand assuming that the Anderson localization length, lloc in\nthe system exceeds lφ, Eq. (7) remains valid if one replaces\nthe actual resistance R by the sample averaged resistance ⟨R⟩\n[29]. At room temperature under ambient conditions, interac-\ntions with external degrees of freedom such as internal CNT\nphonons and vibrational modes of the adsorbed molecules\nwould rapidly randomize the phase of the electrons. There-\nfore Eq. (7) should certainly be valid in the limit of low dop-\ning concentrations. On the other hand, the total number of\ndopants, N, should be large enough for the statistical treat-\nment of the coverage to hold. Finally, we stress that Eq. (7)\nrepresents a conservative estimate of the change in resistance.\nIn fact, in the regime where lφ > lloc, i.e. in the Anderson\nlocalization regime, the resistance would be highly sensitive\nto changes in the fractional coverage of active sites. Calcula-\ntion of the actual resistance of the CNT in this regime would,\nhowever, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "the sensor in the case of doping by Ti, V , Cr, and Mn un-\nder standard conditions (room temperature and 1 bar of pres-\nsure). Among the remaining metals, we identify Ni as is the\nmost promising candidate for CO detection. For this system\nthe change in resistance per active site is generally significant\n(>1 Ω) for small changes in CO concentration in the relevant\nrange of around 0.1–10 ppm. Our approach is quite general\nand is directly applicable to other nanostructures than CNTs,\nother functionalizations than metal doping, and other back-\ngrounds than atmospheric air.\nAll total energy calculations and structure optimizations\nhave been performed with the real-space density functional\ntheory (DFT) code GPAW [22] which is based on the projector\naugmented wave method. We use a grid spacing of 0.2 ˚A for\nrepresenting the density and wave functions and the PBE ex-\nchange correlation functional [23]. Transport calculations for\nthe optimized structures have been performed using the non-\nequilibrium Green’s function method [24] with an electronic\nHamiltonian obtained from the SIESTA code [25] in a dou-\nble zeta polarized (DZP) basis set. Spin polarization has been\ntaken into account in all calculations.\nMetallic doping of a (6,6) CNT has been modeled in a su-\npercell containing six repeated minimal unit cells along the\nCNT axis (dimensions: 15 ˚A×15 ˚A×14.622 ˚A). For this size\nof supercell a Γ-point sampling of the Brillouin zone was\nfound to be sufficient. The formation energy for creating a\nvacancy (VC) occupied by a transition metal atom (M) was\ncalculated using the relation\nEform[M@VC] = E[M@VC] + nE[C] −E[M@NT] (1)\nwhere E[M@VC] is the total energy of a transition metal\natom occupying a vacancy in the nanotube, n is the number\nof carbon atoms removed to form the vacancy,E[C] is the en-\nergy per carbon atom in a pristine nanotube, and E[M@NT]\narXiv:1001.2538v1 [cond-mat.mes-hall] 14 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "4\n/s48 /s52/s48 /s56/s48\n/s52\n/s53\n/s45/s49/s48/s48/s48 /s48 /s49/s48/s48/s48\n/s45/s52\n/s45/s50\n/s48\n/s50\n/s52\n/s72\n/s69\n/s32/s40/s79/s101/s41\n/s32/s65/s112/s112/s108/s105/s101/s100/s32/s102/s105/s101/s108/s100/s32/s40/s79/s101/s41\n/s77/s111/s109/s101/s110/s116/s32/s40/s49/s48\n/s45/s53\n/s32/s101/s109/s117/s41\n/s48 /s50/s48 /s52/s48\n/s48\n/s49/s48/s48\n/s50/s48/s48\n/s51/s48/s48\n/s32\n/s32\n/s100/s32/s40/s110/s109/s41\n/s72/s32/s61/s32/s48/s46/s53/s32/s107/s79/s101\n/s72/s32/s61/s32/s48\n/s32\n/s32\n/s84/s32/s40/s75/s41\n/s32\nFIG. 1. (color) Main figure: Major (red/black) and minor\n(green) hysteresis loops along the [110] axis at 5 K, for a\nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop\nfor a control (Ga,Mn)As (20 nm) film along the same axis\n(blue). Left inset: Magnetization versus temperature for the\nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe\napplied field (red). Right inset: Exchange bias field versus\nthicknessd of the (Ga,Mn)As film (points) and fit showing\n1/d dependence (dashed line).\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P.\nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van\nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B\n73, 165205 (2006).\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y.\nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G.\nvan der Laan, and E. Arenholz, J. Appl. Phys.102, 023902\n(2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "5\nFIG. 2: Distribution functions in four cases (a) BCSI model,\nwhere one can see that forε > 0, SC >NS implying KE in-\ncreases in the SCS. (b) The original MFLI model of Ref. 30,\nwhere forε > 0, SC NS, implying KE increases in the\nSCS. Observe that in the impurity-free CB model there is no\njump inn(ǫ) indicating lack of fermionic coherence. This is\nconsistent with ARPES 39\nA. The BCS case\nIn BCS theory the quantity Z(ω) is given by\nZBCSI (ω) = 1 + Γ\n√\n∆ 2 − (ω + iδ)2 (11)\nand\nΣ BCSI (ω) = ω (Z(ω) − 1) = iΓ ω√\n(ω + iδ)2 − ∆ 2 (12)\nThis is consistent with having in the NS, Σ = iΓ in accor-\ndance with Eq 6. In the SCS, Σ( ω) is purely imaginary\nfor ω > ∆ and purely real for ω < ∆. The self-energy\nhas a square-root singularity at ω = ∆.\nIt is worth noting that Eq.12 is derived from the in-\ntegration over infinite band. If one uses Eq.6 for finite\nband, Eq.12 acquires an additional frequency dependence\nat large frequencies of the order of bandwidth (the low\nfrequency structure still remains the same as in Eq.12).\nIn principle, in a fully self-consistent analysis, one should\nindeed evaluate the self-energy using a finite bandwidth.\nIn practice, however, the self-energy at frequencies of or-\nder bandwidth is generally much smaller thanω and con-\ntribute very little to optical conductivity which predom-\ninantly comes from frequencies where the self-energy is\ncomparable or even larger thanω. Keeping this in mind,\nbelow we will continue with the form of self-energy de-\nrived form infinite band. We use the same argument for\nall four models for the self-energy.\nFor completeness, we first present some well known\nresults about the conductivity and optical integral for a\nconstant DOS and then extend the discussion to the case\nwhere the same calculations are done in the presence of\na particular lattice dispersion.\n0.1 0.2 0.3 0.4\n−4\n−2\n0 \nω in eV\nW SC −W NS\n∆ W (BCSI without lattice)\nΓ =70 meV\nΓ =50 meV\nΓ =3.5 meV\nFIG. 3: The BCSI case with a dispersion linearized around the\nFermi surface. Evolution of the difference of optical integrals\nin the SCS and the NS with the upper cut-off ωc Observe\nthat the zero crossing point increases with impurity scatte ring\nrate Γ and also the ‘dip’ spreads out with increasing Γ. ∆ =\n30meV\nFor a constant DOS, ∆ W (ωc) = WSC (ωc) − WNS (ωc)\nis zero at ωc = ∞ and Kubo sum rule reduces to FGT\nsum rule. In Fig. 3 we plot for this case ∆ W (ωc) as a\nfunction of the cutoff ωc for different Γ ′s. The plot shows\nthe two well known features: zero-crossing point is below\n2∆ in the clean limit Γ<< ∆ and is roughly 2Γ in the\ndirty limit21,40 The magnitude of the ‘dip’ decreases quite\nrapidly with increasing Γ. Still, there is always a point\nof zero crossing and ∆W (ωc) at large ωc approaches zero\nfrom below.\nWe now perform the same calculations in the presence\nof lattice dispersion. The results are summarized in Figs\n4,5, and 6.\nFig 4 shows conductivities σ(ω) in the NS and the SCS\nand Kubo sums WK plotted against impurity scattering\nΓ. We see that the optical integral in the NS is always\ngreater than in the SCS. The negative sign of ∆WK is\nsimply the consequence of the fact that nk is larger in the\nNS for ǫk < 0 and smaller for ǫk < 0, and ∇2ε⃗k closely\nfollows −ε⃗k for our choice of dispersion 38), Hence nk is\nlarger in the NS for ∇2ε⃗k > 0 and smaller for ∇2ε⃗k <\n0 and the Kubo sum rule, which is the integral of the\nproduct ofnk and ∇2ε⃗k (Eq. 3), is larger in the normal\nstate.\nWe also see from Fig. 4 that ∆ WK decreases with Γ\nreflecting the fact that with too much impurity scattering\nthere is little difference innk between NS and SCS.\nFig 5 shows the optical sum in NS and SCS in clean\nand dirty limits (the parameters are stated in the fig-\nure). This plot shows that the Kubo sums are almost\ncompletely recovered by integrating up to the bandwidth\nof 1eV : the recovery is 95% in the clean limit and ∼ 90%", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke\net al.in Ref. 13 to interpret experimental data on\nHolmium films on the basis of a J1 − J2 model, after\na proper scaling by the numbers of NN and NNN on\nneighboring layers of a BCT lattice.\nIn the following we will denote with n the film thick-\nness, i.e. the number of spin layers along the z direction,\nand with L×L the number of spins in each layer (i.e., L\nis the lattice size along both the x and y directions). In\nour simulations thickness values from 1 to 24 were con-\nsidered, while the range of lateral sizeL was from 8 to\n64. Periodic boundary conditions were applied along x\nand y, while free boundaries were obviously taken along\nthe film growth direction z.\nThermal equilibrium was attained by the usual\nMetropolis algorithm 19, supplemented by the over-\nrelaxed technique 20 in order to speed-up the sampling\nof the spin configuration space: a typical “Monte Carlo\nstep” was composed by four Metropolis and four-five\nover-relaxed moves per particle. Such judicious mix of\nmoves is able both to get faster the thermal equilibrium\nand to minimize the correlation “time” between succes-\nsive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "I do not remember on wich samples SQUID magnetometry measurements were first performed", - "target_page": 2, - "target_passage": "SQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2\nmeasurements were performed on beamline I06 at the\nDiamond Light Source, and on beamline 4.0.2 at the Ad-\nvanced Light Source. Total-electron yield (TEY) and\nfluorescence yield (FY) were monitored simultaneously\nusing the sample drain current and the photocurrent of a\ndiode mounted at 90◦ to the incident beam, respectively.\nSQUID magnetometry measurements were\nfirst performed on control Fe/GaAs(001) and\n(Ga,Mn)As/GaAs(001) samples, grown under the\nsame conditions as the bilayers, to determine the\nmagnetic anisotropies of the individual layers and the\nCurie temperature of the (Ga,Mn)As layer. The Fe film\nhas a uniaxial magnetic anisotropy with easy axis along\nthe [110] orientation, similar to previous studies6. For\nthe (Ga,Mn)As control sample, there is a competition\nbetween cubic and uniaxial magnetic anisotropies, with\nthe former dominant at low temperatures and favoring\neasy axes along the in-plane⟨100⟩ orientations, and the\nlatter dominant close to TC (∼35 K) giving an easy axis\nalong the [1 ¯\n10] orientation. Figure 1 shows [110] magne-\ntization versus temperature curves and low temperature\nhysteresis loops for a bilayer film containing a 20 nm\nthick (Ga,Mn)As layer. The total remnant moment of\nthe bilayer film decreases on cooling under zero magnetic\nfield below theTC of the (Ga,Mn)As, indicating that\nthis layer aligns antiparallel to the Fe magnetization\nat zero field. The hysteresis curve shows a two-step\nmagnetization reversal, indicating different behavior of\nthe Fe and (Ga,Mn)As layers, with the smaller loop\nattributed to the dilute moment (Ga,Mn)As film. The\nminor hysteresis loop shown in Fig. 1 clearly shows a\nshift from zero field by a bias fieldHE , indicating that\nthe Fe layer induces an exchange bias in the magnetic\nsemiconductor. The shape and size of the minor loop\nis in agreement with the hysteresis loop for the control\n(Ga,Mn)As sample, also shown in Fig. 1. This strongly\nindicates that the exchange bias affects the whole of the\n(Ga,Mn)As layer in the bilayer sample.\nSimilar behavior is observed for bilayer samples con-\ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a\nbias field which is approximately inversely proportional\nto the thicknessd of the ferromagnetic semiconductor\nlayer (Fig. 1, inset). This 1/ d dependence of HE was\nfound previously for MnAs/(Ga,Mn)As bilayers 4, and\nis generally observed in exchanged-biased thin films 12.\nFrom this dependence it is possible to describe the ex-\nchange bias in terms of an interface energy per unit area,\n∆E = MF SHE d = 0 . 003 erg/cm 2. This value is rather\nsmall compared to typical exchange bias systems 12, re-\nflecting the low moment density MF S of the diluted\nFM semiconductor layer. However, the bias field for a\ngiven (Ga,Mn)As thickness is larger than is observed for\nMnO/(Ga,Mn)As structures13, while the reproducibility\nand flexibility of the present structures is much higher\ndue to the single-crystalline ferromagnetic nature of the\nFe layer.\nTo confirm the presence of AFM interlayer coupling,\nwe performed XMCD measurements at the Mn and Fe\nL2,3 absorption edges in order to determine the magnetic\nresponse of the individual elements. In L2,3 XMCD, elec-\ntrons are excited from a 2 p core level to the unoccupied\n3d valence states of the element of interest by circularly\npolarized x-rays at the resonance energies of the transi-\ntions. The difference in absorption for opposite polariza-\ntions gives a direct and element-specific measurement of\nthe projection of the 3d magnetic moment along the x-\nray polarization vector. The absorption cross-section is\nconventionally obtained by measuring the decay products\n– either fluorescent x-rays or electrons – of the photoex-\ncited core hole. The type of decay product measured\ndetermines the probing depth of the technique. For Mn\nL2,3 absorption, the probing depths for FY and TEY de-\ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "3\ndependence of different samples during the measurement\nstage. For each temperature we have usually performed\nthree independent simulations, each one containing at\nleast 2×105 measurements, taken after discarding up to\n5×104 Monte Carlo steps in order to assure thermal equi-\nlibration.\nIn the proximity of the critical region the multiple his-\ntogram (MH) technique was also employed 21, as it allows\nus to estimate the physical observables of interest over a\nwhole temperature range in a substantially continuous\nway by interpolating results obtained from sets of simu-\nlations performed at some different temperatures.\nFor all the quantities of interest, the average value and\nthe error estimate were obtained by the bootstrap re-\nsampling method22 given that, as pointed out in Ref. 23,\nfor a large enough number of measurements, this method\nturns out to be more accurate than the usual blocking\ntechnique. In our implementation, we pick out randomly\na sizable number of measurements (typically, between 1\nand 1×103 for the single simulation, and between 1 and\n5×104 for the MH technique), and iterate the re-sampling\nat least one hundred times.\nThe thermodynamic observables we have investigated\ninclude the FM order parameter for each plane l:\nml =\n√\n(mx\nl)2 + (my\nl)2 , (2)\nwhich is related to the SO(2) symmetry breaking. At the\nsame time, it turns out to be significant also the average\norder parameter of the film, defined as\nM = 1\nn\nn∑\nl=1\nml . (3)\nTurning to the helical order, which is the relevant\nquantity for the Z2 × SO(2) symmetry, we can explore\nit along two different directions. The first one is by the\nintroduction of the chirality order parameter1,2\nκ = 1\n4(n − 1)L2 sin Qz\n∑\n⟨ij⟩\n[\nSx\ni Sy\nj − Sy\ni Sx\nj\n]\n, (4)\nwhere the sum refers to spins belonging to NN layers\niand j, respectively, while Qz is the bulk helical pitch\nvector along the z direction. The second possibility is\nthat of looking at the integral of the structure factor:\nMHM = 1\nK\n∫ π\n0\ndqzS(⃗ q) (5)\nwhere S(⃗ q), with ⃗ q= (0 , 0, qz), is the structure factor 24\n(i.e. the Fourier transform of the spin correlation func-\ntion) along the z-direction of the film, while the normal-\nization factorK is the structure factor integral at T = 0.\nAlthough the use of the last observable can be seen as a\nsuitable and elegant way to overcome the intrinsic diffi-\nculties met in defining a correct helical order parameter,\nfree of any undue external bias (as the wave-vectorQz\n0 20 40 60 80 100 120 140\nT (K)\n0\n0.5\n1\n1.5\n2\n2.5\nc v / k B\nL = 24\nL = 32\nL = 48\nL = 64\n20 30 40 50 60 70\n2.1\n2.2\n2.3\n2.4\n2.5\n2.6\nc v, max\nL\nFIG. 2: (color online) Specific heat cv per spin vs. temper-\nature for thickness n = 16 (for lateral dimension, see the\nlegend inside the figure). Inset: Maximum of cv vs. L ob-\ntained through MH technique. The continuum red line is a\npower law fit.\nentering the definition ofκ in Eq. (4)), we remind that\nsuch quantity has generally to be managed with particu-\nlar care, as discussed in details in Refs.14,15, where it was\nshown that the presence of block structures prevents us\nto unambiguously relate the evolution ofS(⃗ q) with the\nonset of helical order. However, for the specific case of\nthe model under investigation such integrated quantity\ncan still be considered a fairly significant order parame-\nter, as no block structures emerge from the simulations\n(see below).\nIn order to get a clear picture of the critical region and\nto give an accurate estimate of the critical temperature,\nwe look also at the following quantities\ncv = nL2β2 (\n⟨e2⟩ − ⟨e⟩2)\n, (6)\nχo = nL2β\n(\n⟨o2⟩ − ⟨o⟩2)\n, (7)\n∂β o = nL2 (⟨oe⟩ − ⟨o⟩⟨e⟩) , (8)\nu4(o) = 1 − ⟨o4⟩\n3⟨o2⟩2 , (9)\nwhere β = 1 /kBT , and o is one of the relevant observ-\nables, i.e. ml, M, κ, M HM . In this paper, we shall mainly\nlocate the critical temperature by looking at the intersec-\ntion of the graphs of the Binder cumulant25, Eq. (9), as a\nfunction of T obtained at different L. For clarity reasons,\nwe introduce also the following symbols: by TN (n) we", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "in a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and\nbulk-sensitive superconducting quantum interference de-\nvice (SQUID) magnetometry. As with previous studies\nof FM metal/FM semiconductor bilayers4,5 (and in con-\ntrast to AFM coupled FM metal/FM metal exchange bias\nstructures10,11) the layers are in direct contact without\na non-magnetic spacer in between. We distinguish in-\nterface and bulk (Ga,Mn)As layers that are respectively\nstrongly and weakly antiferromagnetically coupled to the\nFe overlayer. In agreement with Ref.7, the interface layer\nremains polarized at room temperature.\nThe Fe and (Ga,Mn)As layers of the present study\nwere both grown by molecular beam epitaxy in the same\nultra-high vacuum system, in order to ensure a clean in-\nterface between them. The (Ga,Mn)As layer of thickness\n10 to 50 nm was deposited on a GaAs(001) substrate\nat a temperature of 260◦C, using previously established\nmethods3,8. A low Mn concentration of x ≈ 0. 03 was\nchosen in order to avoid the formation of compensating\nMn interstitials. The substrate temperature was then\nreduced to∼0◦C, before depositing a 2 nm Fe layer,\nplus a 2 nm Al capping layer. In-situ reflection high\nenergy electron diffraction and ex-situ x-ray reflectivity\nand diffraction measurements confirmed that the layers\nare single-crystalline with sub-nm interface roughness.\nSQUID magnetometry measurements were performed us-\ning a Quantum Design Magnetic Property Measurement\nSystem. Mn and FeL2,3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "4\n/s48 /s52/s48 /s56/s48\n/s52\n/s53\n/s45/s49/s48/s48/s48 /s48 /s49/s48/s48/s48\n/s45/s52\n/s45/s50\n/s48\n/s50\n/s52\n/s72\n/s69\n/s32/s40/s79/s101/s41\n/s32/s65/s112/s112/s108/s105/s101/s100/s32/s102/s105/s101/s108/s100/s32/s40/s79/s101/s41\n/s77/s111/s109/s101/s110/s116/s32/s40/s49/s48\n/s45/s53\n/s32/s101/s109/s117/s41\n/s48 /s50/s48 /s52/s48\n/s48\n/s49/s48/s48\n/s50/s48/s48\n/s51/s48/s48\n/s32\n/s32\n/s100/s32/s40/s110/s109/s41\n/s72/s32/s61/s32/s48/s46/s53/s32/s107/s79/s101\n/s72/s32/s61/s32/s48\n/s32\n/s32\n/s84/s32/s40/s75/s41\n/s32\nFIG. 1. (color) Main figure: Major (red/black) and minor\n(green) hysteresis loops along the [110] axis at 5 K, for a\nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop\nfor a control (Ga,Mn)As (20 nm) film along the same axis\n(blue). Left inset: Magnetization versus temperature for the\nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe\napplied field (red). Right inset: Exchange bias field versus\nthicknessd of the (Ga,Mn)As film (points) and fit showing\n1/d dependence (dashed line).\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P.\nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van\nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B\n73, 165205 (2006).\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y.\nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G.\nvan der Laan, and E. Arenholz, J. Appl. Phys.102, 023902\n(2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke\net al.in Ref. 13 to interpret experimental data on\nHolmium films on the basis of a J1 − J2 model, after\na proper scaling by the numbers of NN and NNN on\nneighboring layers of a BCT lattice.\nIn the following we will denote with n the film thick-\nness, i.e. the number of spin layers along the z direction,\nand with L×L the number of spins in each layer (i.e., L\nis the lattice size along both the x and y directions). In\nour simulations thickness values from 1 to 24 were con-\nsidered, while the range of lateral sizeL was from 8 to\n64. Periodic boundary conditions were applied along x\nand y, while free boundaries were obviously taken along\nthe film growth direction z.\nThermal equilibrium was attained by the usual\nMetropolis algorithm 19, supplemented by the over-\nrelaxed technique 20 in order to speed-up the sampling\nof the spin configuration space: a typical “Monte Carlo\nstep” was composed by four Metropolis and four-five\nover-relaxed moves per particle. Such judicious mix of\nmoves is able both to get faster the thermal equilibrium\nand to minimize the correlation “time” between succes-\nsive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "the observation of a pattern does not tell us how it\nis used.\" There is also the issue of how complex a\nprobe should be allowed to be (Liu et al., 2019a). If\na more complex probe recovers more information,\nto what extent are we still relying on the original\nmodel?\nFurthermore, different probing methods may\nlead to complementary or even contradictory con-\nclusions, which makes a single test (as in most stud-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "10\n0 0.5 10 \n0.4\n0.8\nConductivities (Corrected MFLI)\nσ ( ω )\nω in eV\nNS\nSC\n2 ∆\n0 50 100\n100\n120\nW K (meV)\nΓ in meV\nCorrected MFLI\nSC\nNS\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’\nMFLI model with the feedback from SC on the quasiparticle\ndamping:iΓ term transforms into Γ\n√\n−ω 2+∆ 2 . In the SCS σ\nnow begins at Ω = 2∆. The parameters are same as in Fig.\n10. Bottom – the behavior of Kubo sum with Γ. Observe\nthatW (ωc) in the NS is larger than in the SCS.\n0.2 0.4 0.6 0.8\n−10\n0 \n10 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\nCorrected MFLI\nwithout lattice\nwith lattice\n∆ W K\nFIG. 16: Evolution of the difference of the optical integrals\nbetween the SCS and the NS with the upper cut-offωc for\nthe “corrected” MFLI model. Now ∆ W (ωc) is negative above\nsome frequency. Parameters are same as in the Fig 15.\nmodel, whereWK is larger in the NS for all Γ (see Fig.\n4). In other words, the original MFLI model does not\nhave the BCSI theory as its limiting case.\nWe modified the MFLI model is a minimal way by\nchanging the damping term in a SCS to Γ\n√\n−ω2+∆ 2 to be\nconsistent with BCSI model. We still use Eq. (18) for\nthe MFL term simply because this term was introduced\nin the NS on phenomenological grounds and there is no\nway to guess how it gets modified in the SCS state with-\nout first deriving the normal state self-energy microscop-\nically (this is what we will do in the next section). The\nresults of the calculations for the modified MFLI model\nare presented in Figs. 15 and 16. We clearly see that the\nbehavior is now different and ∆WK < 0 for all Γ. This\nis the same behavior as we previously found in BCSI\nand EB models. So we argue that the ‘unconventional’\nbehavior exhibited by the original MFLI model is most\nlikely the manifestation of a particular modeling incon-\nsistency. Still, Ref. 30 made a valid point that the fact\nthat quasiparticles behave more close to free fermions in\na SCS than in a NS, and this effect tends to reverse the\nsigns of ∆WK and of the kinetic energy 43. It just hap-\npens that in a modified MFLI model the optical integral\nis still larger in the NS.\nD. The collective boson model\nWe now turn to a more microscopic model- the CB\nmodel. The model describes fermions interacting by ex-\nchanging soft, overdamped collective bosons in a partic-\nular, near-critical, spin or charge channel31,44,45. This\ninteraction is responsible for the normal state self-energy\nand also gives rise to a superconductivity. A peculiar\nfeature of the CB model is that the propagator of a col-\nlective boson changes belowTc because this boson is not\nan independent degree of freedom (as in EB model) but\nis made out of low-energy fermions which are affected by\nsuperconductivity32.\nThe most relevant point for our discussion is that this\nmodel contains the physics which we identified above as\na source of a potential sign change of ∆WK . Namely,\nat strong coupling the fermionic self-energy in the NS\nis large because there exists strong scattering between\nlow-energy fermions mediated by low-energy collective\nbosons. In the SCS, the density of low-energy fermions\ndrops and a continuum collective excitations becomes\ngaped. Both effects reduce fermionic damping and lead\nto the increase ofWK in a SCS. If this increase exceeds a\nconventional loss of WK due to a gap opening, the total\n∆ WK may become positive.\nThe CB model has been applied numerous times to the\ncuprates, most often under the assumption that near-\ncritical collective excitations are spin fluctuations with\nmomenta nearQ = ( π, π). This version of a CB bo-\nson is commonly known as a spin-fermion model. This\nmodel yieldsdx2−y2 superconductivity and explains in a\nquantitative way a number of measured electronic fea-\ntures of the cuprates, in particular the near-absence of\nthe quasiparticle peak in the NS of optimally doped and\nunderdoped cuprates39 and the peak-dip-hump structure\nin the ARPES profile in the SCS 31,32,46,47. In our analy-\nsis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "5\n0 2 4 6 8 10 12 14 16 18 20\n n\n0\n20\n40\n60\n80\n100\n120\n140\nT N (n) , T C (n) (K)\nT N (n)\nT C (n)\nT N\nbulk\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film\nthickness n.\nthe same is true for the crossing point of the Binder cu-\nmulant of the average magnetizationM (not reported in\nfigure), which is located at TC (8) = 133 .3(3) K. These\ndata give a first rough indication that also for n = 8 all\nthe planes of the sample are still ordering almost at the\nsame temperature; such property has been observed for\nall the investigated thicknessesn below 16, so that TC (n)\nresults quite n-independent (see also Fig. 5) .\nAlthough the layer subtraction does not seem to mod-\nify TC (n), the onset of helical arrangement is observed to\nshift at lower temperatures as n decreases. The chirality\nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the\ntemperature decreases, around T ∼ 80 K we can identify\na finite-size behaviour of κ which, at variance with the\nprevious one, can be easily recognized as typical of an\neffective phase transition. Such conclusion is confirmed\nby the analysis of the chiral susceptibilityχκ (Fig. 4c),\nwhich for the largest L has a maximum at T = 85 K. As-\nsuming that the order parameter (4) is the relevant one\nto single out the onset of the fan arrangement, we can\nget a more accurate estimate ofTN (8) by looking at the\nBinder cumulant u4(κ), reported in Fig. 4d. By making\nuse of the MH technique, we locate the crossing point at\nTN (8) = 92(2) K. Finally, it is worthwhile to observe as\nthe specific heat does not show any anomaly at TN (8),\nbeing the entropy substantially removed at TC (8).\nThe scenario just outlined for n = 8 results to be cor-\nrect in the thickness range 6 ≤ n ≲ 15, where a clear\nseparation between TN (n) and TC (n) can be easily fig-\nured out. In such temperature window, the strong sur-\nface effects produce aquasi-FM set-up of the magnetic\nfilm structure along the z-direction. While leaving to the\nnext Section a more detailed discussion of this regime, we\nreport in Fig. 5 a plot ofTN (n) and TC (n) vs. n for all\nthe simulated thicknesses. The separation between the\ntwo critical temperatures is maximum forn = 6, where\nTN (6) = 38(4), that is TN (6) ∼ 1\n3 TC (6). For films with\nless than six layers no fan order is observed, i.e. for n = 5\nand below the chirality does not display any typical fea-\nture of fan ordering at any temperature belowTC (n). As\na representative quantity we finally look at the rotation\n0 1 2 3 4 5 6\n0\n5\n10\n15\n20\n ∆ϕ l (deg.)\nT =10K\nT =20K\nT =30K\nT =40K\nT= 50K\n0 1 2 3 4 5\n l\n0\n1\n2\n3\n4\n5\n(a) n = 6\n(b) n = 5\nFIG. 6: Rotation angle ∆ ϕl between magnetic moments on\nNN layers ( l + 1 , l) at some low temperatures, for thickness\nn = 5 and n = 6, and lateral dimension L = 64.\nangle of the magnetization between nearest planes:\n∆ ϕl = ϕl+1 − ϕl = arccos\n[\nMx\nl Mx\nl+1 + My\nl My\nl+1\n]\n(10)\nwhere ( Mx\nl , M y\nl ) is the magnetic vector profile for each\nplane l. ∆ ϕl is displayed in Fig. 6a and Fig. 6b, for\nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear\nfan stabilization is observed when the temperature de-\ncreases, while in Fig. 6b, i.e. forn = 5, ∆ ϕl keeps an\nalmost temperature independent very small value; what’s\nmore, ∆ϕl seems to loose any temperature dependence\nas T = 0 is approached. We attribute the absence of fan\narrangement for n ≤ 5 as simply due to the lack of “bulk\nplanes” inside the film, so that we are left with only a 2d\ntrend atTC (n), i.e. at the temperature where the order\nparameters defined in Eqs. (2) and (3) show a critical\nbehaviour.\nIV. DISCUSSION AND CONCLUSION\nA possible framework to analyze the results presented\nin the previous Section is suggested by Fig. 5, where we\ncan easily distinguish three significant regions:i) high\nthickness, n ⩾ 16, where the films substantially display a\nbulk behaviour, with the single planes ordering tempera-\nture coinciding with the helical phase transition one;ii)\nintermediate thickness, 6 ≤ n ≲ 15, where the tempera-", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "6\n0 20 40 60 80 100 120 140\nT (K)\n0\n10\n20\n30\n ∆ϕ l,l+1 ( T ) (deg.)\nT N (16)T N (8)\nFIG. 7: (color online) ∆ ϕl(T ) vs. temperature for the surface\nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds),\nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed\nlines and open symbols: n = 16.\nfilm leads to an effective 2d-like trend. Region ii) looks\nhowever more intriguing, and requires a more accurate\ndiscussion, which can benefit from a careful comparison\nof the behaviour of a given quantity in regionsi) and ii).\nFor this purpose, we look at the temperature depen-\ndence of the rotation angle of the magnetization between\nNN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16\n(continuous and dashed lines, respectively), is plotted for\nthe outermost planes,l = 1 . . . 4. For both thicknesses, a\nmonotonic trend is observed for all l, but at variance with\nwhat happens for the highest thickness, for n = 8 we see,\nstarting from a temperature T ≲ TN (8), an abrupt drop\nof ∆ ϕ3 and ∆ ϕ4, which rapidly reach an almost con-\nstant value, only slightly larger than ∆ ϕ1. In the tem-\nperature range TN (8) ≲ T < T C (8) we thus substantially\nobserve the same small magnetic phase shifts between all\nNN layers, testifying an energetically stablequasi-FM\nconfiguration giving no contribution to the helical order\nparameters. The latter point can be made clearer by\nlooking at the the peak positionQz,max of the structure\nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is\nreported, again for n = 8 and for different lateral dimen-\nsions L26. As expected from the previous argument, we\nsee that Qz,max = 0 for TN (8) < T < T C (8), while it be-\ngins to shift to higher values as soon as the temperature\ndecreases belowTN (8), making apparent a progressive\nfan stabilization with Qz,max ̸= 0 and reaching a value\nof about 21 ◦ for T = 10 K.\nIn a previous study, where the magnetic properties of\nHo thin films were investigated by MC simulations of a\nHeisenberg model with easy-plane single-ion anisotropy\nand six out-of-plane coupling constants (as obtained by\nexperimental neutron scattering measurements16) on a\nHCP lattice14,15, it was found that for thicknesses compa-\nrable with the helical pitch the phase diagram landscape\nis quite different from what we find here. Indeed, for\nn= 9 − 16, three different magnetic phases could be sin-\n0 20 40 60 80 100\nT (K)\n0\n5\n10\n15\n20\n25\n30\nQ z, max (deg.)\nFIG. 8: (color online) Qz, position of the maximum of S(⃗ q),\nvs. temperature for thickness n = 8. Inset: magnetic vector\n(mx\nl, my\nl) profile for some temperatures for L = 64. Colors\nand symbols as in Fig. 2.\n0 1 2 3 4 5 6 7 8 9 10 11 12\nl\n0\n20\n40\n60\n80\n∆ϕ l (deg)\nT =100K\n 130K\n 135K\n 140K\n 145K\nFIG. 9: ∆ ϕl for a BCT lattice and n = 12, when the six\ncoupling constants set employed in Ref. 14,15 (see text) is\nused. The temperature range has been chosen aroundTC (n)\n(error bars lye within point size).\ngled out, with the high-temperature, paramagnetic phase\nseparated from the low-temperature, long-range ordered\none, by an intermediate-temperature block phase where\nouter ordered 4-layers blocks coexist with some inner dis-\nordered ones. Moreover, it was observed that the phase\ntransition of such inner layers turns out to have the sig-\nnatures of a Kosterlitz-Thouless one.\nThe absence of the block phase in the J1 − J2 model\nhere investigated has to be attributed to the different\nrange of interactions, rather than to the different lattice\nstructure. We came to this conclusion by doing some\nsimulations using the same set of interaction constants\nemployed in Refs. 14,15, but using a BCT lattice: the\nresults we obtained for ∆ϕl with n = 12 are reported in\nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15\nand clearly displays the footmarks of the block phase (see\ndown-triangle), with two external blocks of ordered layers\n(l =1. . . 5 and 8. . . 12 ), where ∆ ϕl is roughly 10 ◦, sep-\narated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "What are the differences observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes ?", - "target_page": 2, - "target_passage": "For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high mag netic fields, whereas for TEY at remanence it is approx imately a factor of two larger than at 1000 Oe.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "2\nmeasurements were performed on beamline I06 at the\nDiamond Light Source, and on beamline 4.0.2 at the Ad-\nvanced Light Source. Total-electron yield (TEY) and\nfluorescence yield (FY) were monitored simultaneously\nusing the sample drain current and the photocurrent of a\ndiode mounted at 90◦ to the incident beam, respectively.\nSQUID magnetometry measurements were\nfirst performed on control Fe/GaAs(001) and\n(Ga,Mn)As/GaAs(001) samples, grown under the\nsame conditions as the bilayers, to determine the\nmagnetic anisotropies of the individual layers and the\nCurie temperature of the (Ga,Mn)As layer. The Fe film\nhas a uniaxial magnetic anisotropy with easy axis along\nthe [110] orientation, similar to previous studies6. For\nthe (Ga,Mn)As control sample, there is a competition\nbetween cubic and uniaxial magnetic anisotropies, with\nthe former dominant at low temperatures and favoring\neasy axes along the in-plane⟨100⟩ orientations, and the\nlatter dominant close to TC (∼35 K) giving an easy axis\nalong the [1 ¯\n10] orientation. Figure 1 shows [110] magne-\ntization versus temperature curves and low temperature\nhysteresis loops for a bilayer film containing a 20 nm\nthick (Ga,Mn)As layer. The total remnant moment of\nthe bilayer film decreases on cooling under zero magnetic\nfield below theTC of the (Ga,Mn)As, indicating that\nthis layer aligns antiparallel to the Fe magnetization\nat zero field. The hysteresis curve shows a two-step\nmagnetization reversal, indicating different behavior of\nthe Fe and (Ga,Mn)As layers, with the smaller loop\nattributed to the dilute moment (Ga,Mn)As film. The\nminor hysteresis loop shown in Fig. 1 clearly shows a\nshift from zero field by a bias fieldHE , indicating that\nthe Fe layer induces an exchange bias in the magnetic\nsemiconductor. The shape and size of the minor loop\nis in agreement with the hysteresis loop for the control\n(Ga,Mn)As sample, also shown in Fig. 1. This strongly\nindicates that the exchange bias affects the whole of the\n(Ga,Mn)As layer in the bilayer sample.\nSimilar behavior is observed for bilayer samples con-\ntaining a 10 nm or 50 nm (Ga,Mn)As layer, with a\nbias field which is approximately inversely proportional\nto the thicknessd of the ferromagnetic semiconductor\nlayer (Fig. 1, inset). This 1/ d dependence of HE was\nfound previously for MnAs/(Ga,Mn)As bilayers 4, and\nis generally observed in exchanged-biased thin films 12.\nFrom this dependence it is possible to describe the ex-\nchange bias in terms of an interface energy per unit area,\n∆E = MF SHE d = 0 . 003 erg/cm 2. This value is rather\nsmall compared to typical exchange bias systems 12, re-\nflecting the low moment density MF S of the diluted\nFM semiconductor layer. However, the bias field for a\ngiven (Ga,Mn)As thickness is larger than is observed for\nMnO/(Ga,Mn)As structures13, while the reproducibility\nand flexibility of the present structures is much higher\ndue to the single-crystalline ferromagnetic nature of the\nFe layer.\nTo confirm the presence of AFM interlayer coupling,\nwe performed XMCD measurements at the Mn and Fe\nL2,3 absorption edges in order to determine the magnetic\nresponse of the individual elements. In L2,3 XMCD, elec-\ntrons are excited from a 2 p core level to the unoccupied\n3d valence states of the element of interest by circularly\npolarized x-rays at the resonance energies of the transi-\ntions. The difference in absorption for opposite polariza-\ntions gives a direct and element-specific measurement of\nthe projection of the 3d magnetic moment along the x-\nray polarization vector. The absorption cross-section is\nconventionally obtained by measuring the decay products\n– either fluorescent x-rays or electrons – of the photoex-\ncited core hole. The type of decay product measured\ndetermines the probing depth of the technique. For Mn\nL2,3 absorption, the probing depths for FY and TEY de-\ntection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "4\n/s48 /s52/s48 /s56/s48\n/s52\n/s53\n/s45/s49/s48/s48/s48 /s48 /s49/s48/s48/s48\n/s45/s52\n/s45/s50\n/s48\n/s50\n/s52\n/s72\n/s69\n/s32/s40/s79/s101/s41\n/s32/s65/s112/s112/s108/s105/s101/s100/s32/s102/s105/s101/s108/s100/s32/s40/s79/s101/s41\n/s77/s111/s109/s101/s110/s116/s32/s40/s49/s48\n/s45/s53\n/s32/s101/s109/s117/s41\n/s48 /s50/s48 /s52/s48\n/s48\n/s49/s48/s48\n/s50/s48/s48\n/s51/s48/s48\n/s32\n/s32\n/s100/s32/s40/s110/s109/s41\n/s72/s32/s61/s32/s48/s46/s53/s32/s107/s79/s101\n/s72/s32/s61/s32/s48\n/s32\n/s32\n/s84/s32/s40/s75/s41\n/s32\nFIG. 1. (color) Main figure: Major (red/black) and minor\n(green) hysteresis loops along the [110] axis at 5 K, for a\nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop\nfor a control (Ga,Mn)As (20 nm) film along the same axis\n(blue). Left inset: Magnetization versus temperature for the\nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe\napplied field (red). Right inset: Exchange bias field versus\nthicknessd of the (Ga,Mn)As film (points) and fit showing\n1/d dependence (dashed line).\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P.\nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van\nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B\n73, 165205 (2006).\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y.\nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G.\nvan der Laan, and E. Arenholz, J. Appl. Phys.102, 023902\n(2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "3\nsamples15, the projected Mn 3 d magnetic moments are\nobtained as −1.4 µB and +0.8 µB per ion at remanence\nand 1000 Oe, respectively.\nThe difference between these values can be understood\nas being due to an interface layer which is strongly anti-\nferromagnetically coupled to the Fe layer. At zero field,\nboth the interfacial and bulk Mn are aligned antiparallel\nto the Fe layer. At high fields, the bulk of the (Ga,Mn)As\nlayer away from the interface is re-oriented into the exter-\nnal field direction. However, the interfacial Mn remains\nantiparallel to the Fe layer and thus partially compen-\nsates the XMCD signal from the bulk of the (Ga,Mn)As.\nFrom the size of the remanent and 1000 Oe magnetic\nmoments, it can be estimated that around 25-30% of the\nTEY XMCD signal can be ascribed to the interfacial Mn\nwhich is strongly coupled to the Fe moments.\nThe interfacial Mn moments are ascribed to the prox-\nimity polarization of the (Ga,Mn)As interface by the Fe\nlayer, such as was shown previously by XMCD as well as\nab initiotheory7. Evidence for this can be observed from\nmeasurement of the Mn L2,3 XMCD signal at tempera-\ntures above the (Ga,Mn)As TC . Similar to the previous\nstudy7, we observe a small but not negligible signal at\nroom temperature (Fig. 3), with opposite sign to the Fe\nL2,3 XMCD. Its spectral shape is characteristic of a local-\nized electronic configuration close to d5, similar to bulk\n(Ga,Mn)As7,9,15 but in contrast to Mn in more metallic\nenvironments such as Mn xFe1−x7 or MnAs 16. A slight\nbroadening is observed on the low energy side of the Mn\nL3 peak, which may be due to the different screening in-\nduced by proximity to the Fe layer. Since the measured\nintensity is attenuated with distancez from the surface\nas I = I0 exp(−z/λ T EY), the thickness of the strongly\ncoupled interface layer is estimated to be ∼0.7 nm or 2-3\nmonolayers, assuming a uniform distribution of Mn ions\nand magnetic moments throughout the (Ga,Mn)As film.\nThis is around a factor of three thinner than in Ref.7,\nwhich could be due to the lower Mn concentration or the\ndifferent preparation method of the present samples.\nIn summary, we have demonstrated antiferromagnetic\ncoupling between Fe and (Ga,Mn)As layers in bilayer\nstructures. A markedly different coupling is observed for\nthe bulk of the (Ga,Mn)As layer and for Mn moments\nin the near-interface region. A thickness-dependent ex-\nchange bias field is observed to affect the whole of the\nbulk (Ga,Mn)As layer, which aligns antiparallel to the\nFe layer at low fields, and switches to parallel when the\nexternal field is large enough to overcome the bias field\nand the magnetocrystalline anisotropy fields. In contrast,\nthe interfacial Mn moments remain aligned antiparallel\nto the Fe layer even at 20 kOe, the largest field studied,\nand are polarized at temperatures well above theTC of\nthe bulk (Ga,Mn)As layer. The latter observation con-\nfirms the recently reported result of Ref. 7, in which\nthe Fe/(Ga,Mn)As bilayers were produced by a different\nmethod but showed qualitatively similar behavior of the\ninterfacial moments. Our results shed new light on the\nmagnetic coupling in Fe/(Ga,Mn)As hybrid layers which\nare of potential interest for room temperature spintron-\nics, and also offer a means of controlling the spin orien-\ntation in a FM semiconductor.\nWe acknowledge support from EU grants\nSemiSpinNet-215368 and NAMASTE-214499, and\nSTFC studentship grant CMPC07100. The Advanced\nLight Source is supported by the U.S. Department of\nEnergy under Contract No. DE-AC02-05CH11231.\nWe thank Leigh Shelford for help during the Diamond\nbeamtime.\n1 T. Jungwirth, W. A. Atkinson, B. H. Lee, and A. H. Mac-\nDonald, Phys. Rev. B59, 9818 (1999); P. Sankowski and\nP. Kacman, Phys. Rev. B 71, 201303(R) (2005); A. D.\nGiddings, T. Jungwirth, and B. L. Gallagher, Phys. Rev.\nB78, 165312 (2008); K. Szalowski and T. Balcerzak, Phys.\nRev. B 79, 214430 (2009).\n2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "in a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and\nbulk-sensitive superconducting quantum interference de-\nvice (SQUID) magnetometry. As with previous studies\nof FM metal/FM semiconductor bilayers4,5 (and in con-\ntrast to AFM coupled FM metal/FM metal exchange bias\nstructures10,11) the layers are in direct contact without\na non-magnetic spacer in between. We distinguish in-\nterface and bulk (Ga,Mn)As layers that are respectively\nstrongly and weakly antiferromagnetically coupled to the\nFe overlayer. In agreement with Ref.7, the interface layer\nremains polarized at room temperature.\nThe Fe and (Ga,Mn)As layers of the present study\nwere both grown by molecular beam epitaxy in the same\nultra-high vacuum system, in order to ensure a clean in-\nterface between them. The (Ga,Mn)As layer of thickness\n10 to 50 nm was deposited on a GaAs(001) substrate\nat a temperature of 260◦C, using previously established\nmethods3,8. A low Mn concentration of x ≈ 0. 03 was\nchosen in order to avoid the formation of compensating\nMn interstitials. The substrate temperature was then\nreduced to∼0◦C, before depositing a 2 nm Fe layer,\nplus a 2 nm Al capping layer. In-situ reflection high\nenergy electron diffraction and ex-situ x-ray reflectivity\nand diffraction measurements confirmed that the layers\nare single-crystalline with sub-nm interface roughness.\nSQUID magnetometry measurements were performed us-\ning a Quantum Design Magnetic Property Measurement\nSystem. Mn and FeL2,3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "arXiv:1001.2449v1 [cond-mat.mtrl-sci] 14 Jan 2010\nExchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\nK. Olejnik, 1, 2 P. Wadley,3 J. Haigh, 3 K. W. Edmonds, 3 R. P. Campion, 3 A. W. Rushforth, 3 B. L. Gallagher, 3\nC. T. Foxon, 3 T. Jungwirth, 2, 3 J. Wunderlich,1, 2 S. S. Dhesi, 4 S. Cavill, 4 G. van der Laan, 4 and E. Arenholz 5\n1Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n2Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253Praha 6, Czech Republic\n3School of Physics and Astronomy, University of Nottingham,Nottingham NG7 2RD, United Kingdom\n4Diamond Light Source, Harwell Science and Innovation Campus,\nDidcot, Oxfordshire, OX11 0DE, United Kingdom\n5Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n(Dated: August 24, 2018)\nWe demonstrate an exchange bias in (Ga,Mn)As induced by anti ferromagnetic coupling to a thin\noverlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic\ncircular dichroism measurements, we distinguish a strongl y exchange coupled (Ga,Mn)As interface\nlayer in addition to the biassed bulk of the (Ga,Mn)As film. Th e interface layer remains polarized\nat room temperature.\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\nFerromagnetic (FM) semiconductors offer the prospect\nof combining high-density storage and gate-controlled\nlogic in a single material. The realization of spin-valve\ndevices from FM semiconductors requires the controlled\nswitching of magnetization in adjacent layers between\nantiferromagnetic (AFM) and FM configurations. This\nhas motivated several theoretical investigations of inter-\nlayer coupling in all-semiconductor devices1, and AFM\ncoupling has recently been demonstrated in (Ga,Mn)As\nmultilayers separated byp-type non-magnetic spacers 2.\nHowever, the Curie temperature TC of (Ga,Mn)As is\ncurrently limited to 185 K in single layers 3, and is\ntypically much lower for layers embedded within a\nheterostructure2, which is an obstacle to the practical\nimplementation of semiconductor spintronics.\nThe development of FM metal/FM semiconductor het-\nerostructures has the potential to bring together the\nbenefits of metal and semiconductor based spintron-\nics, offering access to new functionalities and physi-\ncal phenomena. Recent studies of MnAs/(Ga,Mn)As\nand NiFe/(Ga,Mn)As bilayer films have shown FM in-\nterlayer coupling and independent magnetization be-\nhavior, respectively4,5. Of particular interest is the\nFe/(Ga,Mn)As system, since the growth of epitaxial\nFe/GaAs(001) films is well-established6. Remarkably, a\nrecent x-ray magnetic circular dichroism (XMCD) study\nhas shown that Fe may induce a proximity polariza-\ntion in the near-surface region of (Ga,Mn)As, antipar-\nallel to the Fe moment and persisting even above room\ntemperature7. Devices incorporating Fe/(Ga,Mn)As\ntherefore offer the prospect of obtaining non-volatile\nroom temperature spin-polarization in a semiconductor.\nUntil now, no information has been revealed about the\ncoupling of Fe to (Ga,Mn)As layers away from the near-\nsurface region. At the surface, the (Ga,Mn)As layer may\nbe highly non-stoichiometric and Mn-rich, due to its non-\nequilibrium nature8,9. Previously, Fe/(Ga,Mn)As layers\nwere produced by a process including exposure to air fol-\nlowed by sputtering and annealing prior to Fe deposition,\nwhich may further disrupt the interface order. The ori-\ngin of the interface magnetism then had to be inferred by\ncomparison to a series of reference samples7. Demonstra-\ntion of coupling between the bulk of the layers, i.e., an\nexchange bias effect, would provide direct evidence of the\ninterface magnetic order. Moreover, such coupling would\noffer new means of manipulating the FM semiconductor\nspin state and utilizing the proximity polarization effect\nin a spintronic device.\nHere, we demonstrate an antiferromagnetic coupling\nand exchange bias in Fe/(Ga,Mn)As bilayer films, by\ncombining element-specific XMCD measurements and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "J0=67.2 K, J1=20.9 K, and J2 = −24.2 K, that we have\nemployed in our simulations. The given values for the ex-\nchange constants are the same already used by Weschke\net al.in Ref. 13 to interpret experimental data on\nHolmium films on the basis of a J1 − J2 model, after\na proper scaling by the numbers of NN and NNN on\nneighboring layers of a BCT lattice.\nIn the following we will denote with n the film thick-\nness, i.e. the number of spin layers along the z direction,\nand with L×L the number of spins in each layer (i.e., L\nis the lattice size along both the x and y directions). In\nour simulations thickness values from 1 to 24 were con-\nsidered, while the range of lateral sizeL was from 8 to\n64. Periodic boundary conditions were applied along x\nand y, while free boundaries were obviously taken along\nthe film growth direction z.\nThermal equilibrium was attained by the usual\nMetropolis algorithm 19, supplemented by the over-\nrelaxed technique 20 in order to speed-up the sampling\nof the spin configuration space: a typical “Monte Carlo\nstep” was composed by four Metropolis and four-five\nover-relaxed moves per particle. Such judicious mix of\nmoves is able both to get faster the thermal equilibrium\nand to minimize the correlation “time” between succes-\nsive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "3\ndependence of different samples during the measurement\nstage. For each temperature we have usually performed\nthree independent simulations, each one containing at\nleast 2×105 measurements, taken after discarding up to\n5×104 Monte Carlo steps in order to assure thermal equi-\nlibration.\nIn the proximity of the critical region the multiple his-\ntogram (MH) technique was also employed 21, as it allows\nus to estimate the physical observables of interest over a\nwhole temperature range in a substantially continuous\nway by interpolating results obtained from sets of simu-\nlations performed at some different temperatures.\nFor all the quantities of interest, the average value and\nthe error estimate were obtained by the bootstrap re-\nsampling method22 given that, as pointed out in Ref. 23,\nfor a large enough number of measurements, this method\nturns out to be more accurate than the usual blocking\ntechnique. In our implementation, we pick out randomly\na sizable number of measurements (typically, between 1\nand 1×103 for the single simulation, and between 1 and\n5×104 for the MH technique), and iterate the re-sampling\nat least one hundred times.\nThe thermodynamic observables we have investigated\ninclude the FM order parameter for each plane l:\nml =\n√\n(mx\nl)2 + (my\nl)2 , (2)\nwhich is related to the SO(2) symmetry breaking. At the\nsame time, it turns out to be significant also the average\norder parameter of the film, defined as\nM = 1\nn\nn∑\nl=1\nml . (3)\nTurning to the helical order, which is the relevant\nquantity for the Z2 × SO(2) symmetry, we can explore\nit along two different directions. The first one is by the\nintroduction of the chirality order parameter1,2\nκ = 1\n4(n − 1)L2 sin Qz\n∑\n⟨ij⟩\n[\nSx\ni Sy\nj − Sy\ni Sx\nj\n]\n, (4)\nwhere the sum refers to spins belonging to NN layers\niand j, respectively, while Qz is the bulk helical pitch\nvector along the z direction. The second possibility is\nthat of looking at the integral of the structure factor:\nMHM = 1\nK\n∫ π\n0\ndqzS(⃗ q) (5)\nwhere S(⃗ q), with ⃗ q= (0 , 0, qz), is the structure factor 24\n(i.e. the Fourier transform of the spin correlation func-\ntion) along the z-direction of the film, while the normal-\nization factorK is the structure factor integral at T = 0.\nAlthough the use of the last observable can be seen as a\nsuitable and elegant way to overcome the intrinsic diffi-\nculties met in defining a correct helical order parameter,\nfree of any undue external bias (as the wave-vectorQz\n0 20 40 60 80 100 120 140\nT (K)\n0\n0.5\n1\n1.5\n2\n2.5\nc v / k B\nL = 24\nL = 32\nL = 48\nL = 64\n20 30 40 50 60 70\n2.1\n2.2\n2.3\n2.4\n2.5\n2.6\nc v, max\nL\nFIG. 2: (color online) Specific heat cv per spin vs. temper-\nature for thickness n = 16 (for lateral dimension, see the\nlegend inside the figure). Inset: Maximum of cv vs. L ob-\ntained through MH technique. The continuum red line is a\npower law fit.\nentering the definition ofκ in Eq. (4)), we remind that\nsuch quantity has generally to be managed with particu-\nlar care, as discussed in details in Refs.14,15, where it was\nshown that the presence of block structures prevents us\nto unambiguously relate the evolution ofS(⃗ q) with the\nonset of helical order. However, for the specific case of\nthe model under investigation such integrated quantity\ncan still be considered a fairly significant order parame-\nter, as no block structures emerge from the simulations\n(see below).\nIn order to get a clear picture of the critical region and\nto give an accurate estimate of the critical temperature,\nwe look also at the following quantities\ncv = nL2β2 (\n⟨e2⟩ − ⟨e⟩2)\n, (6)\nχo = nL2β\n(\n⟨o2⟩ − ⟨o⟩2)\n, (7)\n∂β o = nL2 (⟨oe⟩ − ⟨o⟩⟨e⟩) , (8)\nu4(o) = 1 − ⟨o4⟩\n3⟨o2⟩2 , (9)\nwhere β = 1 /kBT , and o is one of the relevant observ-\nables, i.e. ml, M, κ, M HM . In this paper, we shall mainly\nlocate the critical temperature by looking at the intersec-\ntion of the graphs of the Binder cumulant25, Eq. (9), as a\nfunction of T obtained at different L. For clarity reasons,\nwe introduce also the following symbols: by TN (n) we", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "6\n0 20 40 60 80 100 120 140\nT (K)\n0\n10\n20\n30\n ∆ϕ l,l+1 ( T ) (deg.)\nT N (16)T N (8)\nFIG. 7: (color online) ∆ ϕl(T ) vs. temperature for the surface\nplanes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds),\nl = 4 (circles). Straight lines and full symbols: n = 8. Dashed\nlines and open symbols: n = 16.\nfilm leads to an effective 2d-like trend. Region ii) looks\nhowever more intriguing, and requires a more accurate\ndiscussion, which can benefit from a careful comparison\nof the behaviour of a given quantity in regionsi) and ii).\nFor this purpose, we look at the temperature depen-\ndence of the rotation angle of the magnetization between\nNN planes. In Fig. 7, ∆ϕl(T ) for n = 8 and n = 16\n(continuous and dashed lines, respectively), is plotted for\nthe outermost planes,l = 1 . . . 4. For both thicknesses, a\nmonotonic trend is observed for all l, but at variance with\nwhat happens for the highest thickness, for n = 8 we see,\nstarting from a temperature T ≲ TN (8), an abrupt drop\nof ∆ ϕ3 and ∆ ϕ4, which rapidly reach an almost con-\nstant value, only slightly larger than ∆ ϕ1. In the tem-\nperature range TN (8) ≲ T < T C (8) we thus substantially\nobserve the same small magnetic phase shifts between all\nNN layers, testifying an energetically stablequasi-FM\nconfiguration giving no contribution to the helical order\nparameters. The latter point can be made clearer by\nlooking at the the peak positionQz,max of the structure\nfactor S(0, 0, qz). In Fig. 8 the average of Qz,max vs T is\nreported, again for n = 8 and for different lateral dimen-\nsions L26. As expected from the previous argument, we\nsee that Qz,max = 0 for TN (8) < T < T C (8), while it be-\ngins to shift to higher values as soon as the temperature\ndecreases belowTN (8), making apparent a progressive\nfan stabilization with Qz,max ̸= 0 and reaching a value\nof about 21 ◦ for T = 10 K.\nIn a previous study, where the magnetic properties of\nHo thin films were investigated by MC simulations of a\nHeisenberg model with easy-plane single-ion anisotropy\nand six out-of-plane coupling constants (as obtained by\nexperimental neutron scattering measurements16) on a\nHCP lattice14,15, it was found that for thicknesses compa-\nrable with the helical pitch the phase diagram landscape\nis quite different from what we find here. Indeed, for\nn= 9 − 16, three different magnetic phases could be sin-\n0 20 40 60 80 100\nT (K)\n0\n5\n10\n15\n20\n25\n30\nQ z, max (deg.)\nFIG. 8: (color online) Qz, position of the maximum of S(⃗ q),\nvs. temperature for thickness n = 8. Inset: magnetic vector\n(mx\nl, my\nl) profile for some temperatures for L = 64. Colors\nand symbols as in Fig. 2.\n0 1 2 3 4 5 6 7 8 9 10 11 12\nl\n0\n20\n40\n60\n80\n∆ϕ l (deg)\nT =100K\n 130K\n 135K\n 140K\n 145K\nFIG. 9: ∆ ϕl for a BCT lattice and n = 12, when the six\ncoupling constants set employed in Ref. 14,15 (see text) is\nused. The temperature range has been chosen aroundTC (n)\n(error bars lye within point size).\ngled out, with the high-temperature, paramagnetic phase\nseparated from the low-temperature, long-range ordered\none, by an intermediate-temperature block phase where\nouter ordered 4-layers blocks coexist with some inner dis-\nordered ones. Moreover, it was observed that the phase\ntransition of such inner layers turns out to have the sig-\nnatures of a Kosterlitz-Thouless one.\nThe absence of the block phase in the J1 − J2 model\nhere investigated has to be attributed to the different\nrange of interactions, rather than to the different lattice\nstructure. We came to this conclusion by doing some\nsimulations using the same set of interaction constants\nemployed in Refs. 14,15, but using a BCT lattice: the\nresults we obtained for ∆ϕl with n = 12 are reported in\nFig. 9. The latter is absolutely similar to Fig.7 of Ref. 15\nand clearly displays the footmarks of the block phase (see\ndown-triangle), with two external blocks of ordered layers\n(l =1. . . 5 and 8. . . 12 ), where ∆ ϕl is roughly 10 ◦, sep-\narated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "5\n0 2 4 6 8 10 12 14 16 18 20\n n\n0\n20\n40\n60\n80\n100\n120\n140\nT N (n) , T C (n) (K)\nT N (n)\nT C (n)\nT N\nbulk\nFIG. 5: Transition temperatures TN (n) and TC (n) vs. film\nthickness n.\nthe same is true for the crossing point of the Binder cu-\nmulant of the average magnetizationM (not reported in\nfigure), which is located at TC (8) = 133 .3(3) K. These\ndata give a first rough indication that also for n = 8 all\nthe planes of the sample are still ordering almost at the\nsame temperature; such property has been observed for\nall the investigated thicknessesn below 16, so that TC (n)\nresults quite n-independent (see also Fig. 5) .\nAlthough the layer subtraction does not seem to mod-\nify TC (n), the onset of helical arrangement is observed to\nshift at lower temperatures as n decreases. The chirality\nκ defined in Eq. (4) is reported in Fig 4b for n = 8. As the\ntemperature decreases, around T ∼ 80 K we can identify\na finite-size behaviour of κ which, at variance with the\nprevious one, can be easily recognized as typical of an\neffective phase transition. Such conclusion is confirmed\nby the analysis of the chiral susceptibilityχκ (Fig. 4c),\nwhich for the largest L has a maximum at T = 85 K. As-\nsuming that the order parameter (4) is the relevant one\nto single out the onset of the fan arrangement, we can\nget a more accurate estimate ofTN (8) by looking at the\nBinder cumulant u4(κ), reported in Fig. 4d. By making\nuse of the MH technique, we locate the crossing point at\nTN (8) = 92(2) K. Finally, it is worthwhile to observe as\nthe specific heat does not show any anomaly at TN (8),\nbeing the entropy substantially removed at TC (8).\nThe scenario just outlined for n = 8 results to be cor-\nrect in the thickness range 6 ≤ n ≲ 15, where a clear\nseparation between TN (n) and TC (n) can be easily fig-\nured out. In such temperature window, the strong sur-\nface effects produce aquasi-FM set-up of the magnetic\nfilm structure along the z-direction. While leaving to the\nnext Section a more detailed discussion of this regime, we\nreport in Fig. 5 a plot ofTN (n) and TC (n) vs. n for all\nthe simulated thicknesses. The separation between the\ntwo critical temperatures is maximum forn = 6, where\nTN (6) = 38(4), that is TN (6) ∼ 1\n3 TC (6). For films with\nless than six layers no fan order is observed, i.e. for n = 5\nand below the chirality does not display any typical fea-\nture of fan ordering at any temperature belowTC (n). As\na representative quantity we finally look at the rotation\n0 1 2 3 4 5 6\n0\n5\n10\n15\n20\n ∆ϕ l (deg.)\nT =10K\nT =20K\nT =30K\nT =40K\nT= 50K\n0 1 2 3 4 5\n l\n0\n1\n2\n3\n4\n5\n(a) n = 6\n(b) n = 5\nFIG. 6: Rotation angle ∆ ϕl between magnetic moments on\nNN layers ( l + 1 , l) at some low temperatures, for thickness\nn = 5 and n = 6, and lateral dimension L = 64.\nangle of the magnetization between nearest planes:\n∆ ϕl = ϕl+1 − ϕl = arccos\n[\nMx\nl Mx\nl+1 + My\nl My\nl+1\n]\n(10)\nwhere ( Mx\nl , M y\nl ) is the magnetic vector profile for each\nplane l. ∆ ϕl is displayed in Fig. 6a and Fig. 6b, for\nn = 6 and n = 5, respectively. In Fig. 6a, a quite clear\nfan stabilization is observed when the temperature de-\ncreases, while in Fig. 6b, i.e. forn = 5, ∆ ϕl keeps an\nalmost temperature independent very small value; what’s\nmore, ∆ϕl seems to loose any temperature dependence\nas T = 0 is approached. We attribute the absence of fan\narrangement for n ≤ 5 as simply due to the lack of “bulk\nplanes” inside the film, so that we are left with only a 2d\ntrend atTC (n), i.e. at the temperature where the order\nparameters defined in Eqs. (2) and (3) show a critical\nbehaviour.\nIV. DISCUSSION AND CONCLUSION\nA possible framework to analyze the results presented\nin the previous Section is suggested by Fig. 5, where we\ncan easily distinguish three significant regions:i) high\nthickness, n ⩾ 16, where the films substantially display a\nbulk behaviour, with the single planes ordering tempera-\nture coinciding with the helical phase transition one;ii)\nintermediate thickness, 6 ≤ n ≲ 15, where the tempera-", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is Kingsgate ?", - "target_page": 2, - "target_passage": "Kingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "THAI LAND\nCHIL E\nAUST RALIA\nKingsgate is a highly successful gold \nmining, development and exploration \ncompany with two operating gold mines \nand two advanced development projects. \nShareholders can look forward to the \nbenefits of this strong operating and \ndevelopment platform, where Kingsgate \naims to build value though operating, \nearnings and dividend growth for \nthe benefit of all stakeholders.\nwww.kingsgate.com.au", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "112\nwww.kingsgate.com.au\nIndependent Auditor’s Report\nIndependent auditor’s report to the members \nof Kingsgate Consolidated Limited\nReport on the financial report\nWe have audited the accompanying financial report of Kingsgate Consolidated Limited (the company), \nwhich comprises the statement of financial position as at 30 June 2013, the statement of comprehen-\nsive income, statement of changes in equity and statement of cash flows for the year ended on that \ndate, a summary of significant accounting policies, other explanatory notes and the directors’ declara-\ntion for Kingsgate Group (the consolidated entity). The consolidated entity comprises the company \nand the entities it controlled at year’s end or from time to time during the financial year.\nDirectors’ responsibility for the financial report\nThe directors of the company are responsible for the preparation of the financial report that gives a \ntrue and fair view in accordance with Australian Accounting Standards and the Corporations Act 2001 \nand for such internal control as the directors determine is necessary to enable the preparation of the \nfinancial report that is free from material misstatement, whether due to fraud or error. In Note 1, the \ndirectors also state, in accordance with Accounting Standard AASB 101 Presentation of Financial \nStatements, that the financial statements comply with International Financial Reporting Standards.\nAuditor’s responsibility\nOur responsibility is to express an opinion on the financial report based on our audit. We conducted \nour audit in accordance with Australian Auditing Standards. Those standards require that we comply \nwith relevant ethical requirements relating to audit engagements and plan and perform the audit to \nobtain reasonable assurance whether the financial report is free from material misstatement.\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures \nin the financial report. The procedures selected depend on the auditor’s judgement, including the \nassessment of the risks of material misstatement of the financial report, whether due to fraud or error. \nIn making those risk assessments, the auditor considers internal control relevant to the consolidated \nentity’s preparation and fair presentation of the financial report in order to design audit procedures \nthat are appropriate in the circumstances, but not for the purpose of expressing an opinion on the \neffectiveness of the entity’s internal control. An audit also includes evaluating the appropriateness of \naccounting policies used and the reasonableness of accounting estimates made by the directors, as \nwell as evaluating the overall presentation of the financial report.\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for \nour audit opinion.\nIndependent \nAuditor’s Report", - "page_start": 113, - "page_end": 113, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "www.kingsgate.com.au\n30\nExploration Report\nwww.kingsgate.com.au\nExploration \nReport\nSummary\nKingsgate has a portfolio of exploration tene -\nments and applications in Thailand, Chile and Lao \nPDR. Following the sale of exploration tenements \nto Caravel Minerals, exploration in Australia is \ncurrently only conducted in the vicinity of the \nChallenger Mine in South Australia and the \nBowdens Silver Project in New South Wales.\nKingsgate’s South East Asian exploration team \ncontinued their exploration activities on Thailand \nand surrounding countries. Strategically the \nteam has turned the majority of their attention \nto projects which have the capacity to add value \nto the Company through exploration drilling \nsubsequent resource expansion. These projects \ninclude the granted Mining Leases at Chatree \nand the granted Sayabouly Concession in the \nLao PDR.\nOutside of these active areas, the South East \nAsian exploration team continues to review new \nopportunities throughout Thailand, Laos and \ntheir neighbouring countries.", - "page_start": 31, - "page_end": 31, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "10\nFinance Report\nwww.kingsgate.com.au\nFinancing Arrangements\nCorporate loan facility\nKingsgate has a three year secured loan facility \nwith Investec which was amended during the \nyear. The amended facility has a limit of $40 \nmillion (30 June 2012: $50 million), of which $20 \nmillion has been drawn down as at 30 June 2013 \n(30 June 2012: $40 million). \nConvertible loan facility\nKingsgate has a five year A$35 million convert-\nible loan facility with Investec entered into in a \nprior period to provide funding for the Bowdens \nacquisition. Kingsgate has the option to make a \nprepayment against the facility with an issue of \nKingsgate shares.\nRestructure of corporate loan and \nconvertible loan facilities\nAs indicated previously in the Preliminary Final \nreport, at balance date it was the Group’s inten-\ntion to restructure and amalgamate these \nfacilities in the next financial year. This relates to \nthe potential for completion of the Initial Public \nOffering (“IPO”) of Akara on the Stock Exchange \nof Thailand and the updated mine plan for \nChallenger. Any restructure would optimise the \nGroup’s anticipated balance sheet liquidity and \noperational cash flows. Accordingly, the Group \nclassified the total amount drawn down under \nthese facilities of $55 million as a current liability \nat 30 June 2013.\nSubsequent to the end of the financial year, the \nGroup received from its lenders a credit \napproved term sheet (subject to formal docu-\nmentation) for the restructure of the corporate \nloan and convertible loan facilities. Following \ncompletion of the restructure the total amount \noutstanding will be reduced to $40 million. This \nloan will be provided through a single senior \ncorporate facility which will consist of two \ntranches:\n〉〉 Tranche one will be a $25 million Akara Pre \nIPO Bond with a maturity date of 31 July \n2015. The current intention is for this \ntranche to be repaid as part of the Akara IPO, \nalthough at Kingsgate’s election repayment \ncan be made by either cash or in Kingsgate’s \nshares.\n〉〉 Tranche two is an amortising facility with $5 \nmillion to be repaid during the 2014 financial \nyear and the balance of $10 million repaid \nduring the 2015 financial year.\nConvertible revolving credit facility\nThe Group also has a three year $25 million \nConvertible Revolving Credit Facility available. \nAs at the date of this report the facility is \nundrawn. Under the terms of this facility, \nKingsgate has the option of repaying any funds \ndrawn down under the facility through either \ncash or by issuing ordinary shares. It is intended \nthat this facility will be utilised during the 2014 \nfinancial year for corporate and working capital \npurposes. It is the current intention of the \ncompany to repay any cash drawdown under the \nfacility by the issuance of fully paid ordinary \nshares which would rank parri pasu with all \nexisting ordinary shares, although this position \nwill be reviewed at the appropriate time. The \nnumber of shares has not yet been determined \nand they will be issued at a 2.5% discount to \nVWAP over a period by reference to the draw \ndown date. Shareholder approval is not required.\nMulti-currency and syndicated \nloan facilities\nKingsgate’s Thai operating subsidiary, Akara, \nestablished a six year amortising multi-currency \nloan facility equivalent to US$125 million (fully \ndrawn as at period end) and an additional Thai \nBaht denominated working capital facility \nequivalent to US$15 million (undrawn as at year \nend) during the period. The proceeds from these \nborrowings were used to fully repay the \noutstanding balance on the US$100 million Baht \ndenominated syndicated loan facility in exist-\nence at the beginning of the period as well as to \nrepay part of the corporate loan facility noted \nabove. \nFinancial Position\nShareholders’ equity at 30 June 2013 was $474 \nmillion (2012: $776 million). The decrease of \n$302 million reflects the year’s loss together \nwith dividends paid.\nDividends", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "www.kingsgate.com.au\n116\nCorporate Information\nwww.kingsgate.com.au\nDirectors\nRoss Smyth-Kirk (Chairman)\nGavin Thomas (Managing Director)\nPeter Alexander\nCraig Carracher\nPeter McAleer\nCompany Secretary\nRoss Coyle\nChief Executive Officer\nGavin Thomas\nStock Exchange Listing\nKingsgate Consolidated Limited is a Company \nlimited by shares, listed on the Australian Stock \nExchange under the code KCN. The Company’s \nshares also trade in the United States of America \nover-the-counter (OTC) as an American \nDepository Receipt (ADR) under the code OTC: \nKSKGY.\nRegistered Office & \nPrincipal Business Address\nKingsgate Consolidated Limited\nSuite 801, Level 8, 14 Martin Place \nSydney NSW 2000 \nAustralia \nTel: +61 2 8256 4800 \nFax: +61 2 8256 4810 \nEmail: info@kingsgate.com.au\nBangkok Office\nAkara Resources Public Company Limited \n19th Floor, Sathorn Thani Building 2 \nNo. 92/54-55 North Sathorn Road \nKwaeng Silom, Khet Bangrak \nBangkok 10500 \nThailand \nTel: +66 2 233 9469 \nFax: +66 2 236 5512\nChatree Mine Office\nAkara Resources Public Company Limited\nNo. 99 Moo 9, Tambon Khao Luk \nAmphur Thap Khlo \nPhichit 66230 \nThailand \nTel: +66 56 614 500 \nFax: +66 56 614 195\nThailand Exploration Office\nIssara Mining Limited\n156/9-10 Moo 11, Tambol Dong Khui \nAmphur Chon Daen \nPhetchabun 67190 \nThailand \nTel: +66 56 649 253 \nFax: +66 56 649 082\nChallenger Mine\nChallenger Gold Operations Pty Ltd\nC/- 14 Lum Street \nExport Park SA 5950 \nAustralia \nTel: +61 8 8450 0100 \nFax: +61 8 8234 3956\nChile Office\nLaguna Resources Chile Ltda\nSan Pio X 2460 oficina 508 \nProvidencia, Santiago \nChile \nTel: +56 2 2231 7565\nShare Registry\nSecurity Transfer Registrars Pty Ltd\n770 Canning Highway \nApplecross WA 6153 \nPO Box 535 \nApplecross WA 6953 \nAustralia \nTel: +61 8 9315 2333 \nFax: +61 8 9315 2233 \nEmail: registrar@securitytransfer.com.au \nWebsite: www.securitytransfer.com.au\nADR Depository\n(American Depository Receipts) \nThe Bank of New York Mellon \nADR Division \n101 Barclay Street, 22nd Floor \nNew York, NY 10286 \nUSA \nTel: +1 212 815 2293\nAuditor\nPricewaterhouseCoopers\n201 Sussex Street \nSydney NSW 2000 \nAustralia\nTel: +61 2 8266 0000 \nFax: +61 2 8266 9999\nCorporate \nInformation\nKingsgate Consolidated Limited \nABN 42 000 837 472", - "page_start": 117, - "page_end": 117, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "39\nSenior Management\nSenior Management\nKingsgate’s executives have a comprehensive \nrange of skills and experience including mine \ndevelopment and operations, exploration, finance \nand administration. They are supported by highly \nqualified specialists, whose backgrounds cover \nthe full scope of mining resources activities.\nSenior members of Kingsgate’s management \nteam are:\nGavin Thomas \nBSc (Geology), FAusIMM\nManaging Director and Chief Executive Officer \nGavin Thomas was appointed Chief Executive \nOfficer of Kingsgate in 2004 and joined the \nKingsgate Board on 16th November 2007. Gavin \nhas had a successful career in developing mining \ncompanies from the exploration phase into \nmid-tier gold or copper producers. He has over \n42 years of international experience in exploring \nfor, evaluating, developing, operating and \nreclaiming mines in North and South America, \nAustralia, the Southwest Pacific, Asia and \nEurope. Amongst Gavin’s credits is the discovery \nof “Lihir” in Papua New Guinea, one of the \nlargest gold deposits in the world. In particular, \nhe has extensive experience in Thailand and \nSouth America. \nDuane Woodbury \nBEc (Hons) \nChief Financial Officer\nDuane Woodbury was appointed Chief Financial \nOfficer of Kingsgate on 1 September 2011. \nDuane has a BEc (Hons) Degree and has worked \nin various financial, accounting and advisory \nroles during his career in a number of locations, \nincluding London, New York and Singapore. He \nhas been assisting Kingsgate in its business \ndevelopment initiatives since August 2007 and \nbrings over 20 years of experience in financial \nmarkets and corporate finance transactions, \nprincipally with the Macquarie Group. \nTim Benfield\nDip CSM (mining), MBA, MAusIMM\nChief Operating Officer\nTim Benfield joined Kingsgate in February 2012 \nas Chief Operating Officer. Tim is a mining \nengineer with over 21 years underground and \nopen pit experience in the mining industry in \nboth operational and corporate roles. He has \noperational and project development experience \nin Australia, Africa and Saudi Arabia. This \nincludes 10 years with Barrick Gold of Australia \nwhere he provided support to four operating \nmines and two development projects. Tim was \nmost recently General Manager of the Pajingo \nGold mine in Queensland for Evolution Mining \nLimited.\nRoss Coyle \nBA, FCPA, FCIS\nGeneral Manager Finance and Administration \nCompany Secretary\nRoss Coyle joined Kingsgate in March 2011 \nfollowing the Company’s acquisition of Dominion \nMining Limited and was with the Dominion \ngroup for over 25 years. He is a qualified \naccountant and has over 30 years experience in \nfinance and accounting within the resource \nindustry. He was Finance Director of Dominion \nfrom 1996. Ross was appointed Kingsgate’s \nCompany Secretary in September 2011.\nJoel Forwood \nBsc (Hons) FFin\nGeneral Manager Corporate and Markets\nJoel Forwood joined Kingsgate in November \n2010 and has over 27 years experience in the \nresource and investment industries covering \ninvestor relations, funds management and \nexploration. For over 12 years, he has been \nleading investor relations at a number of listed \ncompanies, most recently for Lihir Gold Limited. \nPrior to this he was a fund manager with \nQueensland Investment Corporation (QIC) \nfollowing his early career in mineral exploration \nwith BHP and corporate development with RGC.\nRonald James \nBSc (Geology), MAusIMM, MAIG \nGeneral Manager Exploration and Resource \nDevelopment\nRon James has 30 years of experience in explora-\ntion and mining at management level inclusive \nof setting up gold mines and exploration \nprojects from their earliest stages through to \ndevelopment and sustainability. Before joining \nKingsgate, he was Chief Mine Geologist at the \nGold Ridge Mine in the Solomon Islands and \nlater Group Exploration Manager for Ross Mining \nNL. Ron is familiar with the technical and oper-\nating requirements for emerging projects in a \nvariety of terrains and environments and has a", - "page_start": 40, - "page_end": 40, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "36\nwww.kingsgate.com.au\nCorporate Governance Statement\nThe external auditor is requested to attend the \nCompany’s Annual General Meeting and be \navailable to answer shareholder questions about \nthe conduct of the audit and the preparation \nand content of the Audit Report.\nPricewaterhouseCoopers was appointed as \nexternal auditor of the Company for the 2013 \nfinancial year.\nRisk Oversight and Management\nThe Board, through the Audit Committee, is \nresponsible for ensuring that there are adequate \npolicies in place in relation to risk management, \ncompliance and internal control systems.\nKingsgate has a systematic and structured risk \noversight and management program that \ninvolves a detailed analysis of material risks to \nthe business and operates at various levels \nunderpinned by specific systems and procedures.\nRisk monitoring, managing, mitigating and \nreporting is conducted regularly and includes \nthe following:\n〉〉 regular internal management reporting;\n〉〉 reporting at Board and Committee meetings \nby relevant managers;\n〉〉 site visits by the Board and senior \nmanagement;\n〉〉 internal and external audits; and\n〉〉 training, procedural manuals and meetings.\nThe Board has received assurance from the \nManaging Director and the Chief Financial Officer \nthat the solvency declaration provided in accord-\nance with section 295A of the Corporations Act \n2001 (Cth) is founded on a sound system of risk \nmanagement and internal control and that the \nsystem is operating effectively in all material \nrespects in relation to financial reporting risks.\nA summary of the Company’s Risk Oversight and \nManagement Policy is published in the ‘Corporate \nGovernance’ section of the Company’s website.\nRemuneration Committee \nThe members of the Remuneration Committee \nas at the date of this Report are:\n〉〉 Mr Ross Smyth-Kirk (Chairman of \nRemuneration Committee);\n〉〉 Mr Peter McAleer; \n〉〉 Mr Craig Carracher; and\n〉〉 Mr Peter Alexander.\nThe Remuneration Committee’s role is to oversee \nthe Company’s remuneration and compensation \nplans.\nTo ensure that the review of remuneration \npractices and strategies on which decision \nmaking is based is objective and well founded, \nthe Remuneration Committee engages external \nremuneration consultants.\nThe Remuneration Committee supports and \nadvises the Board in fulfilling its responsibilities \nto shareholders by:\n〉〉 ensuring shareholder and employee interests \nare aligned;\n���〉 ensuring the Company is able to attract, \ndevelop and retain talented employees;\n〉〉 recommending to the Board, with the \nManaging Director, an appropriate executive \nremuneration policy;\n〉〉 determining the remuneration of Directors;\n〉〉 having regard to the Company’s Diversity \nPolicy, including issues relating to remunera-\ntion by gender;\n〉〉 reviewing and approving the remuneration of \nthose reporting directly to the Managing \nDirector and other senior executives, as \nappropriate; and\n〉〉 reviewing all equity based plans for approval \nby the Board.\nThe Remuneration Committee operates in \naccordance with the Company’s Remuneration \nPolicy. The policy is designed so that it moti-\nvates senior executives to pursue the long-term \ngrowth and success of the Company and demon-\nstrates a clear relationship between senior \nexecutives’ performance and remuneration.\nThe Remuneration Committee met one time \nduring the 2013 financial year.\nThe Remuneration Committee operates in \naccordance with a charter published in the \n‘Corporate Governance’ section of the \nCompany’s website.\nNomination Committee\nThe members of the Nomination Committee as \nat the date of this Report are:\n〉〉 Mr Ross Smyth-Kirk (Chairman of \nNomination Committee);\n〉〉 Mr Peter McAleer; and\n〉〉 Mr Craig Carracher.\nThe role of the Nomination Committee supports \nand advises the Board in fulfilling its responsi-\nbility to ensure that it comprises individuals who \nare best able to discharge the responsibilities of \nthe Directors, having regard to the law and the \nhighest standards of governance, by:", - "page_start": 37, - "page_end": 37, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "40\nwww.kingsgate.com.au\nSenior Management\nBrett Dunstone\nDip. Catering and Hotel Management – William \nAngliss College, B.Bus. Victoria University (part \ncomplete)\nGeneral Manager – Human Resources\nBrett Dunstone joined Kingsgate in December \n2012 and has over 25 years experience in senior \nhuman resource management roles across a \ndiverse industry portfolio. Brett was formerly \nhead of Human Resources for Crown Casino, \nMelbourne, the Myer group, key Village \nRoadshow entities and head of Employee \nRelations for the Coles Myer group. Brett has \nexperience in supporting both large and \nemerging resource company development \nprojects locally and overseas (BHP Billiton, \nWoodside, Equinox Minerals and Chalice Gold). \nMichael Monaghan \nDip Eng (Mining) Dip Business MAusIMM MAICD \nSME\nChief Operating Officer and General Manager \n– Akara Resources PCL\nMike Monaghan joined Kingsgate as the General \nManager of Chatree Gold Mine in October 2012. \nHe is a mining engineer with 28 years of manage-\nment experience in both underground and open \ncut opeartions across a number of commodities \nas well as commissioning, mine management, \nturnaround management and environmental and \nsafety compliance in Australia, Africa and \nEurope. Mike was most recently Mining Manager \nat Geita Gold mine in Tanzania for AngloGold \nAshanti Limited. Prior to that he held General \nManager and Mining Manager positions at \nEtruscan Resources Youga Gold Mine in Burkina \nFaso and Red back Mining’s Chirano Gold Mine \nin Ghana.\nPakorn Sukhum\nBSc (Hons) University of London, UK \nMBA Sasin Graduate Institute of Business Admin-\nistration Thailand\nChief Executive Officer – \nAkara Resources PCL \nPakorn Sukhum joined the management team of \nAkara Resources PCL as Chief Executive Officer \nat the end of 2009. He brings to Akara over 24 \nyears of industrial commercial managerial experi-\nence in various industries such as metallurgy, \nchemicals and ceramics in international and \ndomestic markets of Thailand, having held \nsenior management positions in both Thai and \nMultinational joint venture companies such as \nBasell Poyolefins, Bayer AG as well as Padeang \nIndustry of Thailand. His major contributions \nand responsibilities have ranged from project \nmanagement, commercial marketing and sales \nto business development.", - "page_start": 41, - "page_end": 41, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "www.kingsgate.com.au\n18\nCHATREE SUSTAINABILITY\nChatree adheres to Kingsgate’s Sustainability \nPolicy, a copy of which may be obtained from \nthe Company’s website www.kingsgate.com.au. \nThe primary aim is to manage the Chatree asset \nethically, so the people of Thailand and the \nCompany prosper together, enjoying safe, fair \nand rewarding working relationships and a \nhealthy living environment. \nThe following sustainability section is a summary \nof a separate detailed document termed ‘The \n2013 Akara Resources Public Company Limited \nSustainability Report’, which is published in both \nEnglish and Thai language. \nCommunity\nChatree Gold Mine is located 280 kilometres \nnorth of Bangkok on the provincial border \nbetween Phichit and Phetchabun provinces. \nThe many villages around Chatree still lead a \npredominantly agrarian lifestyle, with rice \ngrowing as the main activity. It is important, \ntherefore, that Chatree is a good corporate \ncitizen for our immediate neighbours and in \nThailand generally. Chatree has as a primary \ngoal to minimise the impact of mining opera-\ntions to those living and working nearby. We \nseek to achieve this through regular meetings \nand consultation with local government and \nvillage groups and through assisting the \ncommunity in times of need.\nCommunity Funds\nCorporate social responsibility at Chatree is \na continual commitment by our business to \nbehave ethically and contribute to economic \ndevelopment in the local area improving the \nquality of life of our workforce and their families \nas well as the local communities in which we \noperate. There are four funds which have been \nestablished. These are made up of an EIA Fund \nfor any environmental impact, an Or Bor Tor \nFund (sub-district Fund), a Village Fund and an \nAkara for Communities Fund. Committees have \nbeen formed to manage each fund which is \nmade up of government officials, village leaders, \nand employees from Chatree to ensure transpar-\nency and diligent project management.\nEmployees\nChatree has been free of lost time injuries for the \ntenth year in a row. This exemplary safety record \nwould be difficult to achieve without manage-\nment support. It is however, the employees and \ncontractors who have made a safe workplace a \nreality by ensuring a safe environment for them-\nselves and their workmates. Chatree employees \nand contractors have excelled in this regard and \nKingsgate congratulates and thanks them for \ntheir sustained efforts. \nThe Chatree workforce totalled 1,326 at the \nend of the financial year comprising 381 Akara \nemployees, 740 with our mining contractor \nLotusHall and 4 expatriates. Turnover for Akara \npermanent employees during the financial year \nwas 5.9%.\nChatree has received its fourth Welfare and \nRelations Award from the Department of Labour \nProtection and Welfare, as well as the Ministry \nof Labour and Best Employer Award from Aon \nHewitt and Sasin University in 2012. Chatree \nhas also maintained its certificate of TLS/\nSA8000 since 2009.\nOur business is really all about people. As a first \nrate workforce is essential to our success, we \ncontinue to ensure we have the right people in \nthe right role doing the right work at the right \ntime. Akara Mining Limited offers comprehensive \ntraining in relevant safety and job-related areas \nto all our people. We also assist our employees \nto obtain tertiary education qualifications. Thus \nfar, 33 employees have been sponsored for \nMasters level degrees, 10 employees for Bachelor \nlevel degrees and eight employees for Diploma \nCertificates.\nOperations Report", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "www.kingsgate.com.au\n24\nOperations Report\nCHALLENGER SUSTAINABILITY\nEmployees\nThe Challenger workforce totalled 272 at \nthe end of the financial year comprising 100 \nKingsgate personnel (employees and casual \ncontractors to fill vacancies); and 172 contrac-\ntors. Contractors on site include: Leighton with \n154 personnel providing mining services; \nSodexo, 12 personnel providing catering and \ncleaning services; Powerwest, 2 personnel for \npower supply services; and AWG, 4 personnel \nfor air leg and rise mining services.\nTurnover for Challenger permanent employees \nduring the financial year was 23%, with 23 \nterminations and 22 new starters. New \nemployees recruited on a casual basis with a \nview to permanency accounted for 19 positions.\nDuring the year Kingsgate have rebuilt the \nChallenger management team improving the \ndepth of mining engineering experience. The \nnew management, combined with targeted \ntraining has brought about a cultural change \nwith the emphasis now being on proper plan-\nning, appropriate contractor management, \naccountability. To encourage staff retention, \nthere was a focus on improving the site facilities \nwith an upgrade to the mining office as well as \nsite communications to allow employees to \ncommunicate with their families while on site.\nCommunity\nThe remoteness of Challenger mine – 310 kilo-\nmetres by road from the nearest town at Coober \nPedy – reduces the capacity for local involve-\nment with surrounding communities. Challenger \ncontinued to support its nearest communities \nwith local sponsorships including:\n〉〉 The Umoona Community Council;\n〉〉 Glendambo Pastoralists Ball;\n〉〉 The Royal Flying Doctor Service; and\n〉〉 The Coober Pedy Football Club.\nChallenger is located within the Commonwealth \nGovernment, Woomera Prohibitive Area (WPA). \nThe Department of Defence (DOD) continues to \nutilise the area for rocket testing and other \ncommercial activities. In the last 10 years DOD \nhave not impacted on mine operations.\nChallenger Mine has fostered strong relations \nwith the University of Adelaide over the past \nnine years. Each year selected students from the \nSchools of Geology and Mining Engineering \nundertake field trips to Challenger, where they \nexperience a very detailed and hands-on intro-\nduction to mining. Kingsgate offers academic \nBursaries and Prizes to students in both \ndisciplines. \nEnvironment\nFull details of all environmental monitoring \nreports and a detailed review of all environ-\nmental issues are contained within the 2013 \nMining and Rehabilitation Compliance Report \n(MARCR). The MARCR can be downloaded from \nDMITRE’s website www.minerals.dmitre.sa.gov.\nau and can be found using the search word \n“Challenger”.\nWater usage\nA supplementary groundwater extraction bore \n(Gusher 3) was commissioned at Challenger to \nincrease the supply of potable water made \navailable to the accommodation camp. A third \nreverse osmosis plant was also commissioned to \naccommodate the increase in volume of water \nthat needs to be filtered for potable use.\nA total of 436,175 tonnes of water was used to \nprocess 556,631 tonnes of ore during the finan-\ncial year with a ratio of 0.78 tonnes of water to \none tonne of ore. Water usage was reduced \nonsite via recycling of supernatant water from \nTailings Storage Facility (TSF) 2 via the decant \nwater return system.", - "page_start": 25, - "page_end": 25, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What does demonstatre the feasibility study on the Nueva Esperanza Project ?", - "target_page": 6, - "target_passage": "The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns. ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "reviewing mine plans and entering into forward \ngold sale contracts.\nChanges in the gold and silver price also impact \nassessments of the feasibility of exploration and \nthe Group’s two development projects, Nueva \nEsperanza and Bowdens.\nMineral reserves and resources\nOre reserves and mineral resources are esti-\nmates. These estimates are substantially based \non interpretations of geological data obtained \nfrom drill holes and other sampling techniques. \nActual mineralisation or geological conditions \nmay be different from those predicted and, as a \nconsequence, there is a risk that any part or all \nof mineral resources will not be converted into \nreserves.\nMarket price fluctuations of gold and silver, as \nwell as increased production and capital costs, \nmay render ore reserves unprofitable to develop \nat a particular site for periods of time. \nReplacement of depleted reserves\nThe Group aims to continually replace reserves \ndepleted by production to maintain production \nlevels over the long term. Reserves can be \nreplaced by expanding known ore bodies, \nlocating new deposits or making acquisitions.\nAs a result, there is a risk that depletion of \nreserves will not be offset by discoveries or \nacquisitions. The mineral base may decline if \nreserves are mined without adequate replace-\nment and as a consequence the Group may not \nbe able to sustain production beyond the \ncurrent mine lives, based on current production \nrates.\nMining risks and insurance risks\nThe mining industry is subject to significant \nrisks and hazards, including environmental \nhazards, industrial accidents, unusual or unex-\npected geological conditions, unavailability of \nmaterials and unplanned equipment failures. \nThese risks and hazards could result in signifi-\ncant costs or delays that could have a material \nadverse impact on the Group’s financial perfor-\nmance and position. \nThe Group maintains insurance to cover some of \nthese risks and hazards at levels that are \nbelieved to be appropriate for the circumstances \nsurrounding each identified risk, however there \nremains the possibility that the level of insur-\nance may not provide sufficient coverage for \nlosses related to specific loss events.\ncontinued\nu", - "page_start": 46, - "page_end": 46, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "VIETNAM\nTHAILAND\nLA OS\nCAMBODIA\n10°\n100°\n20°\nLA OS\nAM\nCAMBODIA\n10°\nCHALLENGERCHALLENGER\n30°\n35°\n140°\n135°\n130°\nVIC\nQLD\nNSW\nNT\nWA\nAdelaide\nBOWDENS\nSILVER\nBOWDENS\nSILVER\nNewcastle\nSydney\nDubbo\nMudgee\n30°\n35°\n150°\n145°\nQLD\nTA S\nVIC\nSA\n70°\n50°\n20°\n30°\n40°\n3\nCOPIAPO\nNUEVA\nESPERANZA\nCOPIAPO\nNUEVA\nESPERANZA\nSantiago\nLa Serena\nAntofagasta\nChañaral\nARGENTINA\nBOLIVIA\nPERU\n0 300100 200\nKilometres\nHighway\nFreeway\nPower lines\nHydro power dam\nThermal power station\nKhon Kaen\nKh\nKhCHATREECHATREE\nChiang\nMai\nBangkok\nChumphon\nPhuket\nCHALLENGER\nGOLD MINE\nCHALLENGER\nGOLD MINE\nLabyrinth\nBulgunnia\nBarton West\nCundeelee\n(Tropicana Belt)\nBlue Dam\nCalingiri\nWongan Hills\nKukerin\nBullock Pool\nNanicup Bridge\nHolleton West\nGolden Point\nNorthling\nBryah\nPerenjori\nYalla Burra\nBarton Central\nTenements Area\n28\nwww.kingsgate.com.au\nProjects Report\nNueva Esperanza \nProject\nChile\nSummary\nThe Nueva Esperanza Project is 100% owned \nby Kingsgate since February 2012. Nueva \nEsperanza is located in the Maricunga Gold Belt \nnear Copiapó, a regional mining centre in \nNorthern Chile. The silver-rich mineralisation is \nhosted by the Esperanza high-sulphidation \nepithermal alteration system associated with \nthe Cerros Bravos volcanic complex.\nThe project consists of three well-defined miner -\nalised deposits and a number of undeveloped \nexploration targets. The main deposits are \nArqueros, Chimberos and Teterita. Arqueros was \npreviously mined on a limited scale by under-\nground methods and Chimberos was exploited \nas an open pit mine, delivering about 40 million \nounces of silver in 1998/99. All three deposits \ncurrently have a combined Mineral Resources of \nabout 93 million ounces of silver equivalent or \n1.6 million ounces of gold equivalent (EQ60)1.\nA feasibility study for a decision to mine the \nArqueros portion of Nueva Esperanza was \ncompleted in late 2012, demonstrating that open \npit mining at two million tonnes per year and \nprocessing by milling and agitation leaching in \ncyanide was technically feasible. Work remained \nto integrate the Teterita and Chimberos deposits \ninto the project, as well as to test lower cost \noptions for processing. Continued metallurgical \ntestwork has shown that mineralisation from all \nthree deposits by heap leaching is technically and \neconomically feasible and the preferred alterna-\ntive for development.\nEnvironmental approvals to commence \nconstruction and mining at Nueva Esperanza \nwere granted in July 2013 for the original \nArqueros project. Work is underway to modify \nand update the environmental assessment to \nincorporate the heap leach process.\nu\n1 Equivalence is based on gold/silver price ratio \nof 60. Gold equivalence = gold content plus \n(silver content divided by 60), whereas Silver \nequivalent silver content plus (gold content \nmultiplied by 60).", - "page_start": 29, - "page_end": 29, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The environmental permitting process for the \noriginal Arqueros project has been completed, \nwith approval to commence construction and \nmining granted by the Chilean authorities. \nA modification of the environmental assessment \nis being prepared to have the approvals modified \nfor heap leaching and on-site power generation. \nExtensive community consultation has been \nundertaken with positive outcomes, and rela -\ntionships with indigenous rural and urban \ncommunities remain a priority.\nProjects Report", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "4\nManaging Director and CEO’s Report\nwww.kingsgate.com.au\nDevelopment Projects\nBowdens\nThe Bowdens Project continued to advance \nduring the year with field programs supporting \nthe ongoing feasibility and environmental \nstudies. Sterilisation drilling and additional \nmetallurgical sampling were undertaken with \nthe resource evaluation drilling completed in \nOctober 2012.\nDuring 2013, the process design and engineering \nwork for the Definitive Feasibility Study (“DFS”) \nprogressed to a point where the draft study was \nclose to completion as at 30 June 2013. The study \nencompassed detailed process design based on \nusing the most recent metallurgical test results, \ncapital and operating cost estimates, project \nwater and power supply, infrastructure require-\nments and mine optimisation.\nThe preparation for lodgement of an Environ-\nmental Impact Statement (“EIS”) to the NSW \nDepartment of Planning continues. It is envis-\naged that the EIS will be completed and lodged \nin 2014. Data for flora and fauna, surface water, \ngroundwater, meteorology, ambient noise and \ndust levels are collected routinely. Further inves-\ntigations of cultural heritage, social-economic \nimpact, traffic impact, soil type and agricultural \nsuitability have also been undertaken.\nWith the fall in metal prices in late 2013, work \nand expenditure on the DFS and EIS have been \nphased to coordinate and synchronise the \ntiming of the two programs with completion \nand lodgement now not expected before \nmid-2014.\nNueva Esperanza\nThe Nueva Esperanza Project was advanced \nduring the year with the completion of a draft \nfeasibility study. This study included a decision \nto mine the Arqueros and Teterita portions of \nNueva Esperanza. The study demonstrated that \nopen pit mining at two million tonnes per year \nand processing by milling and agitation leaching \nin cyanide was technically feasible, although \nhigh capital and power costs negatively \nimpacted project economic returns. \nAs a consequence, feasibility work has tran-\nsitioned to assess a lower capital cost and lower \npower requirement options, namely the poten-\ntial for heap leach processing. Metallurgical \ntestwork recently completed demonstrated \nthat processing of mineralisation from all three \ndeposits by heap leaching has the potential to \nbe technically and economically feasible and as \na consequence may become the preferred \nalternative for development. \nEnvironmental approval for the original Arqueros \nProject was granted in July 2013.\nFinancials\nKingsgate made an after tax loss of $323.7 \nmillion for the full year to 30 June 2013 compared \nto an after tax profit of $75.0 million for the \nprevious corresponding year. The result for the \nyear reflected an impairment of $311.9 million \npre-tax ($291.3 million post-tax) against the \nChallenger Mine and associated assets and an \nimpairment of $20.4 million against greenfield \nexploration projects in Australia and Thailand.\nFinancial Summary\n2013 \n$000\n2012 \n$000\nTotal sales revenue 329,282 357,372\nEBITDA before significant items 115,845 168,583\n(Loss) / profit before tax (339,615) 91,277\nIncome tax benefit / (expense) 15,889 (16,271)\n(Loss) / profit after income after tax (323,726) 75,006\nDividend declared (¢/share) 5 20", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "in which it appears.\nThe information in this report that relates to \nBowdens Mineral Resource estimation is based \non and fairly represents work completed by \nJonathon Abbott who is a full-time employee of \nMPR Geological Consultants and a member of \nthe Australasian Institute of Geoscientists, and \nRon James, who is a member of The Australasian \nInstitute of Mining and Metallurgy. Mr Abbott \nand Mr James have sufficient experience that is \nrelevant to the style of mineralisation and type \nof deposit under consideration and to the \nactivity that they are undertaking to qualify \nas a Competent Person as defined in the 2012 \nEdition of the ‘Australasian Code for Reporting \nof Exploration Results, Mineral Resources and \nOre Reserves’. Mr Abbott and Mr James consent \nto the inclusion in the report of the matters \nbased on their information in the form and \ncontext in which it appears.\nThe information in this report that relates to \nNueva Esperanza Mineral Resource estimation is \nbased on and fairly represents work completed \nby Jonathon Abbott, Ron James and Maria \nMuñoz. These people qualify as Competent \nPersons as defined in the ‘Australasian Code for \nReporting of Exploration Results and Mineral \nResources’(the JORC Code, 2012 edition) and \npossess relevant experience in relation to the \nmineralisation being reported herein as \n‘Exploration Results, Mineral Resources and Ore \nReserves’. Mr Abbott, Mr James and Ms Muñoz \nconsent to the inclusion in the report of the \nmatters based on their information in the form \nand context in which it appears.\nCompetent Persons \nStatement", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "cyanide was technically feasible although high \ncapital and power costs negatively impacted \nproject economic returns. \nAs a consequence, feasibility work has transi-\ntioned to assess a lower capital cost and lower \npower requirement option, namely the potential \nfor heap leach processing. Recently completed \nmetallurgical testwork demonstrated that \nprocessing of mineralisation from all three \ndeposits by heap leaching has the potential to \nbe technically and economically feasible and, as \na consequence, may become the preferred \nalternative for development.\nEnvironmental approval for the original Arqueros \nProject was granted in July 2013.\nBowdens Silver Project\nThe Bowdens Project continued to advance \nduring the year with field programs supporting \nthe feasibility and environmental studies \nongoing. Sterilisation drilling and additional \nmetallurgical sampling were undertaken with \nthe resource evaluation drilling completed in \nOctober 2012.\nDuring 2013, the process design and engi-\nneering work for the Definitive Feasibility Study \n(“DFS���) progressed to a point where the study \nwas close to draft completion as at 30 June \n2013. The study encompassed detailed process \ndesign based on using the most recent metal-\nlurgical test results, capital and operating cost \nestimates, project water and power supply, \ninfrastructure requirements and mine \noptimisation.\nThe preparation for lodgement of an EIS to the \nNSW Department of Planning continues. It is \nenvisaged that the EIS will be completed and \nlodged in 2014. Data for flora and fauna, surface \nwater, groundwater, meteorology, ambient \nnoise and dust levels are collected routinely. \nFurther investigations of cultural heritage, \nsocial-economic impact, traffic impact, soil \ntype and agricultural suitability have also been \nundertaken.\nWith the fall in metal prices in late 2013, work \nand expenditure on the DFS and EIS have been \nphased to coordinate the two programs with \ncompletion and submission now not expected \nbefore mid-2014.\nExploration\nThe Group has a portfolio of exploration tene-\nments and applications in Thailand, Chile and \nLao PDR. Following the sale of exploration \ntenements to Caravel (refer below), exploration \nin Australia is currently only conducted in the \nvicinity of the Challenger Mine in South Australia \nand the Bowdens Silver Project in New South \nWales.\nSale of Exploration Assets\nOn 28 March 2013, the Group sold its explora-\ntion assets in Western Australia and Queensland \nthrough the sale of shares in its subsidiary \ncompany, Quadrio Resources Limited, to Caravel \nMinerals Limited (“Caravel”), an Australian \ncompany listed on the ASX.\nKingsgate received 135,000,000 fully paid \nordinary shares in the issued capital of Caravel \nand 20,000,000 unlisted options to acquire \nCaravel shares exercisable at 10 cents on or \nbefore three years from the date of issue. \nSubsequent to the sale, Kingsgate became the \nlargest shareholder in Caravel with 35.54% held \nat 30 June 2013. Kingsgate’s holding in Caravel \nreduced to 27.04% post 30 June 2013 following \na rights issue by Caravel that Kingsgate did not \nparticipate in.\n \ncontinued\nu", - "page_start": 44, - "page_end": 44, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "33\nOre Reserves and Mineral Resources\nOre Reserves and Mineral Resources\nNotes to the Ore Reserves and Mineral \nResources Table: \nSome rounding of figures may cause numbers \nto not add correctly.\n(1) Nueva Esperanza equivalent factors: \n\t •\t \tSilver\tequivalent:\tAgEq\t(g/t)\t=\tAg\t(g/t)\t\n+\tAu(g/t)\tx\t60;\t\n\t •\t \tGold\tEquivalent:\tAuEq\t(g/t)\t=\tAu\t(g/t)\t\n+\tAg\t(g/t)\t/\t60;\t\n\t •\t \tCalculated\tfrom\tprices\tof\tUS$1,380/\noz\tAu\tand\tUS$21.50/oz\tAg,\tand\t\nmetallurgical recoveries of 70% Au \nand\t75%\tAg\testimated\tfrom\ttest\twork\t\nby\tKingsgate,\tand\tmetallurgical\t\nrecoveries\tof\t85%\tAu\tand\t78%\tAg\t\nestimated\tfrom\ttest\twork\tby\t\nKingsgate and Laguna. \n(2) Bowdens equivalent factors:\n\t •\t \tSilver\tequivalent:\tAgEq\t(g/t)\t=\tAg\t(g/t)\t\n+\t22.4\tx\tPb\t(%)\t+\t25.5\tx\tZn\t(%);\t\n\t •\t \tGold\tequivalent:\tAuEq\t(g/t)\t=\tAgEq\t\n(g/t)\t/45\t;\n\t •\t \tCalculated\tfrom\tprices\tof\tUS$28/oz\t\nAg,\tUS$1250/oz\tAu,\tUS$2200/t\tPb,\t\nUS$2200/t\tZn\tand\tmetallurgical\t\nrecoveries\tof\t81%\tAg,\t73%\tPb,\tand\t\n83%\tZn\testimated\tfrom\ttest\twork\tby\t\nSilver\tStandard,\tand\tassuming\t\nconsistent metallurgical recoveries for \ngold\tand\tsilver\tof\t81%.\t\n(3) Chatree equivalent factors:\n\t •\t \tChatree\tgold\tequivalent:\tAuEq/t\t=\tAu\t\n(g/t)\t+\tAg\t(g/t)\t/105;\n\t •\t \tSilver\tequivalent:\tAgEq\tg/t\t=\tAu\t(g/t)\t\nx\t105\t+\tAg\tg/t;\n\t •\t \tCalculated\tfrom\tprices\tof\tUS$1480/oz\t\nAu\tand\tUS$26/oz\tAg\tand\tmetallur-\ngical\trecoveries\tof\t80.5%\tAu\tand\t\n43.6%\tsilver\tbased\ton\tmetallurgical\t\ntestwork\tand\tplant\tperformance.\n(4) Challenger equivalent factors:\n\t •\t \tSilver\tequivalent:\tAgEq/t\t=\tAu\t(g/t)\t \nx\t57;\n\t •\t \tCalculated\tfrom\tprices\tof\tUS$1480/oz\t\nAu\tand\tUS$26/oz\tAg\tand\tconsistent\t\nmetallurgical recoveries for gold and \nsilver.\n(5)\t \tCut-off\tgrade\tfor\tChatree\tis\t0.35g/t\tAu;\t\nNueva\tEsperanza\tis\t0.5g/t\tAuEq;\t\nBowdens\tis\t30g/t\tAgEq.\tFor\tChallenger\tit\t\nis\t1.5\tAu\tg/t\tfor\topen\tcut\tresources,\tand\t\n5.0\tg/t\tfor\tundeground\tresources.\n(6)\t \tIt\tis\tthe\tCompany's\topinion\tthat\tall\tthe\t\nelements included in the metal equiva-\nlents calculation have a reasonable \npotential to be recovered.\nIn this report, information concerning Thailand \noperations relates to Exploration Results, \nMineral Resources and Ore Reserve estimates \nand is based on and fairly represents information \ncompiled by the following Competent Persons: \nRon James, Brendan Bradley, Kevin Woodward \nand Suphanit Suphananthi who are employees \nof the Kingsgate Group – all except Brendan \nBradley are members of The Australasian \nInstitute of Mining and Metallurgy. Brendan \nBradley is a member of the Australian Institute \nof Geoscientists. These people qualify as \nCompetent Persons as defined in the \n‘Australasian Code for Reporting of Exploration \nResults, Mineral Resources and Ore Reserves’ \n(the JORC Code, 2012 edition) and possess \nrelevant experience in relation to the mineralisa-\ntion being reported herein as Exploration \nResults, Mineral Resources and Ore Reserves. \nEach Competent Person has consented to the \npublic reporting of these statements and the \ninclusion of the material in the form and context \nin which it appears.\nIn this report, the information concerning \nChallenger operations that relates to Exploration \nResults, Mineral Resources and Ore Reserves \nestimates is based on and fairly represents \ninformation compiled by Stuart Hampton and \nLuke Phelps who are full-time employees of the \nKingsgate Group. Both are members of The \nAustralasian Institute of Mining and Metallurgy. \nThese persons have sufficient experience that is \nrelevant to the mineralisation and type of \ndeposit under consideration and to the activity \nthat they are undertaking to qualify as \nCompetent Persons as defined in the 2012 \nEdition of the ‘Australasian Code for Reporting \nof Exploration Results, Mineral Resources and \nOre Reserves’. Stuart Hampton and Luke Phelps \nconsent to the inclusion in the report of the \nmatters based on their information in the form \nin which it appears.\nThe information in this report that relates to \nBowdens Mineral Resource estimation is based \non and fairly represents work completed by", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As \nother suggestions made here, these are activities that should start at the city and regional level, first \nwith custom-made education initiatives, then with specific data-based services. Engaging all these \nactors in the adoption of (local) Open Data will be one of the big challenges of the next years. \n5. Bibliography\nBesides those explicitly linked from the text, this report has drawn inspiration by many other \nresources. The most important ones are listed here, but the complete list should be much longer. We \nwish to thank first the authors of the works listed below and, immediately after, to all the activists, \ninside and outside governments worldwide, who are working on this topic. \n1. Are you prepared for the pitfalls of Gov 2.0? \n2. Can we use Mobile Tribes to pay for the costs of Open Data? \n3. Canada launches data.gc.ca - what works and what is broken \n4. Creative Commons and data bases: huge in 2011, what you can do \n5. Defining Gov 2.0 and Open Government \n6. How Government Data Can Improve Lives \n7. If you like solar, tell your utility to publish this map \n8. Indian corruption backlash builds after \"year of the treasure hunters\" \n9. Información Cívica / Just What is Civic Information? \n10.Is open government just about information? \n11.LSDI : In un click la mappa del crimine \n12.La casta è online: dategli la caccia! \n13.Linee guida UK sull'opendata \n14.MSc dissertation on Open Government Data in the UK \n15.Open Data (2): Effective Data Use . \n16.Open Data: quali prospettive per la pianificazione? \n17.Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data \nOpen? \n18.Open data, democracy and public sector reform \n19.Pubblicato Camere Aperte 2011 - blog - OpenParlamento \n20.Reasons for not releasing data in government \n21.The impact of open data: first evidence \n33/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 32, - "page_end": 32, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "to the area, acquiring the\nsurrounding exploration acreage\nto ensure that we manage the\nevaluation of the entire play\ntrend, giving Santos maximum\ndrilling flexibility and keeping\nupfront costs down.\nJeruk is a significant discovery\nand has important strategic\nimplications for Santos. It\nconfirms that our exploration\nstrategy is delivering and has \nthe Company well positioned to\ncapture the upside value available\nfrom this discovery. \nThe success of our strategy in\nEast Java helps us balance the\nrisk in our exploration program\nand, with the Jeruk discovery\npointing the way to other\npotential targets, we can add\nsome attractive lower risk\nprospects to our portfolio.\nJeruk stands out from the \ncrowd for a number of reasons. \nAt 18,700 feet, it was the\ndeepest well (in terms of\nmeasured depth) drilled in\nIndonesia last year: a deep, high\npressure well that few companies\nwould have attempted. Jeruk \n‘Santos has an impressive and exciting \ndevelopment outlook over the next \nfew years.’\nSAN165 WWW Text 30/3/05 12:06 PM Page 4", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "citizens' groups and local politicians, sometimes challenge these projects. Responding to these challenges has,\nat times, increased our costs and extended the time associated with establishing new facilities and expanding\nexisting facilities. In addition, failure to receive regulatory and zoning approval may prohibit us from\nestablishing new facilities and expanding existing facilities.\n16", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is the Kingsgate net cash outflows from finiancing activities in 2013 ?", - "target_page": 11, - "target_passage": " Net cash outflows from financing activities was $1.7 million", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "www.kingsgate.com.au\n66\nFinancial Statements\nwww.kingsgate.com.au\nNote\nContributed \nequity \n$’000\nReserves \n$’000\nRetained \nprofits \n$’000\nTotal \n$’000\nNon- \ncontrolling \ninterests \n$’000\nTotal equity \n$’000\nBalance at 1 July 2011 482,874 (26,528) 143,468 599,814 7,109 606,923\n(Loss) / profit after income tax – – 75,159 75,159 – 75,159\nTotal other comprehensive income for the year – 1,605 – 1,605 – 1,605\nTotal comprehensive income for the year 19b – 1,605 75,159 76,764 – 76,764\nTransaction with owners in their capacity \nas owners:\nContributions of equity, net of transaction costs 18 2,068 – – 2,068 – 2,068\nInstitutional share placement 18 70,000 – – 70,000 – 70,000\nIssue of ordinary shares related to Bowdens \nacquisition of subsidiaries and assets\n18 30,000 – – 30,000 – 30,000\nIssue of ordinary shares as part consideration \nfor the settlement of a legal dispute\n18 3,024 – – 3,024 – 3,024\nIssue of ordinary shares related to loan facility \nrepayment\n18 11,652 – – 11,652 – 11,652\nDividends provided for or paid 22 – – (22,025) (22,025) – (22,025)\nMovement in share-based payment reserve 19a – 8,919 – 8,919 – 8,919\nTotal transactions with owners 116,744 8,919 (22,025) 103,638 – 103,638\nTotal contribution by and distribution to \nowners of Kingsgate Consolidated Limited\n599,618 (16,004) 196,602 780,216 7,109 787,325\nAcquisition of non-controlling interests – (4,403) – (4,403) ( 7,10 9) (11,512)\nBalance at 30 June 2012 599,618 (20,407) 196,602 775,813 – 775,813\nBalance at 1 July 2012 599,618 (20,407) 196,602 775,813 – 775,813\n(Loss) / Profit after income tax – – (323,726) (323,726) – (323,726)\nTotal other comprehensive income for the year – 40,364 – 40,364 – 40,364\nTotal comprehensive income for the year 19b – 40,364 (323,726) (283,362) – (283,362)\nTransaction with owners in their capacity \nas owners:\nContributions of equity, net of transaction costs 18 4,374 – – 4,374 – 4,374\nIssue of ordinary shares as part consideration \nfor the settlement of a legal dispute\n18 1,512 – – 1,512 – 1,512\nDividends provided for or paid 22 – – (22,739) (22,739) – (22,739)\nMovement in share-based payment reserve 19a – (1,638) – (1,638) – (1,638)\nTotal transactions with owners 5,886 (1,638) (22,739) (18,491) – (18,491)\nBalance at 30 June 2013 605,504 18,319 (149,863) 473,960 – 473,960\nThe above Statement of Changes in Equity should be read in conjunction with the accompanying notes.\nStatement of \nChanges in Equity\nfor the year ended 30 June 2013", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n95\nNotes to the Financial Statements\ncontinued\nu\n22. Dividends\n2013 \n$’000\n2012 \n$’000\nFinal dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share paid on 1 October 2012 15,148 6,829\nInterim dividend declared for the year ended 30 June 2013 of 5 cents per fully paid share paid on 12 April 2013 7,591 15,196\nTotal dividends 22,739 22,025\nRefer Note 18 for the dividend reinvestment plan portion of total dividends.\nThe Group’s franking credit balance as at 30 June 2013 is $880,548 (2012: $880,548).\n23. Related parties\nTransaction with related parties\nInformation on remuneration of Directors and Key Management Personnel is disclosed in Note 29.\nControlling entity\nThe ultimate parent entity of the Group is Kingsgate Consolidated Limited.\n24. Employee benefits and share-based payments\nProvision for employee benefits – current 3,797 2,993\nProvision for employee benefits – non-current 5,416 4,482\nTotal employee provisions 9,213 7,475\nShare-based payments\nThe following share-based payments were made during the year:\n〉〉 performance and deferred rights issued to employees $917,397 (2012: nil); and\n〉〉 shares issued as part consideration of a legal dispute $1,512,000 (2012: $3,024,000).\nSuperannuation\nThe Group makes contributions on behalf of employees to externally managed defined contribution superannuation funds. Contributions are based on \npercentages of employee’s wages and salaries and include any salary-sacrifice amounts. Contributions to defined contribution plans for 2013 were $964,000 \n(2012: $752,000).\nKingsgate executive option plan\nThe terms of the options issued pursuant to the plan are as follows:\ni. each option will entitle the holder to subscribe for one ordinary share of the Company;\nii. options are granted under the plan for no consideration; and\niii. options granted under the plan carry no dividend or voting rights.", - "page_start": 96, - "page_end": 96, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "10\nFinance Report\nwww.kingsgate.com.au\nFinancing Arrangements\nCorporate loan facility\nKingsgate has a three year secured loan facility \nwith Investec which was amended during the \nyear. The amended facility has a limit of $40 \nmillion (30 June 2012: $50 million), of which $20 \nmillion has been drawn down as at 30 June 2013 \n(30 June 2012: $40 million). \nConvertible loan facility\nKingsgate has a five year A$35 million convert-\nible loan facility with Investec entered into in a \nprior period to provide funding for the Bowdens \nacquisition. Kingsgate has the option to make a \nprepayment against the facility with an issue of \nKingsgate shares.\nRestructure of corporate loan and \nconvertible loan facilities\nAs indicated previously in the Preliminary Final \nreport, at balance date it was the Group’s inten-\ntion to restructure and amalgamate these \nfacilities in the next financial year. This relates to \nthe potential for completion of the Initial Public \nOffering (“IPO”) of Akara on the Stock Exchange \nof Thailand and the updated mine plan for \nChallenger. Any restructure would optimise the \nGroup’s anticipated balance sheet liquidity and \noperational cash flows. Accordingly, the Group \nclassified the total amount drawn down under \nthese facilities of $55 million as a current liability \nat 30 June 2013.\nSubsequent to the end of the financial year, the \nGroup received from its lenders a credit \napproved term sheet (subject to formal docu-\nmentation) for the restructure of the corporate \nloan and convertible loan facilities. Following \ncompletion of the restructure the total amount \noutstanding will be reduced to $40 million. This \nloan will be provided through a single senior \ncorporate facility which will consist of two \ntranches:\n〉〉 Tranche one will be a $25 million Akara Pre \nIPO Bond with a maturity date of 31 July \n2015. The current intention is for this \ntranche to be repaid as part of the Akara IPO, \nalthough at Kingsgate’s election repayment \ncan be made by either cash or in Kingsgate’s \nshares.\n〉〉 Tranche two is an amortising facility with $5 \nmillion to be repaid during the 2014 financial \nyear and the balance of $10 million repaid \nduring the 2015 financial year.\nConvertible revolving credit facility\nThe Group also has a three year $25 million \nConvertible Revolving Credit Facility available. \nAs at the date of this report the facility is \nundrawn. Under the terms of this facility, \nKingsgate has the option of repaying any funds \ndrawn down under the facility through either \ncash or by issuing ordinary shares. It is intended \nthat this facility will be utilised during the 2014 \nfinancial year for corporate and working capital \npurposes. It is the current intention of the \ncompany to repay any cash drawdown under the \nfacility by the issuance of fully paid ordinary \nshares which would rank parri pasu with all \nexisting ordinary shares, although this position \nwill be reviewed at the appropriate time. The \nnumber of shares has not yet been determined \nand they will be issued at a 2.5% discount to \nVWAP over a period by reference to the draw \ndown date. Shareholder approval is not required.\nMulti-currency and syndicated \nloan facilities\nKingsgate’s Thai operating subsidiary, Akara, \nestablished a six year amortising multi-currency \nloan facility equivalent to US$125 million (fully \ndrawn as at period end) and an additional Thai \nBaht denominated working capital facility \nequivalent to US$15 million (undrawn as at year \nend) during the period. The proceeds from these \nborrowings were used to fully repay the \noutstanding balance on the US$100 million Baht \ndenominated syndicated loan facility in exist-\nence at the beginning of the period as well as to \nrepay part of the corporate loan facility noted \nabove. \nFinancial Position\nShareholders’ equity at 30 June 2013 was $474 \nmillion (2012: $776 million). The decrease of \n$302 million reflects the year’s loss together \nwith dividends paid.\nDividends", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "www.kingsgate.com.au\n64\nFinancial Statements\nwww.kingsgate.com.au\nNote\n2013 \n$’000\n2012 \n$’000\nSales revenue 5a 329,282 357,372\nCost of sales 5b (280,452) (238,825)\nGross profit 48,830 118,547\nExploration expenses (675) (1,933)\nCorporate and administration expenses 5c (21,152) (19,304)\nOther income and expenses 5d (15,490) 1,565\nForeign exchange (loss) / gain (745) 1,268\nBusiness acquisition costs – (964)\nShare of loss in associate 14 (1,353) –\nImpairment losses – Challenger Gold Project 5e (311,850) –\nImpairment losses – exploration assets 5e (20,421) –\nImpairment of investment in associate 5e (537) –\n(Loss) / profit before finance costs and income tax (323,393) 99,179\nFinance income 2,587 1,469\nFinance costs 5f (18,809) (9,371)\nNet finance costs (16,222) ( 7,9 02)\n(Loss) / profit before income tax (339,615) 91,277\nIncome tax benefit / (expense) 6 15,889 (16,271)\n(Loss) / profit after income tax (323,726) 75,006\nOther comprehensive income:\nItems that may be reclassified to profit and loss\nExchange differences on translation of foreign operations (net of tax) 40,455 2,305\nChange in fair value of available-for-sale financial assets (net of tax) (91) (700)\nTotal other comprehensive income for the year, net of tax 40,364 1,605\nTotal comprehensive (loss) / income for the year (283,362) 76,611\n(Loss) / profit attributable to:\nOwners of Kingsgate Consolidated Limited (323,726) 75,159\nNon-controlling interests – (153)\n(Loss) / profit after tax for the year (323,726) 75,006\nTotal comprehensive (loss) / income attributable to:\nOwners of Kingsgate Consolidated Limited (283,362) 76,764\nNon-controlling interests – (153)\nTotal comprehensive (loss) / income for the year (283,362) 76,611\nEarnings per share Cents Cents\nBasic (loss) / earnings per share 31 (213.3) 52.5\nDiluted (loss) / earnings per share 31 (213.3) 52.5\nThe\tabove\tStatement\tof\tComprehensive\tIncome\tshould\tbe\tread\tin\tconjunction\twith\tthe\taccompanying\tnotes.\nStatement of \nComprehensive Income\nfor the year ended 30 June 2013", - "page_start": 65, - "page_end": 65, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n98\nwww.kingsgate.com.au\n25. Reconciliation of profit after income tax to net cash flow \nfrom operating activities\n2013 \n$’000\n2012 \n$’000\n(Loss) / profit for the year (323,726) 75,006\nDepreciation and amortisation 85,595 67,553\nShare-based payments 917 -\nGain on disposal of property, plant and equipment 70 (35)\nImpairment 332,808 1,933\nUnwind of discount rate for provision 1,017 390\nLoss on sale of exploration assets 16,709 -\nAmortisation of deferred borrowing costs 7,594 503\nUnrealised (gains) / losses (559) 685\nShare of associate’s loss 1,353 -\nNet exchange differences 2,253 2,577\nChange in operating assets and liabilities\n(Increase) / decrease in receivables 5,644 (8,767)\n(Increase) / decrease in prepayments (85) 6,938\n(Increase) / decrease in inventories (8,930) 12,166\n(Increase) / decrease in deferred tax asset - 50\n(Increase) / decrease in other operating assets (2,250) ( 7,089)\nIncrease / ( decrease) in current tax liabilities (11,792) 8,702\nIncrease / ( decrease) in creditors (3,181) 3,386\nIncrease / ( decrease) in provisions 1,143 841\nIncrease / ( decrease) in deferred tax liabilities (19,560) 408\nNet cash inflow from operating activities 85,020 165,247\n26. Events occurring after reporting date\nSubsequent to the end of the financial year, the Group has received from its lenders a credit approved term sheet (subject to formal documentation) for the \nrestructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to \n$40,000,000. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n〉〉 Tranche one will be a $25,000,000 Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part \nof the Akara IPO although at Kingsgate’s election repayment can be made by either cash or in Kingsgate’s shares.\n〉〉 Tranche two is an amortising facility with $5,000,000 to be repaid during the 2014 financial year and the balance of $10,000,000 repaid during the 2015 \nfinancial year.\nSubsequent to year-end the Group forward sold 50,000 ounces of gold over a 12 month period at an average price of A$1,435 per ounce to manage \nAustralian gold price risk associated with forecast production from the Challenger Mine.\nKingsgate’s Thai subsidiary, Akara Resources Public Company Limited (“Akara”) has submitted its listing application and draft Prospectus to the Thai \nSecurities Exchange Commission (SEC) and the Stock Exchange of Thailand (SET) for an initial public offering of its shares on the SET.\nThe SEC and SET will review the draft Prospectus in the coming months in order to approve the listing of Akara. The decision to list Akara will depend on \nmarket conditions and other factors at the time of approval.\nNo other matter or circumstance has arisen since 30 June 2013 that has significantly affected, or may significantly affect:\n〉〉 the Group’s operations in future financial years, or\n〉〉 the results of those operations in future financial years, or\n〉〉 the Group’s state of affairs in future financial years.", - "page_start": 99, - "page_end": 99, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "8\nFinance Report\nwww.kingsgate.com.au\nFinance \nReport\nSummary\nKingsgate has recorded the following financial \nperformance for the year to 30 June 2013:\n〉〉 Revenue of $329.3 million.\n〉〉 EBITDA (before significant items) of $115.8 \nmillion.\n〉〉 Profit before tax and significant items of \n$17.2 million.\n〉〉 Loss after tax and significant items of $323.7 \nmillion. This includes a net tax benefit of \n$20.6 million, relating to the Challenger Gold \nOperations (“Challenger”) impairment.\n〉〉 Non-cash asset impairments and other \nsignificant items of $356.8 million pre-tax, \nwith $311.9 million principally relating to \nChallenger ($291.3 million post-tax).\n〉〉 No final dividend has been declared. An \ninterim dividend of 5 cents per share was \ndeclared for the half year to 31 December \n2012. \nEarnings\nThe lower realised gold price of US$1,588 per \nounce (2012: US$1,663 per ounce), lower gold \nsales of 195,948 ounces (2012: 204,145 ounces) \nand industry wide cost pressures had a negative \nimpact on the underlying earnings of the Group. \nThe lower gold price and changes to mine oper-\nating plans also resulted in a major impairment \nto the carrying value of a number of Group \nassets, particularly the Challenger Mine. The \nimpairments were the major contributor to the \nafter tax loss of $323.7 million for the year.\nThe fall in gold sales reflected a 24% decrease in \nproduction at Challenger compared to the prior \nyear due to lower grade and volume of ore \nmined. The lower production at Challenger was \noffset by a 10% increase in gold production at \nthe Chatree Gold Mine (“Chatree”), reflecting \nincreased throughput from the expanded \nChatree processing plant and higher grade ore \nmined.\nCost of sales\nCost of sales before depreciation increased by \n14% to $195.1 million compared to last year and \nlargely reflects increased throughput and \nproduction from Chatree due to the first full \nyear of operation of Plant #2. The total unit cash \ncosts for Chatree for the year were US$767/oz \n(US$620/oz excluding royalties), up from \nUS$618/oz in 2012. The total unit cash costs for \nChallenger for the year were US$1,135/oz (2012: \nUS$862/oz), with the increase mainly due to the \nlower throughput and lower production from \nthe Challenger Mine. On a unit cost basis, total \ncash costs for the Group were US$888/oz, up \nfrom US$720/oz last year.\nDepreciation and amortisation \nThe increase in depreciation and amortisation to \n$85.6 million (2012: $67.6 million) reflects \namortisation of the higher capitalised develop-\nment costs at the Challenger Mine, depreciation \nof Plant #2 at Chatree and commencement of \namortising the capital cost of the Chatree \nTailings Storage Facility #2.\nImpairment and write-downs\nFollowing a strategic review of Challenger, a \nnew mine plan focussing mainly on the \nChallenger West orebody was implemented \neffective 1 July 2013.\nBased on the revised plan Challenger is expected \nto generate positive cash flows though, as a \nresult of this plan together with the continuing \nlow gold price environment, the estimated \nfuture cash flows no longer supported the full \nrecovery of the carrying value. For this reason, \nthe Group has recorded a pre-tax impairment \ncharge of $311.9 million ($291.3 million post \ntax) related to the carrying value of the prop-\nerty, plant and equipment and mine properties \nat Challenger so that the carrying value reflects \nrecoverable value.\nA review of the carrying value of all regional \ngreenfield exploration projects was also \nconducted which resulted in the write down of \n$6.1 million, primarily against the Barton West \nMineral Sands project in South Australia and the \nwrite down of $14.3 million against the carrying \nvalue of exploration projects in Thailand that fall \noutside the Chatree Mine area of influence.\nThe impairment and write-downs are non-cash \nitems and therefore have no impact on the \nCompany’s cash position. The written down \nasset values do not create any concern with", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n86\nwww.kingsgate.com.au\n11. Available-for-sale financial assets 2013 \n$’000\n2012 \n$’000\nEquity securities\nAt the beginning of the year 1,751 2,200\nAdditions – 812\nLoss on change in fair value of available-for-sale financial assets (984) (1,261)\nAt the end of the year 767 1,751\n12. Property, plant and equipment\nOpening balance \nCost 286,590 242,589\nAccumulated depreciation, amortisation and impairment (47,353) (33,104)\nNet book amount 239,237 209,485\nYear ended 30 June\nOpening net book amount 239,237 209,485\nAdditions 15,447 71,552\nReclassified (2,039) (25,882)\nDisposals (630) (28)\nImpairment (64,897) –\nDepreciation and amortisation expense (18,481) (17,6 0 0)\nForeign currency exchange differences 21,594 1,710\nClosing net book amount 190,231 239,237", - "page_start": 87, - "page_end": 87, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n68\nwww.kingsgate.com.au\nNotes to the \nFinancial Statements\nfor the year ended 30 June 2013\nThe Financial Report of Kingsgate Consolidated \nLimited (Kingsgate or the “Company”) for the \nyear ended 30 June 2013 was authorised for \nissue in accordance with a resolution of \nDirectors on 23 September 2013.\nKingsgate is a Company limited by shares incor-\nporated in Australia whose shares are publicly \ntraded on the Australian Securities Exchange \nusing the ASX code KCN. The consolidated \nfinancial statements of the Company as at and \nfor the year ended 30 June 2013 comprise the \nCompany and its subsidiaries (together referred \nto as the “Group” and individually as “Group \nentities”). A description of the nature of the \nGroup’s operations and its principal activities \nis included in the Directors’ Report.\n1. BASIS OF PREPARATION\nThe general purpose financial statements have \nbeen prepared in accordance with Australian \nAccounting Standards, other authoritative \npronouncements of the Australian Accounting \nStandards Board and the Corporations Act 2001. \nThe Company is a for-profit entity for the \npurpose of preparing the financial statements.\nCompliance with IFRS\nThe financial statements comply with \nInternational Financial Reporting Standards \n(IFRS) adopted by the International Accounting \nStandards Board (IASB).\nHistorical cost convention\nThe financial statements have been prepared \nunder the historical cost convention, as modi-\nfied by the revaluation of available-for-sale \nfinancial assets and financial instruments \n(including derivative instruments) at fair value \nthrough profit or loss.\nFunctional and presentation currency\nThe financial statements of the Group entities \nare measured using the currency of the primary \neconomic environment in which the entity \noperates (“the functional currency”). The \nconsolidated financial statements are presented \nin Australian dollars, which is the Company’s \nfunctional currency and presentation currency.\nRounding of amounts\nThe Company is of a kind referred to in ASIC \nClass Order 98/100 dated 10 July 1998 and in \naccordance with that Class Order, all financial \ninformation presented in Australian dollars has \nbeen rounded to the nearest thousand, or in \ncertain cases, the nearest dollar.\nCritical accounting estimates\nThe preparation of financial statements requires \nthe use of certain critical accounting estimates. \nIt also requires management to exercise its \njudgement in the process of applying the \nGroup’s accounting policies. The areas involving \na higher degree of judgement or complexity, or \nareas where assumptions and estimates are \nsignificant to the financial statements are \ndisclosed in Note 3.\n2. SIGNIFICANT ACCOUNTING \nPOLICIES\nThe principal accounting policies adopted in the \npreparation of the financial statements are set \nout below. These policies have been consistently \napplied to all the years presented.\na . Principles of consolidation \n(i) Business combinations\nBusiness combinations are accounted for using \nthe acquisition method as at the acquisition \ndate, which is the date on which control is \ntransferred to the Group. Control is the power to \ngovern the financial and operating policies of an \nentity so as to obtain benefits from its activities. \nIn assessing control, the Group takes into \nconsideration potential voting rights that \ncurrently are exercisable.\nThe consideration transferred for the acquisition \nof a subsidiary comprises the fair values of the \nassets transferred, the liabilities incurred and \nthe equity interests issued by the Group. The \nconsideration transferred does not include \namounts related to the settlement of a pre-\nexisting relationship. Such amounts are gener-\nally recognised in profit or loss.\nCosts related to the acquisition, other than \nthose associated with the issue of debt or equity \nsecurities, that the Group incurs in connection \nwith a business combination are expensed as", - "page_start": 69, - "page_end": 69, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n82\nwww.kingsgate.com.au\n6. Income tax continued\n2013 \n$’000\n2012 \n$’000\nc) Tax recognised in other comprehensive income\nAvailable-for-sale investment revaluation reserve (39) (300)\nForeign exchange losses recognised directly in foreign currency translation reserves 566 103\nTotal tax recognised in other comprehensive income 527 (197)\nd) Deferred tax liabilities offset\nDeferred tax liabilities amounting to $853,000 (2012: $774,000) have been offset against deferred tax asset.\ne) Unrecognised deferred tax assets\nTax losses – Australian entities 211,548 5,627\nTax losses – other entities 9,237 2,185\nTemporary difference 130,113 –\nSubtotal 350,898 7,812\nUnrecognised deferred tax assets 104,345 2,344\nf) Tax consolidation group\nKingsgate Consolidated Limited and its wholly-\nowned Australian subsidiary have implemented \nthe tax consolidation legislation as of 1 July \n2003. The accounting policy in relation to this \nlegislation is set out in Note 2d.\nOn adoption of the tax consolidation legislation, \nthe entities in the tax-consolidation group \nentered into a tax sharing agreement which, in \nthe opinion of the Directors, limits the joint and \nseveral liabilities of the wholly-owned entities in \nthe case of default by the head entity, Kingsgate \nConsolidated Limited.\nThe entities have also entered into a tax funding \nagreement under which the wholly-owned \nentities fully compensate Kingsgate for any \ncurrent tax payable assumed and are compen-\nsated for any current tax receivable and deferred \nassets relating to the unused tax losses or \nunused tax credits that are transferred to \nKingsgate under the tax legislation. The funding \namounts are determined by reference to the \namounts recognised in the wholly-owned enti-\nties’ financial statements. \nThe amount receivable / payable under the tax \nfunding agreement are due upon receipt of the \nfunding advice from the head entity, which is \nissued as soon as practicable after the end of \neach financial year. The head entity may also \nrequire payment of interim funding amounts to \nassist with its obligations to pay tax instalments. \nAssets Liabilities Net\ng) Recognised deferred tax assets \nand liabilities\n2013 \n$’000\n2012 \n$’000\n2013 \n$’000\n2012 \n$’000\n2013 \n$’000\n2012 \n$’000\nDeferred tax assets / liabilities:\nDerivatives 384 808 – – 384 808\nEmployee benefits 1,789 1,571 – – 1,789 1,571\nProvision for restoration and rehabilitation 5,167 3,390 – – 5,167 3,390\nProvision for obsolescence 309 278 – – 309 278\nUnrealised exchange (gains) / losses 1,265 2,990 (2,020) (200) (755) 2,790\nOther items 1,147 1,096 (467) – 680 1,096\nTax losses – 36,334 – – – 36,334\nAvailable-for-sale financial assets 334 78 – (39) 334 39\nMine properties and exploration 3,706 – (11,447) (65,205) (7,741) (65,205)\nTotal deferred tax assets / (liabilities) 14,101 46,545 (13,934) (65,444) 167 (18,899)\nSet off tax (3,706) (36,334) 3,706 36,334 – –\nNet deferred tax assets (liabilities) 10,395 10,211 (10,228) (29,110) 167 (18,899)", - "page_start": 83, - "page_end": 83, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n103\nNotes to the Financial Statements\ncontinued\nu\nThe contractual cash flows presented above in respect of 30 June 2013 and the increase in the one year or less time category of $46,132,000 when \ncompared to 30 June 2012 mainly relates to classification of the corporate loan facility of $20,000,000 and the convertible loan facility of $35,000,000 as \ncurrent liability at 30 June 2013. These facilities were mainly included in the one to two years and two to five years’ time category at 30 June 2012. As indi-\ncated in Note 16, these facilities have been classified as current liabilities at 30 June 2013 on the basis that at balance sheet date it was the Group’s intention \nto restructure and amalgamate these facilities in the next financial year.\nSubsequent to the end of the financial year, the Group has received from its lenders a credit approved term sheet (subject to formal documentation) for the \nrestructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to \n$40,000,000. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n〉〉 Tranche one will be a $25,000,000 Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part \nof the Akara IPO although at Kingsgate’s election repayment can be made by either cash or in Kingsgate’s shares.\n〉〉 Tranche two is an amortising facility with $5,000,000 to be repaid during the 2014 financial year and the balance of $10,000,000 repaid during the 2015 \nfinancial year.\nThe Group also has a three year $25,000,000 Convertible Revolving Credit Facility available. At the date of this report the facility is undrawn. Under the \nterms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is \nintended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the Company \nto repay any cash drawdown under the facility by issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although \nthis position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP \nover a period by reference to the draw down date. Shareholder approval is not required.\nAs indicated in Note 16, Kingsgate’s Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to \nUS$125,000,000 (fully drawn as at year end) and an additional Thai Baht denominated working capital facility equivalent to US$15,000,000 (undrawn as at \nyear end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100,000,000 Baht denomi-\nnated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n(d) Fair value measurements\nThe carrying values of financial assets and liabilities of the Group approximate their fair values. Fair values of financial assets and liabilities have been deter-\nmined for measurement and / or disclosure purposes.\nFair value hierarchy\nThe Group classifies assets and liabilities carried at fair value using a fair value hierarchy that reflects the significance of the inputs used in determining that \nvalue. The table following analyses financial instruments carried at fair value, by the valuation method. The different levels in the hierarchy have been defined \nas follows:\n〉〉 Level 1: quoted prices (unadjusted) in active markets for identical assets or liabilities;", - "page_start": 104, - "page_end": 104, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "To which countries extend the marriage regulations ?", - "target_page": 1, - "target_passage": "These Regulations extend to England and Wales. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 538 \nMARRIAGE, ENGLAND AND WALES \nThe Marriage (Keeping of Records in Churches and Chapels) \nRegulations 2021 \nMade - - - - 29th April 2021 \nComing into force - - 4th May 2021 \nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c )(v), (1A)(a) and (3) of the Marriage Act \n1949( a). \nCitation, commencement, extent and interpretation \n1. —(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \nChapels) Regulations 2021. \n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a c hapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies( b). \nDuty of parochial church councils to provide registers of marriage services \n2. —(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(c) in that parish in \nwhich banns of matrimony may be published. \n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under para graph (1) must meet the requirements of \nparagraphs (4) and (5). \n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \nof a marriage, the register must be printed in such a way that it— \n \n(a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amende d by Schedule 2 to the Registration Service Act 195 3 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Re gistration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(b) See section 68(2) of the Marriage Act 1949. The c ertification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(c) Section 78(2) of the Marriage Act 1949 provides f or references to the Church of England to be constr ued as including \nreferences to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "3\nI approve \n \n Kevin Foster \n Parliamentary Under Secretary of State \n29th April 2021 Home Office \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other th an chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish i n which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by th e member of the clergy by whom the \nmarriage was solemnized. \nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "2\n(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n(b) provides corresponding spaces for recording informa tion required by each of those sub-\nparagraphs in relation to the marriage. \n(6) A register of marriage services provided under para graph (1) by a parochial church council \nbelongs to that parochial church council. \nDuty to record information about marriages solemnized according to the rites of the Church \nof England or Church in Wales \n3. —(1) Paragraphs (2), (3) and (4) apply where a marr iage has been solemnized according to the \nrites of the Church of England in a church or chape l in which banns of matrimony may be \npublished. \n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the f ollowing information in relation to that \nmarriage in a register of marriage services provide d to the church or chapel under regulation \n2(1)— \n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) the names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n(g) the name and surname of each of the witnesses in wh ose presence the marriage was \nsolemnized; \n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \nRequirements about the keeping of registers of marriage services \n4. —(1) The rector, vicar or curate in charge of a chu rch or chapel to which a register of marriage \nservices has been provided under regulation 2(1) must— \n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \ntheft, loss or damage. \n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulatio n 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated. \n \n \nGiven under my hand on 29th April 2021 \n \n Abi Tierney \n Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "32 \nSCHEDULES \n SCHEDULE 1 Regulation 2(1) \nCategory 1 countries and territories \nAustralia \nBrunei \nFalkland Islands \nFaroe Islands \nGibraltar \nIceland \nIsrael \nNew Zealand \nPortugal, including the Azores and Madeira \nSaint Helena, Ascension and Tristan da Cunha \nSingapore \nSouth Georgia and the South Sandwich Islands \n SCHEDULE 2 Regulation 2(1) \nCategory 2 countries and territories \nAny country or territory outside the common travel area not listed in Schedule 1 or Schedule 3. \n SCHEDULE 3 Regulation 2(1) \nCategory 3 countries and territories \n \nAngola \nArgentina \nBangladesh \nBolivia \nBotswana \nBrazil \nBurundi \nCape Verde \nChile", - "page_start": 31, - "page_end": 31, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "9\n(6) Regulation 6 does not apply to a person (“P”) where P is— \n(a) a person described in paragraph 1(1)(a) to (h) or ( k) of Schedule 4 or a member of the \nfamily forming part of the household of such a person; \n(b) a person described in paragraph 1(1)(i) or (j) (rep resentatives of foreign countries or \nterritories or British Overseas Territories) of Sch edule 4 where the conditions in \nparagraph (7) of this regulation are met; \n(c) a member of the family forming part of the household of a person to whom paragraph (b) \napplies, where— \n(i) the conditions in paragraph (7) are met in relation to the person to whom paragraph \n(b) applies, \n(ii) the Foreign, Commonwealth and Development Office ha s been notified of P’s \narrival, and \n(iii) the Foreign, Commonwealth and Development Office ha s confirmed that P is not \nrequired to comply with regulation 6; \n(d) a person described in paragraph 1(2) (G7 attendees etc) of Schedule 4; \n(e) a person described in paragraph 16(1)(a) or (b) (pe rsons certified as returning from \nessential state business etc.) of Schedule 4 where the relevant Department has certified \nthat P meets this description and is not required to comply with regulation 6; \n(f) a person described in paragraph 17 (essential or em ergency work outside the United \nKingdom) of Schedule 4 where the relevant Departmen t has certified that P is not \nrequired to comply with regulation 6. \n(7) The conditions specified in this paragraph are that , prior to P’s departure to the United \nKingdom— \n(a) the relevant head of the mission, consular post, or office representing a foreign territory in \nthe United Kingdom, or a Governor of a British overseas territory (as the case may be), or \na person acting on their authority, confirms in writing to the Foreign, Commonwealth and \nDevelopment Office that P is required to undertake work in the United Kingdom which is \nessential to the foreign country represented by the mission or consular post, the foreign \nterritory represented by the office or the British overseas territory; and \n(b) the Foreign, Commonwealth and Development Office ha s then confirmed in writing to \nthe person giving the confirmation referred to in paragraph (a) that— \n(i) it has received that confirmation, and \n(ii) P is travelling to the United Kingdom to conduct of ficial business with the United \nKingdom and is not required to comply with regulation 6. \n(8) Where a word or expression is defined for the purpo ses of Schedule 4 and is used in \nparagraphs (6) or (7) of this regulation, the same definition applies for the purposes of those \nparagraphs. \nRequirement to book and undertake tests \n6. —(1) This regulation applies to a person (“P”) spec ified in paragraph (1) of regulation 5 \n(requirements relating to tests) who— \n(a) intends to remain in England for two days or more after the day of their arrival; or \n(b) intended to remain in England for less than two day s after the day of their arrival but in \nfact remains in England for two days or more. \n(2) Where P is a person mentioned in paragraph (1)(b)— \n(a) the obligation under paragraph (3) to possess a testing package on arrival does not apply; \n(b) paragraph (4) applies to P as if the words “required under paragraph (3)” were omitted. \n(3) Where P is an adult, P must on their arrival in England possess a testing package— \n(a) for themselves; and", - "page_start": 8, - "page_end": 8, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "34 \n SCHEDULE 4 Regulation 2(5) \nExemptions \n1. —(1) A person (“P”), other than a person described in sub-paragraph (2), who is— \n(a) a member of a diplomatic mission in the United Kingdom; \n(b) a member of a consular post in the United Kingdom; \n(c) an officer or servant of an international organisation; \n(d) employed by an international organisation as an expert or on a mission; \n(e) a representative to an international organisation; \n(f) a representative at an international or United King dom conference who is granted \nprivileges and immunities in the United Kingdom; \n(g) a member of the official staff of a representative to an international organisation, or of a \nperson falling within paragraph (f); \n(h) described in paragraph (a) or (b) who is passing th rough the United Kingdom to \ncommence or continue their functions at a diplomatic mission or consular post in another \ncountry or territory, or to return to the country of their nationality; \n(i) a representative of a foreign country or territory travelling to the United Kingdom to \nconduct official business with the United Kingdom; \n(j) a representative of the government of a British overseas territory; \n(k) a diplomatic courier or a consular courier; \n(l) a member of the family forming part of the househol d of a person falling within any of \nparagraphs (a) to (k). \n(2) A person (“P”) where— \n(a) P either— \n(i) travelled to the United Kingdom for the purpose of attending or facilitating a G7 \nevent, and P is in England for the purpose of atten ding or facilitating a G7 event or \nof travelling in order to leave England, or \n(ii) travelled to the United Kingdom for another purpose , and after their arrival in \nEngland is attending, facilitating, or travelling to or from a G7 event; \n(b) P has been invited by Her Majesty’s Government to attend or facilitate the event; \n(c) the relevant person has provided written confirmati on to the relevant Department that P \nwill comply with the health protocols for the event; and \n(d) the relevant Department has provided written confirmation to the relevant person that P is \na person described in this sub-paragraph. \n(3) The conditions referred to in regulation 9(15)(a)(i ) (persons who are not required to comply \nwith regulation 9) are that— \n(a) the relevant head of the mission, consular post, in ternational organisation, or conference, \noffice representing a foreign territory in the Unit ed Kingdom or a Governor of a British \noverseas territory (as the case may be), or a perso n acting on their authority, confirms in \nwriting to the Foreign, Commonwealth and Development Office that— \n(i) P is required to undertake work which is essential to the functioning of the mission, \nconsular post, international organisation, conference, or office, or to undertake work \nwhich is essential to the foreign country represented by the mission or consular post, \nthe foreign territory represented by the office or the British overseas territory, and \n(ii) that work cannot be undertaken whilst P is complying with regulation 9; and", - "page_start": 33, - "page_end": 33, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 438 \nTAXES \nThe International Tax Compliance (Amendment) Regulations \n2020 \nMade - - - - 20th April 2020 \nLaid before the House of Commons 21st April 2020 \nComing into force - - 13th May 2020 \nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the \nFinance Act 2013( a): \nCitation and commencement \n1. These Regulations may be cited as the Internationa l Tax Compliance (Amendment) \nRegulations 2020 and come into force on 13th May 2020. \nAmendments to the International Tax Compliance Regulations 2015 \n2. —(1) The International Tax Compliance Regulations 2 015( b) are amended as follows. \n(2) In regulation 1(3)(b)(i), for “16th May 2019” subst itute “19th April 2020”( c). \n(3) In regulation 3(4A)(a), at the beginning insert “subject to regulation 24(3)”. \n(4) In regulation 24— \n(a) in the table in paragraph (2), in the column headed “the CRS”— \n(i) at the beginning of the entry for “new account” ins ert “subject to paragraph (3)”, and \n(ii) at the beginning of the entry for “pre-existing acc ount” insert “subject to regulation \n3(4A)(a) and paragraph (3)”, and \n(b) after paragraph (2) insert— \n“(3) In respect of the accounts listed in paragraph (4)— \n \n(a) 2013 c. 29; section 222 was amended by section 50 of the Finance (No. 2) Act 2015 (c. 33) but the am endments are not \nrelevant to these Regulations. \n(b) S.I. 2015/878 (referred to in these footnotes as “the principal Regulations”); relevant amending ins truments are S.I. \n2017/598, 2018/490 and 2019/881. \n(c) In accordance with the common reporting standard for automatic exchange of financial account informa tion developed by \nthe Organisation for Economic Co-operation and Deve lopment and adopted by the United Kingdom, the Unit ed Kingdom \nexchanges information received from financial insti tutions under the principal Regulations with a terr itory which is a \n“Reportable Jurisdiction” under the CRS and with wh ich the United Kingdom has entered into internation al exchange \narrangements for that year. Reportable Jurisdictions are identified in a published list available at h ttps://www.gov.uk/hmrc-\ninternal-manuals/international-exchange-of-information/ieim402340. A hard copy of this list is availab le for inspection at \nthe offices of HMRC at 10 South Colonnade, 9th Floor, Canary Wharf, London E14 4PU.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 93 \nFigure 32: Age classes and work-related health problems in 2007, 2013, 2020 – LFS ad hoc module \n \nWhen looking at the differences between countries in 2020, the countries with the highest values are: \nPoland (36.6%), Finland (2 5.7%) and Sweden (20.3%); all three are far above the average. Austria, \nLuxembourg and Germany have figures close to the EU 27 average of 10.3%. In most other countries \nthe response values are under or close to 6%, like in Estonia, Romania, Ireland, Latvia, Lithuania, \nHungary, Malta, Bulgaria, Greece, Croatia, Cyprus, Czechia and Slovenia. 257", - "page_start": 92, - "page_end": 92, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "6\n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations make amendments to secondary legi slation relating to special educational \nneeds and disability in order to provide exceptions to time limits set out in that legislation where \nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus. \nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review \nthe effectiveness of the Regulations during the per iod in which they have effect. The Regulations \ncease to have effect on 25th September 2020. \nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the \nSEND Regulations 2014’). \nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain \nrequirements in those Regulations for actions to be taken within specified time limits where it is \nnot reasonably practicable for a person to meet tho se requirements for a reason relating to the \nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a \nrequirement for such action to be taken as soon as reasonably practicable. \nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits. \nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 \n(‘the Personal Budgets Regulations 2014’). \nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as \nregulation 5 does in respect of the SEND Regulations 2014. \nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) \nRegulations 2015 (‘the Detained Persons Regulations 2015’). \nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to \nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal \nBudgets Regulations 2014 respectively. \nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax \ntime limits. \nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal \nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’). \nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to \nthose in regulations 5, 17 and 20. \nAn impact assessment has not been produced for this instrument as this is a temporary, emergency \nmeasure and no significant impact on business, charities or voluntary bodies is foreseen. \nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk. \n \n \n© Crown copyright 2020 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "July 2018 on common rules in the field of civil avi ation and establishing a European Union Aviation Sa fety Agency, and \namending Regulations (EC) No 2111/2005, (EC) No 100 8/2008, (EU) No 996/2010, (EU) No 376/2014 and Dire ctives \n2014/30/EU and 2014/53/EU of the European Parliamen t and of the Council, and repealing Regulations (EC ) No 552/2004 \nand (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91.", - "page_start": 41, - "page_end": 41, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "What the parochial church council must provide to make marriage records ?", - "target_page": 1, - "target_passage": " The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(c) in that parish in which banns of matrimony may be published.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 538 \nMARRIAGE, ENGLAND AND WALES \nThe Marriage (Keeping of Records in Churches and Chapels) \nRegulations 2021 \nMade - - - - 29th April 2021 \nComing into force - - 4th May 2021 \nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c )(v), (1A)(a) and (3) of the Marriage Act \n1949( a). \nCitation, commencement, extent and interpretation \n1. —(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \nChapels) Regulations 2021. \n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a c hapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies( b). \nDuty of parochial church councils to provide registers of marriage services \n2. —(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(c) in that parish in \nwhich banns of matrimony may be published. \n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under para graph (1) must meet the requirements of \nparagraphs (4) and (5). \n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \nof a marriage, the register must be printed in such a way that it— \n \n(a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amende d by Schedule 2 to the Registration Service Act 195 3 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Re gistration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(b) See section 68(2) of the Marriage Act 1949. The c ertification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(c) Section 78(2) of the Marriage Act 1949 provides f or references to the Church of England to be constr ued as including \nreferences to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "3\nI approve \n \n Kevin Foster \n Parliamentary Under Secretary of State \n29th April 2021 Home Office \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other th an chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish i n which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by th e member of the clergy by whom the \nmarriage was solemnized. \nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "2\n(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n(b) provides corresponding spaces for recording informa tion required by each of those sub-\nparagraphs in relation to the marriage. \n(6) A register of marriage services provided under para graph (1) by a parochial church council \nbelongs to that parochial church council. \nDuty to record information about marriages solemnized according to the rites of the Church \nof England or Church in Wales \n3. —(1) Paragraphs (2), (3) and (4) apply where a marr iage has been solemnized according to the \nrites of the Church of England in a church or chape l in which banns of matrimony may be \npublished. \n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the f ollowing information in relation to that \nmarriage in a register of marriage services provide d to the church or chapel under regulation \n2(1)— \n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) the names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n(g) the name and surname of each of the witnesses in wh ose presence the marriage was \nsolemnized; \n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \nRequirements about the keeping of registers of marriage services \n4. —(1) The rector, vicar or curate in charge of a chu rch or chapel to which a register of marriage \nservices has been provided under regulation 2(1) must— \n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \ntheft, loss or damage. \n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulatio n 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated. \n \n \nGiven under my hand on 29th April 2021 \n \n Abi Tierney \n Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "Microsoft Excel \n St. George’s Information Services", - "page_start": 3, - "page_end": 3, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "pragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in\nLouis's thinking was the prevailing contemporary European principle to assure socio-political stability, cuius regio, eius religio\n(\"whose realm, his religion\"), the idea that the religion of the ruler should be the religion of the realm (as originally confirmed in\ncentral Europe in the Peace of Augsburg of 1555).[67]\nResponding to petitions, Louis initially excluded Protestants from office, constrained the meeting of synods, closed churches\noutside of Edict-stipulated areas, banned Protestant outdoor preachers, and prohibited domestic Protestant migration. He also\ndisallowed Protestant-Catholic intermarriages to which third parties objected, encouraged missions to the Protestants, and\nFrance as the pivot of warfare\nEdict of Fontainebleau", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "78 \n(d) to visit a person (“D”) whom P reasonably believes is dying, and where P is a member of \nD’s household or a close family member or friend of D; \n(e) to attend the funeral of a member of P’s household or a close family member; \n(f) in other exceptional circumstances such as— \n(i) to seek medical assistance where this is required u rgently or on the advice of a \nregistered medical practitioner including to access services from dentists, opticians, \naudiologists, chiropodists, chiropractors, osteopat hs and other medical and health \npractitioners, including services relating to mental health, \n(ii) to access critical public services including social services or services provided to \nvictims (such as victims of crime), \n(iii) to avoid injury or illness or to escape risk of harm, \n(iv) to access veterinary services where this is require d urgently or on the advice of a \nveterinary surgeon. \n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the \ngrounds mentioned in sub-paragraph (1)(c), (d) or (e)— \n(a) if P has been given prior permission by a person au thorised by the Secretary of State for \nthis purpose; \n(b) if P complies with any reasonable requirements impo sed by the person so authorised in \nrelation to the exercise, the visit to the person or attendance at the funeral. \nMeaning of “place” \n14. For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room \nin the designated accommodation where P is staying and, if connected to the room where P is \nstaying, the room of any person referred to in para graph 11(a) (travelling companion), including \nany balcony, and does not include the communal area s or any garden, yard, passage, stair, garage, \nouthouse or appurtenance of the accommodation in which the place is situated. \nDesignations \n15. The Secretary of State must designate for the purposes of this Schedule— \n(a) accommodation; \n(b) transportation to the designated accommodation, \nand must publish details of the designations in such manner as appears to the Secretary of State to \nbe appropriate. \nDuties where P is a child \n16. If P is a child— \n(a) any person who has custody or charge of P when P is travelling to England must ensure, \nso far as is reasonably practicable, that P complie s with the obligations in paragraphs 5 \nand 6; \n(b) any person who has custody or charge of P during P’ s period of self-isolation must \nensure, so far as is reasonably practicable, that P self-isolates in accordance with this \nSchedule. \nPerson caring for P \n17. A person may reside in the place where P is residi ng pursuant to this Schedule to provide \nassistance P reasonably requires by reason of— \n(a) P being a child; or \n(b) any disability of P’s,", - "page_start": 77, - "page_end": 77, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Copyright Government of Botswana \n (1) The High Court shall have jurisdiction to hear and determine any question whether- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant; (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker. (2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker. (3) Parliament may make provision with respect to- (a) the persons who may apply to the High Court for the determination of any question under this section; (b) the circumstances and manner in which the conditions upon which any such application may be made; and (c) the powers, practice and procedure of the High Court in relation to any such application. 70. Clerk of the Assembly (1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service. (2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service. PART II General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members The Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance. 72. Presiding in Assembly There shall preside at any sitting of the National Assembly- (a) the Speaker; (b) in the absence of the Speaker, the Deputy Speaker; or (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting. 73. Quorum in Assembly If objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly. 74. Voting in Assembly (1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting. (2) ... (3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost. 75. Unqualified persons sitting or voting Any person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 30 of 57", - "page_start": 29, - "page_end": 29, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "£4.90 \nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the prison population grew in average by year between 1993 and 2008 ?", - "target_page": 8, - "target_passage": "The prison population grew rapidly between 1993 to 2008, at an average of 4% a year.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Prison Population Projections 2014 – 2020 \n2. Recent trends in the population \nThe ‘Story of the Prison Population 1993 to 2012’ is an in-depth look at what \nhappened to the prison population between 1993 and 2012 and the major \nfactors contributing to the changes.4 \nThe prison population grew rapidly between 1993 to 2008, at an average of \n4% a year. This rapid rise was driven by: \n increased numbers of people sentenced to immediate custody from \n1993 to 2002; \n increases in the average custodial sentence length and increased use \nof indeterminate sentences; and \n an increase in numbers recalled to prison following breaches of the \nconditions of licence and these offenders spending longer in prison \nonce recalled. \n \nThe rise in the prison population slowed considerably from the summer of \n2008, in part due to the introduction of the Criminal Justice and Immigration \nAct (CJIA) 20085 which changed sentencing and offender management in \nways which helped to reduce growth in the prison population. \nThis flatter trend continued until the public disorder seen in UK cities from 6 to \n9 August 2011 which had an immediate but temporary impact on the prison \npopulation. \nDuring 2012 and into 2013, the prison population began to fall due to a falling \nremand population and a continued decline in the number of under 18s in \ncustody. The falling remand population during 2012 reflected falling volumes \ngoing through the courts plus the introduction, in December 2012, of \nmeasures restricting the use of remand for all offenders who would be unlikely \nto receive a custodial sentence.6 \nFrom the end of August 2013 to the end of October 2013, the remand \npopulation rose sharply, driving an overall increase in the prison population. \nThis was being driven by an increase in demand in the Crown Courts, \nespecially among more serious tri-able either way cases. The total population \nhas continued to rise since the beginning of 2014 and reached 85,9257 on the \n \n4 Story of the Prison Population: www.gov.uk/government/publicati ons/story-of-the-prison-\npopulation-1993-2012 \n5 services.parliament.uk/bills/2007-08/crimi naljusticeandimmigration.html \n6 http://services.parliament.uk/bills/2010-11/legalaidsentencingandpunishmentofoffenders.html \n7 www.gov.uk/government/statistics/priso n-population-figures-2014 \n6", - "page_start": 7, - "page_end": 7, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n4. Results \nThe Central Scenario estimates that the prison population will rise to 87,700 \nby the end of June 2015 and to 90,200 by the end of June 2020. \nChart 2 presents Prison population projections from November 2014 to \nDecember 2020. \nChart 2: Projected monthly prison population (all scenarios) \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\n100,000\n105,000\nNov-14\nMar-15 Jul-15 Nov-15\nMar-16\nJul-16 Nov-16\nMar-17\nJul-17\nNov-17\nMar-18 Jul-18 Nov-18\nMar-19\nJul-19\nNov-19\nMar-20 Jul-20 Nov-20\nMonth End\nPrison Population\nScenario 1 Central Scenario Scenario 2\n \nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 \nby the end of June 2015 and then fall to 81,400 by the end of June 2020. \nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 \nby the end of June 2015 and to 98,900 by the end of June 2020. \nThe projected trends reflect the cumulative impacts of the various sentencing, \nlegislative and procedural assumptions that are used to generate the \nprojections. The seasonal pattern reflects the dip in the prison population \nwhich is always seen around the Christmas period. \nIn the Central Scenario, the prison population is expected to rise to 90,200 by \nJune 2020. The projected population increase is largely due to the recent \ntrends in case mix where we have seen more serious cases come before the \ncourts. This results in offenders receiving longer custodial sentence lengths, \nwhich in turn places an upward pressure on the prison population. The growth \nin this scenario is largely driven by the rise in the determinate population \nwhich is projected to grow to 60,200 by June 2020. This is partially due to the \n11", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nAppendix A: Additional tables9 \nAnnual tables of overall projected prison population \nTable A1: Projected prison population (end of June figures) \nScenario 1 Central Scenario 2\nJun-15 87,100 87,700 88,900\nJun-16 86,800 89,100 92,000\nJun-17 85,200 89,300 93,600\nJun-18 83,900 89,700 95,800\nJun-19 82,600 90,100 97,600\nJun-20 81,400 90,200 98,900\nSentencing Scenarios\n \nTable A2: Average projected prison population (financial year figures) \n \nScenario 1 Central Scenario 2\n2015/16 87,000 88,200 89,700\n2016/17 86,200 89,100 92,400\n2017/18 84,700 89,300 94,100\n2018/19 83,400 89,800 96,300\n2019/20 82,200 90,100 97,900\nSentencing Scenarios\n \nTable A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario \nprojections (end of June figures) \n2013 2014 Difference\nJun-14 83,400 -- --\nJun-15 82,100 87,700 6.8%\nJun-16 82,000 89,100 8.6%\nJun-17 81,600 89,300 9.4%\nJun-18 81,500 89,700 10.1%\nJun-19 81,800 90,100 10.2%\nJun-20 -- 90,200 --\nSentencing Scenarios\n \n \n9 All figures are rounded to the nearest hundred. Sub-populations may not sum to total \npopulations due to rounding and due to overlaps in some sub-population categories. \n15", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nContents \nKey points 2 \n1. Central Scenario 4 \n2. Recent trends in the population 6 \n3. Modelling methodology and projection scenarios 8 \n4. Results 11 \n5. Previous Projections 13 \n6. Caveats on prison population projections 14 \nAppendix A: Additional tables 15 \nAppendix B: Detail of models, scenarios and assumptions 21 \nContact Points for further information 28 \n \n \n \n1", - "page_start": 2, - "page_end": 2, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n3a) Producing prison population projections \nPrison population projections are produced using the Prison Population Stock-\nFlow Model. The principal sub-populations in prison – determinate sentence, \nlife sentence, imprisonment for public protection (IPP) and remand – are \nmodelled using stock-flow structures based on the generic structure shown in \nFigure B2. The stock-flow structures model the flow of offenders into and out \nof prison and count the resulting prison population at the end of each month. \nFigure B2: Generic stock-flow structure in the Prison Population Stock-Flow \nModel \nPrison Population\nReceptions / Pre-tariff ends Discharges\nAverage Time Served\nPrison Population\nReceptions / Pre-tariff ends Discharges\nAverage Time Served \nFor the determinate population, the monthly inflows to prison are based on the \ncustodial convictions projections described above. These custodial convictions \ninclude offenders that may already be serving a sentence for a previous crime \nor those who would serve their whole custodial sentence on remand, meaning \nthat they would not be a new reception to prison. To convert from custodial \nconvictions to prison receptions we apply a conversion ratio derived from the \nhistorical proportions of custodial convictions to prison receptions for each \nsub-population averaged over the last twelve months of historical data (April \n2013 to March 2014 inclusive). \nMonthly outflows for the determinate population are based on observed \ncustodial sentence lengths and the observed percentage of sentence length \nserved taken from October 2013 to April 2014. Each projected offender that \nenters the model is given a custodial sentence length that is randomly \nselected from the relevant distribution. These distributions are populated with \ncustodial sentence lengths from actual offender receptions who share the \nsame characteristics of offence, gender and age group in the observed time \nperiod. The percent of custodial sentence length served is derived in the same \nmanner, except that the observed distribution is made up of discharged \noffenders further disaggregated by custodial sentence length band. \nFor offenders who receive the new EDS sentence an adjustment is made to \nthe percent of custodial length served to reflect that these offenders will spend \na greater proportion of their sentence in custody than standard determinate \nsentenced offenders discharged to date. \nProjected prison receptions are sub-divided by age category (Juvenile, Young \nAdult, Adult) with the exact age of the offender attributed in the same manner \nas the custodial sentence lengths. This allows the model to explicitly age the \noffenders whilst in prison (e.g. move from Juvenile to Young Adult categories). \n25", - "page_start": 26, - "page_end": 26, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n21 November 2014. The latest projections assume demand in the courts \nremains at this higher level. \nTable 1 summarises these changes. \nTable 1: Population in custody changes from 2006 to 2014 \nStart of Year End of Yea r\nJune 2006 to June 2007 77,982 79,734 2.2%\nJune 2007 to June 2008 79,734 83,194 4.3%\nJune 2008 to June 2009 83,194 83,454 0.3%\nJune 2009 to June 2010 83,454 85,002 1.9%\nJune 2010 to June 2011 85,002 85,374 0.4%\nJune 2011 to June 2012 85,374 86,048 0.8%\nJune 2012 to June 2013 86,048 83,842 -2.6%\nJune 2013 to June 2014 83,842 85,509 2.0%\nOffender Management Statistics Year on year % \ndifference\n \nFurther statistics and commentary on the changes seen in prison population \nover the last year, is presented in the Offender Management Statistics \nQuarterly publication. This is available online on GOV.UK at: \nwww.gov.uk/government/collections/offender-management-statistics-quar terly \n \n \n7", - "page_start": 8, - "page_end": 8, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n \nAt the core of the method is a model of flows of offenders into and out of \nprison which counts the resulting prison population each month for sentenced, \nrecall and remand prisoners. \nInputs to the prison projections model include projections of future custodial \nconvictions. These are generated from time series projections of numbers of \ndefendants entering the criminal courts and take into account the age, gender \nand offence of defendants entering the system, the flow of cases through the \ncourts and the sentences which concluded cases attract. \nThe prison projections model monitors the sizes of the sentenced, recall and \nremand prison populations. These populations depend on the inflows defined \nabove and the outflows. These outflows are defined by observed distributions \nof custodial sentence lengths, and the proportion of custodial sentences \nserved for subsets of these populations. The model also simulates the ageing \nof the prison population over time. \nThe projection model is based on data up to June 2014 from various sources \nincluding court proceedings and performance data, sentencing data and \nprison receptions and population data. \nThe results of the prison projections model are supplemented with an estimate \nof the future non-criminal and fine defaulter populations, which is based on the \nlatest available data to September 2014. \nThree scenarios have been modelled. These scenarios track the impact of \nthree different incremental changes in sentencing behaviour: \n The Central Scenario assumes custodial convictions are broadly in line \nwith recent trends. The average length of sentence is assumed to be \nflat based on recent trends in sentence lengths. This broadly reflects \nthe assumptions for Scenario 2 in the November 2013 projections. \nWe also consider two illustrative scenarios \n Scenario 1 assumes that custodial convictions will fall against recent \ntrends. The average length of sentence is assumed to be lower than \nwhat has been observed in recent trends in sentence lengths. \n Scenario 2 assumes a rise in custodial convictions when compared to \nrecent trends. Also the average length of sentence is assumed to be \nhigher than what has been observed in recent trends in sentence \nlengths. \nThe three scenarios also incorporate the impact of: \n trends in the age, gender and offence of defendants entering the \nsystem and in the flow of cases through the courts; \n9", - "page_start": 10, - "page_end": 10, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nKey points \nThis bulletin presents projections of the prison population in England and \nWales from November 2014 to December 2020. The prison population \nprojections are based on assumptions about future custodial convictions and \nincorporate the anticipated impacts of agreed policy and procedural initiatives. \nThe “Central Scenario” estimates that the prison population will increase from \nthe current position 85,9251 to 87,700 by June 2015. By the end of June 2020 \nthe prison population is projected to be 90,200. This Central Scenario is our \nbest estimate based on the available information. The projected prison \npopulation under our Central Scenario is shown in Chart 1. \nThe prison population projections are produced using a model of flows of \noffenders into and out of prison which counts the resulting prison population \neach month. \nChart 1: Projected prison population (Central Scenario) \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\n100,000\n105,000\nNov-14\nMar-15 Jul-15\nNov-15\nMar-16 Jul-16\nNov-16\nMar-17\nJul-17\nNov-17 Mar-18\nJul-18\nNov-18 Mar-19\nJul-19\nNov-19\nMar-20\nJul-20 Nov-20\nMonth End\nPrison Population\nCentral Scenario\n \nThe Central Scenario has been modelled assuming custodial convictions are \nbroadly in line with recent trends and average length of sentence to be flat \nbased on recent trends. \nThe projections do not attempt to estimate the impact of any future \nGovernment policy that is yet to achieve Royal Assent, and therefore become \nless certain over time. \n \n1 As at 21 November 2014: www.gov.uk/government/statistics/prison- population-figures-2014 \n2", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n5. Previous Projections \nAt the end of September 2014 the published prison population was within 1.8 \n% of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 \nScenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does \nnot indicate which scenario the actual prison population will track going \nforward. \nDifferences between the 2013 projections and the actual population could be \nexplained by changes, different to those projected, in overall demand, offence \nmix, age and gender of defendants, court routes, custody rates or sentence \nlengths. \nChart 3 plots the 2014 Central Scenario projection against the three 2013 \nprison population projections. The 2014-2020 Central Scenario projection is \nabove all three scenarios from last year. The higher level of the new \nprojections can be attributed to a more serious case mix coming into the \ncourts with a resulting increase in average custodial sentence lengths. The \nprojection for June 2019 in the Central Scenario this year is 10.2 % above the \nequivalent scenario (Scenario 2) last year. \nChart 3: Comparing 2013 and 2014 projections (November 2014 – December \n2020) \n \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\nNov-14\nMar-15\nJul-15\nNov-15\nMar-16 Jul-16\nNov-16\nMar-17\nJul-17\nNov-17\nMar-18\nJul-18\nNov-18\nMar-19\nJul-19\nNov-19\nMar-20\nJul-20\nNov-20\nMonth End\nPrison Population\n2014 Central Scenario 2013 Scenario 1 2013 Scenario 2 2013 Scenario 3\n \n13", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nFigure B1: Key Components of the prisons projections modelling system \nImpacts of \nLegislation \nand Process \nChange\nHistorical \nDefendants \nProceeded \nAgainst\nHistorical \nPrison \nReceptions\nHistorical \nTime \nServed Data\nDemand \nProjections \nModel\nFuture Defendants \nProceeded Against \nby Offence Type\nPrison Projections\nPrison \nPopulation \nStock-Flow \nModel\nFuture Offenders \nDisposed of by \nDisposal, Age and \nGender\nFuture Offenders \nwith a Custodial \nConvictions by Age \nand Gender\nHistorical \nAge and \nGender Data\nHistorical \nCourt \nDisposals \nData\nHistorical \nCourt Route \nData\nImpacts of \nLegislation \nand Process \nChanged\nInput\nModel\nOutput\nKey\nCourts and \nSentencing \nModule\n1\n2\n3\nImpacts of \nLegislation \nand Process \nChange\nImpacts of \nLegislation \nand Process \nChange\nHistorical \nDefendants \nProceeded \nAgainst\nHistorical \nDefendants \nProceeded \nAgainst\nHistorical \nPrison \nReceptions\nHistorical \nPrison \nReceptions\nHistorical \nTime \nServed Data\nHistorical \nTime \nServed Data\nDemand \nProjections \nModel\nDemand \nProjections \nModel\nFuture Defendants \nProceeded Against \nby Offence Type\nFuture Defendants \nProceeded Against \nby Offence Type\nPrison Projections\nPrison Projections\nPrison \nPopulation \nStock-Flow \nModel\nPrison \nPopulation \nStock-Flow \nModel\nFuture Offenders \nDisposed of by \nDisposal, Age and \nGender\nFuture Offenders \nDisposed of by \nDisposal, Age and \nGender\nFuture Offenders \nwith a Custodial \nConvictions by Age \nand Gender\nFuture Offenders \nwith a Custodial \nConvictions by Age \nand Gender\nHistorical \nAge and \nGender Data\nHistorical \nCourt \nDisposals \nData\nHistorical \nCourt Route \nData\nImpacts of \nLegislation \nand Process \nChanged\nImpacts of \nLegislation \nand Process \nChanged\nInput\nModel\nModel\nOutputOutput\nKey\nCourts and \nSentencing \nModule\nCourts and \nSentencing \nModule\n1\n1\n2\n2\n3\n3\n \n \n \n \n22", - "page_start": 23, - "page_end": 23, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "Do you know the prison population estimation for the and of June 2020 ?", - "target_page": 13, - "target_passage": "The Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Prison Population Projections 2014 – 2020 \n4. Results \nThe Central Scenario estimates that the prison population will rise to 87,700 \nby the end of June 2015 and to 90,200 by the end of June 2020. \nChart 2 presents Prison population projections from November 2014 to \nDecember 2020. \nChart 2: Projected monthly prison population (all scenarios) \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\n100,000\n105,000\nNov-14\nMar-15 Jul-15 Nov-15\nMar-16\nJul-16 Nov-16\nMar-17\nJul-17\nNov-17\nMar-18 Jul-18 Nov-18\nMar-19\nJul-19\nNov-19\nMar-20 Jul-20 Nov-20\nMonth End\nPrison Population\nScenario 1 Central Scenario Scenario 2\n \nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 \nby the end of June 2015 and then fall to 81,400 by the end of June 2020. \nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 \nby the end of June 2015 and to 98,900 by the end of June 2020. \nThe projected trends reflect the cumulative impacts of the various sentencing, \nlegislative and procedural assumptions that are used to generate the \nprojections. The seasonal pattern reflects the dip in the prison population \nwhich is always seen around the Christmas period. \nIn the Central Scenario, the prison population is expected to rise to 90,200 by \nJune 2020. The projected population increase is largely due to the recent \ntrends in case mix where we have seen more serious cases come before the \ncourts. This results in offenders receiving longer custodial sentence lengths, \nwhich in turn places an upward pressure on the prison population. The growth \nin this scenario is largely driven by the rise in the determinate population \nwhich is projected to grow to 60,200 by June 2020. This is partially due to the \n11", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nAnnual tables of subgroups within the overall projected prison population \nTable A4: Projected determinate sentence prison population (end of June \nfigures) \nScenario 1 Central Scenario 2\nJun-15 54,600 55,500 56,600\nJun-16 54,400 57,000 60,000\nJun-17 53,500 57,900 62,300\nJun-18 52,600 58,800 64,900\nJun-19 51,800 59,600 67,200\nJun-20 51,000 60,200 68,900\nSentencing Scenarios\n \nTable A5: Projected indeterminate sentence prison population (end of June \nfigures) \nScenario 1 Central Scenario 2\nJun-15 12,200 12,200 12,200\nJun-16 11,700 11,700 11,700\nJun-17 11,000 11,000 11,000\nJun-18 10,500 10,500 10,500\nJun-19 10,100 10,100 10,100\nJun-20 9,600 9,600 9,600\nSentencing Scenarios\n \nTable A6: Projected remand prison population (end of June figures) \nScenario 1 Central Scenario 2\nJun-15 12,900 12,300 11,700\nJun-16 13,000 12,300 11,600\nJun-17 12,900 12,300 11,600\nJun-18 13,000 12,300 11,600\nJun-19 13,000 12,300 11,700\nJun-20 13,000 12,300 11,700\nSentencing Scenarios\n \nTable A7: Projected recall prison population (end of June figures) \nScenario 1 Central Scenario 2\nJun-15 5,400 5,700 6,300\nJun-16 5,700 6,100 6,700\nJun-17 5,800 6,100 6,800\nJun-18 5,800 6,100 6,800\nJun-19 5,800 6,100 6,800\nJun-20 5,800 6,100 6,800\nSentencing Scenarios\n \n16", - "page_start": 17, - "page_end": 17, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nContents \nKey points 2 \n1. Central Scenario 4 \n2. Recent trends in the population 6 \n3. Modelling methodology and projection scenarios 8 \n4. Results 11 \n5. Previous Projections 13 \n6. Caveats on prison population projections 14 \nAppendix A: Additional tables 15 \nAppendix B: Detail of models, scenarios and assumptions 21 \nContact Points for further information 28 \n \n \n \n1", - "page_start": 2, - "page_end": 2, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nKey points \nThis bulletin presents projections of the prison population in England and \nWales from November 2014 to December 2020. The prison population \nprojections are based on assumptions about future custodial convictions and \nincorporate the anticipated impacts of agreed policy and procedural initiatives. \nThe “Central Scenario” estimates that the prison population will increase from \nthe current position 85,9251 to 87,700 by June 2015. By the end of June 2020 \nthe prison population is projected to be 90,200. This Central Scenario is our \nbest estimate based on the available information. The projected prison \npopulation under our Central Scenario is shown in Chart 1. \nThe prison population projections are produced using a model of flows of \noffenders into and out of prison which counts the resulting prison population \neach month. \nChart 1: Projected prison population (Central Scenario) \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\n100,000\n105,000\nNov-14\nMar-15 Jul-15\nNov-15\nMar-16 Jul-16\nNov-16\nMar-17\nJul-17\nNov-17 Mar-18\nJul-18\nNov-18 Mar-19\nJul-19\nNov-19\nMar-20\nJul-20 Nov-20\nMonth End\nPrison Population\nCentral Scenario\n \nThe Central Scenario has been modelled assuming custodial convictions are \nbroadly in line with recent trends and average length of sentence to be flat \nbased on recent trends. \nThe projections do not attempt to estimate the impact of any future \nGovernment policy that is yet to achieve Royal Assent, and therefore become \nless certain over time. \n \n1 As at 21 November 2014: www.gov.uk/government/statistics/prison- population-figures-2014 \n2", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nAppendix A: Additional tables9 \nAnnual tables of overall projected prison population \nTable A1: Projected prison population (end of June figures) \nScenario 1 Central Scenario 2\nJun-15 87,100 87,700 88,900\nJun-16 86,800 89,100 92,000\nJun-17 85,200 89,300 93,600\nJun-18 83,900 89,700 95,800\nJun-19 82,600 90,100 97,600\nJun-20 81,400 90,200 98,900\nSentencing Scenarios\n \nTable A2: Average projected prison population (financial year figures) \n \nScenario 1 Central Scenario 2\n2015/16 87,000 88,200 89,700\n2016/17 86,200 89,100 92,400\n2017/18 84,700 89,300 94,100\n2018/19 83,400 89,800 96,300\n2019/20 82,200 90,100 97,900\nSentencing Scenarios\n \nTable A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario \nprojections (end of June figures) \n2013 2014 Difference\nJun-14 83,400 -- --\nJun-15 82,100 87,700 6.8%\nJun-16 82,000 89,100 8.6%\nJun-17 81,600 89,300 9.4%\nJun-18 81,500 89,700 10.1%\nJun-19 81,800 90,100 10.2%\nJun-20 -- 90,200 --\nSentencing Scenarios\n \n \n9 All figures are rounded to the nearest hundred. Sub-populations may not sum to total \npopulations due to rounding and due to overlaps in some sub-population categories. \n15", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nTable A12: Projected female 18 years and over prison population (end of June \nfigures) \nScenario 1 Central Scenario 2\nJun-15 4,100 4,100 4,300\nJun-16 3,900 4,100 4,600\nJun-17 3,800 4,100 4,700\nJun-18 3,600 4,100 4,800\nJun-19 3,600 4,200 4,900\nJun-20 3,500 4,200 4,900\nSentencing Scenarios\n \nTable A13: Projected 15-17 years old prison population (end of June figures)11 \nScenario 1 Central Scenario 2\nJun-15 700 700 600\nJun-16 800 800 500\nJun-17 800 800 500\nJun-18 800 800 500\nJun-19 800 700 500\nJun-20 800 800 500\nSentencing Scenarios\n \n \n11 This population only includes those aged 15-17 in Youth Offending Institutions. 15-18 year \nolds housed in Secure Children’s Homes or Secure Training Centres are not included. \n \n19", - "page_start": 20, - "page_end": 20, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nTable A10: Projected male 21 years and over prison population (end of June \nfigures) \nScenario Scenario 1 Central Scenario 2 Scenario 1 Central Scenario 2\nJun-15 76,500 77,100 78,700 47,400 48,200 49,800\nJun-16 75,800 78,300 82,000 46,800 49,500 53,300\nJun-17 74,400 78,500 83,700 45,900 50,400 55,700\nJun-18 73,200 78,900 85,800 45,200 51,300 58,200\nJun-19 72,200 79,300 87,500 44,600 52,000 60,300\nJun-20 71,100 79,400 88,700 44,000 52,600 62,000\nScenario Scenario 1 Central Scenario 2 Scenario 1 Central Scenario 2\nJun-15 11,700 11,700 11,700 10,800 10,200 9,600\nJun-16 11,200 11,200 11,200 10,800 10,200 9,600\nJun-17 10,500 10,500 10,500 10,800 10,200 9,500\nJun-18 10,100 10,100 10,100 10,800 10,200 9,600\nJun-19 9,600 9,600 9,600 10,900 10,200 9,600\nJun-20 9,200 9,200 9,200 10,800 10,200 9,600\nScenario Scenario 1 Central Scenario 2 Scenario 1 Central Scenario 2\nJun-15 4,900 5,200 5,800 1,700 1,700 1,700\nJun-16 5,200 5,500 6,100 1,700 1,700 1,700\nJun-17 5,300 5,600 6,100 1,700 1,700 1,700\nJun-18 5,300 5,600 6,100 1,700 1,700 1,700\nJun-19 5,300 5,600 6,100 1,700 1,700 1,700\nJun-20 5,300 5,600 6,100 1,700 1,700 1,700\nRecall Non Criminal\nMales 21 years and over\nTotal Population Determinates\nIndeterminates Remand\n \nTable A11: Projected male 18-20 years old prison population (end of June \nfigures) \nScenario 1 Central Scenario 2\nJun-15 5,700 5,700 5,300\nJun-16 6,300 5,900 4,900\nJun-17 6,200 5,900 4,700\nJun-18 6,200 5,900 4,800\nJun-19 6,100 5,900 4,800\nJun-20 6,000 5,900 4,800\nSentencing Scenarios\n \n \n \n \n \n \n18", - "page_start": 19, - "page_end": 19, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \nTable A8: Projected non-criminal prison population (end of June figures)10 \nScenario 1 Central Scenario 2\nJun-15 1,800 1,800 1,800\nJun-16 1,800 1,800 1,800\nJun-17 1,800 1,800 1,800\nJun-18 1,800 1,800 1,800\nJun-19 1,800 1,800 1,800\nJun-20 1,800 1,800 1,800\nSentencing Scenarios\n \nTable A9: Projected fine defaulter prison population (end of June figures)8 \nScenario 1 Central Scenario 2\nJun-15 100 100 100\nJun-16 100 100 100\nJun-17 100 100 100\nJun-18 100 100 100\nJun-19 100 100 100\nJun-20 100 100 100\nSentencing Scenarios\n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n10 Note that these projections are the same under all three projected scenarios \n17", - "page_start": 18, - "page_end": 18, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections \n2014 – 2020 \nEngland and Wales \n \nMinistry of Justice \nStatistics Bulletin \nPublished 27th November 2014", - "page_start": 0, - "page_end": 0, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n5. Previous Projections \nAt the end of September 2014 the published prison population was within 1.8 \n% of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 \nScenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does \nnot indicate which scenario the actual prison population will track going \nforward. \nDifferences between the 2013 projections and the actual population could be \nexplained by changes, different to those projected, in overall demand, offence \nmix, age and gender of defendants, court routes, custody rates or sentence \nlengths. \nChart 3 plots the 2014 Central Scenario projection against the three 2013 \nprison population projections. The 2014-2020 Central Scenario projection is \nabove all three scenarios from last year. The higher level of the new \nprojections can be attributed to a more serious case mix coming into the \ncourts with a resulting increase in average custodial sentence lengths. The \nprojection for June 2019 in the Central Scenario this year is 10.2 % above the \nequivalent scenario (Scenario 2) last year. \nChart 3: Comparing 2013 and 2014 projections (November 2014 – December \n2020) \n \nTotal Prison Population\nPrison population projections from November 2014 to December 2020\n70,000\n75,000\n80,000\n85,000\n90,000\n95,000\nNov-14\nMar-15\nJul-15\nNov-15\nMar-16 Jul-16\nNov-16\nMar-17\nJul-17\nNov-17\nMar-18\nJul-18\nNov-18\nMar-19\nJul-19\nNov-19\nMar-20\nJul-20\nNov-20\nMonth End\nPrison Population\n2014 Central Scenario 2013 Scenario 1 2013 Scenario 2 2013 Scenario 3\n \n13", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the phone number of the Ministry of Justice press office ?", - "target_page": 30, - "target_passage": "Press enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Prison Population Projections 2014 – 2020 \nContact Points for further information \nCurrent and previous editions of this publication are available for download \nfrom www.justice.gov.uk/publications/statistics-and-data/index.htm \n \nPress enquiries should be directed to the Ministry of Justice press office, \ntelephone: 020 3334 3536 \n \nOther enquiries about these statistics should be directed to: \n \nJustice Statistics Analytical Services \nMinistry of Justice \n7th Floor \n102 Petty France \nLondon \nSW1H 9AJ \n \nGeneral enquiries about the statistical work of the Ministry of Justice can be e-\nmailed to: statistics.enquiries@justice.gsi.gov.uk \n \nGeneral information about the official statistics system of the UK is available \nfrom www.statistics.gov.uk \n \n \n28", - "page_start": 29, - "page_end": 29, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "CORPORATE DATA\nNissan Annual Report 2004110\nFOR FURTHER INFORMATION,\nPLEASE CONTACT\nInvestor Relations \nNissan Motor Co., Ltd.\nGlobal Communications, CSR and IR Division\n17-1, Ginza 6-chome, Chuo-ku \nTokyo 104-8023, Japan\nphone: +81(0)3-5565-2334 \nfax: +81(0)3-3546-2669\ne-mail: nissan-ir@mail.nissan.co.jp\nCorporate Information Website\nhttp://www.nissan-global.com/\nInvestor Relations Website\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "GETTING IN TOUCH WITH THE EU\nIn person\nAll over the European Union there are hundreds of Europe Direct centres. You can find the address of the centre nearest you online \n(european-union.europa.eu/contact-eu/meet-us_en).\nOn the phone or in writing\nEurope Direct is a service that answers your questions about the European Union. You can contact this service: \n•\n by freephone: 00 800 6 7 8 9 10 11 (certain operators may charge for these calls),\n•\n at the following standard number: +32 22999696,\n•\n via the following form: european-union.europa.eu/contact-eu/write-us_en.\nFINDING INFORMATION ABOUT THE EU\nOnline\nInformation about the European Union in all the official languages of the EU is available on the Europa website \n(european-union.europa.eu).\nEU publications\nYou can view or order EU publications at op.europa.eu/en/publications. Multiple copies of free publications can be obtained by \ncontacting Europe Direct or your local documentation centre (european-union.europa.eu/contact-eu/meet-us_en).\nEU law and related documents\nFor access to legal information from the EU, including all EU law since 1951 in all the official language versions, go to EUR-Lex \n(eur-lex.europa.eu).\nEU open data\nThe portal data.europa.eu provides access to open datasets from the EU institutions, bodies and agencies. These can be downloaded \nand reused for free, for both commercial and non-commercial purposes. The portal also provides access to a wealth of datasets from \nEuropean countries.", - "page_start": 162, - "page_end": 162, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "A.C.N. 083 185 693", - "page_start": 71, - "page_end": 71, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6 \nISSN: 1756-3666 \n \n© Crown copyright 2016 \nThis publication is licensed under the terms of the Open Government Licence v3.0 \nexcept where otherwise stated. To view this licence, visit \nnationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the \nInformation Policy Team, The National Archives, Kew, London TW9 4DU, or email: \npsi@nationalarchives.gsi.gov.uk. \nWhere we have identified any third party copyright information you will need to obtain \npermission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Corporate Headquarters\n1 Applied Plaza \nCleveland, Ohio 44115\n216/426-4000\nApplied.com\n25358_AIT_Report_WT.indd 46 8/23/12 8:33 AM", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "Prison Population Projections 2014 – 2020 \n29 \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nAlternative format versions of this report are available on request from the \nMinistry of Justice at statistics.enquiries@justice.gsi.gov.uk \n \n© Crown copyright \nProduced by the Ministry of Justice", - "page_start": 30, - "page_end": 30, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n42 \n \n \nANNEX III \n \n Model for specific contracts \n Model for order forms", - "page_start": 41, - "page_end": 41, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Fax: 420-2-2323-954 \nF r a n c e\n120 avenue Charles de Gaulle\n92200 Neuilly-sur-Seine, France\nTel: 33-1-41-92-95-55\nFax: 33-1-47-22-32-82\nG e r m a n y\nCharlottenstrasse 18\n10117 Berlin, Germany\nTel: 49-30-2039-6800\nFax: 49-30-2039-6855\nG r e e c e\n90, Kifissias Av e n u e\n15125 Marousi \nAthens, Greece\nTel: 301-809-9688\nFax: 301-809-9700\nH u n g a r y\nHorvát u. 14-24.\n1027 Budapest, Hungary\nTel: 36-1-224-1000\nFax: 36-1-224-1013\nMiddle East\n11 Gamal El Dine Abou El Mahasen \nGarden City - Cairo - Egypt\nTel: 20-10-136-6774\nFax: 44-845-127-4748\nP o l a n d\nul. Emilii Plater 28\n00-688 Wa r s a w, Poland\nTel: 48-22-690-5100\nFax: 48-22-690-5101\nR o m a n i a\n9 Alexandru Ioan Cuza Blvd.\nSector 1, Bucharest, Romania\nTel: 401-310-3363\nFax: 401-310-3383\nTu r k e y\nBeybi Giz Plaza Kat 26\nMeydan Sokak No 28\nMaslak 80670\nIstanbul, Tu r k e y\nTel: 90-212-335-2512 or 2513\nUnited Kingdom\n3A The Courtyard, Alban Park\nSt. Albans, Hertfordshire AL4 0LA\nUnited Kingdom\nTel: 44-1727-799870\nFax: 44-1727-799880\nU S A\n4601 College Boulevard, Suite 300\nLeawood, Kansas 66211\nTel: 913-327-4200\nFax: 913-327-1921\n17500 Chenal Parkway\nLittle Rock, Arkansas 72223-9138\nTel: 501-218-7300\nFax: 501-218-7302\nWeb Site \nFor further information, visit:\nw w w.euronetworldwide.com \nEuronet Worldwide is a trade name and trademark of Euronet Services, Inc.", - "page_start": 46, - "page_end": 46, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "S3lWvNAaOtl3v~ mva \n08-108-00 Sd3MAQN", - "page_start": 61, - "page_end": 61, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is SOLR ?", - "target_page": 4, - "target_passage": "Search engine used for portal content search and dataset search ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "67 \n \nFigure 9.1 The DL Query Tab \n \n9.2 SPARQL Queries \nSPARQL is a powerful language, and one could write a whole book about it. In fact, there are books \nwritten about it. The best one I have seen is the O’Reilly book Learning SPARQL by Bob DuCharme. \nThis is an excellent book that not only goes into SPARQL but into topics such as RDF/RDFS and how \ntriples are used to represent all information in OWL. I will only touch on those issues here, there is much \nmore to say about them and DuCharme’s book is a great place to learn more. If some of the following is a \nbit hard to understand don’t be discouraged. This is just an attempt to give a very high level introduction \nto something that requires significant study to really understand. \nEssentially SPARQL is to the Semantic Web and Knowledge Graphs as SQL is to relational databases. \nJust as SQL can do more than just query, it can also assert new information into a database, so SPARQL \ncan as well. The current SPARQL plugins for Protégé are somewhat limited and don’t support the \nstatements such as INSERT for entering new data so we will just cover the basics of using SPARQL as a \nquery language but keep in mind there is a lot more to it than what we briefly cover here. \n9.21 Some SPARQL Pizza Queries \nTo start with go to the SPARQL Query tab. If it isn’t already there you can as always add it using \nWindow>Tabs>SPARQL Query. This tab consists of two views, the top which holds the query and the \nbottom which holds the results. There should be some text already there. It may look confusing, but we’ll \nexplain it. Just to start with hit the Execute button at the bottom of the tab. You should see a bunch of \nclasses and class expressions returned.", - "page_start": 67, - "page_end": 67, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "68 \n \nTo understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:subClassOf \nPizza. \nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:subClassOf and the object is any other \nentity. The ? before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a * for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \nPREFIX pizza: ", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 5 of 57 \n \nAcronym Description \nSPARQL Query language for linked data (RDF) \nSSL Secure Socket Layer \nURL Uniform Resource Locator \nXML Extensible Markup Language \nTable 1-2: Abbreviations and Acronyms", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 54 of 57 \n \n \n3.7 SPARQL Manager \nThe SPARQL M anager provides a grap hical user interface ( GUI) for sending user defined q ueries to \nthe Virtuoso SPARQL query engine. \nThe powerful SPARQL Protocol a nd RDF Query Langua ge are primarily aimed at professionals for \nquerying metadata as Linked Data. A basic knowl edge of the DCAT -AP specification is highly \nrecommended. \nIn the future , users of the SPARQL Manager will be able to save their queries for scheduled \nexecution. Additionally a notification will be send to the user when a result has changed. \nClicking the inf o icon in the upper right corner will display a step -by-step walkthrough of all \ncomponents with a short info about their function. \nThis is possible in both of modes of the SPARQL Manager, the search and the assistant mode, which \nwill be described in the following sections. \n3.7.1 SPARQL Search \n \n \nIn this mode you can load some predefined example queries from the right side into the editable text \narea to introduce yourself w ith the very basic SPARQL syntax. Limiting the number of returned \nresults is possible by se lecting a value fro m the Limit -dropdown or by editing the query directly . \nFurthermore the format for the result can be selected. After clicking the Search -Button the result is \ndisplayed in Result data preview area below. The preview may be truncated depending on the size of \nthe result. The complete result could always be downloaded as a file by clicking the Download-link on \nthe right side.", - "page_start": 53, - "page_end": 53, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "discussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \nPREFIX pizza: \nWe are almost ready to query the actual ontology. For our first query let’s find all the Pizzas purchased by \na Customer. The SPARQL code for this is:", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Chapter 1. Overview and concepts 7\nDocuments are identified (indexed) by date, with one or more other fields, such as customer \nname, customer number, or invoice number. A date is optional but highly recommended for \noptimizing document search performance. \nOur example fictitious company, AFinancial Co, prints customer credit card statements \nmonthly. This report, the customer credit card statements (Customer Statements), consists of \nthousands of individual customer statements. The company also prints transaction logs \nmonthly. This second report, the transaction log (Transaction Report), contains thousands of \ncustomer transactions per month. The company must load these two reports into Content \nManager OnDemand so that their data can be stored, then easily searched, retrieved, and \nviewed later. Let us look at how these two large reports might be broken up into individual \nContent Manager OnDemand documents.\nReports are “loaded” into the Content Manager OnDemand system. A Content Manager \nOnDemand application describes how the report will be divided into documents. Figure 1-2 \non page 8 illustrates two reports, their associated Content Manager OnDemand applications, \nand documents. Let us look at how the associated applications divide the reports into Content \nManager OnDemand documents.\nThe first report that we look at is the Customer Statements report. For this example, the \nreport consists of 63,097 individual customer statements. An administrator can define a \n“Statement application” for this report that breaks up the report into logical documents. The \nStatement application uses the document indexing method to divide the report into \ndocuments that are based on customer name or customer number. Each statement in the \nreport becomes a document in Content Manager OnDemand. Users can retrieve a statement \nby specifying the date and any combination of customer name and number. \nCertain reports might not have a logical way of breaking up into individual documents. For \nexample, the Transaction Report is not sorted by customer name or number. The report is \ngenerated based on the transactions of the day and time, and the customers that are \nassociated with the transactions. In this case, we can break up the report into groups of \npages. An administrator can define a “Trans application” for the report that contains lines of \nsorted transaction data. The Trans application uses the report indexing method to divide the \nreport into documents. Each group of 100 pages in the report becomes a document in \nContent Manager OnDemand. Each group is indexed by using the first and last sorted \ntransaction values (transaction date and number) that occur in the group. Users can retrieve \nthe group of pages that contains a specific transaction number by specifying the date and the \ntransaction number. Content Manager OnDemand retrieves the document that contains the \nvalue that is entered by the user.\nTo summarize this example, as shown in Figure 1-2 on page 8:\n/SM590000Customer Statements report: Contains all customer statements for a month. Customer \nStatements documents: Each customer statement is a document.\n/SM590000Transaction Report: Logs all transactions as they occur for a month. Transaction Report \ndocuments: Every 100 pages of the report are a document.", - "page_start": 30, - "page_end": 30, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 3. Administration 57\nServer Based Sorting option\nThe Server Based Sorting option (Figure 3-8 on page 56) is used to sort the document hit list \non the server before it is returned to the client.\nText Search\nText Search (Figure 3-9) is used to search documents that contain a specific word or phrase \nbefore the document hit list is built. Only documents that contain the specified word or phrase \nare returned as part of the hit list. The search takes place on the server. \nFigure 3-9 shows the Text Search option in the Field Definition tab of the Add a Folder \nwindow.\nFigure 3-9 Text Search\nBy using Text Search, a user can further qualify a search without adding the processing that \nis associated with adding and maintaining additional index fields to the database. Text search \nis performed on the documents that match the criteria for the other query fields. For example, \nif the other query fields are date and account number, a text search is performed on the \ndocuments that match the specified date and account number. If the document contains the \ntext search string, it is returned as part of the hit list. Text search fields are not mapped to \ndatabase fields. \nImportant: Sorting might still occur on the client if any of the following items are true:\n/SM590000Multiple application groups are searched. (The folder contains multiple application \ngroups.)\n/SM590000The search query is too long or too complex for a single SQL statement.\n/SM590000The user specifies the Append option.", - "page_start": 80, - "page_end": 80, - "source_file": "sg246915.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 56 of 57 \n \n3.7.3 SPARQL Saving/Modifying a Query \n \n \nOnce a user is logged-in, he/she has the oppotunity to save custom queries. A corresponding name \nand the actual query as well as a result format have to be provided. \nThe user may as well enter an email address in order to receive a notification email from the system \nand a comment which describes the query. \nSelecting a schedule string lets the query run automatically if the checkbox “Enabled” is selected. \nIf the user likes to share and lets other users see the query he/she may select the “Public” checkbox. \nThe same page will be displayed if the user decides to modify one of his /her queries. A l ist of all \nresults on the right side lets the user decide which result he/she likes to display.", - "page_start": 55, - "page_end": 55, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "their papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-\nsure the dataset quality is suitable for a benchmark,\nfurther data cleaning has been performed:\n• Duplicates are eliminated, retaining unique\npublications for each field.\n• Irrelevant titles (due to API indexing mistakes)\nor titles in languages other than French have\nbeen manually removed.\n3https://www.syntec.fr/convention-collective/\n4https://huggingface.co./datasets/lyon-nlp/\nmteb-fr-retrieval-syntec-s2p\n5https://huggingface.co./datasets/lyon-nlp/\nclustering-hal-s2s\n2", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "4 \n \nChapter 1 Introduction \n \nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an Entity. Individuals and classes can also be \nreferred to as objects. \nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is the function of the Graphical Data Visualisation Tool module ?", - "target_page": 6, - "target_passage": "How to visualize graphical data from a dataset resource ", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "European Data Portal Version 4.3 – User Manual Page 43 of 57 \n \n \n3.4 Graphical Data Visualisation Tool \nThis section describes the features of the graphical visualisation tool for numeric data. Th e features \nare currently available for XLS (Excel) and CSV files, except for the selection of the sheet name which \nis applicable only for Excel files. \nMost GUI elements fro m the “Graph” tab (records selection, search box, filters and fields buttons) \nare also available on the “Grid” tab and work in the same way. \n \n3.4.1 How to visualize graphical data from a dataset resource \nAs a result of a dataset search, the system displays on th e “D ataset” tab all distributions \n(resource/data files) that are part of the selected dataset. Each XLS or CSV distribution of the dataset \ncan be further explored by clicking on “Open Visualization” under the “Options” button – if available.", - "page_start": 42, - "page_end": 42, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 38 of 57 \n \n \n3.3 Visualization of Geo-Spatial Data (map.apps) \nThe visualization of ge o-spatial data within the European Data Portal provides previewing \nfunctionality for spatial open data. The aim is to allow the us er to assess if a dataset meets specific \nrequirements in terms of spatial and them atic coverage. The functionality that is pro vided in t he \nheader (links to disclaimers and language switching) is consistent in the entire portal. \n3.3.1 How to visualize geo-spatial data from a dataset resource \nAccessing the geo-spatial visualization is achieved via the Data Platform interface. A user searches for \nspecific data, enters the data set view of reaso nable results and displays the available distributions \n(see Section 3.2.5). If a dataset distribution is supported by the geo -spatial vi sualization, a globe \nbutton is displayed (se e Figure 3). This is the entry point into the map viewer application. Supported \nformats are OGC Web Map Service (WMS) and GeoJSON. If the user visits the geo -spatial \nvisualization for th e first time, an interactive user tutorial i s provided to guide the use through \nspecific functions of the user interface, similar to this written user manual. \n \nFigure 3 – Dataset Resource Page with Link to Geo-Spatial Visualisation.", - "page_start": 37, - "page_end": 37, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 45 of 57 \n \n \nStep 3: The Graph Tab \nClick on the graph tab in order to display the corresponding graph. \n \n \n1. Selection of the sheet name \n2. Button to go back to the “Grid” view \n3. Selection of a range of data records \n4. Search box \n5. Filters button to open the filters form \n6. Fields button to open the fields box \n7. Select box to select the graph type \n8. Select box to select the group column (Axis 1) \n9. Select box to select the series A (Axis 2) \n10. Button to add series", - "page_start": 44, - "page_end": 44, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 40 of 57 \n \n \nFigure 5 – Feature Info tool. \n \nThe different displayed layers can be examined using the “Legend” tool. If the external service \nprovides legend graphics, the user can inter pret the g iven symbology and temporarily disable the \ndisplay of layers (see Figure 6). \n \nFigure 6 – Legend tool.", - "page_start": 39, - "page_end": 39, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 41 of 57 \n \nThe two buttons on the bottom right of the map vi ewer (see Figure 7) can be used to display an \ninformational disclaimer and to start the user interface tutorial. \n \n \nFigure 7 – Disclaimer and tutorial buttons. \n \nIn some cases the user might experience the display of an error message. The geo -spatial \nvisualization tries to support all flavors of external services but cannot guarantee to work with \nbroken services. In these situations an error message dialog is presented and the user can decide if a \nsupport ticket shall be opened (see Figure 8).", - "page_start": 40, - "page_end": 40, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 6 of 57 \n \n2 Approach \nThe approach used for this User Manual was based on the identification of the main user functions of \nthe Portal and the description of each function from the user’s perspective in terms of “How to…”. \nEach main function documentation consists of a screen snapshot, the steps required to execute the \nfunction and optionally a screenshot with the results. \n3 Main User Functions of the Portal \nThis section describes all of the main user functions supported by the Portal Version 3.0. \nThe table 1-3 below lists the described functions by module. \n Module Name Function \n1 Portal HomePage \n- How to browse through the Editorial Content \n(how to access Resources on Open Data: eLearning \nmodules, Training Companion, Reports about Open \nData) \n- How to view / search for “Latest News” \n- How to view / search for “Open Data Events” \n- How to subscribe to the EDP Newsletter \n- How to view “Tweets” on the EDP \n- How to switch to another User Language \n- How to search for EDP Site Content \n- How to search for Datasets by Data Category \n- How to search for Datasets by Keyword \n2 Datasets (Data Platform) Entering the Datasets-View \n How to filter datasets by using “Faceted Search” \n How to store personal queries \n How to filter datasets by geographical area \n How to download dataset distributions \n How to view licensing information \n How to switch to another user language \n How to browse by data catalogues \n3 Visualization of Geo-Spatial \nData (map.apps) \nHow to visualize geo-spatial data from a dataset resource \n4 Graphical Data Visualisation \nTool \nHow to visualize graphical data from a dataset resource \n5 Help Desk How to contact The Portal’s Help Desk \n6 Metadata Quality Assurance \n(MQA) \nMonitoring tool for the metadata quality: \n‐ The Global Dashboard View \n‐ The Catalogue details view \n7 SPARQL Manager How to run SPARQL Queries using: \n- SPARQL Search", - "page_start": 5, - "page_end": 5, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 51 of 57 \n \n \n3.6.2 The Catalogue details view \nThis page presents a detailed view of the issues per catalogue. The “Download as report” drop-down \nmenu provides a list o f all avail able catalogues. As a next step, the user can choose whether to see \nthe catalogue dashboard, the distribution availability or dataset schema violations. The catal ogue \ndashboard is the default view when visiting this page.", - "page_start": 50, - "page_end": 50, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 30 of 57", - "page_start": 29, - "page_end": 29, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "12 \n \n \nFigure 4.2 Renderer tab \n \nFigure 4.3: The Active Ontology Tab with a New Comment", - "page_start": 12, - "page_end": 12, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 49 of 57", - "page_start": 48, - "page_end": 48, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "How to view “Tweets” on the EDP ?", - "target_page": 20, - "target_passage": "The Home Page displays the latest tweets on the European Data Portal in the “Tweets” panel on the right hand side. ‐ ‐ Click on any of the tweets to display the complete tweet on twitter. Scroll vertically to see previous tweets. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "European Data Portal Version 4.3 – User Manual Page 20 of 57 \n \n \n3.1.5 How to view “Tweets” on the EDP \nThe Home Page displays the la test tweets on the European Data Portal in the “Tweets” pa nel on the \nright hand side. \n‐ Click on any of the tweets to display the complete tweet on twitter. \n‐ Scroll vertically to see previous tweets.", - "page_start": 19, - "page_end": 19, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 9 of 57 \n \n \nLandscaping\nsection\nEvent \nCalendar\nsection\nEDP \nTweets \nsection\nFeatured\nArticles \nsection\nNewsletter \nsection\nEDP Help \nDesk\nFooter\nlinks\nSocial \nMedia links\n \nFigure 2: EDP Home Page (lower part)", - "page_start": 8, - "page_end": 8, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 22 of 57 \n \n3.1.7 How to search for EDP Site Content \n \nIn order to search within the Portal’s site content (i.e. editorial content, articles, events, reports etc.), \nenter any keyword in the “Search site content” text box and click on the \n button. \n \n \n \nThe site will display all matching content found (here for keyword “Brussels”): \n \n \nNote: \nThe “Search site content” does not perform any search on datasets. \nIn order to search for datasets from the EDP Home page, the user should refer to section 3.2.", - "page_start": 21, - "page_end": 21, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "65 \n \n \n \n \n \nFigure 8.2 Viewing the New Instances in the Individuals by Class tab", - "page_start": 65, - "page_end": 65, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 17 of 57 \n \n \n3.1.2 How to view / search for “Latest News” \nThe Home Page displays the latest 4 news items in the “Latest News” panel on the left hand side. \n‐ Click on any of the 4 news items to display the complete news article (here: item#1). \n‐ Or click on “More news” in order to fin d previously published news articles in the news \narchive.", - "page_start": 16, - "page_end": 16, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore\nthe ecologies of two climate change protests. Commun. Rev. 2011, 14, 197–215. [CrossRef]\n77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in\nMillions). 2019. Available online: https: //www.statista.com/statistics/282087/number-of-monthly-active-\ntwitter-users/ (accessed on 10 October 2019).\n78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin’: Evolution of Twitter users and behavior.\nIn Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI,\nUSA, 1–4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27\nAugust 2011.\n56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hern ández, A.; Morris, M.R. Is anyone out there?:\nUnpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in\nComputing Systems, Toronto, ON, Canada, 26 April–1 May 2014; pp. 2755–2758.\n57. Tsur, O.; Rappoport, A. What’s in a hashtag?: Content based prediction of the spread of ideas in microblogging\ncommunities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining,\nSeattle, WA, USA, 8–12 February 2012; pp. 643–652.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 6 of 22\nAll the hashtags in the tweets were automatically extracted with the Regular Expression Library\nin Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed\n(e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the “climate change” dataset\ncontained the #climatechange hashtag and all the tweets in the “global warming” dataset contained the\n#globalwarming hashtag, we did not document these two hashtags when processing data. The number\nof hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose\nfrequency was lower than ten times are excluded in the network analysis. As hashtags are intended\nto be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially,\nand excluding them helps researchers focus on meaningful rather than occasional associations.\n3.3. Measurement\n3.3.1. Hashtag Co-Occurrence Network\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build\nsemantic networks for climate change and global warming. For instance, for “#cimatechange\nredistributes #fish species at high latitudes. @_OScience @AarhusUni #Arctic”, a tweet in the climate\nchange dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus\none in the semantic network of climate change. In the semantic network, nodes represent hashtags and\nthe weight of edge refers to the frequency at which two hashtags co-occurred.\nWe visualized the network using Gephi software [ 81]. Following the established literature\n[60,61,82], only the most prominent hashtags were included in the visualization to concentrate our\nanalysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality\nin each network were selected for visualization. Modularity analysis was then analyzed to identify the\nclusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn\nin the same color. The network spatialization was conducted with Gephi’s built-in force-directed\nlayout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags,\nthe closer they are to each other in the spatial layout.\n3.3.2. Temporal Analysis\nA temporal analysis was introduced to understand the evolution of the two climate discourses\nover a long period. We first examined how the two semantic networks evolved in the past years.\nAll the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each\ndataset. Then, they were clustered according to the strength of their associations in the whole dataset\nand mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the\ndynamic network function supplied by Gephi, we then added the associations between the nodes\nranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes\nfor 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the\nnodes on the 10 maps are the same, but the strengths of their associations are different to represent the\nchanges in the associations of key hashtags for each discourse.\nThe correlation between climate change and global warming discourses was measured every\nyear to observe whether the two discourses converged or diverged over time. Considering computing\npower limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that\nyear were included in the calculations. First, we measured to what extent the two discourses resemble\neach other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags\nin each network were selected with a rank order according to their centrality. Then, Spearman’s rank\ncorrelation coefficient was used to examine the correlation of the rank orders of the selected nodes", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "NAVWEPS OO-SOT-80 \nS \n)YE STREAMERS OhI F!ilJ MOnFl \nFtgure 7.33. Staff Patterns (sheet 6 of 8)", - "page_start": 100, - "page_end": 100, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 20 of 22\n58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role affect hashtag adoption?\nIn Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16–20 April 2012;\npp. 261–270.\n59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring\nInformation Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of\nMicroposts 2011, Heraklion, Greece, 30 May 2011; pp. 1–12.\n60. Meraz, S. Hashtag wars and networked framing: The private/public networked protest repertoires of occupy\non twitter. In Between the Public and Private in Mobile Communication ; Routledge: Abingdon, UK, 2017;\npp. 303–323.\n61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. Int. J. Press. 2013, 18,\n138–166.\n62. Papacharissi, Z.; de Fatima Oliveira, M. A ffective news and networked publics: The rhythms of news\nstorytelling on# Egypt. J. Commun. 2012, 62, 266–282.\n63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag\nsentiment classification approach. In Proceedings of the 20th ACM International Conference on Information\nand Knowledge Management, Scotland, UK, 24–28 October 2011; pp. 1031–1040.\n64. Laniado, D.; Mika, P . Making sense of twitter. In Proceedings of the International Semantic Web Conference\n2010, Shanghai, China, 7–11 November 2010; pp. 470–485.\n65. González-Ibánez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings\nof the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies:\nShort Papers—Volume 2, Portland, OR, USA, 19–24 June 2011; pp. 581–586.\n66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on\ntwitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona,\nSpain, 17–21 July 2011.\n67. Kitzie, V .; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter.\nIn Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for\nthe Community, St. Louis, MO, USA, 6–10 October; 2015; p. 41.\n68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In Hashtag Publics.\nThe Power and Politics of Discursive Networks; Peter Lang: New York, NY, USA, 2015; pp. 61–76.\n69. Rushkoff, D. 17. Permanent revolution: Occupying democracy. In The Playful Citizen; Amsterdam University\nPress: Amsterdam, The Netherlands, 2013; p. 335.\n70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore\nhashtag. IC Rev. Científica De Inf. Y Comun. 2015, 11, 49–57.\n71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. Commun.\nPolitics Cult. 2011, 44, 37–56.\n72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and\nconversations about the 2013 IPCC Working Group 1 report. PLoS ONE 2014, 9, e94785. [CrossRef]\n73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P .; Yan, H.; Li, X. Comparing twitter and traditional media using\ntopic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18–21\nApril 2011; pp. 338–349.\n74. Doctor, V . Hashtag History: When and What Started It? Available online: https://www.hashtags.org/featured/\nhashtag-history-when-and-what-started-it / (accessed on 16 January 2020).\n75. Newman, T.P . Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the\nrelease of the Working Group I Summary for Policymakers. Public Underst. Sci. 2017, 26, 815–825. [CrossRef]\n76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "Where can we open a document saved on OneDrive ?", - "target_page": 2, - "target_passage": "When you save this document in OneDrive, you’ll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Word\nCreate something\nBegin with a Blank document to get right to work. Or start with a template to save \nyourself time and steps. Just select File > New, and then select or search for the \ntemplate you want.\nAccess files anywhere\nNeed to work on the go and across different devices? Click File > Account to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.\nFind recent files\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting File > Open takes you to your recently \nused documents and any files that you may have pinned to your list.\nDiscover related options\nWhen you select objects in your document, options related to your selection will \nappear. For example, selecting a table displays the Table Design and Layout tabs, \nwhich offer additional options.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "Count on Word to count your words \nTry it: Hit return after this line and type some words. \nThe status bar at the bottom of the window keeps a running count of the number of words in \nthe document. \n \nSave this for later, access it anywhere \nWhen you save this document in OneDrive, you’ll be able to open it anywhere: on your \ncomputer, tablet, or phone. Your changes will be saved automatically. \n \nTry it: Select File > Save As, and then select OneDrive and give this document a name. \nIf you sign in to Office 365 on another device, this document will be in your list of recent files. \nYou can pick up where you left off… even if you left the document open on the computer you’re \nusing now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Share and collaborate \nWith this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \nIf they don’t have Word, the document will open in their web browser, in Word Online. \nAdd visuals with pictures from the web \n \nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \nTry it: Hit enter after this line to make a blank line: \n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \nand then search for something, like puppy clip art. \n2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Tell us about your PDF experience.\nMicrosoft 365 PDF Accessibility\nArticle• 11/26/2024\nMicrosoft 365 Apps for Windows including Word, Excel, and PowerPoint allow users to\nexport documents in PDF format. Furthermore, add-ins can use the object model to\nautomate PDF export using either the exporter built in to each app or their own exporter\nthat implements the IMsoDocExporter COM interface.\nAn important part of exporting to PDF is writing PDF/UA tags that provide the\nsemantic information to preserve the accessibility of the content. This allows people with\ndisabilities to consume the PDF using assistive technologies such as screen readers. This\ndocumentation provides details about the PDF/UA tags written by the exporter built in\nto Word, Excel, and PowerPoint as well as the APIs that add-ins need to implement to\nprovide their own exporter.\nExtending Office PDF Export\nOffice 2024 PDF Accessibility Improvements\nExcel PDF Accessibility\nExcel.Workbook.ExportAsFixedFormat\nPowerPoint PDF Accessibility\nPowerPoint.Presentation.ExportAsFixedFormat3\nWord PDF Accessibility\nExtending Office PDF Export\nOffice 2024\nExcel\nPowerPoint\nWord", - "page_start": 0, - "page_end": 0, - "source_file": "office-pdf.pdf" - }, - { - "text": "Find whatever you need\nType a keyword or phrase into the Search box to quickly find the Word features \nand ribbon commands you’re looking for, to discover Help content, or to get \nmore information online.\nGet other Quick Start guides\nTo download our free Quick Start Guides for your other favorite apps, go to \nhttps://go.microsoft.com/fwlink/?linkid=2008317.\nWord\nShare your work with others\nTo invite others to view or edit your documents, select the Share button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment.\nNext steps with Word\nSee what’s new in Office\nExplore the new and improved features in Word and the other Office apps. \nVisit https://go.microsoft.com/fwlink/?linkid=871117 for \nmore information.\nGet free training, tutorials, and videos for Office\nReady to dig deeper into the capabilities that Word has to offer? Visit \nhttps://go.microsoft.com/fwlink/?linkid=871123 to explore our free \ntraining options.\nSend us your feedback\nLove Word? Got an idea for improvement to share with us? On the File menu, \nselect Feedback and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "Extending Office PDF Export\nArticle• 11/26/2024\nSummary: Create a COM add-in for Office 2024, Office LTSC 2024, and Microsoft 365\nVersion 2408 and later applications with your own logic for exporting to PDF format. The\ntechnique described requires knowledge of C++ and COM.\nApplies to: Excel, OneNote, PowerPoint, Publisher, Visio, and Word in Office 2024, Office\nLTSC 2024, Microsoft 365 Version 2408 and later.\nThis article explains how third-party software developers can hook in to the fixed-format\nexport feature available in the Office 2024, Office LTSC 2024, Microsoft 365 Version 2408\nand later applications so that they can add their own exporter.\nThe applications include built in exporters for Microsoft XML Paper Specification (XPS)\nand Portable Document Format (PDF). Fixed-file formats expose the content of a\ndocument in a paginated form that is both application-independent and platform-\nindependent.\nSoftware developers can add their own exporter, by writing an Office add-in that\nimplements the IMsoDocExporter COM interface. This article describes\nIMsoDocExporter and its interaction with a hosting Microsoft 365 application, such as\nWord.\nFixed-format export has been available since the Office 2007 release, and this article\nincludes information on the features that are new in the Office 2024, Office LTSC 2024,\nMicrosoft 365 Version 2408 releases.\nImportant\nThe fixed-format export feature is available in all the applications listed in the preceding Applies\nto section. However, the discussion below uses Publisher as an example application, except in\nthose cases where an explanation is more relevant to a different application.\nIntroduction to the Office (2024) Fixed-Format\nExport Feature\nﾉ Expand table\nInitializing Add-Ins", - "page_start": 2, - "page_end": 2, - "source_file": "office-pdf.pdf" - }, - { - "text": "172 IBM Content Manager OnDemand Guide\nf. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n9. Define a field and an index:\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage.\nb. By using the mouse, draw a box around the text string. Start just outside of the \nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box.\nc. Click the Define a Field icon on the toolbar.\nd. In the Add a Field window, complete the following steps:\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click Help for \nassistance with the options and values that you can specify. \nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click Help for assistance with the other options and values that you can \nspecify.\niii. Click OK to define the field and index. \ne. To verify the locations of the fields, complete the following steps: \ni. Place the report window into display mode. Blue boxes are drawn around the fields. \nii. Click the Select tool.\niii. In the Select window, under Fields, double-click Field 1. The graphical indexer \nhighlights the text string in the current document. Double-click Field 1 again. The \ngraphical indexer moves to the next document and highlights the text string. \niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file.\nf. Place the report window back into add mode.\n10.Click Create Indexer Parameters and Fields Report to create the indexer parameter \nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see IBM Content Manager OnDemand - \nIndexing Reference, SC19-3354.\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow. \nImportant: Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 27 10/02/2013 \nFigure 35: My Data Export \n \n \n \n \nThe user will be able to open or save the file by clicking on the FileLink “File”. (figure 36) \n \nFigure 36: Export to Excel screen – Download file \n \n \n7.2\tExcel/XML\tData\timport\t\n \nThe data import tab allows the user to import data into the system with the use of an XML or Excel file. \nTo import data (figure 37, a), click on the “Browse…” button (or “Choose file” for Chrome users), select the file to be \nimported, and then click on the “Subm it” button (figure 37). A message will be displayed to confirm successful \ncompletion of import (figure 38). If the type of the file selected for import is incorrect, an error message is displayed \n(only *.xml and *.xlsx files are allowed). \nFigure 37. Data import \n \n \n \n \nPressing the “Submit Query” button will start the data import process. \nOn the left-hand side navigation tree, click on ‘My Data Import’ which opens a list of imported data. \nThe status of the import process can be seen under “My Data import” (figure 38, b). \n \nClick on the “File” at column FileLink to open or save the file imported (figure 38, c).", - "page_start": 26, - "page_end": 26, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "684 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nSave the current backup to a secure and safe location. The files can be downloaded using \nUNIX scp or pscp for Microsoft Windows, as shown in Example 13-3. Replace the IP address \nwith the cluster IP address of your Storwize V7000 and specify a local folder on your \nworkstation. In this example, we are saving to C:\\V7000Backup.\nExample 13-3 Saving config backup files to your workstation\nC:\\putty>pscp -unsafe \nsuperuser@9.174.157.250:/dumps/svc.config.backup.* c:\\V7000backup\nUsing keyboard-interactive authentication.\nPassword:\nsvc.config.backup.bak_782 | 133 kB | 33.5 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.log_782 | 16 kB | 16.8 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.sh_7822 | 5 kB | 5.9 kB/s | ETA: 00:00:00 | 100%\nsvc.config.backup.xml_782 | 105 kB | 52.8 kB/s | ETA: 00:00:00 | 100%\nC:\\putty>\nC:\\>dir V7000backup\n Volume in drive C has no label.\n Volume Serial Number is 0608-239A\n Directory of C:\\V7000backup\n24.10.2018 10:57 .\n24.10.2018 10:57 ..\n24.10.2018 10:57 137.107 svc.config.backup.bak_7822DFF-1\n24.10.2018 10:57 17.196 svc.config.backup.log_7822DFF-1\n24.10.2018 10:57 6.018 svc.config.backup.sh_7822DFF-1\n24.10.2018 10:58 108.208 svc.config.backup.xml_7822DFF-1\n 4 File(s) 268.529 bytes\n 2 Dir(s) 79.028.662.272 bytes free\nC:\\>\nThe use of the -unsafe option enables you to use the wildcard for downloading all the \nsvc.config.backup files in a single command.\n13.3.2 Saving the backup by using the GUI\nAlthough it is not possible to generate an ad hoc backup, you can save the backup files by \nusing the GUI. To do so, complete the following steps:\n1. Navigate to Settings → Support → Support Package.\n2. Click the Manual Upload Instructions twistie to expand it. \n3. Click Download Support Package, as shown in Figure 13-8 on page 685.\nTip: If you encounter Fatal: Received unexpected end-of-file from server when using \nthe pscp command, consider upgrading your version of PuTTY.", - "page_start": 705, - "page_end": 705, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the bold keyboard shortcut on word ?", - "target_page": 4, - "target_passage": "Bold (keyboard shortcut: Ctrl+B)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Make your meaning more visual by \nformatting text \n \nTo format text, select it, and then select a button in the Font or Paragraph area on the Home \ntab. \nTry it: Select text in the lines below and choose formatting options so that the text is an \nexample of the formatting it’s describing: \n \nBold (keyboard shortcut: Ctrl+B) \n \nItalic (keyboard shortcut: Ctrl+I) \n Highlight \n Font color \n Bullets \n Numbering \nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a \nlittle toolbar, with the font formatting options? \n \nBetween that and keyboard shortcuts like Ctrl+B \nand Ctrl+I, you save time by not having to go up to \nthe Home tab all the time.", - "page_start": 3, - "page_end": 3, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Find whatever you need\nType a keyword or phrase into the Search box to quickly find the Word features \nand ribbon commands you’re looking for, to discover Help content, or to get \nmore information online.\nGet other Quick Start guides\nTo download our free Quick Start Guides for your other favorite apps, go to \nhttps://go.microsoft.com/fwlink/?linkid=2008317.\nWord\nShare your work with others\nTo invite others to view or edit your documents, select the Share button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment.\nNext steps with Word\nSee what’s new in Office\nExplore the new and improved features in Word and the other Office apps. \nVisit https://go.microsoft.com/fwlink/?linkid=871117 for \nmore information.\nGet free training, tutorials, and videos for Office\nReady to dig deeper into the capabilities that Word has to offer? Visit \nhttps://go.microsoft.com/fwlink/?linkid=871123 to explore our free \ntraining options.\nSend us your feedback\nLove Word? Got an idea for improvement to share with us? On the File menu, \nselect Feedback and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 14 St. George’s Information Services \nSELECTING ROWS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIf you want to make changes to an entire row, \nsuch as bolding all of the headings in a row or \nchanging the font of all the cell entries, you must \nfirst select the row. This is done by clicking on the \nrow header to the left of the row. Remember that \nany changes you make will apply to every cell in \nthe row all the way across to column XFD, so be \ncareful! \n \nTry This Yourself: \nSame \nFile Continue using the previous file \nwith this exercise, or open the file \nE705 Ranges_1.xlsx... \n \nPress + to make cell A1 \nthe active cell \n \nMove the mouse pointer to the \nrow heading for row 5 \nNotice that the mouse pointer \nchanges to a black arrow that \npoints towards the row… \n \nClick once on row heading 5 to \nselect the entire row \n \nClick in cell B7\nand press + \n \nThis is the key combination for \nselecting an entire row… \n \nClick on the row header for row 7 \nto select this row \n \nHold down and click on the \nrow header for row 10 \nAll rows from 7 to 10 will be \nselected… \n \nClick in the row header for row 5, \nthen hold down the left mouse \nbutton and drag down the row \nheaders to row 10 \nThis is another technique for \nselecting rows, but it does require \na steady hand! \n \nFor Your Reference… \nTo select an entire row: \n1. Click on the row header of the row that you \nwant to select \nOR \n1. Click in any cell in the row and press \n \n+ \nHandy to Know… \n When every cell in a row or column is \nselected, the corresponding row or column \nheader is filled in dark blue. When only some \nof the cells are selected, the row or column \nheader is filled in orange. These indicators \nhelp you locate the active cell(s) on the \nworksheet. \n \n2 \n3 \n4 \n6 \n7", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Get help with Word \n \nThe Tell me search box takes you straight to commands and Help in Word. \nTry it: Get help: \n1. Go to Tell me what you want to do at the top of the window. \n2. Type what you want to do. \nFor example, type: \n Add watermark to quickly get to the watermark command. \n Help to go to Word help. \n Training to see the list of Word training courses. \n What’s new for a list of the most recent updates to Word \nLet us know what you think \nPlease give us feedback on this template, so we can provide content that’s truly useful and \nhelpful. Thanks!", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 23 St. George’s Information Services \nPRACTICE EXERCISE \nFont Formatting \nTasks: \n Before starting this exercise you MUST have completed all of the topics in \nthe chapter Font Formatting… \n \n \nOpen the workbook called PE_Font Formatting.xlsx (it can be found in \nthe same folder as the student files) \n \n \nFormat the heading in cell A1 as Cambria, 36 pt, bold, Orange Accent 2 \n \nFormat the other headings as bold, italic or underline as shown on the \nfollowing page \n \n \nUse Orange, Accent 2, Lighter 80% to fill the area behind the headings \nas shown on the following page \n \n \nAdd the superscript 1 in cell H3 and in cell B27 with the following comment \n1 Fee may be reduced as the result of Government Assistance \nYour completed worksheet should appear as shown on the following \npage... \n \n \nUse the Save As command to save the workbook as PE_Font Formatting \n(Completed).xlsx", - "page_start": 26, - "page_end": 26, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 15 St. George’s Information Services \nSELECTING COLUMNS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIf you want to make changes to an entire \ncolumn, such as bolding all of the headings in a \ncolumn or changing the font of all the cell entries, \nyou must first select the column. This is done by \nclicking on the column header directly above the \ncolumn. Remember that any changes you make \nwill apply to every cell in the column all the way \ndown to row 1,048,576! \n \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E705 Ranges_1.xlsx... \n \nPress + to make \ncell A1 the active cell \n \nMove the mouse pointer to the \ncolumn heading for column B \nNotice that the mouse pointer \nchanges to a black arrow \npointing down the column… \n \nClick once to select the column \nThis time the row headers \nchange to orange to indicate \nthat at least one cell (but not \nall) in each row is selected… \n \nClick in cell D6\n and press \n+ \nThis key combination also \nselects an entire column… \n \nClick on the column header for \ncolumn B to select it \n \nHold down and click on the \ncolumn header for column D \nThis time, columns B, C, and D \nare all selected… \n \nClick in the column header for \ncolumn A, then hold down the \nleft mouse button and drag the \nmouse pointer across the \ncolumn headings to column E \n \nFor Your Reference… \nTo select an entire column: \n1. Click on the column heading of the column \nthat you want to select \nOR \n1. Click in any cell in the column and press \n + \nHandy to Know… \n Make sure that you check your worksheet \ncarefully after you’ve made changes to entire \ncolumns. Remember that all of the cells in \nthat column are affected – even those in \nrows below the visible area. \n2 \n3 \n4 \n6", - "page_start": 18, - "page_end": 18, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Word\nGet writing suggestions\nWith Editor, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion.\nReview and track changes\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the Review tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents.\nView who else is typing\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in.\nFormat with styles\nStyles lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the Home tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "Welcome to Word \nInstructions you can edit, share, and print \nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will \nteach you some basics about Word, but this document isn’t just for reading. It’s for editing too, \nso you can learn by doing. \nFor practice using Word features, watch for Try it text in red throughout this document. \n \nTime saver: If you’ve only got a minute \nand you want to see how this works, \nwatch this Video: Welcome to Word. \nWrite eloquently, with a little help \nWord automatically checks spelling and grammar, and marks misspelled words with a red \nsquiggly underline. Grammatical glitches get a blue double underline. \nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write \na sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph. \nRight-click the text that’s marked with underlines, or Press F7. Choose a suggestion to correct \nthe mistakes.", - "page_start": 0, - "page_end": 0, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "NumberImprovement Word Excel PowerPoint\nText, or Decorative has tag with text content\n15 Shape with Alt Text and non-whitespace text without\nEquation has
tag with Alt Text\nYes Yes\n16 Table Cell with Equation in a Table without Alt Text has\n tag with Alt Text\nYes\n17 Summary Zoom, Section Zoom, and Slide Zoom has\n tag without Alt Text\nYes\n18 WordArt preserved as text Yes Yes Yes\n19 Alt Text includes the Alt Text Title as well as Alt Text\nDescription\nYes Yes Yes\n20 Alt Text includes the Object type Yes Yes Yes\n21 Alt Text for Shape with Alt Text includes the text\ncontent\nYes Yes\n22 Header Row in a Table has tag Yes\n23 Total Row in a Table has tag Yes\n24 Header Cell in Table has Scope=Row, Column, or Both\nin tag\nYes\n25 Cell in a Table has Row span and Column span set\nproperly on or tag\nYes\n26 For lists in PowerPoint, bullet or number is in tag Yes\n27 For lists in Word, bullet or number is in tagYes\n28 For picture bullets, no tag is includedYes Yes\n29 For nested lists, tag is in tag Yes Yes\n30 Document language in PDF set as the document\nlanguage in PowerPoint\nYes\n31 Document language in PDF set as the document\nlanguage in Word\nYes\n32 Text in different language has tag with Lang\nproperty in PowerPoint\nYes\n33 Text in different language has tag with Lang\nproperty in Word\nYes", - "page_start": 38, - "page_end": 38, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the advise to make the style sets and themes work well ? ", - "target_page": 6, - "target_passage": "They work best when your document is formatted with styles", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Give your doc an instant makeover \n \nStyle sets and themes let you completely change the look of your document in an instant. They \nwork best when your document is formatted with styles (so it’s good that we fixed that Heading \nstyle, above). \nTry it: Explore style sets and themes: \n1. On the Design tab, select Themes, and choose a theme from the drop-down. \nNotice that the gallery of style sets updates to reflect the theme you picked. \n2. Select any theme you like from the drop-down and click to apply.", - "page_start": 5, - "page_end": 5, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Make magic: use Heading styles \nThe heading for this part (“Make magic: use Heading styles”) looks the same as the other \nheadings in this document, but it’s not as useful. It’s formatted with font settings (font, size, and \ncolor), while the other headings are formatted with a Heading style (Heading 1, to be exact). \n \nSee the little triangle when you mouse over those other \nheadings? \nYou can collapse and expand everything under a heading, like an \noutline. But this one’s not working. Let’s fix it. \nTry it: Apply the Heading 1 style: \n1. Put your cursor somewhere in the heading above (“Make magic: use Heading styles”) – \ndon’t select anything. \n2. On the Home tab, find Styles, and select Heading 1 (keyboard shortcut Ctrl+Alt+1). \nTa-da! Now it looks like a heading, and acts like one too.", - "page_start": 4, - "page_end": 4, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 51 St. George’s Information Services \nCHANGING THE CHART STYLE \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame File Continue using the \nprevious file with this \nexercise, or open the \nfile E1317 \nCharting_9.xlsx... \n \nClick on the Revenue \nChart worksheet tab to \nsee the chart, then click \nanywhere on the chart \nto select it \n \nClick on the Chart \nStyles tool to the right \nof the chart to see a \ngallery of style options, \nas shown \n \nScroll through the \ngallery and point to \neach style to see how \nyour chart will look in \nLive Preview \n \nScroll to and click on \nStyle 9 \n \nClick on the Chart \nStyles tool to the right \nof the chart to close the \ngallery \n \nClick on the Chart Data \nworksheet tab \n \n2 \nThe style of a chart refers to its colour scheme \nand overall appearance and can impact the \nclarity of the content of the chart. Choosing a \npredefined chart style can save valuable time \nand effort. Excel also makes it easy to change \nchart styles if you decide the style you have chosen \nis not appropriate. \n \n \nFor Your Reference… \nTo change the chart style: \n1. Ensure the chart or chart sheet is selected \n2. Click on the Chart Styles tool to the right of \nthe chart \n3. Click on the desired style \nHandy to Know… \n Instead of using the Chart Styles tool to the \nright of the chart, you can also choose chart \nstyles from the CHART TOOLS: DESIGN \ntab on the ribbon when a chart is selected. \n4", - "page_start": 54, - "page_end": 54, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "54 \n \n4. Your UI should now look similar to figure 5.5. Select OK to enter the new value. Run the reasoner. \n_____________________________________________________________________________________ \nFigure 5.5 hasCaloricContent for MargheritaPizza1 \n \n \n \nExercise 30: Create More Instances and Data Property Values \n_____________________________________________________________________________________ \n1. Remain in the Individuals by class tab. Click on other Pizzas and create instances of them (apx. 5-10) \nand then fill in their caloric content with values ranging from 200 to 800. Try to have about half of your \npizzas higher than 400 calories and half less than 400. The UI retains the datatype from the previous use \nso once you define the first caloric content you shouldn’t need to set the datatype again but it is always a \ngood idea to make sure it is correct, in this case: xsd:integer. \n2. It is a good idea to adhere to an intuitive naming standard for your instances such as as we did for MargheritaPizza1. Depending on the classes you instantiate your \npizzas should have names like MargheritaPizza2, SohoPizza1, etc. \nOne of the most common sources of errors in ontologies is to have the wrong datatype for data \nproperty values. The sooner you catch these errors, the easier they are to debug so it is a good \nidea to run the reasoner frequently after you enter any values. Note that in some versions of \nProtégé 5.5. there is a minor bug where the UI may lock up due to an inconsistent data value \n(e.g., a string value in a property typed for integer). If this happens the best thing to do is save \nyour work if possible, quit Protégé, and then restart it. When you restart it fix the datatype \nerrors before you run the reasoner and then run the reasoner to make sure you actually have \nfixed the error.", - "page_start": 54, - "page_end": 54, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "11 \n \nExercise 2: Set the Preferences for New Entities and Rendering \n_____________________________________________________________________________________ \n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. \nClick on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that \ntab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts \nwith Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to \nAuto-generated name change it to User supplied name. That is the parameter most likely to be different \nbut also check the other two as well. \n2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity \nrendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don’t \nworry if this doesn’t completely make sense at this point. The issues here are a bit complex and subtle so \nwe defer them until after you have an understanding of the basic concepts of what an OWL ontology is. \nWe will have a discussion of these details below in chapter 7. For now you just need to make sure that the \npreferences are set appropriately to work with the rest of the tutorial. \n____________________________________________________________________________________ \nFigure 4.1: The New entities tab", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "P E R F E C T M A T C H # 1\nT H E F O R T U N E 5 0 0 \nA N D A L L S T E E L\nWhen we saw Get Set\nTM\n it was love at first \nsight. Then we got to know everything else \nyou have to offer, and realized you’re more \nthan just a pretty face — you’re a brand with a \nhead for business and uplifting products that \nset the standard for functionality, durability, \nand style. Of course we know we Fortune 500 \ntypes are not the only ones in your life — \ncorporate, government, and institutional \ncustomers are excited about you, too, since \nyou match everyone’s workplace furniture \nand service needs with energy, confidence, \nand great customer relationships. That’s ok, \nAllsteel; you’re worth sharing.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "NAVWEPS OO-SOT-80 \nS \n)YE STREAMERS OhI F!ilJ MOnFl \nFtgure 7.33. Staff Patterns (sheet 6 of 8)", - "page_start": 100, - "page_end": 100, - "source_file": "00-80T-80.pdf" - }, - { - "text": "5 \n \nname is meant to be entered into a field it will only be highlighted rather than highlighted and printed in \nConsolas font. \nMenu options are shown with the name of the top-level menu, followed by a > followed by the next level \ndown to the desired selection. For example, to indicate how to open the Individuals by class tab under the \nTabs section in the Window menu the following text would be used: Window>Tabs> Individuals by \nclass. \nWhen a word or phrase is emphasized, it is shown in italics like this. \nExercises are presented like this: \nExercise 1: Accomplish this \n_____________________________________________________________________________________ \n1. Do this. \n2. Then do this. \n3. Then do this. \n_____________________________________________________________________________________ \n \n \nPotential pitfalls and warnings are presented like this. \nTips and suggestions related to using Protégé are presented like this. \nExplanations as to what things mean are presented like this. \nGeneral notes are presented like this. \nVocabulary explanations and alternative names are presented like this.", - "page_start": 5, - "page_end": 5, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "P E R F E C T M A T C H # 2\nT H E \nDESIGN COMMUNITY \nA N D G U N L O C K E\nIn addition to your handsome good looks, \nwhat impresses us most about you, Gunlocke, \nis how open you are to self-improvement. \nIt’s usually a slow and difficult process to \nmake fundamental shifts in attitude, but \nyou jump at the idea of collaboration, and \nquickly turn the wheel in a different direction. \nWe also love how you balance your sense \nof detail and approach with a truly refined \naesthetic. Bold and strong, yet sophisticated \nand classy — able to adjust to the nuances \nof your customer’s personality. Bottom line? \nYou’re simply irresistible.", - "page_start": 18, - "page_end": 18, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "PETS\nSEASONAL\nSENIORS\nSPANISH\nTIPS AND HOW TO\nENTERTAINMENT\nCAREER\nCOMMUNITY\nFAMILY\nTIPS\nINTERNET\nHUMAN_INTEREST\nBEAUTY\nARTS\nREALESTATE\nSAFETY\nMEDICINE\nBOOK_REVIEW\nRECIPE\nAFRICAN_AMERICANS\nHOW_TO\nBYLINED_COLUMN\nCHARITY\nSPORTS\nHOME_IMPROVEMENT\nTECH\nWELLNESS\nARTS AND ENTERTAINMENT\nFOOD & DRINK\nREAL_ESTATE\nVETERANS\nOUTDOORS\nREAL ESTATE\nHUMAN INTEREST\nMONEY & FINANCE\nFASHION & BEAUTY", - "page_start": 2, - "page_end": 2, - "source_file": "news3.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "Where are the peaks of the VHE blazars ?", - "target_page": 1, - "target_passage": " VHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Prior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\nered 6 VHE blazars since the launch of Fermi. Three\nof these were initially observed by VERITAS prior to\nthe release of Fermi-LAT results, due to the X-ray\nbrightness of the synchrotron peaks of their SEDs.\nVHE emission from 3C 66A was discovered by VER-\nITAS in September 2008 [17] during a flaring episode\nthat was also observed by the Fermi-LAT [18]. The\nobserved flux above 200 GeV was 6% of the Crab Neb-\nula flux and the measured VHE spectrum was very\nsoft (ΓVHE ∼ 4. 1). RGB J0710+591 was detected\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\ntion of correlated VHE and X-ray flux variability, as\nwell as correlated spectral hardening in both the VHE\nand X-ray bands. The VHE MWL observations were\nperformed in both ”quiescent” and flaring states for\nsome of the observed blazars. For the observed HBL\nobjects, the SEDs can be well described by a simple\nSSC model in both high and low states. However, an\nadditional external Compton component is necessary\nto adequately fit the SEDs of the IBL objects.\nThe Fermi-LAT is already having a significant im-\npact on the blazar KSP. In future seasons, the VER-\nITAS blazar discovery program will focus its dis-\ncovery program on hard-spectrum blazars detected\nby Fermi-LAT, and will likely have a greater focus\non high-risk/high-reward objects at larger redshifts\n(0. 3 < z < 0. 7). In addition, the number of VHE\nblazars studied in pre-planned MWL campaigns will\nincrease as data from the Fermi-LAT will be publicly\navailable. In particular, the extensive pre-planned\nMWL campaigns will focus on objects that are note-\nworthy for the impact their data may have on under-\nstanding the EBL. The simultaneous observations of\nblazars by VERITAS and Fermi-LAT will completely\nresolve the higher-energy SED peak, often for the first\ntime, enabling unprecedented constraints on the un-\nderlying blazar phenomena to be derived.\nAcknowledgments\nThis research is supported by grants from the US\nDepartment of Energy, the US National Science Foun-\ndation, and the Smithsonian Institution, by NSERC in\nCanada, by Science Foundation Ireland, and by STFC\nin the UK. We acknowledge the excellent work of the\ntechnical support staff at the FLWO and the collab-\norating institutions in the construction and operation\nof the instrument.\nReferences\n[1] F. Aharonian et al. 2007,ApJ, 664, L71\n[2] F. Aharonian et al. 2006, Nature, 440, 1018\n[3] F. Aharonian et al. 2007, A&A, 475, L9\n[4] J. Holder, et al. 2008, AIPC, 1085, 657\n[5] L. Costamante & G. Ghisellini 2002, A&A, 384,\n56\n[6] E.S. Perlman 2000, AIPC, 515, 53\n[7] F.W. Stecker et al. 1996, ApJ, 473, L75\n[8] P. Giommi et al. 2005, A&A, 434, 385\n[9] S. Turriziani et al. 2007, A&A, 472, 699\n[10] L. Costamante 2006, arXiv:0612709\n[11] P. Padovani et al. 2002,ApJ, 581, 895\n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n[13] A.A. Abdo et al. 2009, ApJ, 700, 597\n[14] V.A. Acciari et al. 2008, ApJ, 684, L73\n[15] V.A. Acciari et al. 2009, ApJ, 707, 612\n[16] V.A. Acciari et al. 2009, ApJ, 690, L126\n[17] V.A. Acciari et al. 2009, ApJ, 693, L104\n[18] L.C. Reyes 2009, arXiv:0907.5175\n[19] R.A. Ong 2009,ATel, 1941\n[20] R.A. Ong et al. 2009, ATel, 2272\n[21] V.A. Acciari et al. 2009, ApJ, 708, L100\n[22] R.A. Ong et al. 2009, ATel, 2301\n[23] R.A. Ong et al. 2009, ATel, 2260\n[24] R.A. Ong et al. 2009, ATel, 2309\n[25] W. Benbow 2009, arXiv:0908.1412\n[26] V.A. Acciari et al. 2009,ApJ, submitted\n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n[28] V.A. Acciari et al. 2009, ApJ, in press\n[29] J. Grube 2009, arXiv:0907.4862\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe ��rst two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample,\nwhere the blazars are more distributed around αS ∼ 0.\nas the presence of SSC versus ERC. Here, we use sub-\nmillimeter luminosity as a proxy for jet power, which\nis correlated with the integrated luminosity of the syn-\nchrotron component. Elevated γ-ray luminosity with\nrespect to the synchrotron component (which is often\nseen in FSRQs) suggests the upscattering of external\nphotons off the synchrotron-emitting electrons. These\nobjects should occupy the upper right of the ratio/jet\npower plot, and BL Lacs, which generally exhibit com-\nponents with roughly comparable luminosities, should\noccupy the lower left. It is clear from the figure, how-\never, that many FSRQs exhibit ratios similar to those\nof the BL Lacs and vis versa.\nSikora et al. [10] report that, during its flaring\nepochs, 3C 454.3 transitions from its typical FSRQ\nstate to a more BL Lac-like state, where the syn-\nchrotron component emits much more strongly com-\npared to the γ-ray component than during its “low\nstate”. 3C 454.3, which is the highest submillime-\nter luminosity FSRQ in our sample, would then shift\ndown and to the right in Figure 5 when it enters a\nflaring period. For the first three months of the Fermi\nmission, 3C 454.3 was not flaring, which may explain\nits present location in Figure 5. The three objects for\nwhich there is a type discrepancy between CGRaBS\nand LBAS are all FSRQs (in CGRaBS) and exhibit\nlow luminosity ratios and high luminosity, which sug-\ngest they may be undergoing the same changes as 3C\n454.3. A possible interpretation of the elevated lumi-\nnosity ratios observed in some BL Lacs objects is that\nthere has been a dramatic increase in γ-ray luminos-\nity due to ERC, which would not be reflected in the\nsynchrotron component.\n5. CONCLUSIONS\nThe motivation for observing blazars in the sub-\nmillimeter is to study behavior close to the central\nengine, where the jet material is presumably still be-\ning accelerated. The separate emission processes that\ncontribute to overall SED may present differently in\nBL Lacs and FSRQs, allowing us to understand the\nsimilarities and differences between blazar types. We\nhave investigated these differences between objects in\nterms of submillimeter behavior and, in conclusion,\nfind that\n•The SMA blazars exhibit submillimeter energy\nspectral indexes that follow the spectral se-\nquence interpretation of blazars.\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\nFigure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n•BL Lacs and FSRQs do not exhibit significant\ndifferences in amplitude of submillimeter vari-\nability or characteristic timescale, but our sam-\nple of BL Lacs may be dominated by high-\npeaked BL Lacs (HBLs), which exhibit obser-\nvational similarities with FSRQs.\n•Blazar submillimeter light curves are consistent\nwith being produced by a single process that ac-\ncounts for both high and low states, with char-\nacteristic timescales 10 <τrest < 500 days.\n•The blazars detected byFermi have synchrotron\npeaks at higher frequencies, regardless of sub-\nmillimeter luminosity.\n•FSRQs exhibit higher ratios of γ-ray to sub-\nmillimeter luminosity than BL Lacs (Figure 5),\nbut all objects inhabit a region of parameter\nspace suggesting transitions between states dur-\ning flaring epochs.\nAs Fermi continues to observe fainter sources, the\nsample of objects for which we can perform this type of\nanalysis will increase and provide better limits on our\nresults. To understand the physical relevance of these\nresults, however, it is important to be able to distin-\nguish between the difference in variability between BL\nLacs and FSRQs. One avenue for exploring this dif-\nference is to monitor changing submillimeter energy\nspectral index and the ratio of γ-ray to submillime-\nter luminosity as functions of time. The full mean-\ning of the results of our autoregressive method is not\nyet clear, and will require better-sampled blazar light\ncurves and the comparison between τrest with physical\ntimescales such as the synchrotron cooling timescale.\nThese analyses would allow us to place constraints\non the processes occurring near the base of the jet in\nblazars and further understand the intimate connec-\ntion between them.\nAcknowledgments\nThis work was supported in part by the NSF\nREU and DoD ASSURE programs under Grant no.\n0754568 and by the Smithsonian Institution. Par-\ntial support was also provided by NASA contract\nNAS8-39073 and NASA grant NNX07AQ55G. We\nhave made use of the SIMBAD database, operated at\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\ntragalactic Database (NED) which is operated by the\nJPL, Caltech, under contract with NASA.\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "What are the blazars observed in the discovery program ?", - "target_page": 2, - "target_passage": "The blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. How ever, the program also includes IBLs (intermediate peaked) and LBLs (low-peaked), as well as flat spec trum radio quasars (FSRQs), in an attempt to in crease the types of blazars known to emit VHE γ-rays.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\n3. VERITAS Blazar KSP\nVERITAS observes for ∼ 750 h and ∼ 250 h each\nyear during periods of astronomical darkness and par-\ntial moonlight, respectively. The moonlight observa-\ntions are almost exclusively used for a blazar discovery\nprogram, and a large fraction of the dark time is used\nfor the blazar KSP, which consists of:\n• A VHE blazar discovery program ( ∼ 200 h / yr):\nEach year ∼ 10 targets are selected to receive\n∼ 10 h of observations each during astronomi-\ncal darkness. These data are supplemented by\ndiscovery observations during periods of partial\nmoonlight.\n• A target-of-opportunity (ToO) observation pro-\ngram (∼ 50 h / yr): VERITAS blazar obser-\nvations can be triggered by either a VERI-\nTAS blazar discovery, a VHE flaring alert (>2\nCrab) from the blazar monitoring program of\nthe Whipple 10-m telescope or from another\nVHE instrument, or a lower-energy flaring alert\n(optical, X-ray or Fermi-LAT). Should the guar-\nanteed allocation be exhausted, further time can\nbe requested from a pool of director’s discre-\ntionary time.\n• Multi-wavelength (MWL) studies of VHE\nblazars (∼ 50 h / yr + ToO): Each year one\nblazar receives a deep exposure in a pre-planned\ncampaign of extensive, simultaneous MWL (X-\nray, optical, radio) measurements. ToO observa-\ntion proposals for MWL measurements are also\nsubmitted to lower-energy observatories (e.g.\nSwift) and are triggered by a VERITAS discov-\nery or flaring alert.\n• Distant VHE blazar studies to constrain the ex-\ntragalactic background light (EBL): Here dis-\ntant targets are given a higher priority in the\nblazar discovery program, as well as for the\nMWL observations of known VHE blazars, par-\nticularly those with hard VHE spectra.\n4. Blazar Discovery Program\nThe blazars observed in the discovery program are\nlargely high-frequency-peaked BL Lac objects. How-\never, the program also includes IBLs (intermediate-\npeaked) and LBLs (low-peaked), as well as flat spec-\ntrum radio quasars (FSRQs), in an attempt to in-\ncrease the types of blazars known to emit VHEγ-rays.\nThe observed targets are drawn from a target listcon-\ntaining objects visible to the telescopes at reasonable\nzenith angles (− 8◦ < δ < 72◦), without a previously\npublished VHE limit below 1.5% Crab, and with a\nmeasured redshiftz < 0. 3. To further the study of the\nEBL a few objects having a large ( z > 0. 3) are also\nincluded in the target list. The target list includes:\n• All nearby ( z < 0. 3) HBL and IBL recom-\nmended as potential VHE emitters in [5, 6, 7].\n• The X-ray brightest HBL ( z < 0. 3) in the recent\nSedentary [8] and ROXA [9] surveys.\n• Four distant ( z > 0. 3) BL Lac objects recom-\nmended by [5, 10].\n• Several FSRQ recommended as potential VHE\nemitters in [6, 11].\n• All nearby ( z < 0. 3) blazars detected by\nEGRET [12].\n• All nearby ( z < 0. 3) blazars contained in the\nFermi-LAT Bright AGN Sample [13].\n• All sources ( |b| > 10◦) detected by Fermi-LAT\nwhere extrapolations of their MeV-GeV γ-ray\nspectrum (including EBL absorption; assuming\nz = 0.3 if the redshift is unknown) indicates a\npossible VERITAS detection in less than 20 h.\nThis criteria is the focus of the 2009-10 VERI-\nTAS blazar discovery program.\n5. VERITAS AGN Detections\nVERITAS has detected VHE γ-ray emission from\n16 AGN (15 blazars), including 8 VHE discoveries.\nThese AGN are shown in Table I, and each has been\ndetected by the Large Area Telescope (LAT) instru-\nment aboard the Fermi Gamma-ray Space Telescope.\nEvery blazar discovered by VERITAS was the sub-\nject of ToO MWL observations to enable modeling of\nits simultaneously-measured SED. The known VHE\nblazars detected by VERITAS were similarly the tar-\ngets of MWL observations.\n5.1. Recent VERITAS Blazar Discoveries\nPrior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\ntion of correlated VHE and X-ray flux variability, as\nwell as correlated spectral hardening in both the VHE\nand X-ray bands. The VHE MWL observations were\nperformed in both ”quiescent” and flaring states for\nsome of the observed blazars. For the observed HBL\nobjects, the SEDs can be well described by a simple\nSSC model in both high and low states. However, an\nadditional external Compton component is necessary\nto adequately fit the SEDs of the IBL objects.\nThe Fermi-LAT is already having a significant im-\npact on the blazar KSP. In future seasons, the VER-\nITAS blazar discovery program will focus its dis-\ncovery program on hard-spectrum blazars detected\nby Fermi-LAT, and will likely have a greater focus\non high-risk/high-reward objects at larger redshifts\n(0. 3 < z < 0. 7). In addition, the number of VHE\nblazars studied in pre-planned MWL campaigns will\nincrease as data from the Fermi-LAT will be publicly\navailable. In particular, the extensive pre-planned\nMWL campaigns will focus on objects that are note-\nworthy for the impact their data may have on under-\nstanding the EBL. The simultaneous observations of\nblazars by VERITAS and Fermi-LAT will completely\nresolve the higher-energy SED peak, often for the first\ntime, enabling unprecedented constraints on the un-\nderlying blazar phenomena to be derived.\nAcknowledgments\nThis research is supported by grants from the US\nDepartment of Energy, the US National Science Foun-\ndation, and the Smithsonian Institution, by NSERC in\nCanada, by Science Foundation Ireland, and by STFC\nin the UK. We acknowledge the excellent work of the\ntechnical support staff at the FLWO and the collab-\norating institutions in the construction and operation\nof the instrument.\nReferences\n[1] F. Aharonian et al. 2007,ApJ, 664, L71\n[2] F. Aharonian et al. 2006, Nature, 440, 1018\n[3] F. Aharonian et al. 2007, A&A, 475, L9\n[4] J. Holder, et al. 2008, AIPC, 1085, 657\n[5] L. Costamante & G. Ghisellini 2002, A&A, 384,\n56\n[6] E.S. Perlman 2000, AIPC, 515, 53\n[7] F.W. Stecker et al. 1996, ApJ, 473, L75\n[8] P. Giommi et al. 2005, A&A, 434, 385\n[9] S. Turriziani et al. 2007, A&A, 472, 699\n[10] L. Costamante 2006, arXiv:0612709\n[11] P. Padovani et al. 2002,ApJ, 581, 895\n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n[13] A.A. Abdo et al. 2009, ApJ, 700, 597\n[14] V.A. Acciari et al. 2008, ApJ, 684, L73\n[15] V.A. Acciari et al. 2009, ApJ, 707, 612\n[16] V.A. Acciari et al. 2009, ApJ, 690, L126\n[17] V.A. Acciari et al. 2009, ApJ, 693, L104\n[18] L.C. Reyes 2009, arXiv:0907.5175\n[19] R.A. Ong 2009,ATel, 1941\n[20] R.A. Ong et al. 2009, ATel, 2272\n[21] V.A. Acciari et al. 2009, ApJ, 708, L100\n[22] R.A. Ong et al. 2009, ATel, 2301\n[23] R.A. Ong et al. 2009, ATel, 2260\n[24] R.A. Ong et al. 2009, ATel, 2309\n[25] W. Benbow 2009, arXiv:0908.1412\n[26] V.A. Acciari et al. 2009,ApJ, submitted\n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n[28] V.A. Acciari et al. 2009, ApJ, in press\n[29] J. Grube 2009, arXiv:0907.4862\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "array are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\nat 345 GHz), these sources are monitored regularly,\nboth during science observations and dedicated ob-\nserving tracks.\nTo select our sample, we identified objects in the\ncalibrator list that were also classified as BL Lacs or\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\nvey [6, CGRaBS]. Of the 243 total objects in the\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\nhave positive blazar class identifications, although\nthere are three sources (J0238+166, J0428-379, and\n1The Submillimeter Array is a joint project between the\nSmithsonian Astrophysical Observatory and the Academia\nSinica Institute of Astronomy and Astrophysics and is funded\nby the Smithsonian Institution and the Academia Sinica.\n2http://sma1.sma.hawaii.edu/callist/callist.html\neConf C091122\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 1: The SMA light curves for 3C 454.3. The open\ncircles represent the 850µm observations, and the open\ntriangles represent the 1mm observations.\nJ1751+096) which have conflicting classifications be-\ntween Fermi and CGRaBS. Some blazars found in the\ncalibrator list have been studied extensively (e.g., 3C\n279 and 3C 454.3) but the SMA blazars have not been\nstudied collectively.\nForty-four of the objects in our total blazar sample\nwere detected by Fermi and can be found in the cata-\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\nal. [7]. J0050-094 has no redshift in either the LBAS\ncatalog or CGRaBS and is not included in our study.\nOf the 43 remaining sources, 14 are BL Lac objects\nand 29 are FSRQs, with 0 .03 ≤z≤2.19.\nWe examined submillimeter light curves for all of\nthe SMA blazars, with observations beginning in ap-\nproximately 2003 (see Figure 1). Typically, the 1mm\nband is much more well-sampled in comparison to the\n850m band, but visual inspection reveals that the reg-\nularity and quality of observations vary greatly from\nsource to source. Many of the objects exhibit non-\nperiodic variability, either in the form of persistent,\nlow-amplitude fluctuations or higher amplitude flar-\ning behavior.\n2.1. Submillimeter Properties\nSubmillimeter Luminosities. Since we are pri-\nmarily concerned with comparisons to Fermi observa-\ntions, we note that only 129 of theSMA blazars (23 BL\nLacs and 106 FSRQs) were observed by the SMA in\neither band during the three months August-October\n2008. For these objects, submillimeter luminosities\nare calculated in the standard way:\nνeLνe = 4πD2\nL\nνobsFobs\n1 + z , (1)\nwhere DL is the luminosity distance, νobs is the fre-\nquency of the observed band, and Fobs is the average\nFigure 2: Variability index for our sample (top: 1mm,\nbottom: 850 µm), with FSRQs as the hatched\ndistribution and BL Lacs as the solid distribution. There\nis no signicant difference in the class distributions in\neither band; the “tail” to the left is populated by objects\nwith errors larger than the intrinsic variability.\nflux (in erg cm−2 s−1 Hz−1) over the three month pe-\nriod. We adopt a lambda cold dark matter cosmology\nwith values of H0 = 71 km s −1 Mpc−1, Ω M = 0.27,\nand Λ = 0.73.\nEnergy Spectral Indices.We derive submillime-\nter spectral energy indices from observations quasi-\nsimultaneous with the Fermi observations. To be con-\nsistent with the use ofαγ, we define spectral energy in-\ndex as νFν = ν−αS and calculate αS from the average\nof the energy spectral indices over the corresponding\nthree months. We only calculate αS for the 16 objects\n(8 BL Lacs and 35 FSRQs) with observations at both\n1mm and 850µm during this time frame.\n3. VARIABILITY ANALYSIS\n3.1. Variability Index\nWe roughly characterize the level of variability of\neach source using the variability index from Hovatta\net al. [8]:\nV = (Fmax −σFmax ) −(Fmin + σFmin )\n(Fmax −σFmax ) + (Fmin + σFmin ) (2)\nFigure 2 shows the distribution for theSMA blazars.\nObjects with V ≤0 are typically unsuitable for more\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe first two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "How many VHE blazar candidates were observed by VERITAS between September 2007 andJune 2009 ?", - "target_page": 3, - "target_passage": "More than 50 VHE blazar candidates were observed by VERITAS betweenSeptember 2007 andJune 2009.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Prior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-\nered 6 VHE blazars since the launch of Fermi. Three\nof these were initially observed by VERITAS prior to\nthe release of Fermi-LAT results, due to the X-ray\nbrightness of the synchrotron peaks of their SEDs.\nVHE emission from 3C 66A was discovered by VER-\nITAS in September 2008 [17] during a flaring episode\nthat was also observed by the Fermi-LAT [18]. The\nobserved flux above 200 GeV was 6% of the Crab Neb-\nula flux and the measured VHE spectrum was very\nsoft (ΓVHE ∼ 4. 1). RGB J0710+591 was detected\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "servations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-\nphysical sources [4]. VERITAS began scientific obser-\nvations with a partial array in September 2006 and has\nroutinely observed with the full array since Septem-\nber 2007. The performance metrics of VERITAS in-\nclude an energy threshold of∼ 100 GeV, an energy\nresolution of ∼ 15%, an angular resolution of ∼ 0.1◦,\nand a sensitivity yielding a 5 σ detection of a 1% Crab\nNebula flux object in <30 hours 1. VERITAS has an\nactive maintenance program (e.g. frequent mirror re-\ncoating and alignment) to ensure its continued high\nperformance over time, and an upgrade improving\nboth the camera (higher quantum-efficiency PMTs)\nand the trigger system has been proposed to the fund-\ning agencies.\n1A VERITAS telescope was relocated during Summer 2009,\nincreasing the array’s sensitivity by a factor ∼ 1.3.\neConf C091122", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\n3. VERITAS Blazar KSP\nVERITAS observes for ∼ 750 h and ∼ 250 h each\nyear during periods of astronomical darkness and par-\ntial moonlight, respectively. The moonlight observa-\ntions are almost exclusively used for a blazar discovery\nprogram, and a large fraction of the dark time is used\nfor the blazar KSP, which consists of:\n• A VHE blazar discovery program ( ∼ 200 h / yr):\nEach year ∼ 10 targets are selected to receive\n∼ 10 h of observations each during astronomi-\ncal darkness. These data are supplemented by\ndiscovery observations during periods of partial\nmoonlight.\n• A target-of-opportunity (ToO) observation pro-\ngram (∼ 50 h / yr): VERITAS blazar obser-\nvations can be triggered by either a VERI-\nTAS blazar discovery, a VHE flaring alert (>2\nCrab) from the blazar monitoring program of\nthe Whipple 10-m telescope or from another\nVHE instrument, or a lower-energy flaring alert\n(optical, X-ray or Fermi-LAT). Should the guar-\nanteed allocation be exhausted, further time can\nbe requested from a pool of director’s discre-\ntionary time.\n• Multi-wavelength (MWL) studies of VHE\nblazars (∼ 50 h / yr + ToO): Each year one\nblazar receives a deep exposure in a pre-planned\ncampaign of extensive, simultaneous MWL (X-\nray, optical, radio) measurements. ToO observa-\ntion proposals for MWL measurements are also\nsubmitted to lower-energy observatories (e.g.\nSwift) and are triggered by a VERITAS discov-\nery or flaring alert.\n• Distant VHE blazar studies to constrain the ex-\ntragalactic background light (EBL): Here dis-\ntant targets are given a higher priority in the\nblazar discovery program, as well as for the\nMWL observations of known VHE blazars, par-\nticularly those with hard VHE spectra.\n4. Blazar Discovery Program\nThe blazars observed in the discovery program are\nlargely high-frequency-peaked BL Lac objects. How-\never, the program also includes IBLs (intermediate-\npeaked) and LBLs (low-peaked), as well as flat spec-\ntrum radio quasars (FSRQs), in an attempt to in-\ncrease the types of blazars known to emit VHEγ-rays.\nThe observed targets are drawn from a target listcon-\ntaining objects visible to the telescopes at reasonable\nzenith angles (− 8◦ < δ < 72◦), without a previously\npublished VHE limit below 1.5% Crab, and with a\nmeasured redshiftz < 0. 3. To further the study of the\nEBL a few objects having a large ( z > 0. 3) are also\nincluded in the target list. The target list includes:\n• All nearby ( z < 0. 3) HBL and IBL recom-\nmended as potential VHE emitters in [5, 6, 7].\n• The X-ray brightest HBL ( z < 0. 3) in the recent\nSedentary [8] and ROXA [9] surveys.\n• Four distant ( z > 0. 3) BL Lac objects recom-\nmended by [5, 10].\n• Several FSRQ recommended as potential VHE\nemitters in [6, 11].\n• All nearby ( z < 0. 3) blazars detected by\nEGRET [12].\n• All nearby ( z < 0. 3) blazars contained in the\nFermi-LAT Bright AGN Sample [13].\n• All sources ( |b| > 10◦) detected by Fermi-LAT\nwhere extrapolations of their MeV-GeV γ-ray\nspectrum (including EBL absorption; assuming\nz = 0.3 if the redshift is unknown) indicates a\npossible VERITAS detection in less than 20 h.\nThis criteria is the focus of the 2009-10 VERI-\nTAS blazar discovery program.\n5. VERITAS AGN Detections\nVERITAS has detected VHE γ-ray emission from\n16 AGN (15 blazars), including 8 VHE discoveries.\nThese AGN are shown in Table I, and each has been\ndetected by the Large Area Telescope (LAT) instru-\nment aboard the Fermi Gamma-ray Space Telescope.\nEvery blazar discovered by VERITAS was the sub-\nject of ToO MWL observations to enable modeling of\nits simultaneously-measured SED. The known VHE\nblazars detected by VERITAS were similarly the tar-\ngets of MWL observations.\n5.1. Recent VERITAS Blazar Discoveries\nPrior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\ntion of correlated VHE and X-ray flux variability, as\nwell as correlated spectral hardening in both the VHE\nand X-ray bands. The VHE MWL observations were\nperformed in both ”quiescent” and flaring states for\nsome of the observed blazars. For the observed HBL\nobjects, the SEDs can be well described by a simple\nSSC model in both high and low states. However, an\nadditional external Compton component is necessary\nto adequately fit the SEDs of the IBL objects.\nThe Fermi-LAT is already having a significant im-\npact on the blazar KSP. In future seasons, the VER-\nITAS blazar discovery program will focus its dis-\ncovery program on hard-spectrum blazars detected\nby Fermi-LAT, and will likely have a greater focus\non high-risk/high-reward objects at larger redshifts\n(0. 3 < z < 0. 7). In addition, the number of VHE\nblazars studied in pre-planned MWL campaigns will\nincrease as data from the Fermi-LAT will be publicly\navailable. In particular, the extensive pre-planned\nMWL campaigns will focus on objects that are note-\nworthy for the impact their data may have on under-\nstanding the EBL. The simultaneous observations of\nblazars by VERITAS and Fermi-LAT will completely\nresolve the higher-energy SED peak, often for the first\ntime, enabling unprecedented constraints on the un-\nderlying blazar phenomena to be derived.\nAcknowledgments\nThis research is supported by grants from the US\nDepartment of Energy, the US National Science Foun-\ndation, and the Smithsonian Institution, by NSERC in\nCanada, by Science Foundation Ireland, and by STFC\nin the UK. We acknowledge the excellent work of the\ntechnical support staff at the FLWO and the collab-\norating institutions in the construction and operation\nof the instrument.\nReferences\n[1] F. Aharonian et al. 2007,ApJ, 664, L71\n[2] F. Aharonian et al. 2006, Nature, 440, 1018\n[3] F. Aharonian et al. 2007, A&A, 475, L9\n[4] J. Holder, et al. 2008, AIPC, 1085, 657\n[5] L. Costamante & G. Ghisellini 2002, A&A, 384,\n56\n[6] E.S. Perlman 2000, AIPC, 515, 53\n[7] F.W. Stecker et al. 1996, ApJ, 473, L75\n[8] P. Giommi et al. 2005, A&A, 434, 385\n[9] S. Turriziani et al. 2007, A&A, 472, 699\n[10] L. Costamante 2006, arXiv:0612709\n[11] P. Padovani et al. 2002,ApJ, 581, 895\n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n[13] A.A. Abdo et al. 2009, ApJ, 700, 597\n[14] V.A. Acciari et al. 2008, ApJ, 684, L73\n[15] V.A. Acciari et al. 2009, ApJ, 707, 612\n[16] V.A. Acciari et al. 2009, ApJ, 690, L126\n[17] V.A. Acciari et al. 2009, ApJ, 693, L104\n[18] L.C. Reyes 2009, arXiv:0907.5175\n[19] R.A. Ong 2009,ATel, 1941\n[20] R.A. Ong et al. 2009, ATel, 2272\n[21] V.A. Acciari et al. 2009, ApJ, 708, L100\n[22] R.A. Ong et al. 2009, ATel, 2301\n[23] R.A. Ong et al. 2009, ATel, 2260\n[24] R.A. Ong et al. 2009, ATel, 2309\n[25] W. Benbow 2009, arXiv:0908.1412\n[26] V.A. Acciari et al. 2009,ApJ, submitted\n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n[28] V.A. Acciari et al. 2009, ApJ, in press\n[29] J. Grube 2009, arXiv:0907.4862\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe first two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "For which language have been introduced the ActiveInference.jl library ?", - "target_page": 1, - "target_passage": " We introduce a new software package for the Julia programming language, the library ActiveInference.jl.", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "(variational Laplace), instead of the sampling-based methods that currently predominate in\nthe field of cognitive modelling [34,35].\nIn this paper, we introduce ActiveInference.jl, a new software library for Julia [28]\nthat aims to provide easy-to-use tools for model fitting with AIF models and to introduce\nAIF to the growing community of researchers using Julia for computational psychiatry and\ncognitive modelling. Julia is a free and open-source high-level programming language that\nretains an easy user interface reminiscent of that in MATLAB and Python. Simultaneously,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "12 \n \n \nFigure 4.2 Renderer tab \n \nFigure 4.3: The Active Ontology Tab with a New Comment", - "page_start": 12, - "page_end": 12, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Entropy 2025, 27, 62 3 of 33\nJulia uses its “just-in-time” (JIT) compilations via the LLVM framework to approach the\nspeed of languages like C without relying on external compilers [36]. Julia is also natively\nauto-differentiable, which means it can solve what is called the two-language problem\n(i.e., that high-level languages often have to rely on lower-level languages, either for\nperformance or for auto-differentiability; this is the case with standard tools for cognitive\nmodelling, where languages like R [37] must rely on external languages like STAN [38] for\nBayesian model fitting). This means that ActiveInference, in conjunction with Turing [39],\nJulia’s powerful library for Bayesian model fitting, and its newly developed extension for\nbehavioural modelling, ActionModels, makes it possible to use cutting-edge Markov Chain\nMonte Carlo [40] methods, as well as variational methods [35], for Bayesian model fitting\nwith AIF. Crucially, this allows researchers to not only simulate AIF in a fast programming\nlanguage, but to also fit them to empirical behaviour, as is performed in cognitive modelling\nand computational psychiatry. Importantly, this also places AIF models in an ecosystem\nof other models for computational psychiatry so that it can easily be compared with\nmodels, like Hierarchical Gaussian Filters [41], and reinforcement learning models, like the\nclassic Rescorla–Wagner model [42]. As part of makingActiveInference.jl available to the\nscientific community, and to the larger software ecosystem within computational psychiatry,\nit is implemented as part of the Translational Algorithms for Psychiatry-Advancing Science\n(TAPAS) ecosystem [43].\nIn the next section, we provide a conceptual and formal introduction to AIF, particu-\nlarly in the context of using POMDP generative models. In Section 3, we demonstrate how\nto use the package in practice, both for simulation and parameter estimation. In Section 4,\nwe give a fully worked example of how ActiveInference can be used with a concrete\nsimulated dataset. Finally, we discuss potential applications and future directions for\ndeveloping the package.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 17 of 33\nparameter recovery and predictive checks. In this section, we outline how to use\nActiveInference for simulation and model fitting in conjunction withActionModels. In the\nfollowing section, we show how to achieve this on a concrete worked example.\n4. Usage Example\nIn this section, we demonstrate a full usage example of how to create an AIF agent, sim-\nulate behaviour in a classic T-maze environment and fit the AIF agent to a simulated exam-\nple dataset. We provide the necessary code to run this simulation. All code required to repro-\nduce the example simulation can be found in an open source OSF repository osf.io/j3k5q/.\nThis example was performed with the current version of ActiveInference.jl (0.1.1); the\nnewest version can be found at github.com/ilabcode/ActiveInference.jl.\n4.1. Setting Up Environment and Agent\nA T-maze is a simple task commonly employed in the behavioural sciences, as well\nas in the AIF literature [ 14,54–57]. It is a minimal type of task that requires balancing\nexploration and exploitation, or epistemic and pragmatic value, respectively. It is also\nsuitably represents in a discrete state space. Together, this makes it easily compatible with\na POMDP-based AIF approach.\nThe structure of the T-maze is, as the name suggests, a T-shaped maze, consisting\nof a centre location, a cue location (bottom of the T), and reward and loss locations (one\nin each arm of the T) (Figure 2). On every trial, the agent can move to one of the two\narms of the T to receive a reward; one, called the reward location, will yield rewards with\na higher probability than the other side. At the cue location, which the agent can move\nto, the agent receives a cue that indicates which of the locations is the reward location.\nGenerally, the cue may be more or less informative; in this example, it always accurately\nreflected the reward conditions state (reward in the right or left arm). The reward location\nonly provides a reward probabilistically. This means the agent can either take a chance\nand go directly to one of the two upper arms, or spend its first move seeking information\nabout where the reward is before moving to the reward location. Since the clue location\nis not preferred, the second option comes with a cost in terms of pragmatic value, which\nhas to be outweighed by the epistemic value in resolving uncertainty about the reward\nlocation state. Note that for the agent to realise that this uncertainty reduction will aid it in\nits subsequent choice of arm, it would have to be able to anticipate the effect of its actions\non its own future beliefs, a process called “sophisticated inference” [58].\nFigure 2. A depiction of the T-maze. (A) The full layout of the T-maze task, with the centre location,\nthe cue location and the two reward conditions. (B) A three-step example of a T-maze trial. The agent\n(in this case, a mouse) starts at the centre location. In order to reduce the uncertainty regarding which\narm the reward is located in, the agent moves to the cue location. The cue location reveals the right\narm to be the reward location, and in the subsequent time step, it goes to the right arm and observes\nthe reward with some probability.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "11 \n \nExercise 2: Set the Preferences for New Entities and Rendering \n_____________________________________________________________________________________ \n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. \nClick on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that \ntab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts \nwith Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to \nAuto-generated name change it to User supplied name. That is the parameter most likely to be different \nbut also check the other two as well. \n2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity \nrendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don’t \nworry if this doesn’t completely make sense at this point. The issues here are a bit complex and subtle so \nwe defer them until after you have an understanding of the basic concepts of what an OWL ontology is. \nWe will have a discussion of these details below in chapter 7. For now you just need to make sure that the \npreferences are set appropriately to work with the rest of the tutorial. \n____________________________________________________________________________________ \nFigure 4.1: The New entities tab", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "71 \n \n ?customer ?relation ?relatedToCustomer.} \nThis would be much less intuitive than the user defined names. There are good reasons to use auto-\ngenerated names, especially for large ontologies that are implemented in multiple natural languages. \nHowever, for new users, especially those who plan to use SPARQL and SHACL, I think it is more \nintuitive to start with user supplied names and then progress to auto-generated names if and when the \nrequirements show a true need for them. This approach to developing software incrementally rather than \nto attempt to design the perfect system that can scale for all possible future requirements is known as the \nAgile approach to software development. In my experience Agile methods have proven themselves in \ncountless real-world projects to deliver better software on time and on budget than the alternative \nwaterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/ \nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot \nmore and if you are interested you should check out DuCharme’s book or some of the many SPARQL \ntools and tutorials on the web. Some of these are in the bibliography. \nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open \nWorld Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter \n4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that \nSPARQL is not subject to either of these restrictions. With SPARQL one can do non-monotonic \nreasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the \nvalue for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Entropy 2025, 27, 62 14 of 33\ninit_aif function, including the policy length and which parts of the information gain to\nuse, as well as the policy precision γ.\n\u0007 \u0004\n# Infer policies\ninfer_policies !( aif )\n\u0006 \u0005\nFinally, sample_action! then samples the next action from the agent. This is performed by\nmarginalising the policy probabilities to obtain the probabilities for the action on the next\ntime step, and then softmax transforming it with the α action precision parameter.\n\u0007 \u0004\n# Sample Action\nsample_action !( aif )\n\u0006 \u0005\nThese functions can be combined by users in various ways, depending on their purpose.\nOften, however, users will want to combine them in a single function that implements\nthe full action–perception loop that receives an observation and returns an action. This is\nimplemented with the ActionModels sister package for behavioural modelling.\n3.2. Simulation withActionModels\nActionModels is a library for implementing, simulating and fitting various behavioural\nmodels to data. Here, we show how to use it in conjunction with ActiveInference to\nmake the simulation of AIF models easy and in a fully generalised framework that is\ncompatible with other types of cognitive and behavioural models as well. ActiveInference\nprovides a full \"action model\"—a full model of the action-generating process in an agent—\nfor using AIF called action_pomdp!. In this case, all this information is contained in the\nAIF object. action_pomdp! then takes the AIF object and a single-time-step observation\nas arguments, and then runs state inference, parameter learning and policy inference,\nand returns probability distributions over the possible actions of the agent.\n\u0007 \u0004\nobservation = [1] # observation with one modality\n# Run the action model for a single observation\naction_distributions = action_pomdp !( aif :: AIF , observation )\n\u0006 \u0005\nThis can conveniently be used in conjunction with an ActionModels agent, a more abstract\nstructure that is used for running behavioural models in general, and which is used when\nfitting models to data. We therefore begin with initialising an agent that contains the\nAIF object:\n\u0007 \u0004\n# Initialize ActionModels Agent with active inference agent as a substruct .\nagent = init_agent (\naction_model = action_pomdp !, # The active inference action model\nsubstruct = aif , # The AIF object\n)\n\u0006 \u0005\nThe agent object can be used with a set of standard functions. single_input! provides\nthe agent with an observation, updates it is beliefs and returns a sampled action; for non-\naction-dependent observations, give_inputs! provides a series of observations across time\nsteps and returns actions for each. These can be easily used in an agent-based simulation to\nhave AIF agents evolve and act over time.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Academic Editor: Astero Provata\nReceived: 25 October 2024\nRevised: 2 January 2025\nAccepted: 7 January 2025\nPublished: 12 January 2025\nCitation: Nehrer, S.W.; Ehrenreich\nLaursen, J.; Heins, C.; Friston, K.;\nMathys, C.; Thestrup Waade, P .\nIntroducing ActiveInference.jl: A\nJulia Library for Simulation and\nParameter Estimation with Active\nInference Models. Entropy 2025, 27, 62.\nhttps://doi.org/10.3390/e27010062\nCopyright: © 2025 by the authors.\nLicensee MDPI, Basel, Switzerland.\nThis article is an open access article\ndistributed under the terms and\nconditions of the Creative Commons\nAttribution (CC BY) license\n(https://creativecommons.org/\nlicenses/by/4.0/).\nArticle\nIntroducing ActiveInference.jl: A Julia Library for Simulation\nand Parameter Estimation with Active Inference Models\nSamuel William Nehrer 1,†\n , Jonathan Ehrenreich Laursen 1,†\n , Conor Heins 2,3,*\n , Karl Friston 3,4\n ,\nChristoph Mathys 5\n and Peter Thestrup Waade 5\n1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark;\n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.);\nptw@cas.au.dk (P .T.W.)\n* Correspondence: cheins@ab.mpg.de\n† These authors contributed equally to this work.\nAbstract: We introduce a new software package for the Julia programming language,\nthe library ActiveInference.jl. To make active inference agents with Partially Ob-\nservable Markov Decision Process (POMDP) generative models available to the grow-\ning research community using Julia, we re-implemented the pymdp library for Python.\nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive\nand behavioural modelling, as it is used in computational psychiatry, cognitive science\nand neuroscience. This means that POMDP active inference models can now be easily\nfit to empirically observed behaviour using sampling, as well as variational methods. In\nthis article, we show how ActiveInference.jl makes building POMDP active inference\nmodels straightforward, and how it enables researchers to use them for simulation, as well\nas fitting them to data or performing a model comparison.\nKeywords: active inference; free energy principle; predictive processing; Markov decision\nprocess; cognitive modelling; Julia\nPACS: 87.15.Aa\nMSC: 91-08\nJEL Classification: C63\n1. Introduction\nWe introduce a novel software library for Julia, ActiveInference, which lets users\nproduce the simulated behaviour of agents and their internal belief states with active\ninference (AIF) models, as well as fit such models to empirically observed behaviour.\nAIF [1–3] is a generally applicable formal framework for understanding and simulating\nintelligent behaviour that is based in neurobiology and first principles from statistical\nphysics [4–8]. AIF treats action and perception as unified under a joint imperative: to\nminimise the variational free energy (VFE), which quantifies how well the agent’s internal\ngenerative model explains incoming sensory observations. It is an upper bound on the\nthe surprise from sensory observations, making AIF formally related to prediction error\nEntropy 2025, 27, 62 https://doi.org/10.3390/e27010062", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "4 \n \nChapter 1 Introduction \n \nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions \nspecific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you \nhave general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the \nUser Support for Protégé and Web Protégé email list. This list has many people (including me) who \nmonitor it and can contribute their knowledge to help you understand how to get the most out of this \ntechnology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first \norange Subscribe button. That will enable you to subscribe to the list and give you the email to send \nquestions to. \nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the \nrequirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of \nthe OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object \nproperties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the \nontology and automatically compute the ontology class hierarchy. \nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: \nadding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of \nan OWL entity. \nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology \nhas a small number of instances and property values already created which can be used to illustrate the \ntools in the later chapters for writing rules, doing queries, and defining constraints. \nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter \n10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and \nSQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the \ndifference between defining logical axioms in Description Logic and data integrity constraints in \nSHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography. \n1.1 Licensing \nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International \nPublic License. I typically distribute it as a PDF but if you want to make your own version send me an \nemail and I will send you the Word version. For details on licensing see: \nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode \n1.2 Conventions \nClass, property, rule, and individual names are written in Consolas font like this. The term used for \nany such construct in Protégé and in this document is an Entity. Individuals and classes can also be \nreferred to as objects. \nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this. \nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something \nthat you should or optionally could view or enter into the user interface. If you ever aren’t sure what to \ndo to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you \nenter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "represented largely depend on one or more business use cases. As\nwe designed our framework with industry application in mind, we need\nto consider it within its real-world usage context.\nEmbedding-based similar term extraction\nConceptNet synonym extraction\nWordNet synonym extraction\nWe choose Python as it eases access to the vast python\ncommunity and its library ecosystem, particularly NLP tools and\nnumerous Machine Learning (ML) libraries.\nAlgorithm implemented\nUpcoming implementation\n : Iterative process\nOur vision is to implement a toolbox of methods we can\ngather to build pipelines. These pipelines can be run,\noptimised and analysed to learn the best possible\nontology. \nOur implementation is largely based on the Python NLP\nlibrary spaCy. The text processing on spaCy helps us\nwork with data in many different languages while\nstaying flexible on the methods used. The only constraint\nis to end up with a list of spaCy Doc objects.\nOLAF IN A PRACTICAL CONTEXT\nWe designed the proposed framework focusing on automation with very little, if any, human involvement in mind. Unlike most existing approaches,\nparticular attention is brought to the learned ontology final production use case. We implement the framework as an open-source and open-\naccess python library. We aim to gather feedback and grow a community to develop and test multiple algorithms. Various satellite tools could be\ndeveloped to enhance the framework implementation. However, we should focus on developing axiom extraction and automatic ontology\nevaluation. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter\nfield is known as \"SemOps\".\nDifferent serialization techniques can be used to export and\nleverage the learned ontology in an application system. \nONTOLOGY LEARNING FRAMEWORK\nARCHITECTURE\na search engine on Schneider Electric products\na chatbot on Human Resources issues.\nWe only work on unstructured textual data. \nWe apply the framework in two different use cases and datasets\nto validate our results :\nOur framework provides several algorithms for the different\nstages of the pipeline. The algorithms are taken from external\nlibraries or directly implemented in the framework. The goal is to\nhave as many methods as possible to cover the maximum needs.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "To which system does the AIF apply ?", - "target_page": 2, - "target_passage": "AIF was argued to be applicable to any self organising system that actively maintains a stable boundary that defines its integrity [10], a broad category that includes cells and plants [11], as well as humans [2] and even collectives [12].", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Entropy 2025, 27, 62 12 of 33\n\u0007 \u0004\n# Create AIF object\naif = init_aif (\nA:: Vector { Array {T, N}}, # A- matrices\nB:: Vector { Array {T, N}}; # B- matrices\nC:: Vector { Array { Real }}, # C- matrices ( optional )\nD:: Vector { Vector { Real }}, # D- matrices ( optional )\nE:: Vector {T}, # E- vector ( optional )\npA:: Union { Vector { Array {T, N}}, Nothing }, # Dirichlet priors for A- matrices ( optional )\npB:: Union { Vector { Array {T, N}}, Nothing }, # Dirichlet priors for B- matrices ( optional )\npD:: Union { Vector { Array { Real }}, Nothing }, # Dirichlet priors for D- vectors ( optional )\nparameters :: Dict { String , Real }, # Dictionary containing other parameters ( optional )\nsettings :: Dict { String , Any } # Dictionary containing settings ( optional )\n)\n\u0006 \u0005\nA and B are the only mandatory arguments to the init_aif function—the other arguments\nare keyword arguments that default to uniform priors. A, B, C, D and E and their corre-\nsponding Dirichlet priors, in the cases of A, B and D, should be formatted as standard\narray objects. All but E can have multiple modalities/factors (see Section 4), so they should\nbe formatted as vectors of arrays with one array per modality/factor. These arrays can be\nhand-specified by the user, or be generated with some of the helper functions supplied by\nActiveInference. Here, we create an AIF agent equipped with a generative model with\nsix environmental states, five possible observations and two possible actions. Here, we use\nhelper functions to create matrices and vectors with the correct dimensions; in Section 4, we\ncreate them manually. First, we define the number of states, observations, controls and the\nlength of policies:\n\u0007 \u0004\n# Information about number of states , observations , actions and policy length\nstates = [6] # Six states , single factor\nobservations = [5] # Five observations , single modality\ncontrols = [2] # Two actions , single factor\npolicy_length = 1 # Length of policies\n# Generate uniform templates for matrices and vectors of the generative model\nA, B, C, D, E = create_matrix_templates ( states , observations , controls , policy_length )\n\u0006 \u0005\nThe A object generated here is a one-dimensional vector containing a uniform 5 × 6 matrix\n(six states and five observations). The B object is a one-dimensional vector containing\na uniform 6 × 6 × 2 array (six states and two actions). The C, D and E objects are one-\ndimensional vectors, each containing uniform vectors with their corresponding sizes. We\ncan now modify these to supply the agent with more informative priors over observations,\ninitial states and policies. Here, we performed this using the onehot function:\n\u0007 \u0004\n# We make C take the following form : [0 , 0, 0, 0, 1]\nC[1] = onehot (5,5) # Initialize the single element of the C object with a one - hot vector\n# D will be: [1 , 0, 0, 0, 0, 0]\nD[1] = onehot (1,6) # Initialize the single element of the D object with a one - hot vector\n# To make the agent prefer policy 2\nE = onehot (2,2) # Initialize as a one - hot encoded vector : [0 ,1]\n\u0006 \u0005\nWe now create the Dirichlet priors for A, B and D. When we use parameter learning, these\nare used to define A, B and D defined above, and are updated at every time step. One\nway to construct Dirichlet priors is to simply multiply the matrices below with a scaling\nfactor; a higher scaling leads to more precise priors that require stronger evidence to update.\nHere, we use a scaling parameter of 2. In the current version, parameter learning is only\nimplemented for the A, B and D:", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Annual Report 2004 87\n35. Australian Equivalents to International Financial Reporting Standards (continued)\nThe AASB and IASB have significant ongoing projects including a comprehensive “Extractive Industries” project that could affect the differences\nbetween current Australian GAAP and A-IFRS as described above and could further impact the Santos Group’s financial reports in future years. The\nfuture impacts of any new or amended A-IFRS will depend on the particular circumstances in those years.\nTesting of non-current assets for impairment will be undertaken on the smallest grouping of assets generating cash\nflows, called cash generating units. Where there is an indication that a cash generating unit is impaired, the\nimpairment is to be measured by reference to either the cash generating unit’s discounted future net cash flows, or\nits estimated fair value less costs to sell. Upon initial application of this standard, such testing is likely to result in\nwrite-downs of some non-current assets including exploration, evaluation and development expenditure to their\nrecoverable amount. Any initial impairment write-down may reverse in subsequent periods if there were a change in\nthe estimates used to determine the initial write-down. The impacts of this new requirement will, in part, depend\non the accounting policy adopted for accounting for exploration and evaluation expenditure referred to above.\nImpairment\nThere is no International Financial Reporting Standard (“IFRS”) which comprehensively deals with the accounting\nand reporting issues specific to the extractive industries. In the absence of such an industry-based IFRS, companies\noperating in the extractive industries will be required to determine their own accounting policy for accounting for\nexploration and evaluation expenditure which is compatible with the IFRS conceptual accounting framework\ndefinition of assets and expenses. Generally this will require exploration and evaluation expenditures to be expensed\nunless they lead to a successful discovery of economic value.\nPending the completion of a comprehensive project on accounting for extractive industries, AASB 6 “Expenditure for\nand Evaluation of Mineral Resources” was issued in December 2004 to facilitate the introduction of A-IFRS in\nrespect of the treatment of exploration and evaluation expenditure. This standard is the Australian equivalent to\nIFRS 6 issued by the IASB in December 2004, and will require exploration and evaluation expenditure incurred in\neach area of interest to either be expensed as incurred or to be partially or fully capitalised and recognised as an\nasset so long as the following conditions are satisfied:\n(a) the rights to tenure of the area of interest are current; and\n(b) at least one of the following conditions is also met:\n(i) the exploration and evaluation expenditures are expected to be recouped through successful development\nand exploitation of the area of interest, or alternatively, by its sale; or\n(ii) exploration and evaluation activities in the area of interest have not at the reporting date reached a stage\nwhich permits a reasonable assessment of the existence or otherwise of economically recoverable reserves,\nand active and significant operations in, or in relation to, the area of interest are continuing.\nThe IASB decided that the effective date of IFRS 6 to be 1 January 2006 to allow affected companies more time to\nmake the transition to IFRS. Despite the lateness of the issuance of the Australian equivalent accounting standard\nAASB 6, Santos will be required to apply the standard from 1 January 2005.\nSantos is currently evaluating this accounting standard and its accounting policy for exploration and evaluation\nexpenditure. At the date of this report, no decision has been made as to how the Santos Group will account for\nexploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005.\nExploration and \nevaluation expenditure", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \nNOT E 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued \n \nu) Adoption of New and Revised Accounting Standa rds \n \nDuring the current reporting period the Group adopted all of the new and revised Australian Accountin g Standards \nand Interpretations applicable to its operation s which became mandator y. The nature and effect of selected new \nstandards and amendments on the Group’s consolidated financial report are described below. Adoption of the other \nnew mandatorily applicable standards did not have a material impact on the financial statement, financial position \nor performance of the Group. \n \nAASB 2011-4 - Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel \nDisclosure \nThis standard removes the requirements to include individual key management personnel disclosures in the notes \nto and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements \nfor all disclosing entities in relation to equity holdings, loans and other related party transactions. \n \nAmendments to IAS 32 - Offsetting Financial Assets and Financial Liabilities \nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. \nSpecifically, the amendments clarify the meaning of ‘currently has a legally enforceable right of set -off’ and \n‘simultaneous realization and settlement’. As the Group does not have any financial assets and financial liabilities \nthat qualify for offset, the application of the amendments has had no impact on the disclosure or the Group’s \nconsolidated financial statements. \nRecently issued acc ounting standards to b e applied in future reporting periods: \nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that \nthe Group reasonably expects will have an impact on its disclosures, financial position or performance with applied \nat a future date. The Group’s assessment of the impact of these ne w standards, amendments to standards, and \ninterpretations is set out below. \n \nAASB 9/IFRS 9 – Financial Instruments \nAASB 9/ IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial \nassets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, \nfor annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if \nthe entity’s relevant date of initial application is before 1 February 2015. T he effective date of this standard is for \nfiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard \nbut it is not expected to have a material impact on the Group’s consolidated financial statements. \n \n \n- 71 -", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Notes to the Financial Statements\n75\nNotes to the Financial Statements\ncontinued\nu\nrights may give control. The standard is \napplicable to the Group from 1 July 2013. \nBased on investments held by the Group as \nat 30 June 2013, the standard is not \nexpected to have a significant impact. \n〉〉 AASB 12 Disclosure of Interests in Other \nEntities (effective for annual reporting \nperiods commencing on or after 1 January \n2013). AASB 12 includes all disclosures \nrelating to an entity’s interests in subsidi-\naries, joint arrangements, associates and \nstructures entities. New disclosures have \nbeen introduced about the judgements \nmade by management to determine whether \ncontrol exists, and to require summarised \ninformation about joint arrangements, \nassociates and structured entities and \nsubsidiaries with non-controlling interests. \nThe standard is applicable to the Group from \n1 July 2013. Based on interests held by the \nGroup as at 30 June 2013, the standard is not \nexpected to have a significant impact.\n〉〉 AASB 13 Fair Value Measurement (effective \nfor annual reporting periods commencing on \nor after 1 January 2013). AASB 13 establishes \na single framework for measuring fair value \nof financial and non-financial items recog-\nnised at fair value in the statement of finan-\ncial position or disclosed in the notes to the \nfinancial statements. The standard is not \napplicable until 1 January 2013 but is avail-\nable for early adoption. The Group does not \nexpect any material impact on adoption of \nthe standard.\n〉〉 AASB 119 Employee Benefits (effective for \nannual reporting periods commencing on or \nafter 1 January 2013). The revised standard \nchanges the definition of short-term \nemployee benefits. The distinction between \nshort-term and other long-term employee \nbenefits is now based on whether the bene-\nfits are expected to be settled wholly within \n12 months after the reporting date.\n〉〉 IFRIC 20 Stripping Costs in the Production \nPhase of a Surface Mine (effective for annual \nreporting periods commencing on or after \n1 January 2013). IFRIC 20 provides guidance \non the accounting for the costs of stripping \nactivity in the production phase of surface \nmining when two benefits accrue to the \nentity from the stripping activity: useable \nore that can be used to produce inventory \nand improved access to further quantities of \nmaterial that will be mined in future periods. \nThe Company will adapt IFRIC 20 from 1 July \n2013. Based on the current mine plans this \nIFRIC is not expected to have a significant \nimpact.\n〉〉 AASB 2011-4 Amendments to Australian \nAccounting Standards to Remove Individual \nKey Management Personnel Disclosure \nRequirements (effective from 1 July 2013). \nAASB 2011-4 makes amendments to remove \nindividual key management personnel disclo-\nsure requirements from AASB 124. \n〉〉 AASB 2012-2 Amendments to Australian \nAccounting Standards – Disclosures – \nOffsetting Financial Assets and Financial \nLiabilities (effective from 1 July 2013). ASB \n2012-2 principally amends AASB 7 Financial \nInstruments: Disclosures to require disclo-\nsure of information that will enable users of \nan entity’s financial statements to evaluate \nthe effect or potential effect of netting \narrangements, including rights of set-off \nassociated with an entity’s recognised \nfinancial assets and recognised financial \nliabilities, on the entity’s financial position.\n〉〉 AASB 2012-3 Amendments to Australian \nAccounting Standards - Offsetting Financial \nAssets and Financial Liabilities (effective from \n1 July 2014). AASB 2012-3 adds application \nguidance to AASB 132 Financial Instruments: \nPresentation to address inconsistencies \nidentified in applying some of the offsetting \ncriteria of AASB 132, including clarifying the \nmeaning of “currently has a legally enforce-\nable right of set-off” and that some gross \nsettlement systems may be considered \nequivalent to net settlement.\ndd . Parent entity financial information", - "page_start": 76, - "page_end": 76, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "value and establishes a framework for measuring fair value. It does not\nintroduce new fair value measurements or eliminate the practicability\nexceptions to fair value measurements that currently exist in certain\nstandards. We have incorporated the fair value requirements\nthroughout our annual consolidated financial statements.\n IAS 19, Employee Benefits (2011) (IAS 19) –On January 1, 2013, we\nadopted IAS 19, which changes the basis for determining the income\nor expense related to defined benefit plans. This amendment\neliminated the concept of return on plan assets and interest cost\n(income) and replaced it with a net interest cost that is calculated by\napplying the discount rate to the net liability (asset). The net interest\ncost takes into account any changes in the net defined benefit\nliability (asset) during the period as a result of contributions and\nbenefit payments. The adoption of the amended standard resulted in\nan increase in finance costs of $7 million and a decrease in other\ncomprehensive income, for a net effect of nil in comprehensive\nincome for the year ended December 31, 2012 and did not have a\nmaterial impact on net assets as at December 31, 2012. See note 22\nof the annual consolidated financial statements for more information\nabout our pension plans.\n IAS 36, Impairment of Asset (IAS 36) – In May 2013, the IASB\namended IAS 36 to clarify the circumstances in which the recoverable\namount of assets or cash-generating units is required to be disclosed,\nto clarify the disclosures required, and to introduce an explicit\nrequirement to disclose the discount rate used in determining\nimpairment (or reversals) where the recoverable amount (based on\nfair value less costs of disposal) is determined using a present value\ntechnique. The amendments are effective for annual periods\nbeginning on or after January 1, 2014, with early adoption\npermitted. We early adopted this policy as of January 1, 2013 and\nmade the required disclosures.\nRecent Accounting Pronouncements\nWe are required to adopt the following revised accounting standards on\nor after January 1, 2014. We are assessing the impact of adopting these\nrevised standards on our 2014 interim and consolidated financial\nstatements.\nIAS 32, Financial Instruments: Presentation (IAS 32)– In December\n2011, the IASB amended IAS 32 to clarify the meaning of when an\nentity has a current legally enforceable right of set-off. The\namendments are effective for annual periods beginning on or after\nJanuary 1, 2014 and are required to be applied retrospectively. We\ndo not expect this to have a significant impact on our consolidated\nfinancial statements.\n IAS 39, Financial Instruments: Recognition and Measurement (IAS 39)\n– In June 2013, the IASB amended IAS 39 to provide relief from\ndiscontinuing an existing hedging relationship when a novation that\nwas not contemplated in the original hedging documentation meets\nspecific criteria. The amendments are effective for annual periods\nbeginning on or after January 1, 2014 and are required to be applied\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 81", - "page_start": 84, - "page_end": 84, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "exploration and evaluation expenditure under the IFRS conceptual framework commencing 1 January 2005.\nExploration and \nevaluation expenditure\nUnder A-IFRS the cost of employee remuneration provided in the form of equity-based remuneration (including\nshares and options) will be measured based on the fair value of those instruments and amortised to the profit and\nloss over the vesting period.\nEquity-based payments\nThe majority of the controlled entities within the Santos Group that have petroleum operations in foreign\njurisdictions will have the US dollar as their functional currency. The first time application of A-IFRS will result in\nthe net assets of those foreign controlled entities to be translated from their US dollar functional currency to\nAustralian dollars using the spot rate at 1 January 2004. The differences arising from the initial application of this\naccounting standard will be reflected in the foreign currency translation reserve at 1 January 2004.\nFunctional currency\nRestoration liabilities will be discounted to present value and capitalised as a component part of capitalised\nexploration and development expenditure and property, plant and equipment. The capitalised cost is to be amortised\nover the life of the assets and the provision is accreted periodically to the profit and loss as the discounting of the\nliability unwinds.\nRestoration liabilities\nDefined benefit superannuation plan surpluses and deficits will be recognised in the statement of financial position\nand the changes in these values each period will be recognised either directly in the statement of financial\nperformance, progressively using a “corridor” approach or directly in retained earnings. The effective date of this\nstandard is 1 January 2006, however the Company is allowed to adopt earlier at 1 January 2005.\nDefined benefit\nsuperannuation surplus \nand deficits\nDeferred tax assets and liabilities will generally be based on the differences between the accounting and tax basis\nof assets and liabilities under the “balance sheet” approach which will result in the recognition of additional\ndeferred tax assets and liabilities.\nDeferred tax assets\nand liabilities\nSAN165 WWW Fins 30/3/05 11:55 AM Page 87", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "the worldwide provision for income taxes. There \nare certain transactions and calculations under-\ntaken during the ordinary course of business for \nwhich the ultimate tax determination is uncer-\ntain. The Group estimates its tax liabilities based \non the Group understanding of the tax law. \nWhere the final tax outcome of these matters is \ndifferent from the amounts that were initially \nrecorded, such differences will impact the \ncurrent and deferred income tax assets and \nliabilities in the period in which such determina-\ntion is made.\n(x) Capitalisation of borrowing costs \nto exploration, evaluation and \ndevelopment \nThe Group’s funding of Bowdens Silver Project \nincluded borrowings of $35,000,000. In applying \nthe Group’s accounting policy on borrowing \ncosts (see Note 2s), the Bowdens Silver Project \nis considered to be a qualifying asset as defined \nin AASB 123. As such finance costs in relation to \nthese borrowings have been capitalised as part \nof the Bowdens Silver Project.\n4. Segment information\nThe Group’s operating segments are based on \nthe internal management reports that are \nreviewed and used by the Board of Directors \n(chief operating decision maker). The operating \nsegments represent the Group’s operating \nmines and projects and include the following:\n〉〉 Chatree Mine, Thailand;\n〉〉 Challenger Mine, South Australia, Australia;\n〉〉 Bowdens Silver Project, New South Wales, \nAustralia;\n〉〉 Nueva Esperanza Silver / Gold Project, Chile; \nand\n〉〉 Exploration, South East Asia.\nInformation regarding the results of each \nreportable segment is included as follows:", - "page_start": 77, - "page_end": 77, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n76\nwww.kingsgate.com.au\n(iv) Impairment of assets\nThe Group assesses each cash-generating unit \nhalf-yearly, to determine whether there is any \nindication of impairment. Where an indicator of \nimpairment exists, a formal estimate of the \nrecoverable amount is made, which is deemed as \nbeing the higher of the fair value less costs to \nsell and value in use calculated in accordance \nwith accounting policy Note 2f. These assump-\ntions require the use of estimates and assump-\ntions such as discount rates, exchange rates, \ncommodity prices, future operating develop-\nment and sustaining capital requirements, \nmineral resources and reserves and operating \nperformance (including the magnitude and time \nof related cash flows). For details of impairment \nassessment for the current year, refer to Note 5j.\n(v) Restoration and rehabilitation \nprovision\nSignificant judgement is required in determining \nthe restoration and rehabilitation provision as \nthere are many transactions and factors that will \naffect the ultimate liability payable to rehabilitate \nthe mine site. Factors that will affect this liability \ninclude change in mineral resources and reserves \nestimates, changes in technology, commodity \nprice changes and changes in interest rates. \nA change in any, or a combination of, the key \nassumptions used to determine the provisions \ncould have a material impact on the carrying \nvalue of the provisions (see Note 17). The provi-\nsion recognised for each site is reviewed at each \nreporting date and updated based on the facts \nand circumstances available at the time. Changes \nto the estimated future costs for operating sites \nare recognised in the statement of financial \nposition by adjusting both the restoration and \nrehabilitation asset and provision.\n(vi) Units-of-production method \nof depreciation\nThe Group applies the units-of-production \nmethod for depreciation and amortisation of \nits mine properties, mine buildings, plant and \nequipment. These calculations require the use \nof estimates and assumptions and significant \njudgement is required in assessing the estimated \nrecoverable reserves used in the determination \nof the depreciation and amortisation charges. \nFactors that must be considered in determining \nestimated recoverable reserves (which includes \nboth reserves and resources) and production \ncapacity are the history of converting resources \nto reserves and the relevant time frames, antici-\npated mining method and costs, the complexity \nof metallurgy, markets, and future \ndevelopments. \n(vii) Share-based payments\nThe Group measures share-based payments \nat fair value at the grant date. The fair value is \ndetermined by an external valuer using a Monte \nCarlo simulation model or other valuation tech-\nnique appropriate for the instrument being \nvalued.\n(viii) Deferred tax balances\nDeferred tax assets in respect of tax losses for \nthe Kingsgate tax-consolidation group (Note 6) \nare not recognised in the financial statements as \nmanagement considers that it is currently not \nprobable that future taxable profits will be \navailable to utilise those tax losses. Management \nreviews on a regular basis the future profitability \nof the entities included in the tax-consolidation \ngroup to consider if tax losses should be recog-\nnised and to ensure that any tax losses recog-\nnised will be utilised. \nDeferred tax balances for temporary differences \nin respect of Akara Mining Limited are measured \nbased on their expected rate of reversal which is \ndifferent for the two Royal Thai Board of \nInvestment (“BOI”) activities (Note 6).\n(ix) Income taxes\nThe Group is subject to income taxes in Australia \nand jurisdictions where it has foreign operations. \nSignificant judgement is required in determining \nthe worldwide provision for income taxes. There \nare certain transactions and calculations under-\ntaken during the ordinary course of business for \nwhich the ultimate tax determination is uncer-", - "page_start": 77, - "page_end": 77, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Group to raise additional finance for normal business expansion or to pay dividends consistent with past practice is not expected to be impacted.\nThe differences between current Australian GAAP and A-IFRS which are more likely to have a significant effect on the Santos Group’s financial\nperformance and financial position are summarised below:\nAll financial instruments including derivatives will be recognised in the statement of financial position and all\nderivatives will be carried at fair value.\nChanges in the fair value of certain financial instruments will be recorded in the statement of financial performance.\nWhere financial instruments satisfy strict hedge criteria, changes in the fair value will be recognised in equity, or\nwill offset the hedged exposure in the statement of financial performance.\nThe A-IFRS relating to financial instruments applies from 1 January 2005. Unlike the majority of other A-IFRS\nstandards which require retrospective application as at 1 January 2004, this accounting standard does not require\nretrospective application. The effect of the first time application of this standard on the opening statement of\nfinancial position at 1 January 2005 will be to recognise additional financial assets and liabilities.\nSantos intends to continue to align its hedging transactions to underlying exposures to achieve accounting\neligibility and thereby reduce profit and loss volatility.\nFinancial instruments\nSAN165 WWW Fins 30/3/05 11:55 AM Page 86", - "page_start": 87, - "page_end": 87, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \n \nNOT E 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued \n \nDeferred tax assets and liabilities are ascertained based on temporary di fferences arising between the tax bases of \nassets and liabilities and their carrying amounts in the financial statements. Deferred tax assets also result where \namounts have been fully expensed but future tax deductions are available. No deferred income tax will be recognised \nfrom the initial recognition of an asset or liabilit y, excluding a business combination, where there is no ef fect on \naccounting or taxable profit or loss. \n \nDeferred tax assets and liabilities are calculated at the tax rates that are expected to apply to the period when the \nasset recognised or the liability is settled, based on tax rates enacted or substantively enacted at the reporting date. \nTheir measurement also reflects the manner in which management expects to recover or settle the carrying amount \nof the related asset or liability. \n \nDeferred tax assets relating to temporary differences and unused tax losses are recognised only to the extent that it \nis probable that future taxable profit will be available against which the benefits of the deferred tax asset can be \nutilized. Where temporary differences exist in relation to investments in subsidiaries, branches, associates, and joint \nventures, deferred tax assets and liabilities are not recognised where the timing of the reversal of the temporary \ndifference can be controlled and it is not probable that the reversal will occur in the foreseeable future. \n \nCurrent tax assets and liabilities are offset where a legally enforceable right of set -off exists and it is intended that \nnet settlement or simultaneous realisation and settlement of the respective asset and liability will occu r. Deferred \ntax assets and liabilities are o ffset where a legally enforceable right of set -off exists, the deferred tax assets and \nliabilities relate to income taxes levied by the same taxation authority on either the same taxable entity or different \ntaxable entities where it is intended that net settlement or simultaneous realisation and settlement of the respective \nasset and liability will occur in future periods in which significant amounts of deferred tax assets or liabilities are \nexpected to be recovered or settled. \n \nTax Consolidation \nSundance Energy Australia Limited and its wholly- owned Australian controlled entities have agreed to implement \nthe income tax consolidation regime, with Sundance Energy Australia Limited being the head company of the newly \nconsolidated group. Under this regime the group entities will be taxed as a single taxpayer. Whilst this choice is yet \nto be communicated to the Australian Taxation Office, it is intended to be communicated prior to lodgement of the \n31 December 2014 income tax return and will be effective from 1 January 2014. Sundance Energy Australia Limited \nand its wholly-owned Australian controlled entities intend to enter into a Tax Sharing Agreement and Tax Funding \nAgreement in due course. \n \nThe head entity of the inc ome tax consolidated group and the controlled entities in the tax consolidated group \naccount for their own current and deferred tax amounts. These tax amounts are measured as if each entity in the \ntax consolidated group continues to be a standalone taxpayer in its own right. \n \nIn addition to its own current and deferred tax amounts, Sundance Energy Australia Limited, as head company, also \nrecognises the current tax liabilities (or assets) and the deferred tax assets arising from unused tax losses and unused \ntax credits assumed from controlled entities in the tax consolidated group. \n \n \n \n- 60 -", - "page_start": 61, - "page_end": 61, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "What is the definition of POMDP ?", - "target_page": 4, - "target_passage": " The Partially Observable Markov Decision Process is a type of flexible generative model that is widely used in the AIF literature. In discrete time and usually a discrete state space, this model type is parametrised to fit a given task by a set matrices containing probability distributions.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Entropy 2025, 27, 62 7 of 33\nFigure 1. Depiction of a POMDP generative model. This encodes the agent’s expectations about how\nthe state s of the environment changes over timet, and how it generates observationo at each time step.\nA, also called the observation model, describes how environmental states give rise to observations.B,\nalso called the transition model, describes how environmental states change over time, depending on\naction u (called policy π when structured into sequences).C is the preference prior, which encodes\nthe agent’s preferences for observations. This shapes the expected free energyG associated with each\npolicy , which is used for policy selection.D encodes the agent’s prior belief over environmental states\nbefore making any observations, andE is the prior over policies that determines the agent’s preferences\nfor policies in the absence of other motivation.\n2.2. Perception in Active Inference\nIn AIF, perception is conceptualised as the result of variational (i.e., approximate)\nBayesian inference, performed by minimising the VFE to optimise parameters of poste-\nrior beliefs about the environment. In exact Bayesian inference, we use a parametrised\ngenerative model m to make an optimal inference about state s of the environment based\non observation o. This is performed by combining a prior belief over states p(s|m); a like-\nlihood model p(o|s, m); and the model evidence p(o|m), a normalisation term encoding\nthe likelihood of receiving the given observations across all possible environmental states,\nas follows [1]:\np(s|o, m) = p(o|s, m)p(s|m)\np(o|m) (1)\nThe posterior distribution over states given observationsp(s|o, m) here represent the agent’s\nbeliefs about the environment. Forming beliefs in this way is thought to be the process that\nenables conscious, as well as unconscious, perception. The product of the likelihood model\nand prior is also called the joint likelihood p(o, s|m), which fully defines the generative\nmodel, and which we use henceforth. In the following, for notational simplicity, we also\nomit denoting the dependency on the generative model m.\nCalculating the model evidence p(o) is often intractable, making exact Bayesian infer-\nence unfeasible. The way to circumvent this in AIF is to use a variational approximation\nto Bayesian inference [23,33,50,51]. This works by transforming the inference into an opti-\nmisation problem, specifically the minimisation of the VFE. First, an arbitrary probability\ndistribution over environmental states q(s), an approximate posterior that is used to ap-\nproximate the exact posterior, is introduced. We then introduce the Kullback–Leibler (KL)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "also be added, like hierarchical and temporally deep POMDPs. Model structure learning\ncould be considered, where different model structures are compared and chosen between\nby evaluating their free energies. Sophisticated inference, where predictions are also made\nabout changes in one’s own beliefs—depending on expected action-dependent observations\nin the future—could also be implemented [58]. Finally, the package could be extended to\nother types of generative models than POMDPs, including other universal models, like\ngeneralised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 11 of 33\nΘ is then described by a Dirichlet distribution parametrised by a set of concentration\nparameters θ:\np(Θ) =Dir(Θ|θ) (19)\nThe concentration parameter of a Dirichlet distribution is essentially a non-negative count\nof how many times the given category (be it a type of observation or state transition) has\noccurred. The distribution of concentration parameter counts will determine the shape\nof the estimated categorical probability distribution, while the scale of the concentration\nparameters will determine the certainty per precision of the belief. Updating beliefs about\nΘ (the parameters in the matrices) then corresponds to updating these concentration\nparameters θ with the following update equation:\nθt+1 = ω ∗ θt + η ∗ χt (20)\nThe updated value for the concentration parameter (θt+1) is found by adding the previous\nconcentration parameter θt multiplied by a forgetting rate ω to the observed data count\nχ (either the observation in the case of A learning, or the inferred state or state transition\nfor other matrices) multiplied by a learning rate η. With this relatively simple update\nequation—which, in essence, amounts to just counting the occurrences of categories—an\nAIF agent can update its beliefs about the various matrices it uses to make inferences about\nenvironmental states. For more details on parameter learning with POMDPs, see [23,33,52].\n3. Using ActiveInference.jl\nIn this section, we provide an overview of the various functions a user will need to\noperate ActiveInference. This includes functionalities for creating POMDP agents, for sim-\nulating behaviour and for fitting the models to data. In the next section, we demonstrate\nhow to use the package on a concrete worked example.ActiveInference is under continual\ndevelopment, and the newest version of the package, including documentation for how to\nuse it, can be found at github.com/ilabcode/ActiveInference.jl.\n3.1. Creating and Using a POMDP\nThe general structure of ActiveInference.jl is heavily inspired by pymdp [23],\na Python library for implementing simulations of AIF in discrete state spaces. Those\nalready acquainted with pymdp should find the syntax here familiar. ActiveInference\ncan be installed as normal from the official Julia General Registry using the Julia’s native\npackage manager Pkg:\n\u0007 \u0004\nusing Pkg\nPkg . add ( ActiveInference )\n\u0006 \u0005\nIt can then be loaded into the current project environment:\n\u0007 \u0004\nusing ActiveInference\n\u0006 \u0005\nCentral to the package is the AIF object. This is a structure containing all the components of\nthe generative model, as well as the dynamic belief states and the various settings needed to\nperform AIF, and is used in conjunction with most of the high-level functions of the package.\nAn AIF object can be created with the init_aif function, which takes as arguments the\ncomponents of the generative model and a dictionary of various settings and parameters:", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 5 of 33\nquantities as its target: the variational free energy (VFE) in the case of perception and the\nexpected free energy (EFE) in the case of action. The VFE is the free energy associated with\na given sensory observation and is resolved perceptually by updating beliefs about the\nenvironment. The EFE is the free energy that is expected in the future, contingent on a\ngiven policy or course of action. Choosing action policies associated with a low EFE lead\nto reducing uncertainty about the environment, as well as making preferred observations\nmore likely.\n2.1. POMDPs in Active Inference\nIn AIF, the POMDP is one of the most common families of generative models used\nto make inferences about the environment. It is a Markovian discrete state-space model,\nwhere employing it means representing the environment and observations as inhabiting\none among a set of possible (possibly multidimensional) states, and that the changes\nin these states can only depend on the system’s previous state and the agent’s actions.\nEnvironmental states are not directly observable, so they have to be inferred based on\nincoming sensory observations. In AIF for POMDPs and other generative models in general,\nboth perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well\nas the learning of parameters of the generative model (see Section 2.4). Crucially, an agent’s\ngenerative model does not a priori have to be isomorphic to the true environment (i.e.,\nthe data-generating process), although this will generally lead to a successful inference,\nand that the generative model will therefore often come to resemble the environment\nthrough learning.\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of\nparameters: A, B, C, D and E [1,33], see Figure 1. Together, these parametrise the agent’s\nprior beliefs about the prior probability of different states in the environment, how states\nof the environment change and how they generate observations. Typically, they will be\nvectors, matrices or tensors; however, henceforth we denote them by their corresponding\nletter in bold. These make up the components needed for the agent to perform AIF.\nA, also called the observation model, represents the state-to-observation likelihood model.\nThis describes how observations depend on or are generated by states of the environment.\nIt is structured as a matrix with a column for each possible environmental states, and a row\nfor each possible observation o. Each column is then a categorical probability distribution\nover the observations that will occur given the environmental state (meaning that each\ncolumn must contain non-negative values that sum to 1). If the observations are multidi-\nmensional (i.e., multiple observations are made at each time point), there is a matrix for\neach observation modality. If two or more states determine the observation, the likelihood\nmodel then becomes a tensor. IfA is imprecise (i.e., the probabilities are highly entropic and\nevenly distributed), observations are taken to carry less information about the environment,\nin many cases leading to more uncertain inferences, and vice versa.\nB, also called the transition model, describes the state-to-state transition probabilities of\nenvironmental states s. B encodes the agent’s assumptions about how the environment\nchanges over time, depending on its actions. It has a column and a row for each environ-\nmental state s, where each column is a categorical probability distribution over the states\nthe environment will take on the next time step, given the state it is currently in. If the envi-\nronment is modelled as multidimensional, there will be a matrix for each environmental\nstate factor. Additionally, there is a separate matrix for each possible action (making each\nfactor in B a tensor). This means that for every factor in the model, there may be one or", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 6 of 33\nit means that the transitions of the environment are expected to be uncertain (and therefore,\noften transition to new states). In this sense, volatile and unstable environments will lead\nto less certain predictions about the future.\nC, also called the preference prior, is a prior preference over possible observations. It encodes\nthe types of observations that an agent a priori expects to encounter; since minimising ex-\npected free energy through AIF entails taking actions that make the predicted observations\ncome about, C also encodes the agent’s preferences. It is a single categorical probability\ndistribution over possible observations; if the observations are multidimensional, there\nis a separate preference priorfor each observation modality. If C is imprecise (i.e., highly\nentropic), its preferences are weak and it will prioritise collecting information over realising\nits preferences; if it has low entropy, the agent will have stronger preferences and instead\nprioritise preferred outcomes or goals.\nD, also called the state prior, is the agent’s prior belief about the states of the environment. It\nspecifies the agent’s belief about the environmental state before receiving any observations.\nThere is a separate state priorover environmental states for each factor. With a more precise\nA, the influence of the D quickly diminishes since the likelihood overwhelms the prior in\nthe Bayesian inference.\nE, also called the habit prior, is the prior over policies or paths. In the AIF vernacular,\npolicies are allowable sequences of actions, with some specified policy length or temporal\ndepth. E encodes the agent’s preferences for choosing certain policies in the absence of\nplans based upon expected free energy, sometimes called the agent’s “habits”. It is a single\nprobability distribution over each possible policy.\nIn addition to the five matrices, there are several hyper-parameters that are not part\nof the generative model, but are part of the inference algorithm. Here, we include two of\nthe most common: the γ and α (inverse) temperature parameters. γ, the precision over\npolicies, is the inverse temperature of a softmax transformation of expected free energies\nover policies, which is covered later in this section. After policies have been selected for a\ngiven time step, they are marginalised to calculate the probabilities of taking each possible\naction in the next time step. α, the action precision, is the inverse temperature of a softmax\ntransformation on these final action probabilities, with higher values resulting in more\nstochastic action selection.\nAs noted, here we focus specifically on the POMDP-based generative models often\nused in the AIF literature. However, the basic steps when performing AIF—perception,\naction and learning—remain the same across generative models. In the remainder of this\nsection, we describe each of these three steps in turn.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 25 of 33\nfree energy having some claims to being a better approximation than the information\ncriteria classically used with MCMC methods (although see other approximations, like the\nPareto-Smoothed Importance Sampling [59] or Thermodynamic Integration methods [60];\nsee [35] for a further review). Note that independently of which of these approaches one\nmight take, the process involves inverting a generative model of the mental processes\nunderlying the behaviour of a given subject, a generative model which itself is an inversion\nof the subject’s generative model of the environment. We can call the generative model that\nthe agent has of its environment the subjective generative model, and the model we have of\nthe agent the objective generative model, in what has been called a meta-Bayesian approach\nor “observing the observer” [1,61].\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic\nbehaviour that it generated; this is called a parameter recovery study since we can then\ncompare the estimated parameters to the generative values used for creating the simulated\ndata [62,63]. Here, we used the simulation method shown in the previous section to\nproduce a synthetic dataset with known parameter values for each agent (in practice, these\nare often participants in an experiment), here with a focus on estimating the α parameter.\nWe then used MCMC methods to estimate the parameters for each agent and compared\nthe estimated values with the correct values. Here, we simulated two groups of five\nsynthetic subjects agents with different α values (the parameters for the first group were\nsampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group\nwith with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for\n300 time steps. We produced the following data frame, containing the data of each of the\nagents: their observations, actions and an identifier, a format suitable for cognitive and\nbehavioural modelling.\n3000×5 DataFrame\nRow Location Reward Cue Action_Location Action_Reward SubjectID\nInt64 Int64 Int64 Int64 Int64 Int64\n1 1 1 1 4 1 1\n2 4 1 2 3 1 1\n3 3 3 2 2 1 1\n. . . . . . .\n. . . . . . .\n3000 2 2 2 2 1 10\nWe usedActionModels to fit the AIF model created above to each of the agents in the dataset.\nWe began by initialising an ActionModels agent:\n\u0007 \u0004\nusing ActionModels\n# Initialize ActionModels Agent with the action model and created active inference agent\nagent = init_agent (\naction_model = action_pomdp !, # Action model function\nsubstruct = aif , # Active inference agent as a substruct\n)\n\u0006 \u0005\nWe then set the prior for the parameter we wanted to estimate: the α action precision. As\nan example, we chose a wide, weakly informative prior: a Gaussian distribution with mean\n5 and standard deviation 5, truncated at 0 and 20:", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 29 of 33\ning the temporal dynamics of belief changes in experimental participants. Dynamic belief\ntrajectories can then be related to other (for example, physiological) measures, as is usual\nin model-based neuroscience [65]. This method can also, in principle, be used for fitting\nmodels to other types of experimentally observable systems, like animals, organoids [66],\nand simulated or emergent systems [67]. The package can also be used for agent-based\nmodelling in general, for repeating earlier analyses with sampling based model-fitting\nand for comparing POMDP-based AIF models directly to other types of models.\nSince they implement full approximate Bayesian inferences, AIF models are compu-\ntationally more demanding than many approaches traditionally used in cognitive and\nagent-based modelling, in particular when the dimensionality of the generative model is\nlarge. This means that models with highly multidimensional or complex behaviour and\nlarge numbers of agents can be computationally infeasible to implement, especially given\nthe additional computational demands introduced by fitting these models to empirical\ndata. Avenues for addressing this implicit scaling problem were proposed in the context of\nmachine learning applications [68,69], and with the use of simplifying assumptions—the\nuse of which are ubiquitous in computational modelling—AIF has been used to model\nmulti-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and\nfish school movements [12]. It remains to be explored how AIF models can be applied to\nhighly complex natural phenomena, such as a concrete election, which underscores the\nneed for efficient but flexible and accessible software tools in the field.\nThere are many ways in which ActiveInference can be improved. It would be useful\nto extend the set of dynamic belief states to include prediction errors since they are often\nused for model-based neuroscience. This would entail departing from discrete state-space\n(i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering\nor predictive coding (see below). An alternative would be to generate prediction errors\nfrom belief updating under discrete models, where prediction errors can be read as the\n(KL) divergence between posterior and prior beliefs (i.e., complexity or information gain).\nA simple interface could be added for creating custom parametrisations of the requisite\nparameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed\nto Dirichlet distributions. Parameter learning could be extended to all generative model\nparameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or\ntemperature of the parameters that are learned); similarly for the precision over expected\nfree energies γ. Preference priors should also be implementable for environmental states,\nin addition to observations, and A can be made action dependent.\nA library of pre-made canonical POMDP models could be created so that users can eas-\nily implement them directly. Alternatives to the fixed-point iteration method for updating\nposteriors over environmental states could be included, like the marginal message passing\nalgorithm. There are various ways in which the package can be made more computationally\nefficient, and it could be compared with other software implementations. There are plenty\nof utility and plotting functions that could be added to the package to make it easier to\nuse and to facilitate integration with the model-fitting packages it relies on; for example,\nto allow for combining the models with linear regressions to compare parameters values\nof different populations in a single model. More complex types of POMDP models can\nalso be added, like hierarchical and temporally deep POMDPs. Model structure learning\ncould be considered, where different model structures are compared and chosen between", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 14 of 33\ninit_aif function, including the policy length and which parts of the information gain to\nuse, as well as the policy precision γ.\n\u0007 \u0004\n# Infer policies\ninfer_policies !( aif )\n\u0006 \u0005\nFinally, sample_action! then samples the next action from the agent. This is performed by\nmarginalising the policy probabilities to obtain the probabilities for the action on the next\ntime step, and then softmax transforming it with the α action precision parameter.\n\u0007 \u0004\n# Sample Action\nsample_action !( aif )\n\u0006 \u0005\nThese functions can be combined by users in various ways, depending on their purpose.\nOften, however, users will want to combine them in a single function that implements\nthe full action–perception loop that receives an observation and returns an action. This is\nimplemented with the ActionModels sister package for behavioural modelling.\n3.2. Simulation withActionModels\nActionModels is a library for implementing, simulating and fitting various behavioural\nmodels to data. Here, we show how to use it in conjunction with ActiveInference to\nmake the simulation of AIF models easy and in a fully generalised framework that is\ncompatible with other types of cognitive and behavioural models as well. ActiveInference\nprovides a full \"action model\"—a full model of the action-generating process in an agent—\nfor using AIF called action_pomdp!. In this case, all this information is contained in the\nAIF object. action_pomdp! then takes the AIF object and a single-time-step observation\nas arguments, and then runs state inference, parameter learning and policy inference,\nand returns probability distributions over the possible actions of the agent.\n\u0007 \u0004\nobservation = [1] # observation with one modality\n# Run the action model for a single observation\naction_distributions = action_pomdp !( aif :: AIF , observation )\n\u0006 \u0005\nThis can conveniently be used in conjunction with an ActionModels agent, a more abstract\nstructure that is used for running behavioural models in general, and which is used when\nfitting models to data. We therefore begin with initialising an agent that contains the\nAIF object:\n\u0007 \u0004\n# Initialize ActionModels Agent with active inference agent as a substruct .\nagent = init_agent (\naction_model = action_pomdp !, # The active inference action model\nsubstruct = aif , # The AIF object\n)\n\u0006 \u0005\nThe agent object can be used with a set of standard functions. single_input! provides\nthe agent with an observation, updates it is beliefs and returns a sampled action; for non-\naction-dependent observations, give_inputs! provides a series of observations across time\nsteps and returns actions for each. These can be easily used in an agent-based simulation to\nhave AIF agents evolve and act over time.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 2 of 33\nminimisation [9]. Choosing actions that minimise the expected free energy (EFE) of their\nconsequences provides a natural balance between exploratory and exploitative behaviour;\ngeneralises descriptive approaches to behavioural modelling, like reinforcement learning\nand expected utility maximisation; and provides a singular approach to adaptive behaviour\nthat can be used across different environments. AIF was argued to be applicable to any self-\norganising system that actively maintains a stable boundary that defines its integrity [10],\na broad category that includes cells and plants [ 11], as well as humans [ 2] and even\ncollectives [12]. Owing to its generality, AIF has seen a rise in popularity across multiple\nfields. It is used for theoretical simulations of the mechanisms underlying various types of\nbehaviour [2], computational phenotyping in computational psychiatry [13,14], and agent-\nbased simulations of population dynamics [15], as well as in engineering and robotics [16].\nIn AIF, perception and concurrent action are based on performing a variational Bayesian\ninversion of a generative model of the environment (i.e., a model of how the environment\nchanges and brings about sensory observations). This belief updating includes inferring\n(hidden) states of the environment, learning parameters of the generative model and\nlearning the structure of the generative model. Since the requisite inference schemes come\npre-specified, the main task in AIF modelling becomes specifying an appropriate generative\nmodel. This includes specifying priors over environmental states, as well as what might\nbe called prior preferences, preference priorsor goal priors: immutable prior expectations that\nmake up an agents’ preferences by furnishing a set of predictions over future states or\nobservations; in fulfilling these predictions, free energy is minimised. The space of possible\ngenerative models is vast, and they often have to be handcrafted for a given environment.\nHowever, there are some families of generative models that can be considered “universal”\nin the sense that they can be used for most environments. Currently, the most popular of\nthese is the discrete state-space Partially Observable Markov Decision Process (POMDP)-\nbased generative models. Since they are ubiquitous in the literature, we focus here on\nmaking these types of generative models available to researchers. There are, however, other\ntypes of universal generative models, like generalised filtering models [17] or Hierarchical\nGaussian Filtering-based models [18,19], that will be implemented in the future.\nTools for simulating POMDP-AIF models were originally developed as part of the\nDEM [20] library for MATLAB [21] (part of the larger SPM library [ 22]). Since then, a\nmodal and flexible software package pymdp [23] was created for Python [24], as well as a\nperformance-oriented package cpp-AIF [25] for C++ [26] that can be used across platforms.\nFinally, the factor graph library RxInfer [27] for Julia [28] has also been used to implement\nsome AIF models on an efficient factor graph back-end [ 29–31]. The important tools\nthat these packages provide make AIF available for researchers to perform simulation\nstudies and for use in engineering contexts. They do not, however, usually allow for\nfitting models to empirically observed data, which is a fundamental method used in\ncognitive modelling [32], often in the context of computational psychiatry [13], to infer the\nmechanisms underlying variations in behaviour or to investigate the differences between\n(for example, clinical) populations. Smith and colleagues [33] provided a guide for manually\ndoing variational Bayesian parameter estimation based on empirical data, but only in\nMATLAB and restricted to a particular class of variational parameter estimation methods\n(variational Laplace), instead of the sampling-based methods that currently predominate in\nthe field of cognitive modelling [34,35].", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 22 of 33\n\u0007 \u0004\n# For the location state factor\nD[1] = [1 .0 , 0 .0 , 0 .0 , 0 .0 ] # Certain beleif of being at center location\n# For the reward condition state factor\nD[2] = [0 .5 , 0 .5 ] # Agnostic prior over reward condition state\n\u0006 \u0005\nFinally, we establishedE, the prior over policies. This was a vector over all possible policies;\nwith four possible actions and a policy length of 2, there were 42 = 16 policies in total.\nHere, we gave the agent an agnostic prior over policies:\n\u0007 \u0004\n# Setting uniform E vector to not prefer any policies by equally preferring all\nE .= 1 .0 / length (E)\n\u0006 \u0005\nThus, the five matrices were defined (we note that the C, D and E matrices were set to\nagnostic by default if not defined by the user). All that was left was to set the Dirichlet\nprior for A learning, and set the parameters and settings. In the following, we set the the\nDirichlet prior for A to a scaled copy of the original A using a weak scaling parameter\nof 2.0:\n\u0007 \u0004\n# Use a weak scaling parameter\nscale_concentration_parameter = 2 .0\n# Make a scaled copy of A\npA = deepcopy (A) * scale_concentration_parameter\n\u0006 \u0005\nWe then set the various hyper-parameters for the agent’s inference algorithm. Here, we\nused standard default values: an A learning rate of 1, and γ and α values of 16:\n\u0007 \u0004\nparameters = Dict (\n\" lr_pA \" => 1 .0 ,\n\" alpha \" => 16 .0 ,\n\" gamma \" => 16 .0 ,\n)\n\u0006 \u0005\nFinally, we defined the settings of the agent (other characteristics of the agent that were not\nestimable parameters). Here, we set the policy length to 2, which let the agent use expected\ninformation gain for both the state and parameter info gain for its actions, and specify that\nit was specifically the second modality of A that was to be learned:\n\u0007 \u0004\nsettings = Dict (\n# A policy length of two\n\" policy_len \" => 2,\n# Use parameter information gain in action selection\n\" use_param_info_gain \" => true ,\n# Use state information gain in action selection\n\" use_states_info_gain \" => true ,\n# Only do A learning for the reward modality .\n\" modalities_to_learn \" => [2]\n)\n\u0006 \u0005\nHaving built all the necessary components of the generative model, we could then instanti-\nate an AIF agent:", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What is dyspnea ?", - "target_page": 2, - "target_passage": "Dyspnea refers to a subjective sensation of breathing discomfort.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Dyspnea refers to a subjective sensation of breathing\ndiscomfort.1 In a study involving a community-based\npopulation aged > 70 years, the prevalence of dyspnea\nwas found to be 32%.2 Dyspnea can lead to limitations in\ndaily activities, reduced exercise tolerance, and\nheightened mortality risks.3\nDyspnea not only affects individuals with diagnosed\nrespiratory conditions but also poses a significant\nburden on those with undiagnosed conditions. In a\nsystematic review by Müller et al,4 the combined\nprevalence of dyspnea in the adult general population\nacross 11 studies was estimated to be 10%. Dyspnea can\narise from a broad spectrum of underlying factors,\nincluding both respiratory and nonrespiratory\nconditions. Studies have revealed that dyspnea is not\nsolely attributable to respiratory conditions but is also\nheavily influenced by cardiovascular deconditioning and\nby nonrespiratory factors, including psychosocial, social,\nand environmental determinants.5,6\nDyspnea is a prevalent symptom with consequences that\nextend beyond its physiologic implications. A study in\nEuropean patients with COPD explored the burden of\ndyspnea and identified potential correlates. The study\nrevealed that higher dyspnea impact correlated with\nlower health-related quality of life, increased work\nimpairment, and a higher frequency of emergency\ndepartment visits.7\nThe three objectives of our study were as follows: (1) to\nevaluate the impact of dyspnea in adults from the\ngeneral population who had no prior diagnosis of\nrespiratory disease but who reported having significant\nrespiratory symptoms in the past 6 months; (2) to\nidentify associated risk factors for dyspnea and estimate\ntheir influence on the symptom; and (3) to explore the\nrelationship between dyspnea and health care utilization,\nquality of life, and work productivity in adults with\nundiagnosed respiratory symptoms.\nStudy Design and Methods\nRecruitment of Undiagnosed Cases and Healthy\nControl Patients\nBetween June 2017 and January 2023, adults aged$ 18\nyears were recruited through a two-step process into the\nUndiagnosed COPD and Asthma Population (UCAP)\nstudy, a multicenter casefinding study. Approval for\nthe study was obtained from the research ethics boards\nof the 17 participating study sites across Canada.\nInformed, written consent was provided by all study\nparticipants.\nBoth landlines and cellphones within a 90-minute radius\nof any of the 17 study sites were dialed randomly. A\nTake-home Points\nStudy Question: How profoundly are adults with\nundiagnosed respiratory symptoms affected by\ndyspnea?\nResults: In community-based adults with undiag-\nnosed respiratory symptoms, those identified with\npreserved ratio impaired spirometry experienced the\ngreatest impact of dyspnea, followed by those with\nundiagnosed asthma or COPD. Greater dyspnea\nimpact was associated with increased health care\nutilization, lower quality of life, and reduced work\nproductivity.\nInterpretation: Dyspnea imposes burdens on the\nhealth care system and is associated with impaired\nquality of life and work productivity.\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD =\nbronchodilator; CAT = COPD Assessment Test; PCA = principal\ncomponent analysis; PRISm = preserved ratio impaired spirometry;\nSGRQ = St. George’s Respiratory Questionnaire\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E.\nG., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa,\nOttawa, ON; the Desautels Faculty of Management (G. A. W.), McGill\nUniversity, Montreal, QC; the Department of Medicine (C. B.), The\nUniversity of British Columbia, Vancouver, BC; the Centre de\nrecherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumo-\nlogie de Québec, Université Laval, Quebec, QC; the Cumming School\nof Medicine (S. K. F.), University of Calgary, Calgary, AB; the\nDepartment of Medicine (E. P.), University of Saskatchewan, Regina,\nSK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "5. Nishino T. Dyspnoea: underlying\nmechanisms and treatment.Br J Anaesth.\n2011;106:463-474.\n6. N e d e rJ ,B e r t o nD ,M ü l l e rP ,e ta l .\nVentilatory inef ficiency and\nexertional dyspnea in early chronic\nobstructive pulmonary disease.Ann\nAm Thorac Soc . 2017;14(suppl_1):\nS22-S29 .\n7. Gruenberger JB, Vietri J, Keininger DL,\nMahler DA. Greater dyspnea is associated\nwith lower health- related quality of life\namong European patients with COPD.Int\nJ Chron Obstruct Pulmon Dis. 2017;12:\n937-944.\n8. Preteroti M, Whitmore GA,\nVandemheen KL, et al. Population-based\ncase-finding to identify subjects with\nundiagnosed asthma or COPD.Eur Respir\nJ. 2020;55:2000024.\n9. Huynh C, Whitmore GA,\nVandemheen KL, et al. Derivation and\nvalidation of the UCAP-Q case-finding\nquestionnaire to detect undiagnosed\nasthma and COPD.Eur Respir J.\n2022;60(3):2103243.\n10. Shin B, Cole SL, Park SJ, et al. A new\nsymptom-based questionnaire for\npredicting the presence of asthma.\nJ Investig Allergol Clin Immunol. 2010;20:\n27-34.\n11. Price DB, Tinkelman DG, Nordyke RJ,\net al. Scoring system and clinical\napplication of COPD diagnostic\nquestionnaires. Chest. 2006;129:\n1531-1539.\n12. Price DB, Tinkelman DG, Halbert RJ,\net al. Symptom-based questionnaire for\nidentifying COPD in smokers.\nRespiration. 2006;73:285-295.\n13. Jones PW, Harding G, Berry P, et al.\nDevelopment and first validation of the\nCOPD Assessment Test.Eur Respir J.\n2009;34:648-654.\n14. Jones PW. Quality of life measurement for\npatients with diseases of the airways.\nThorax. 1991;46:676-682.\n15. Jones PW, Quirk FH, Baveystock CM. The\nSt George’s Respiratory Questionnaire.\nRespir Med. 1991;85:25-31.\n16. Jones PW. St George’s Respiratory\nQuestionnaire: MCID. J Chronic Obstr\nPulm Dis. 2005;2:75-79.\n17. Global Initiative for Asthma. Global\nstrategy for asthma management and\nprevention. Global Initiative for Asthma\nwebsite. Accessed July 30, 2023.https://\nginasthma.org/wp-content/uploads/2023/\n07/GINA-2023-Full-report-23_07_06-\nWMS.pdf\n18. Global Initiative for Chronic Obstructive\nLung Disease. Global strategy for the\ndiagnosis, management, and prevention of\nchronic obstructive pulmonary disease.\nGlobal Initiative for Chronic Obstructive\nLung Disease website. Accessed July 30,\n2023. https://goldcopd.org/wp-content/\nuploads/2023/03/GOLD-2023-ver-1.3-17\nFeb2023_WMV.pdf\n19. Magner KMA, Cherian M, Whitmore GA,\net al. Assessment of preserved ratio\nimpaired spirometry (PRISm) using pre\nand post bronchodilator spirometry in a\nrandomly-sampled symptomatic cohort.\nAm J Resp Crit Care Med. 2023;208(10):\n1129-1131.\n20. Hanania NA, O’Donnell DE. Activity-\nrelated dyspnea in chronic obstructive\npulmonary disease: physical and\npsychological consequences, unmet\nneeds, and future directions. Int J\nChron Obstruct Pulmon Dis . 2019;14:\n1127-1138.\n21. Reilly Associates. WPAI scoring. Reilly\nAssociates website. Accessed May 1, 2024.\nhttp://www.reillyassociates.net/wpai_\nscoring.html\n22. Carlsen HK, Haga SL, Olsson D, et al.\nBirch pollen, air pollution and their\ninteractive effects on airway symptoms\nand peak expiratoryflow in allergic\nasthma during pollen season– a panel\nstudy in Northern and Southern Sweden.\nEnviron Health. 2022;21:63.\n23. Ekström M, Johannessen A,\nAbramson MJ, et al. Breathlessness across\ngenerations: results from the RHINESSA\ngeneration study. Thorax. 2022;77(2):\n172-177.\n24. Ziegler B, Fernandes AK, Sanches PR,\nKonzen GL, Dalcin Pde T. Variability of\ndyspnea perception in healthy subjects\nassessed through inspiratory resistive\nloading. J Bras Pneumol. 2015;41(2):\n143-150.\n25. Ekström M, Bornefalk H, Sköld M, et al.\nValidation of the Swedish\nMultidimensional Dyspnea Profile (MDP)\nin outpatients with cardiorespiratory\ndisease. BMJ Open Respir Res. 2019;6:\ne000381.\n26. Yorke J, Russell AM, Swigris J, et al.\nAssessment of dyspnea in asthma:\nvalidation of The Dyspnea-12.J Asthma.\n2011;48(6):602-608.\n27. Boulet LP, Boulay ME, Cote A, et al.\nAirway inflammation and\nhyperresponsiveness in subjects with", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Approximately 65% of the variability in dyspnea\nremained unexplained by the factors examined in our\nstudy. Most individuals in our study showed normal\nspirometry results but still carried a substantial\nburden of dyspnea, an inconsistency that needs\nexplanation. Several factors not included in our\nanalysis may have contributed to the unexplained\nvariation. Environmental factors (eg, air pollution,\nallergen exposure, seasonal variations in symptoms)\nare potential contributors to this unexplained\nvariability. 22 Genetic predispositions could also play a\nsignificant role, as suggested by a study that revealed\nthat parents with dyspnea were 1.8 times more likely\nto have offspring with dyspnea.23 Additionally, fitness\ncould be a contributing factor, especially in\nindividuals with undiagnosed PRISm, asthma, or\nCOPD who may restrict their activities to avoid\ndyspnea, and hence become deconditioned.6\nThere were significant but modest differences in mean\ndyspnea levels across the 17 study sites (data not\nshown), which are not explained by the risk factors we\naccounted for in our study. Thisfinding is not surprising\nbecause some of the potential contributing factors\npreviously mentioned and other site-specific factors\n(eg, climate, air quality/industrialization, socioeconomic\nstatus) of the catchment population tend to vary across\nstudy sites.\nDyspnea is a complex, subjective symptom that is\nmodified by nonrespiratory factors including\npsychosocial, social, and environmental influences.5\nInterindividual variability in the perception of dyspnea,\ninfluenced by these nonrespiratory factors, may play an\nimportant role. A study conducted by Ziegler et al24\nassessed the perception of dyspnea in 42 healthy\nindividuals using a standardized inspiratory resistive\nloading stimulus. The study used the modified Borg\nscale to measure dyspnea perception levels. Among the\nparticipants subjected to the same inspiratory resistive\nload, 31%, 45%, and 24% of participants classified their\nlevel of dyspnea as low, intermediate, and high,\nrespectively. The study revealed that differences between\nindividuals contribute considerable variability to the\nperception of dyspnea, even among healthy participants.\nThe affective dimension of dyspnea can be captured\nusing additional questionnaires (eg, Multidimensional\nDyspnea Profile, Dyspnea-12). Studies have explored the\nuse of the Multidimensional Dyspnea Profile in\nTABLE 6] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\nDisease Group Reversibility of FEV 1, % Post-BD FEV 1/FVC Ratio Post-BD FEV 1 % predicted Overall P Value\nControl /C0 0.163 (P ¼ .47) /C0 0.274 (P [ .05) /C0 0.090 (P ¼ .17) .096\nNormal spirometry 0.186 ( P ¼ .16) 0.240 (P [ .005) /C0 0.131 (P < .001) < .001\nAsthma 0.545 (P [ .01) 0.107 (P ¼ .58) /C0 0.158 (P ¼ .08) .009\nCOPD 0.392 (P [ .002) /C0 0.307 (P [ .05) /C0 0.075 (P ¼ .37) < .001\nPRISm /C0 0.290 (P ¼ .39) 0.854 (P [ .002) /C0 0.650 (P [ .004) < .001\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry\ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio\nimpaired spirometry.\nTABLE 7] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)\nMeasure\nUnadjusted Adjusted\nDyspnea Coefficient (95% CI) P Value Dyspnea Coef ficient (95% CI) P Value\nPhysical functioning /C0 0.693 (/C0 0.718 to/C0 0.668) < .001 /C0 0.655 (/C0 0.680 to/C0 0.630) < .001\nPhysical health limitations /C0 0.634 (/C0 0.666 to/C0 0.603) < .001 /C0 0.628 (/C0 0.661 to/C0 0.595) < .001\nEmotional problems /C0 0.403 (/C0 0.438 to/C0 0.369) < .001 /C0 0.407 (/C0 0.443 to/C0 0.370) < .001\nEnergy/fatigue /C0 0.454 (/C0 0.479 to/C0 0.428) < .001 /C0 0.452 (/C0 0.479 to/C0 0.425) < .001\nEmotional well-being /C0 0.230 (/C0 0.256 to/C0 0.204) < .001 /C0 0.239 (/C0 0.266 to/C0 0.213) < .001", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Impact of Dyspnea on Adults With\nRespiratory Symptoms Without a Defined\nDiagnosis\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD;\nLouis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD;\nCatherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD;\nM. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD;\nGonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health\ncare utilization, quality of life, and work productivity in adults with undiagnosed respiratory\nsymptoms.\nRESEARCH QUESTION:What is the impact of dyspnea in adults with undiagnosed respiratory\nsymptoms?\nSTUDY DESIGN AND METHODS:This population-based study included 2,857 adults who were\nexperiencing respiratory symptoms. These individuals had not been previously diagnosed\nwith any lung conditions and were recruited from 17 Canadian centers using random digit\ndialing. Each participant underwent spirometry testing both before and after using a bron-\nchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved\nratio impaired spirometry (PRISm), or if their spirometry results were normal. An age-\nmatched control group (n ¼ 231) was similarly recruited using random digit dialing. A\ndyspnea impact assessment score from 0 to 100 was produced using questions from the\nCOPD Assessment Test and St. George’s Respiratory questionnaire.\nRESULTS: Individuals with PRISm (n¼ 172) reported more impactful dyspnea (mean score,\n63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n¼ 265; mean score, 56.6;\n95% CI, 53.9-59.3) or undiagnosed COPD (n¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All\ngroups reported significantly more impactful dyspnea than the control group (mean score,\n13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and\ncomorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the\nvariation was explained by disease classification and another 1.7% by the severity of lung\nfunction impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater\ndyspnea impact was associated with increased health care utilization, lower quality of life, and\nreduced work productivity.\nINTERPRETATION: Our findings showed that in community-based adults with undiagnosed\nrespiratory symptoms, those identified with PRISm experienced the greatest impact of dys-\npnea. Dyspnea imposes burdens on the health care system and is associated with impaired\nquality of life and work productivity. CHEST 2024; 166(6):1296-1308\nKEY WORDS:asthma; case finding; COPD; dyspnea\nFOR EDITORIAL COMMENT, SEE PAGE 1259\n[ Asthma Original Research ]\n1296 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "exposure in an array of risky occupations. These risk\nfactors, taken as a whole, accounted for 21% of the\nvariability in dyspnea.\nAfter adjustment for patient-specific risk factors in the\nfirst stage analysis, we adjusted for spirometry-defined\ndisease (PRISm, asthma, COPD, or normal\nspirometry) in Table 5. Adjustment for disease\nclassification accounted for 12% of the total variability\nof dyspnea.\nTable 6 presents the contribution of lung function\nmeasures of physiologic impairment after accounting for\npatient-related risk factors and disease classification. For\nthe PRISm disease group, a higher post-BD FEV1/FVC\nratio and a lower post-BD FEV1 % predicted value were\nassociated with greater dyspnea impact. For the COPD\ndisease group, a lower post-BD FEV1/FVC ratio was\nassociated with greater dyspnea impact. Reversibility of\nFEV1 was associated with higher dyspnea impact only in\npatients with asthma or COPD. Lung function measures\nof disease severity accounted for 2% of the variability in\ndyspnea.\nAfter adjusting for age, sex, and BMI, dyspnea was\nnegatively associated with all domains of quality of life,\nincluding physical functioning (coefficient, /C0 0.655;\nP < .001), role limitations due to physical health\n(coefficient, /C0 0.628; P < .001), general health\n(coefficient, /C0 0.382; P < .001), and total score\n(coefficient, /C0 0.473; P < .001) (Table 7).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with an increased likelihood of annual visits\nto health care providers for respiratory complaints (OR,\nTABLE 3] Intergroup Comparisons of Dyspnea Impact\nPairwise Comparison Mean Dyspnea Score (95% CI) Mean Difference (95% CI) P Value\nControl 13.8 (11.8-15.7) /C0 38.0 (/C0 41.1 to/C0 34.9) < .001\nNormal spirometry 51.8 (50.7-52.8)\nControl 13.8 (11.8-15.7) /C0 43.7 (/C0 47.6 to/C0 39.8) < .001\nCOPD 57.5 (55.1-59.9)\nControl 13.8 (11.8-15.7) /C0 42.8 (/C0 46.9 to/C0 38.7) < .001\nAsthma 56.6 (53.9-59.3)\nControl 13.8 (11.8-15.7) /C0 49.2 (/C0 53.7 to/C0 44.6) < .001\nPRISm 63.0 (59.5-66.4)\nNormal spirometry 51.8 (50.7-52.8) 5.7 (3.0 to 8.4) < .001\nCOPD 57.5 (55.1-59.9)\nNormal spirometry 51.8 (50.7-52.8) 4.8 (1.8, 7.8) .002\nAsthma 56.6 (53.9-59.3)\nNormal spirometry 51.8 (50.7-52.8) 11.2 (7.5 to 14.8) < .001\nPRISm 63.0 (59.5-66.4)\nPRISm 63.0 (59.5-66.4) 5.5 (1.1 to 9.8) .014\nCOPD 57.5 (55.1-59.9)\nPRISm 63.0 (59.5-66.4) 6.4 (1.9 to 10.9) .005\nAsthma 56.6 (53.9-59.3)\nAsthma 56.6 (53.9-59.3) 0.9 (/C0 2.8 to 4.7) .63\nCOPD 57.5 (55.1-59.9)\nPRISm ¼ preserved ratio impaired spirometry.\nDyspnea assessment \n100\n80\n60\n40\n20\nNormal\nspirometry\nAsthma COPD PRISm Healthy\ncontrol\nparticipants\n0\nFigure 2 – Box plot demonstrating dyspnea impact according to\nspirometry disease classification. The center line marks the median. The\nboxes span the interquartile range (IQR). The outer fences are set at\ndistances 1.5 /C2 IQR from the box. Outliers appear as plotted dots.\nchestjournal.org 1303", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "outpatients with cardiorespiratory disease25 and the\nDyspnea-12 in patients with asthma26 and found that\nthe affective aspect of dyspnea can significantly influence\nthe impact of dyspnea on health status, irrespective of\nthe intensity of breathlessness.\nIn those with PRISm, there was a strong, positive\nassociation between higher values for the FEV1/FVC\nratio and dyspnea. For the PRISm group, a higher\nFEV1/FVC ratio may reflect diminished lung\ncompliance due to interstitial lung disease and/or\nrespiratory system restriction due to obesity, which\ncould contribute to worse dyspnea. Conversely, the\nassociation of dyspnea with the FEV1/FVC ratio was in\nthe opposite direction for those with asthma or COPD,\nand a lower FEV1/FVC ratio correlated with worse\ndyspnea, as expected.\nOur study complements the literature by focusing on\nadults with undiagnosed respiratory symptoms who\nwere randomly selected and recruited through active\ncase finding in the community. This increases the\ngeneralizability of our results to a broader population.\nOur dyspnea questions were derived from widely used\nand validated respiratory health questionnaires, and\nour dyspnea assessment measure is a weighted average\nof responses to these validated questions.\nConsequently, the measure has an immediate\ninterpretation in terms of the lived day-to-day\nexperience of individuals.\nOur study has limitations. We did not undertake\nreliability/reproducibility testing of our questionnaire.\nThe dyspnea impact assessment score was statistically\nassociated with increased health care utilization, lower\nquality of life, and reduced work productivity; therefore,\nby virtue of this analysis, our questionnaire has\nconstruct validity. However, further attempts at external\nvalidation of the questionnaire using an independent\ndata set would be important. Health care utilization\nduring the preceding 12 months was assessed on entry\ninto the study, and there is potential for impaired recall\nof events. Our study may have missed asthma in some\nparticipants because bronchial challenge testing was not\nconducted on those who tested negative for airflow\nobstruction or BD responsiveness. A previous study\nshowed that an additional diagnostic step incorporating\nTABLE 8] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nIn the past 12 mo, did you visit your general\npractitioner or a nurse practitioner or another\nphysician at a walk-in clinic for any breathing\nproblems?\n1.011 (1.007-1.014) < .001 1.011 (1.007-1.014) < .001\nIn the past 12 mo, did you visit an emergency\ndepartment for any breathing problems?\n1.015 (1.009-1.021) < .001 1.015 (1.009-1.022) < .001\nIn the past 12 mo, were you hospitalized for any\nbreathing problems or respiratory illness?\n1.021 (1.006-1.037) .006 1.023 (1.007-1.039) .005\nData are presented as OR (95% CI) withP values. Adjusted values are adjusted for age, sex, and BMI.\nTABLE 9] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI)\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nAre you currently employed\n(working for pay)?\n0.995 (0.992-0.998) .002 0.993 (0.990-0.997) < .001\nMeasurea\nDyspnea Coefficient\n(95% CI) P Value\nDyspnea Coefficient\n(95% CI) P Value\nAbsenteeism 0.061 (0.040-0.083) <.001 0.066 (0.044-0.089) < .001\nPresenteeism 0.334 (0.293-0.375) <.001 0.349 (0.306-0.392) < .001\nWork productivity loss 0.368 (0.323-0.413) <.001 0.383 (0.336-0.430) < .001\nActivity impairment 0.503 (0.463-0.544) <.001 0.501 (0.458-0.544) < .001\nORs and regression coefficients are presented with 95% CIs andP values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI¼ Work Pro-\nductivity and Activity Impairment questionnaire.\naMeasures calculated from WPAI questions.21\n1306 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "1.011; P < .001 for general practitioner visits; OR, 1.015;\nP < .001 for emergency department visits; and OR,\n1.023, P ¼ .005 for hospitalization for respiratory illness)\n(Table 8).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with a reduced likelihood of current\nemployment (OR, 0.993;P < .001), increased\nabsenteeism (coefficient, 0.066; P < .001), increased\npresenteeism (coefficient, 0.349; P < .001), higher work\nproductivity loss (coefficient, 0.383; P < .001), and\ngreater activity impairment (coefficient, 0.501;P < .001),\nas measured by the Work Productivity and Activity\nImpairment questionnaire21 (Table 9).\nDiscussion\nOur study explored dyspnea in community-based adults\nwith undiagnosed respiratory symptoms identified via\ncase finding. Surprisingly, we found that the dyspnea\nexperienced by those with PRISm had a greater impact\non their activities and health status than those with\nnewly diagnosed COPD or asthma.\nThe prevalence of individuals who were obese and\nmorbidly obese in the PRISm group partially explains\nthe between-group difference in dyspnea. The excess\ndyspnea seen in the PRISm group when compared with\nthe normal spirometry group is partly explained by\npatient-specific risk factors, including BMI, which\nshrink the mean dyspnea differential between the groups\nfrom 11.2 to 5.5 points (Tables 3-6). The remaining 5.5-\npoint difference indicates that PRISm patients have\nexcess dyspnea relative to symptomatic individuals with\nnormal spirometry for additional reasons other than\nobesity.\nTABLE 4] Sequential Regression Analyses of Risk Factors Contributing to Variability in Dyspnea: Dyspnea\nRegressed on Patient-Specific Risk Factors (20.6% of Variability Explained)\nRisk Factor Regression Coef ficient P Value\nAge /C0 0.0909 .005\nFemale 8.217 < .001\nBMI 0.899 < .001\nHousehold income< CAD $30,000 1.420 .40\nHousehold income$ CAD $30,000 /C0 2.149 .07\nSmoking history, pack-y 0.144 < .001\nSmoking exposure 5.123 < .001\nOccupational exposure 0.00975 < .001\nCongestive heart failure 10.119 .004\nCoronary artery disease 4.813 .001\nDepression/anxiety 6.892 < .001\nDiabetes mellitus 1.627 .22\nHypertension 3.433 < .001\nAnemia 1.738 .15\nCancer 0.952 .49\nGERD 4.663 < .001\nLiver disease 1.081 .61\nRenal disease 2.073 .32\nStroke 8.463 < .001\nBoldface indicates statitistical significance. GERD¼ gastroesophageal reflux disease.\nTABLE 5] Dyspnea Regressed on Spirometry Disease\nGroup\nDisease Group Regression Coef ficient P Value\nControl /C0 31.2 < .001\nNormal spirometrya NA NA\nAsthma 4.6 .001\nCOPD 3.8 .003\nPRISm 5.5 .001\nConstant 51.9 NA\nDyspnea regressed on spirometry disease group, after removing contri-\nbutions from subject-speci fic factors in Table 4 (12.4% of variability\nexplained). Boldface indicates statitistical significance. NA ¼ not appli-\ncable; PRISm ¼ preserved ratio impaired spirometry.\naNormal spirometry group is the reference category.\n1304 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Risk Factors Associated With Dyspnea\nPatient-related risk factors were consideredfirst, and re-\nsults of spirometry considered afterward. The spirom-\netry risk factors chosen for the second stage analysis\nincluded the spirometry-based diagnosis of the patient\n(asthma, COPD, PRISm, or normal) and lung function\nresults indicative of the severity of physiologic impair-\nment. Severity was gauged by assessing three principal\nlung function measures: (1) post-BD FEV1 % predicted,\n(2) post-BD FEV 1/FVC ratio, and (3) percentage\nreversal of FEV1 with BD.\nDyspnea Impact and Health Care Use, Quality of\nLife, and Work Productivity\nThe impact of dyspnea and its associations with health\ncare use, quality of life, and work productivity were exam-\nined. Health care utilization was assessed through self-\nreported data. Quality of life was assessed using the 36-\nItem Short Form Health Survey questionnaire, where\nhigher scores indicate better health status. Work produc-\ntivity was assessed using the Work Productivity and Activ-\nity Impairment questionnaire, where higher scores\nindicate greater impairment in work productivity and\ndaily activities.\nStatistical Analysis\nBox plots were used to compare distribution patterns of\ndyspnea impact assessments among the disease groups.\nPairwise comparison tests were conducted to evaluate\nmean dyspnea differences between groups. Multiple\nlinear regression analysis was used to measure contribu-\ntions to variability of dyspnea by selected patient-specific\nrisk factors, spirometry disease classification, and key\nlung function measures. The selected sets of risk factors\nwere evaluated using successive regression analyses.\nAnalysis of variance sums of squares from the successive\nregression analyses provided the cumulative percentage\ncontributions to variability of dyspnea. Simple, multiple,\nand logistic regression analyses were used to study asso-\nciations between dyspnea and health care utilization,\nquality of life, and work productivity outcomes. All sta-\ntistical analyses were done using STATA 16 statistical\nsoftware (StataCorp).\nResults\nFigure 1 illustrates the results of the casefinding\napproach, including the enrollment of the control group.\nAmong 5,631 potentially eligible participants, 1,359\nparticipants (24%) did not meet the threshold of$ 6\npoints on the ASQ or$ 20 points on the COPD-\nDiagnostic Questionnaire and were thus excluded,\nleaving 4,272 individuals deemed eligible for spirometry.\n38,353 individuals indicated that they had respiratory\nsymptoms and were phoned back by study personnel\n 26,905 were symptomatic\n 11,448 had no respiratory symptoms\n5,631 potentially eligible for the\ncase finding study\n1,359 did not score ≥ 6\npoints on ASQ or ≥ 20\npoints on the COPD-DQ\n2,090 (73.2%) had normal\nspirometry\n265 (9.3%) had\nundiagnosed asthma\n330 (11.5%) had\nundiagnosed COPD 172 (6.0%) had PRISM\n21,274 excluded\n8,273 Previous diagnosis of asthma\n5,363 Previous diagnosis of COPD\n190 Age < 18 years\n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary\nfibrosis, or lung cancer\n1,331 History of MI, heart problems, stroke, aortic or cerebral\naneurysm, eye surgery, or detached retina in past 3 mos.\n19 Pregnant, in the third trimester\n3,715 Under care of respirologist or using an inhaled respiratory\n1,415 did not complete spirometry\n 1,337 refused to travel to study site\n 67 participants unable to complete acceptable\n spirometry\n 11 participants deemed ineligible after consent\n4,272 potentially eligible for the\ncase finding study\n2,857 completed pre and post\nbronchodilator spirometry and\ncould be evaluated for a\ndiagnosis of asthma or COPD\n231 healthy controls with\nno respiratory symptoms\nwho scored 0 points on the\nASQ were selected and\ncompleted pre and post\nbronchodilator spirometry\nFigure 1– Study flow diagram demonstrating the casefinding and control group recruitment and allocation. ASQ¼ Asthma Screening Questionnaire;", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a casefinding strategy\nidentified asthma in 26% of symptomatic individuals\nwho had normal spirometry and no response to BD.27\nIndividuals with undiagnosed respiratory symptoms,\ndetermined to have asthma or COPD through\nspirometry, experience poor health status.28 Therefore,\nthe implementation of known treatment approaches for\nasthma or COPD is important to improve their\nconditions.29 In contrast, those with normal spirometry\nor PRISm face unclear treatment approaches. Long-\nacting BD therapy in symptomatic individuals with\ntobacco exposure with normal spirometry is not\neffective.30 Weight management programs may be useful\nfor individuals who are obese with PRISm-related\ndyspnea; however, this awaits definitive clinical trials.31\nDyspnea was severe and prevalent within our study\ngroup; however, it remained undiagnosed. A study\nconducted by Stefan et al32 revealed that physicians\nunderestimated their patients’ dyspnea 37.9% of the\ntime, whereas nurses underestimated it 3.5% of the time.\nMoreover, many patients limit their physical activities,\nwhich lead them to downplay the extent of their\ndyspnea.19 Patient underreporting of symptoms, coupled\nwith inadequate physician-led investigations of\nsymptoms, may explain why dyspnea often goes\nundiagnosed in the population.33\nIn conclusion, our study measured dyspnea impact in\nindividuals with no preexisting diagnosis of lung disease\nwho reported respiratory symptoms as part of a\npurposeful casefinding strategy. Individuals with PRISm\nexhibited the greatest impact of dyspnea, even higher\nthan those newly diagnosed with asthma or COPD.\nAfter adjusting for patient factors, comorbidities,\npulmonary diseases, and severity of lung physiologic\nimpairment, most of the variability in dyspnea remained\nunexplained. We also showed that dyspnea was\nassociated with increased health care utilization,\nimpaired quality of life, and work productivity.\nFunding/Support\nThis study is supported by the Canadian Institutes of\nHealth Research [FDN Grant 154322].\nFinancial/Nonfinancial Disclosures\nNone declared.\nAcknowledgments\nAuthor contributions:S. D. A. and G. A. W.\ncontributed to conception and design. J. B., E.\nG., G. A. W., K. L. V., and S. D. A.\ncontributed to analysis and interpretation. J.\nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C.\nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A.\nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L.,\nT. A., N. E., G. G. A., and S. M. contributed to\ndrafting the manuscript for important\nintellectual content. All authors had access to\nand participated in the interpretation of the\ndata and provided input into the preparation\nand submission of the manuscript. The\nauthors vouch for the accuracy and\ncompleteness of the data.\nRole of sponsors:The sponsor had no role in\nthe design of the study, the collection and\nanalysis of the data, or the preparation of the\nmanuscript.\nOther contributions: We thank the\nfollowing individuals from the Canadian\nstudy sites: Ottawa Hospital Research\nInstitute, Ottawa, Ontario: Taylor Poulin;\nSusan Deveau, RRT; Victoria Thompson;\nMeredith McCleery; Angelina Tohme; Vicky\nPanteleakos, RRT; Geneviève Longtin, RRT;\nJoanne Cassidy, RRT; Amanda Bergeron,\nMSc; Jennifer Biggs, RN; Jessica Bergeron;\nand Elisabet White; Vancouver General\nHospital, Vancouver, British Columbia:\nShelley Abercromby, BSc; Jana Caine; David\nSavage; Natasha Verzosa; Ravneet Mahal; and\nMary Justine Angeles; Queen Elizabeth II\nHealth Sciences Centre, Halifax, NS: Scott\nFulton, RRT; Hôpital du Sacré Coeur de\nMontréal, Montréal, QC: Simone Chaboillez,\nMT; and Meliza Benabdallah; St. Joseph’s\nHamilton, Hamilton, ON: Liz Johnson; St.\nBoniface Hospital, Winnipeg, MB: Cheryl\nNoble, RN; Institut Universitaire de\nCardiologie et de Pneumologie de Québec-\nUniversité Laval, Québec, QC: Johane\nLepage, BSc; Joanne Milot, RN; and\nChristiane Balizet, RN; University of Calgary,\nCalgary, AB: Lisette Machado, MD; and\nCurtis Dumonceaux, BSc; University of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 2] Mean Responses to Individual Dyspnea Questions\nQuestions About Dyspnea From CAT and SGRQ\nControl Group\n(n ¼ 231)\nNormal Spirometry\nGroup (n ¼ 2,090)\nAsthma Group\n(n ¼ 265)\nCOPD Group\n(n ¼ 330)\nPRISm Group\n(n ¼ 172)\nQ1 (weight¼ 0.514) When I walk up a hill or one flight of stairs, I am\nbreathless.\nThe scale for this question ranges from 0 (when I walk\nup a hill or 1flight of stairs, I am not breathless) to 5\n(when I walk up a hill or oneflight of stairs, I am very\nbreathless).\n0.90 (1.04) 2.85 (1.46) 3.03 (1.37) 3.21 (1.30) 3.56\n(1.37)\nQ2 (weight¼ 0.436) Over the past 3 mo, I have had shortness of breath .\nThe scale for this question ranges from 0 (over the past\n3 mo, I have had shortness of breath.not at all) to 4\n(over the past 3 mo, I have had shortness ofbreath.most days a week).\n0.45 (0.89) 2.50 (1.30) 2.71 (1.18) 2.83 (1.21) 2.93\n(1.18)\nQ3: I feel breathless these days.\nSitting or lying still, % 3 16 23 14 19Getting washed or dressed, % 2 17 21 20 28Walking around at home, % 2 20 21 23 27Walking outside on the level, % 4 36 42 38 49\nClimbing up aflight of stairs, % 20 75 81 83 87\nClimbing hills, % 35 83 89 90 89Playing sports or games, % 34 78 83 81 82\nQ3 (total) (weight¼ 0.648) The scale for this question ranges from 0 to 7, based on\nthe number of positive answers for the 7 items.\n1.00 (1.25) 3.23 (1.72) 3.55 (1.63) 3.45 (1.61) 3.76\n(1.75)\nQ4 (weight¼ 0.091) I am breathless when I talk, % 2 35 43 37 39\nQ5 (weight¼ 0.095) I am breathless when I bend over, % 5 37 45 37 56\nQ6 (weight¼ 0.060) I get afraid or panic when I cannot get my breath, % 4 30 33 31 37\nBecause of my breathing.\nQ7 (weight¼ 0.037) I take a long time to get washed or dressed, % 1 8 9 10 17\nQ8 (weight¼ 0.023) I cannot take a bath or shower, or I take a long time, % 0 5 7 7 8\nQ9 (weight¼ 0.116) I walk slower than other people, or I have to stop for\nrests, %\n54 04 6 5 6 6 6\nQ10 (weight¼ 0.113) Jobs such as housework take a long time, or I have to\nstop for rests, %\n33 84 0 4 8 5 9\nQ11 (weight¼ 0.124) If I climb up one flight of stairs, I have to go slowly or\nstop, %\n54 74 4 5 7 6 7\nQ12 (weight¼ 0.127) If I hurry or walk fast, I have to stop or slow down 10 59 62 70 80\n(Continued)\nchestjournal.org 1301", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What are the criterion to be control patient in the dyspnea study ?", - "target_page": 3, - "target_passage": "Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "exposure in an array of risky occupations. These risk\nfactors, taken as a whole, accounted for 21% of the\nvariability in dyspnea.\nAfter adjustment for patient-specific risk factors in the\nfirst stage analysis, we adjusted for spirometry-defined\ndisease (PRISm, asthma, COPD, or normal\nspirometry) in Table 5. Adjustment for disease\nclassification accounted for 12% of the total variability\nof dyspnea.\nTable 6 presents the contribution of lung function\nmeasures of physiologic impairment after accounting for\npatient-related risk factors and disease classification. For\nthe PRISm disease group, a higher post-BD FEV1/FVC\nratio and a lower post-BD FEV1 % predicted value were\nassociated with greater dyspnea impact. For the COPD\ndisease group, a lower post-BD FEV1/FVC ratio was\nassociated with greater dyspnea impact. Reversibility of\nFEV1 was associated with higher dyspnea impact only in\npatients with asthma or COPD. Lung function measures\nof disease severity accounted for 2% of the variability in\ndyspnea.\nAfter adjusting for age, sex, and BMI, dyspnea was\nnegatively associated with all domains of quality of life,\nincluding physical functioning (coefficient, /C0 0.655;\nP < .001), role limitations due to physical health\n(coefficient, /C0 0.628; P < .001), general health\n(coefficient, /C0 0.382; P < .001), and total score\n(coefficient, /C0 0.473; P < .001) (Table 7).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with an increased likelihood of annual visits\nto health care providers for respiratory complaints (OR,\nTABLE 3] Intergroup Comparisons of Dyspnea Impact\nPairwise Comparison Mean Dyspnea Score (95% CI) Mean Difference (95% CI) P Value\nControl 13.8 (11.8-15.7) /C0 38.0 (/C0 41.1 to/C0 34.9) < .001\nNormal spirometry 51.8 (50.7-52.8)\nControl 13.8 (11.8-15.7) /C0 43.7 (/C0 47.6 to/C0 39.8) < .001\nCOPD 57.5 (55.1-59.9)\nControl 13.8 (11.8-15.7) /C0 42.8 (/C0 46.9 to/C0 38.7) < .001\nAsthma 56.6 (53.9-59.3)\nControl 13.8 (11.8-15.7) /C0 49.2 (/C0 53.7 to/C0 44.6) < .001\nPRISm 63.0 (59.5-66.4)\nNormal spirometry 51.8 (50.7-52.8) 5.7 (3.0 to 8.4) < .001\nCOPD 57.5 (55.1-59.9)\nNormal spirometry 51.8 (50.7-52.8) 4.8 (1.8, 7.8) .002\nAsthma 56.6 (53.9-59.3)\nNormal spirometry 51.8 (50.7-52.8) 11.2 (7.5 to 14.8) < .001\nPRISm 63.0 (59.5-66.4)\nPRISm 63.0 (59.5-66.4) 5.5 (1.1 to 9.8) .014\nCOPD 57.5 (55.1-59.9)\nPRISm 63.0 (59.5-66.4) 6.4 (1.9 to 10.9) .005\nAsthma 56.6 (53.9-59.3)\nAsthma 56.6 (53.9-59.3) 0.9 (/C0 2.8 to 4.7) .63\nCOPD 57.5 (55.1-59.9)\nPRISm ¼ preserved ratio impaired spirometry.\nDyspnea assessment \n100\n80\n60\n40\n20\nNormal\nspirometry\nAsthma COPD PRISm Healthy\ncontrol\nparticipants\n0\nFigure 2 – Box plot demonstrating dyspnea impact according to\nspirometry disease classification. The center line marks the median. The\nboxes span the interquartile range (IQR). The outer fences are set at\ndistances 1.5 /C2 IQR from the box. Outliers appear as plotted dots.\nchestjournal.org 1303", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Risk Factors Associated With Dyspnea\nPatient-related risk factors were consideredfirst, and re-\nsults of spirometry considered afterward. The spirom-\netry risk factors chosen for the second stage analysis\nincluded the spirometry-based diagnosis of the patient\n(asthma, COPD, PRISm, or normal) and lung function\nresults indicative of the severity of physiologic impair-\nment. Severity was gauged by assessing three principal\nlung function measures: (1) post-BD FEV1 % predicted,\n(2) post-BD FEV 1/FVC ratio, and (3) percentage\nreversal of FEV1 with BD.\nDyspnea Impact and Health Care Use, Quality of\nLife, and Work Productivity\nThe impact of dyspnea and its associations with health\ncare use, quality of life, and work productivity were exam-\nined. Health care utilization was assessed through self-\nreported data. Quality of life was assessed using the 36-\nItem Short Form Health Survey questionnaire, where\nhigher scores indicate better health status. Work produc-\ntivity was assessed using the Work Productivity and Activ-\nity Impairment questionnaire, where higher scores\nindicate greater impairment in work productivity and\ndaily activities.\nStatistical Analysis\nBox plots were used to compare distribution patterns of\ndyspnea impact assessments among the disease groups.\nPairwise comparison tests were conducted to evaluate\nmean dyspnea differences between groups. Multiple\nlinear regression analysis was used to measure contribu-\ntions to variability of dyspnea by selected patient-specific\nrisk factors, spirometry disease classification, and key\nlung function measures. The selected sets of risk factors\nwere evaluated using successive regression analyses.\nAnalysis of variance sums of squares from the successive\nregression analyses provided the cumulative percentage\ncontributions to variability of dyspnea. Simple, multiple,\nand logistic regression analyses were used to study asso-\nciations between dyspnea and health care utilization,\nquality of life, and work productivity outcomes. All sta-\ntistical analyses were done using STATA 16 statistical\nsoftware (StataCorp).\nResults\nFigure 1 illustrates the results of the casefinding\napproach, including the enrollment of the control group.\nAmong 5,631 potentially eligible participants, 1,359\nparticipants (24%) did not meet the threshold of$ 6\npoints on the ASQ or$ 20 points on the COPD-\nDiagnostic Questionnaire and were thus excluded,\nleaving 4,272 individuals deemed eligible for spirometry.\n38,353 individuals indicated that they had respiratory\nsymptoms and were phoned back by study personnel\n 26,905 were symptomatic\n 11,448 had no respiratory symptoms\n5,631 potentially eligible for the\ncase finding study\n1,359 did not score ≥ 6\npoints on ASQ or ≥ 20\npoints on the COPD-DQ\n2,090 (73.2%) had normal\nspirometry\n265 (9.3%) had\nundiagnosed asthma\n330 (11.5%) had\nundiagnosed COPD 172 (6.0%) had PRISM\n21,274 excluded\n8,273 Previous diagnosis of asthma\n5,363 Previous diagnosis of COPD\n190 Age < 18 years\n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary\nfibrosis, or lung cancer\n1,331 History of MI, heart problems, stroke, aortic or cerebral\naneurysm, eye surgery, or detached retina in past 3 mos.\n19 Pregnant, in the third trimester\n3,715 Under care of respirologist or using an inhaled respiratory\n1,415 did not complete spirometry\n 1,337 refused to travel to study site\n 67 participants unable to complete acceptable\n spirometry\n 11 participants deemed ineligible after consent\n4,272 potentially eligible for the\ncase finding study\n2,857 completed pre and post\nbronchodilator spirometry and\ncould be evaluated for a\ndiagnosis of asthma or COPD\n231 healthy controls with\nno respiratory symptoms\nwho scored 0 points on the\nASQ were selected and\ncompleted pre and post\nbronchodilator spirometry\nFigure 1– Study flow diagram demonstrating the casefinding and control group recruitment and allocation. ASQ¼ Asthma Screening Questionnaire;", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "5. Nishino T. Dyspnoea: underlying\nmechanisms and treatment.Br J Anaesth.\n2011;106:463-474.\n6. N e d e rJ ,B e r t o nD ,M ü l l e rP ,e ta l .\nVentilatory inef ficiency and\nexertional dyspnea in early chronic\nobstructive pulmonary disease.Ann\nAm Thorac Soc . 2017;14(suppl_1):\nS22-S29 .\n7. Gruenberger JB, Vietri J, Keininger DL,\nMahler DA. Greater dyspnea is associated\nwith lower health- related quality of life\namong European patients with COPD.Int\nJ Chron Obstruct Pulmon Dis. 2017;12:\n937-944.\n8. Preteroti M, Whitmore GA,\nVandemheen KL, et al. Population-based\ncase-finding to identify subjects with\nundiagnosed asthma or COPD.Eur Respir\nJ. 2020;55:2000024.\n9. Huynh C, Whitmore GA,\nVandemheen KL, et al. Derivation and\nvalidation of the UCAP-Q case-finding\nquestionnaire to detect undiagnosed\nasthma and COPD.Eur Respir J.\n2022;60(3):2103243.\n10. Shin B, Cole SL, Park SJ, et al. A new\nsymptom-based questionnaire for\npredicting the presence of asthma.\nJ Investig Allergol Clin Immunol. 2010;20:\n27-34.\n11. Price DB, Tinkelman DG, Nordyke RJ,\net al. Scoring system and clinical\napplication of COPD diagnostic\nquestionnaires. Chest. 2006;129:\n1531-1539.\n12. Price DB, Tinkelman DG, Halbert RJ,\net al. Symptom-based questionnaire for\nidentifying COPD in smokers.\nRespiration. 2006;73:285-295.\n13. Jones PW, Harding G, Berry P, et al.\nDevelopment and first validation of the\nCOPD Assessment Test.Eur Respir J.\n2009;34:648-654.\n14. Jones PW. Quality of life measurement for\npatients with diseases of the airways.\nThorax. 1991;46:676-682.\n15. Jones PW, Quirk FH, Baveystock CM. The\nSt George’s Respiratory Questionnaire.\nRespir Med. 1991;85:25-31.\n16. Jones PW. St George’s Respiratory\nQuestionnaire: MCID. J Chronic Obstr\nPulm Dis. 2005;2:75-79.\n17. Global Initiative for Asthma. Global\nstrategy for asthma management and\nprevention. Global Initiative for Asthma\nwebsite. Accessed July 30, 2023.https://\nginasthma.org/wp-content/uploads/2023/\n07/GINA-2023-Full-report-23_07_06-\nWMS.pdf\n18. Global Initiative for Chronic Obstructive\nLung Disease. Global strategy for the\ndiagnosis, management, and prevention of\nchronic obstructive pulmonary disease.\nGlobal Initiative for Chronic Obstructive\nLung Disease website. Accessed July 30,\n2023. https://goldcopd.org/wp-content/\nuploads/2023/03/GOLD-2023-ver-1.3-17\nFeb2023_WMV.pdf\n19. Magner KMA, Cherian M, Whitmore GA,\net al. Assessment of preserved ratio\nimpaired spirometry (PRISm) using pre\nand post bronchodilator spirometry in a\nrandomly-sampled symptomatic cohort.\nAm J Resp Crit Care Med. 2023;208(10):\n1129-1131.\n20. Hanania NA, O’Donnell DE. Activity-\nrelated dyspnea in chronic obstructive\npulmonary disease: physical and\npsychological consequences, unmet\nneeds, and future directions. Int J\nChron Obstruct Pulmon Dis . 2019;14:\n1127-1138.\n21. Reilly Associates. WPAI scoring. Reilly\nAssociates website. Accessed May 1, 2024.\nhttp://www.reillyassociates.net/wpai_\nscoring.html\n22. Carlsen HK, Haga SL, Olsson D, et al.\nBirch pollen, air pollution and their\ninteractive effects on airway symptoms\nand peak expiratoryflow in allergic\nasthma during pollen season– a panel\nstudy in Northern and Southern Sweden.\nEnviron Health. 2022;21:63.\n23. Ekström M, Johannessen A,\nAbramson MJ, et al. Breathlessness across\ngenerations: results from the RHINESSA\ngeneration study. Thorax. 2022;77(2):\n172-177.\n24. Ziegler B, Fernandes AK, Sanches PR,\nKonzen GL, Dalcin Pde T. Variability of\ndyspnea perception in healthy subjects\nassessed through inspiratory resistive\nloading. J Bras Pneumol. 2015;41(2):\n143-150.\n25. Ekström M, Bornefalk H, Sköld M, et al.\nValidation of the Swedish\nMultidimensional Dyspnea Profile (MDP)\nin outpatients with cardiorespiratory\ndisease. BMJ Open Respir Res. 2019;6:\ne000381.\n26. Yorke J, Russell AM, Swigris J, et al.\nAssessment of dyspnea in asthma:\nvalidation of The Dyspnea-12.J Asthma.\n2011;48(6):602-608.\n27. Boulet LP, Boulay ME, Cote A, et al.\nAirway inflammation and\nhyperresponsiveness in subjects with", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "outpatients with cardiorespiratory disease25 and the\nDyspnea-12 in patients with asthma26 and found that\nthe affective aspect of dyspnea can significantly influence\nthe impact of dyspnea on health status, irrespective of\nthe intensity of breathlessness.\nIn those with PRISm, there was a strong, positive\nassociation between higher values for the FEV1/FVC\nratio and dyspnea. For the PRISm group, a higher\nFEV1/FVC ratio may reflect diminished lung\ncompliance due to interstitial lung disease and/or\nrespiratory system restriction due to obesity, which\ncould contribute to worse dyspnea. Conversely, the\nassociation of dyspnea with the FEV1/FVC ratio was in\nthe opposite direction for those with asthma or COPD,\nand a lower FEV1/FVC ratio correlated with worse\ndyspnea, as expected.\nOur study complements the literature by focusing on\nadults with undiagnosed respiratory symptoms who\nwere randomly selected and recruited through active\ncase finding in the community. This increases the\ngeneralizability of our results to a broader population.\nOur dyspnea questions were derived from widely used\nand validated respiratory health questionnaires, and\nour dyspnea assessment measure is a weighted average\nof responses to these validated questions.\nConsequently, the measure has an immediate\ninterpretation in terms of the lived day-to-day\nexperience of individuals.\nOur study has limitations. We did not undertake\nreliability/reproducibility testing of our questionnaire.\nThe dyspnea impact assessment score was statistically\nassociated with increased health care utilization, lower\nquality of life, and reduced work productivity; therefore,\nby virtue of this analysis, our questionnaire has\nconstruct validity. However, further attempts at external\nvalidation of the questionnaire using an independent\ndata set would be important. Health care utilization\nduring the preceding 12 months was assessed on entry\ninto the study, and there is potential for impaired recall\nof events. Our study may have missed asthma in some\nparticipants because bronchial challenge testing was not\nconducted on those who tested negative for airflow\nobstruction or BD responsiveness. A previous study\nshowed that an additional diagnostic step incorporating\nTABLE 8] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nIn the past 12 mo, did you visit your general\npractitioner or a nurse practitioner or another\nphysician at a walk-in clinic for any breathing\nproblems?\n1.011 (1.007-1.014) < .001 1.011 (1.007-1.014) < .001\nIn the past 12 mo, did you visit an emergency\ndepartment for any breathing problems?\n1.015 (1.009-1.021) < .001 1.015 (1.009-1.022) < .001\nIn the past 12 mo, were you hospitalized for any\nbreathing problems or respiratory illness?\n1.021 (1.006-1.037) .006 1.023 (1.007-1.039) .005\nData are presented as OR (95% CI) withP values. Adjusted values are adjusted for age, sex, and BMI.\nTABLE 9] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI)\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nAre you currently employed\n(working for pay)?\n0.995 (0.992-0.998) .002 0.993 (0.990-0.997) < .001\nMeasurea\nDyspnea Coefficient\n(95% CI) P Value\nDyspnea Coefficient\n(95% CI) P Value\nAbsenteeism 0.061 (0.040-0.083) <.001 0.066 (0.044-0.089) < .001\nPresenteeism 0.334 (0.293-0.375) <.001 0.349 (0.306-0.392) < .001\nWork productivity loss 0.368 (0.323-0.413) <.001 0.383 (0.336-0.430) < .001\nActivity impairment 0.503 (0.463-0.544) <.001 0.501 (0.458-0.544) < .001\nORs and regression coefficients are presented with 95% CIs andP values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI¼ Work Pro-\nductivity and Activity Impairment questionnaire.\naMeasures calculated from WPAI questions.21\n1306 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Approximately 65% of the variability in dyspnea\nremained unexplained by the factors examined in our\nstudy. Most individuals in our study showed normal\nspirometry results but still carried a substantial\nburden of dyspnea, an inconsistency that needs\nexplanation. Several factors not included in our\nanalysis may have contributed to the unexplained\nvariation. Environmental factors (eg, air pollution,\nallergen exposure, seasonal variations in symptoms)\nare potential contributors to this unexplained\nvariability. 22 Genetic predispositions could also play a\nsignificant role, as suggested by a study that revealed\nthat parents with dyspnea were 1.8 times more likely\nto have offspring with dyspnea.23 Additionally, fitness\ncould be a contributing factor, especially in\nindividuals with undiagnosed PRISm, asthma, or\nCOPD who may restrict their activities to avoid\ndyspnea, and hence become deconditioned.6\nThere were significant but modest differences in mean\ndyspnea levels across the 17 study sites (data not\nshown), which are not explained by the risk factors we\naccounted for in our study. Thisfinding is not surprising\nbecause some of the potential contributing factors\npreviously mentioned and other site-specific factors\n(eg, climate, air quality/industrialization, socioeconomic\nstatus) of the catchment population tend to vary across\nstudy sites.\nDyspnea is a complex, subjective symptom that is\nmodified by nonrespiratory factors including\npsychosocial, social, and environmental influences.5\nInterindividual variability in the perception of dyspnea,\ninfluenced by these nonrespiratory factors, may play an\nimportant role. A study conducted by Ziegler et al24\nassessed the perception of dyspnea in 42 healthy\nindividuals using a standardized inspiratory resistive\nloading stimulus. The study used the modified Borg\nscale to measure dyspnea perception levels. Among the\nparticipants subjected to the same inspiratory resistive\nload, 31%, 45%, and 24% of participants classified their\nlevel of dyspnea as low, intermediate, and high,\nrespectively. The study revealed that differences between\nindividuals contribute considerable variability to the\nperception of dyspnea, even among healthy participants.\nThe affective dimension of dyspnea can be captured\nusing additional questionnaires (eg, Multidimensional\nDyspnea Profile, Dyspnea-12). Studies have explored the\nuse of the Multidimensional Dyspnea Profile in\nTABLE 6] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\nDisease Group Reversibility of FEV 1, % Post-BD FEV 1/FVC Ratio Post-BD FEV 1 % predicted Overall P Value\nControl /C0 0.163 (P ¼ .47) /C0 0.274 (P [ .05) /C0 0.090 (P ¼ .17) .096\nNormal spirometry 0.186 ( P ¼ .16) 0.240 (P [ .005) /C0 0.131 (P < .001) < .001\nAsthma 0.545 (P [ .01) 0.107 (P ¼ .58) /C0 0.158 (P ¼ .08) .009\nCOPD 0.392 (P [ .002) /C0 0.307 (P [ .05) /C0 0.075 (P ¼ .37) < .001\nPRISm /C0 0.290 (P ¼ .39) 0.854 (P [ .002) /C0 0.650 (P [ .004) < .001\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry\ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio\nimpaired spirometry.\nTABLE 7] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)\nMeasure\nUnadjusted Adjusted\nDyspnea Coefficient (95% CI) P Value Dyspnea Coef ficient (95% CI) P Value\nPhysical functioning /C0 0.693 (/C0 0.718 to/C0 0.668) < .001 /C0 0.655 (/C0 0.680 to/C0 0.630) < .001\nPhysical health limitations /C0 0.634 (/C0 0.666 to/C0 0.603) < .001 /C0 0.628 (/C0 0.661 to/C0 0.595) < .001\nEmotional problems /C0 0.403 (/C0 0.438 to/C0 0.369) < .001 /C0 0.407 (/C0 0.443 to/C0 0.370) < .001\nEnergy/fatigue /C0 0.454 (/C0 0.479 to/C0 0.428) < .001 /C0 0.452 (/C0 0.479 to/C0 0.425) < .001\nEmotional well-being /C0 0.230 (/C0 0.256 to/C0 0.204) < .001 /C0 0.239 (/C0 0.266 to/C0 0.213) < .001", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Research Council breathlessness scale.20 Fifteen questions\nwere taken from the CAT and SGRQ questionnaires that\nreferred to individuals’ experiences with dyspnea, and a\ncomposite measure of dyspnea impact using a weighted\nsum of the responses to the 15 questions was constructed.\nQuestions were coded so that larger values indicate more\nimpactful dyspnea. Weights used for question responses\nin calculating the dyspnea impact assessment measure\nwere those of thefirst component of a principal compo-\nnent analysis (PCA) based on the covariance matrix of\nquestion responses. Questions with multiple responses\nand ordinal structure are individually more informative\nand thus were accorded higher weight than individual\ntrue-false questions. No additional PCA component was\nanticipated a priori to be material for our investigation,\nand an eigenvalue analysis of the PCA was conducted to\nverify this assumption.\nThe composite dyspnea impact measure was scaled so its\nminimum value was 0 if the response to each of the 15\nquestions was 0, and the maximum value was scaled to\n100 if the individual responses for all 15 questions rep-\nresented the most severe dyspnea response.\n1298 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a casefinding strategy\nidentified asthma in 26% of symptomatic individuals\nwho had normal spirometry and no response to BD.27\nIndividuals with undiagnosed respiratory symptoms,\ndetermined to have asthma or COPD through\nspirometry, experience poor health status.28 Therefore,\nthe implementation of known treatment approaches for\nasthma or COPD is important to improve their\nconditions.29 In contrast, those with normal spirometry\nor PRISm face unclear treatment approaches. Long-\nacting BD therapy in symptomatic individuals with\ntobacco exposure with normal spirometry is not\neffective.30 Weight management programs may be useful\nfor individuals who are obese with PRISm-related\ndyspnea; however, this awaits definitive clinical trials.31\nDyspnea was severe and prevalent within our study\ngroup; however, it remained undiagnosed. A study\nconducted by Stefan et al32 revealed that physicians\nunderestimated their patients’ dyspnea 37.9% of the\ntime, whereas nurses underestimated it 3.5% of the time.\nMoreover, many patients limit their physical activities,\nwhich lead them to downplay the extent of their\ndyspnea.19 Patient underreporting of symptoms, coupled\nwith inadequate physician-led investigations of\nsymptoms, may explain why dyspnea often goes\nundiagnosed in the population.33\nIn conclusion, our study measured dyspnea impact in\nindividuals with no preexisting diagnosis of lung disease\nwho reported respiratory symptoms as part of a\npurposeful casefinding strategy. Individuals with PRISm\nexhibited the greatest impact of dyspnea, even higher\nthan those newly diagnosed with asthma or COPD.\nAfter adjusting for patient factors, comorbidities,\npulmonary diseases, and severity of lung physiologic\nimpairment, most of the variability in dyspnea remained\nunexplained. We also showed that dyspnea was\nassociated with increased health care utilization,\nimpaired quality of life, and work productivity.\nFunding/Support\nThis study is supported by the Canadian Institutes of\nHealth Research [FDN Grant 154322].\nFinancial/Nonfinancial Disclosures\nNone declared.\nAcknowledgments\nAuthor contributions:S. D. A. and G. A. W.\ncontributed to conception and design. J. B., E.\nG., G. A. W., K. L. V., and S. D. A.\ncontributed to analysis and interpretation. J.\nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C.\nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A.\nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L.,\nT. A., N. E., G. G. A., and S. M. contributed to\ndrafting the manuscript for important\nintellectual content. All authors had access to\nand participated in the interpretation of the\ndata and provided input into the preparation\nand submission of the manuscript. The\nauthors vouch for the accuracy and\ncompleteness of the data.\nRole of sponsors:The sponsor had no role in\nthe design of the study, the collection and\nanalysis of the data, or the preparation of the\nmanuscript.\nOther contributions: We thank the\nfollowing individuals from the Canadian\nstudy sites: Ottawa Hospital Research\nInstitute, Ottawa, Ontario: Taylor Poulin;\nSusan Deveau, RRT; Victoria Thompson;\nMeredith McCleery; Angelina Tohme; Vicky\nPanteleakos, RRT; Geneviève Longtin, RRT;\nJoanne Cassidy, RRT; Amanda Bergeron,\nMSc; Jennifer Biggs, RN; Jessica Bergeron;\nand Elisabet White; Vancouver General\nHospital, Vancouver, British Columbia:\nShelley Abercromby, BSc; Jana Caine; David\nSavage; Natasha Verzosa; Ravneet Mahal; and\nMary Justine Angeles; Queen Elizabeth II\nHealth Sciences Centre, Halifax, NS: Scott\nFulton, RRT; Hôpital du Sacré Coeur de\nMontréal, Montréal, QC: Simone Chaboillez,\nMT; and Meliza Benabdallah; St. Joseph’s\nHamilton, Hamilton, ON: Liz Johnson; St.\nBoniface Hospital, Winnipeg, MB: Cheryl\nNoble, RN; Institut Universitaire de\nCardiologie et de Pneumologie de Québec-\nUniversité Laval, Québec, QC: Johane\nLepage, BSc; Joanne Milot, RN; and\nChristiane Balizet, RN; University of Calgary,\nCalgary, AB: Lisette Machado, MD; and\nCurtis Dumonceaux, BSc; University of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 1] Descriptive Characteristics and Demographics of the Study Group\nDescriptive Characteristic\nControl Group\n(n ¼ 231)\nNormal Spirometry Group\n(n ¼ 2,090)\nAsthma Group\n(n ¼ 265)\nCOPD Group\n(n ¼ 330)\nPRISm Group\n(n ¼ 172)\nAge, y 61.5 (14.6) 59.2 (15.3) 58.7 (16.0) 66.1 (11.3) 60.9 (14.4)\nFemale, No. (%) 98 (42) 1082 (52) 116 (44) 121 (37) 86 (50)\nIncome, No. (%)\n< CAD $30,000 10 (4.5) 209 (10) 18 (7) 51 (15) 34 (20)\n$ CAD $30,000 211 (91) 1522 (73) 204 (77) 213 (65) 106 (62)\nIncome not reported 10 (4.5) 359 (17) 43 (16) 66 (20) 32 (18)\nBMI, kg/m2 28.35 (5.39) 30.50 (6.60) 30.65 (7.03) 28.57 (5.86) 34.66 (8.80)\nBMI, No. (%)\nNot overweight 68 (29) 422 (20) 60 (23) 98 (30) 20 (12)\nOverweight 86 (37) 675 (32) 72 (27) 127 (38) 37 (21)\nObese 71 (31) 812 (39) 104 (39) 91 (28) 77 (45)\nMorbidly obese 6 (3) 181 (9) 29 (11) 14 (4) 38 (22)\nPrebronchodilator\nspirometry\nFEV1, L 2.98 (0.76) 2.89 (0.81) 2.53 (0.78) 2.01 (0.71) 2.06 (0.56)\nFEV1, % predicted 102.5 (15.0) 99.6 (14.0) 83.7 (13.6) 70.3 (17.0) 70.7 (7.7)\nFEV1/FVC 0.74 (0.07) 0.76 (0.06) 0.69 (0.07) 0.58 (0.08) 0.77 (0.06)\nPost-bronchodilator\nspirometry\nFEV1, L 3.01 (0.8) 2.98 (0.84) 2.89 (0.86) 2.16 (0.71) 2.09 (0.57)\nFEV1 % predicted 105.9 (14.6) 102.6 (14.0) 95.6 (14.4) 75.5 (16.0) 71.6 (7.3)\nFEV1/FVC 0.77 (0.07) 0.79 (0.06) 0.74 (0.06) 0.60 (0.09) 0.78 (0.06)\nChange in FEV1\npostbronchodilator, %\n3.4 (4.7) 3.0 (3.7) 11.9 (3.9) 5.0 (5.4) 0.9 (3.9)\nComorbidities, No. (%)\nCongestive heart failure 1 (0.4) 22 (1) 5 (2) 10 (3) 9 (5)\nCoronary artery disease 24 (10) 180 (9) 24 (9) 64 (19) 31 (18)\nDepression/anxiety 70 (30) 836 (40) 106 (40) 99 (30) 54 (31)\nDiabetes mellitus 23 (10) 261 (12) 33 (12) 42 (13) 45 (26)\nHypertension 66 (29) 704 (34) 94 (35) 122 (37) 86 (50)\nAnemia 31 (13) 351 (17) 44 (17) 42 (13) 23 (13)\nCancer 23 (10) 222 (11) 25 (9) 51 (15) 13 (8)\nGERD 55 (24) 735 (35) 89 (34) 98 (30) 63 (37)\nLiver disease 6 (3) 89 (4) 12 (5) 14 (4) 9 (5)\nRenal disease 10 (4) 85 (4) 9 (3) 20 (6) 10 (6)\nStroke 5 (2) 72 (3) 5 (2) 15 (5) 11 (6)\nSmoking status, No. (%)\nDoes not smoke 149 (65) 912 (44) 104 (39) 44 (13) 72 (42)\nPrevious tobacco use 77 (33) 839 (40) 118 (45) 158 (48) 68 (40)\nActive tobacco use 4 (2) 324 (16) 41 (16) 128 (39) 29 (17)\nTotal pack-y 5.6 (11.8) 10.7 (16.5) 12.7 (17.9) 32.7 (27.2) 13.3 (19.6)\nTotal months of\noccupational\nexposurea\n36.5 (112.5) 74.7 (193.1) 101.1 (278.9) 119.5 (262.4) 99.3 (263.2)\nData are presented as mean (SD) unless otherwise stated. GERD¼ gastroesophageal reflux disease; PRISm¼ preserved ratio impaired spirometry.\naOccupational exposure includes hard-rock mining, coal mining, sandblasting, working with asbestos, chemical/plastics manufacturing,flour/feed/grain\nmilling, cotton/jute processing, foundry/steel milling, welding,fire fighting, farming, forestry, saw-milling, and working with paint/chemicals/fumes.\n1300 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Dyspnea refers to a subjective sensation of breathing\ndiscomfort.1 In a study involving a community-based\npopulation aged > 70 years, the prevalence of dyspnea\nwas found to be 32%.2 Dyspnea can lead to limitations in\ndaily activities, reduced exercise tolerance, and\nheightened mortality risks.3\nDyspnea not only affects individuals with diagnosed\nrespiratory conditions but also poses a significant\nburden on those with undiagnosed conditions. In a\nsystematic review by Müller et al,4 the combined\nprevalence of dyspnea in the adult general population\nacross 11 studies was estimated to be 10%. Dyspnea can\narise from a broad spectrum of underlying factors,\nincluding both respiratory and nonrespiratory\nconditions. Studies have revealed that dyspnea is not\nsolely attributable to respiratory conditions but is also\nheavily influenced by cardiovascular deconditioning and\nby nonrespiratory factors, including psychosocial, social,\nand environmental determinants.5,6\nDyspnea is a prevalent symptom with consequences that\nextend beyond its physiologic implications. A study in\nEuropean patients with COPD explored the burden of\ndyspnea and identified potential correlates. The study\nrevealed that higher dyspnea impact correlated with\nlower health-related quality of life, increased work\nimpairment, and a higher frequency of emergency\ndepartment visits.7\nThe three objectives of our study were as follows: (1) to\nevaluate the impact of dyspnea in adults from the\ngeneral population who had no prior diagnosis of\nrespiratory disease but who reported having significant\nrespiratory symptoms in the past 6 months; (2) to\nidentify associated risk factors for dyspnea and estimate\ntheir influence on the symptom; and (3) to explore the\nrelationship between dyspnea and health care utilization,\nquality of life, and work productivity in adults with\nundiagnosed respiratory symptoms.\nStudy Design and Methods\nRecruitment of Undiagnosed Cases and Healthy\nControl Patients\nBetween June 2017 and January 2023, adults aged$ 18\nyears were recruited through a two-step process into the\nUndiagnosed COPD and Asthma Population (UCAP)\nstudy, a multicenter casefinding study. Approval for\nthe study was obtained from the research ethics boards\nof the 17 participating study sites across Canada.\nInformed, written consent was provided by all study\nparticipants.\nBoth landlines and cellphones within a 90-minute radius\nof any of the 17 study sites were dialed randomly. A\nTake-home Points\nStudy Question: How profoundly are adults with\nundiagnosed respiratory symptoms affected by\ndyspnea?\nResults: In community-based adults with undiag-\nnosed respiratory symptoms, those identified with\npreserved ratio impaired spirometry experienced the\ngreatest impact of dyspnea, followed by those with\nundiagnosed asthma or COPD. Greater dyspnea\nimpact was associated with increased health care\nutilization, lower quality of life, and reduced work\nproductivity.\nInterpretation: Dyspnea imposes burdens on the\nhealth care system and is associated with impaired\nquality of life and work productivity.\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD =\nbronchodilator; CAT = COPD Assessment Test; PCA = principal\ncomponent analysis; PRISm = preserved ratio impaired spirometry;\nSGRQ = St. George’s Respiratory Questionnaire\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E.\nG., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa,\nOttawa, ON; the Desautels Faculty of Management (G. A. W.), McGill\nUniversity, Montreal, QC; the Department of Medicine (C. B.), The\nUniversity of British Columbia, Vancouver, BC; the Centre de\nrecherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumo-\nlogie de Québec, Université Laval, Quebec, QC; the Cumming School\nof Medicine (S. K. F.), University of Calgary, Calgary, AB; the\nDepartment of Medicine (E. P.), University of Saskatchewan, Regina,\nSK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "1.011; P < .001 for general practitioner visits; OR, 1.015;\nP < .001 for emergency department visits; and OR,\n1.023, P ¼ .005 for hospitalization for respiratory illness)\n(Table 8).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with a reduced likelihood of current\nemployment (OR, 0.993;P < .001), increased\nabsenteeism (coefficient, 0.066; P < .001), increased\npresenteeism (coefficient, 0.349; P < .001), higher work\nproductivity loss (coefficient, 0.383; P < .001), and\ngreater activity impairment (coefficient, 0.501;P < .001),\nas measured by the Work Productivity and Activity\nImpairment questionnaire21 (Table 9).\nDiscussion\nOur study explored dyspnea in community-based adults\nwith undiagnosed respiratory symptoms identified via\ncase finding. Surprisingly, we found that the dyspnea\nexperienced by those with PRISm had a greater impact\non their activities and health status than those with\nnewly diagnosed COPD or asthma.\nThe prevalence of individuals who were obese and\nmorbidly obese in the PRISm group partially explains\nthe between-group difference in dyspnea. The excess\ndyspnea seen in the PRISm group when compared with\nthe normal spirometry group is partly explained by\npatient-specific risk factors, including BMI, which\nshrink the mean dyspnea differential between the groups\nfrom 11.2 to 5.5 points (Tables 3-6). The remaining 5.5-\npoint difference indicates that PRISm patients have\nexcess dyspnea relative to symptomatic individuals with\nnormal spirometry for additional reasons other than\nobesity.\nTABLE 4] Sequential Regression Analyses of Risk Factors Contributing to Variability in Dyspnea: Dyspnea\nRegressed on Patient-Specific Risk Factors (20.6% of Variability Explained)\nRisk Factor Regression Coef ficient P Value\nAge /C0 0.0909 .005\nFemale 8.217 < .001\nBMI 0.899 < .001\nHousehold income< CAD $30,000 1.420 .40\nHousehold income$ CAD $30,000 /C0 2.149 .07\nSmoking history, pack-y 0.144 < .001\nSmoking exposure 5.123 < .001\nOccupational exposure 0.00975 < .001\nCongestive heart failure 10.119 .004\nCoronary artery disease 4.813 .001\nDepression/anxiety 6.892 < .001\nDiabetes mellitus 1.627 .22\nHypertension 3.433 < .001\nAnemia 1.738 .15\nCancer 0.952 .49\nGERD 4.663 < .001\nLiver disease 1.081 .61\nRenal disease 2.073 .32\nStroke 8.463 < .001\nBoldface indicates statitistical significance. GERD¼ gastroesophageal reflux disease.\nTABLE 5] Dyspnea Regressed on Spirometry Disease\nGroup\nDisease Group Regression Coef ficient P Value\nControl /C0 31.2 < .001\nNormal spirometrya NA NA\nAsthma 4.6 .001\nCOPD 3.8 .003\nPRISm 5.5 .001\nConstant 51.9 NA\nDyspnea regressed on spirometry disease group, after removing contri-\nbutions from subject-speci fic factors in Table 4 (12.4% of variability\nexplained). Boldface indicates statitistical significance. NA ¼ not appli-\ncable; PRISm ¼ preserved ratio impaired spirometry.\naNormal spirometry group is the reference category.\n1304 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "What is the revenue of Republic Services in 2002 ?", - "target_page": 2, - "target_passage": " $ 2,365.1", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nYears Ended December 31,\n2004 2003 2002\nWeighted-average fair value of the Company's stock options,\nrestricted stock and stock units granted during the period ÏÏÏ $ 9.33 $ 7.64 $ 7.47\nAssumptions Ì\nRisk-free interest ratesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.6% 3.2% 2.7%\nExpected livesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 5 years 5 years 5 years\nExpected volatility ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 30.0% 40.0% 40.0%\nDividend yieldÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .9% Ì Ì\nRevenue Recognition and Deferred Revenue\nThe Company generally provides services under contracts with municipalities or individual customers.\nRevenue consists primarily of collection fees from commercial, industrial, residential and municipal customers\nand transfer and landÑll disposal fees charged to third parties. Advance billings are recorded as deferred\nrevenue, and the revenue is then recognized over the period services are provided. Collection, transfer and\ndisposal, and other services accounted for approximately 74.3%, 18.9% and 6.8%, respectively, of consolidated\nrevenue for the year ended December 31, 2004. No one customer has individually accounted for more than\n10% of the Company's consolidated revenues or of the Company's reportable segment revenue in any of the\npast three years.\nThe Company recognizes revenue when all four of the following criteria are met:\n‚ Persuasive evidence of an arrangement exists such as a service agreement with a municipality, a\nhauling customer or a disposal customer,\n‚ Services have been performed such as the collection and hauling of waste or the disposal of waste at a\nCompany-owned disposal facility,\n‚ The price of the services provided to the customer are Ñxed or determinable, and\n‚ Collectability is reasonably assured.\nOther Charges\nDuring the fourth quarter of 2002, the Company recorded a $5.6 million gain on the sale of certain assets\nfor amounts exceeding estimates originally made and recorded as other charges during the fourth quarter of\n2001.\nIncome Taxes\nThe Company accounts for income taxes in accordance with Statement of Financial Accounting\nStandards No. 109, \"\"Accounting for Income Taxes.'' Accordingly, deferred income taxes have been provided\nto show the eÅect of temporary diÅerences between the recognition of revenue and expenses for Ñnancial and\nincome tax reporting purposes and between the tax basis of assets and liabilities and their reported amounts in\nthe Ñnancial statements.\nComprehensive Income\nDuring the year ended December 31, 2002, the Company recorded an unrealized gain of $2.8 million\n($1.7 million, net of tax) relating to the change in fair value of its fuel hedge option agreements in accordance\nwith Statement of Financial Accounting Standards No. 133, \"\"Accounting for Derivative Instruments and\n64", - "page_start": 71, - "page_end": 71, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nDepreciation,\nAmortization,\nGross Intercompany Net Depletion and Operating Capital Total\n2003 Revenue Revenue(b) Revenue Accretion(c) Income Expenditures(d) Assets\nEastern Region ÏÏÏÏÏÏÏÏÏ $ 600.2 $ (93.0) $ 507.2 $ 36.4 $ 71.3 $ 40.7 $ 826.9\nCentral Region ÏÏÏÏÏÏÏÏÏ 671.7 (151.6) 520.1 74.0 106.6 75.7 960.5\nSouthern RegionÏÏÏÏÏÏÏÏ 680.3 (76.9) 603.4 62.8 107.5 69.9 865.6\nSouthwestern Region ÏÏÏÏ 332.6 (31.2) 301.4 28.7 50.2 28.9 409.4\nWestern Region ÏÏÏÏÏÏÏÏ 729.4 (143.9) 585.5 46.2 148.8 51.4 813.2\nCorporate Entities(a)ÏÏÏÏ .2 Ì .2 3.7 (71.7) 6.6 678.5\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 $(496.6) $2,517.8 $251.8 $412.7 $273.2 $4,554.1\nDepreciation,\nAmortization, Other\nGross Intercompany Net and Charges Operating Capital Total\n2002 Revenue Revenue(b) Revenue Depletion(c) (Income) Income Expenditures(d) Assets\nEastern Region ÏÏÏÏÏÏÏÏ $ 564.1 $ (79.7) $ 484.4 $ 32.0 $(4.1) $ 87.0 $ 39.2 $ 822.2\nCentral Region ÏÏÏÏÏÏÏÏ 589.6 (120.2) 469.4 53.6 (1.5) 105.3 77.1 950.9\nSouthern RegionÏÏÏÏÏÏÏ 643.1 (65.5) 577.6 52.7 Ì 118.3 58.0 830.7\nSouthwestern Region ÏÏÏ 311.8 (29.1) 282.7 22.8 Ì 41.9 30.6 374.6\nWestern Region ÏÏÏÏÏÏÏ 690.0 (139.1) 550.9 41.3 Ì 145.5 47.3 826.7\nCorporate Entities(a)ÏÏÏ .2 (.1) .1 (2.8) Ì (38.5) 6.4 404.0\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,798.8 $(433.7) $2,365.1 $199.6 $(5.6) $459.5 $258.6 $4,209.1\n(a) Corporate functions include legal, tax, treasury, information technology, risk management, human\nresources, national accounts and other typical administrative functions. The increase in operating income\nfor Corporate Entities from 2003 to 2004 is due primarily to higher self-insurance expense recorded\nduring 2003.\n(b) Intercompany operating revenue reÖects transactions within and between segments and are generally\nmade on a basis intended to reÖect the market value of such services.\n(c) EÅective January 1, 2003, the Company adopted SFAS 143. (See Note 1, Basis of Presentation, for\nfurther information.)\n(d) Capital expenditures for 2002 exclude $72.6 million used to purchase equipment consisting primarily of\nrevenue-producing vehicles originally placed into service pursuant to an operating lease.\nGoodwill is the cost of acquired businesses in excess of the fair value of net assets acquired. The activity\nin goodwill, net of accumulated amortization, during 2004 and 2003 is as follows:\nBalance as of Balance as of\nDecember 31, December 31,\n2003 Acquisitions Transfers 2004\nEastern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 435.9 $ 2.6 $(2.1) $ 436.4\nCentral Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 350.5 10.7 (3.6) 357.6\nSouthern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 325.8 2.0 (1.3) 326.5\nSouthwestern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 135.0 .2 (1.6) 133.6\nWestern RegionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 310.9 (2.3) Ì 308.6\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,558.1 $13.2 $(8.6) $1,562.7\n81", - "page_start": 88, - "page_end": 88, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nCumulative EÅect\nBalance as of of Changes in Balance as of\nDecember 31, Accounting December 31,\n2002 Acquisitions Divestitures Principles 2003\nEastern Region ÏÏÏÏÏÏÏÏ $ 429.0 $ 7.2 $(.3) $ Ì $ 435.9\nCentral Region ÏÏÏÏÏÏÏÏ 343.0 7.5 Ì Ì 350.5\nSouthern Region ÏÏÏÏÏÏÏ 323.2 2.6 �� Ì 325.8\nSouthwestern Region ÏÏÏ 134.7 .3 Ì Ì 135.0\nWestern RegionÏÏÏÏÏÏÏÏ 314.3 3.6 Ì (7.0) 310.9\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,544.2 $21.2 $(.3) $(7.0) $1,558.1\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as\nfollows:\nYears Ended December 31,\n2004 2003 2002\nCollection:\nResidential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 655.2 $ 601.2 $ 530.7\nCommercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 737.9 706.0 696.7\nIndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 558.1 523.0 501.6\nOtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 62.2 50.9 50.8\nTotal collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 2,013.4 1,881.1 1,779.8\nTransfer and disposalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,031.0 967.5 854.1\nLess: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (519.8) (493.7) (428.5)\nTransfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 511.2 473.8 425.6\nOtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 183.5 162.9 159.7\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,708.1 $2,517.8 $2,365.1\n11. FUEL HEDGE\nDuring June 2001, the Company entered into option agreements for approximately 14.3 million gallons of\nheating oil. Under SFAS 133, the options qualiÑed for and were designated as eÅective hedges of changes in\nthe prices of forecasted diesel fuel purchases. These option agreements settled each month in equal notional\namounts through December 2002. The option agreements were structured as zero-cost collars indexed to the\nprice of heating oil. These option agreements expired in December 2002. In accordance with SFAS 133,\n$1.6 million representing the eÅective portion of the change in fair value for the year ended December 31,\n2002, net of tax, has been recorded in stockholders' equity as a component of accumulated other comprehen-\nsive income. The ineÅective portion of the change in fair value was a gain of approximately $.1 million for the\nyear ended December 31, 2002, and has been included in other income (expense), net in the accompanying\nConsolidated Statements of Income. Realized losses of $.8 million related to these option agreements are\nincluded in cost of operations in the Company's Consolidated Statements of Income for the year ended\nDecember 31, 2002.\n82", - "page_start": 89, - "page_end": 89, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nCONSOLIDATED STATEMENTS OF INCOME\n(in millions, except earnings per share data)\nYears Ended December 31,\n2004 2003 2002\nREVENUE ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 2,708.1 $2,517.8 $2,365.1\nEXPENSES:\nCost of operationsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,714.4 1,605.4 1,472.9\nDepreciation, amortization and depletionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 259.4 239.1 199.6\nAccretion ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 13.7 12.7 Ì\nSelling, general and administrative ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 268.3 247.9 238.7\nOther charges (income)ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Ì Ì (5.6)\nOPERATING INCOME ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 452.3 412.7 459.5\nINTEREST EXPENSE ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (76.7) (78.0) (77.0)\nINTEREST INCOME ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 6.9 9.5 4.3\nOTHER INCOME (EXPENSE), NET ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1.2 3.2 (.3)\nINCOME BEFORE INCOME TAXES ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 383.7 347.4 386.5\nPROVISION FOR INCOME TAXES ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 145.8 132.0 146.9\nINCOME BEFORE CUMULATIVE EFFECT OF CHANGES IN\nACCOUNTING PRINCIPLES ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 237.9 215.4 239.6\nCUMULATIVE EFFECT OF CHANGES IN ACCOUNTING\nPRINCIPLES, NET OF TAXÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Ì (37.8) Ì\nNET INCOME ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 237.9 $ 177.6 $ 239.6\nBASIC EARNINGS PER SHARE:\nBefore cumulative eÅect of changes in accounting principles ÏÏÏÏÏÏÏÏ $ 1.56 $ 1.34 $ 1.45\nCumulative eÅect of changes in accounting principles, net of tax ÏÏ��Ï Ì (.23) Ì\nBasic earnings per shareÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 1.56 $ 1.11 $ 1.45\nWeighted average common shares outstanding ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 152.8 160.3 165.4\nDILUTED EARNINGS PER SHARE:\nBefore cumulative eÅect of changes in accounting principles ÏÏÏÏÏÏÏÏ $ 1.53 $ 1.33 $ 1.44\nCumulative eÅect of changes in accounting principles, net of tax ÏÏÏÏ Ì (.23) Ì\nDiluted earnings per share ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 1.53 $ 1.10 $ 1.44\nWeighted average common and common equivalent shares\noutstandingÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 155.3 162.1 166.7\nCASH DIVIDENDS PER COMMON SHARE ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ .36 $ .12 $ Ì\nPRO FORMA AMOUNTS ASSUMING THE CHANGES IN\nACCOUNTING PRINCIPLES ARE APPLIED\nRETROACTIVELY:\nNet income ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 237.9 $ 215.4 $ 237.2\nBasic earnings per shareÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 1.56 $ 1.34 $ 1.43\nDiluted earnings per share ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 1.53 $ 1.33 $ 1.42\nThe accompanying notes are an integral part of these statements.\n54", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC.\nVALUATION AND QUALIFYING ACCOUNTS AND RESERVES\nSCHEDULE II\n(in millions)\nBalance at Additions Accounts Balance at\nBeginning Charged to Written End\nof Year Income OÅ Other(1) of Year\nCLASSIFICATIONS\nAllowance for doubtful accounts:\n2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $19.0 $ 8.0 $ (9.0) $ Ì $18.0\n2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 19.0 10.4 (10.4) Ì 19.0\n2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 19.0 11.2 (11.4) .2 19.0\n(1) Allowance of acquired and divested businesses, net.\n94", - "page_start": 101, - "page_end": 101, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "2004 2003 2002 2001 2000\nRevenue $ 2,708.1 $ 2,517.8 $ 2,365.1 $ 2,257.5 $ 2,103.3\nOperating income 452.3 412.7 459.5 283.5 434.0\nDepreciation, amortization, depletion and accretion 273.1 251.8 199.6 215.4 197.4\nIncome before cumulative effect of changes\nin accounting principles 237.9 215.4 239.6 125.5 221.0\nDiluted earnings per share before cumulative effect\nof changes in accounting principles 1.53 1.33 1.44 0.73 1.26\nCash flow provided by operating activities 666.3 600.5 569.7 459.2 461.8\nFree cash flow* 388.2 336.4 325.7 218.6 266.4\nTotal assets 4,464.6 4,554.1 4,209.1 3,856.3 3,561.5\nTotal stockholders’ equity 1,872.5 1,904.5 1,881.1 1,755.9 1,674.9\ndollar amounts in millions except per-share data\n00 01 02 03 04\nREVENUE\nIn Billions of Dollars\n00 01 02 03 04\nINCOME BEFORE CUMULATIVE EFFECT\nOF CHANGES IN ACCOUNTING PRINCIPLES\nIn Millions of Dollars\n00 01 02 03 04\nFREE CASH FLOW\nIn Millions of Dollars\n00 01 02 03 04\nTOTAL ASSETS\nIn Billions of Dollars\n00 01 02 03 04\nSTOCKHOLDERS’ EQUITY\nIn Billions of Dollars\nDILUTED EARNINGS PER SHARE BEFORE\nCUMULATIVE EFFECT OF CHANGES IN\nACCOUNTING PRINCIPLES\nIn Dollars\n2.1\n2.3\n2.4\n2.5\n2.7\n215.4\n237.9\n221.0\n125.5\n239.6\n336.4\n388.2\n266.4\n218.6\n325.7\n3.6\n3.9\n4.2\n4.6\n4.5\n1.7\n1.8\n1.9\n1.9\n1.9\n1.26\n0.73\n1.44\n1.33\n1.53\n00 01 02 03 04\nCorporate Office Stockholder Relations & Inquiries Independent Certified Common Stock T ransfer &\nRepublic Services, Inc. Investor Relations Public Accountants Agent Registrar\n110 SE 6th Street, Suite 2800 Republic Services, Inc. Ernst & Young LLP Wachovia Bank, NA\nFort Lauderdale, Florida 33301 110 SE 6th Street, Suite 2800 First Fort Lauderdale Place 1525 West W.T. Harris Boulevard\nPhone: (954) 769-2400 Fort Lauderdale, Florida 33301 100 NE 3rd Avenue, Suite 700 Charlotte, North Carolina 28288-1153\nwww.republicservices.com Phone: (954) 769-3616 Fort Lauderdale, Florida 33301 Phone: (800) 829-8432\nNotice of Annual Meeting\nThe Annual Meeting of Stockholders of Republic Services, Inc. will be held at 10:30 a.m., May 12, 2005,\nat 110 SE 6th Street, 7th Floor Atrium, Fort Lauderdale, Florida 33301\n*Free cash flow consists of cash provided by operating activities less purchases of property and equipment plus proceeds from t he sale of property and equipment.\nFinancial Highlights\nANNUAL REPORT 2004\nCorporate Headquarters\n110 SE 6th Street, 28th Floor, Fort Lauderdale, Florida 33301\nPhone: (954) 769-2400 • Fax: (954) 769-2664 • www.republicservices.com\n©2005, RITM, LLC\nRepublic Services and Republic Services, Inc. names and logos are service marks of RITM, LLC\nRepublic Services, Inc. • 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "2004 2003 2002 2001 2000\nRevenue $ 2,708.1 $ 2,517.8 $ 2,365.1 $ 2,257.5 $ 2,103.3\nOperating income 452.3 412.7 459.5 283.5 434.0\nDepreciation, amortization, depletion and accretion 273.1 251.8 199.6 215.4 197.4\nIncome before cumulative effect of changes\nin accounting principles 237.9 215.4 239.6 125.5 221.0\nDiluted earnings per share before cumulative effect\nof changes in accounting principles 1.53 1.33 1.44 0.73 1.26\nCash flow provided by operating activities 666.3 600.5 569.7 459.2 461.8\nFree cash flow* 388.2 336.4 325.7 218.6 266.4\nTotal assets 4,464.6 4,554.1 4,209.1 3,856.3 3,561.5\nTotal stockholders’ equity 1,872.5 1,904.5 1,881.1 1,755.9 1,674.9\ndollar amounts in millions except per-share data\n00 01 02 03 04\nREVENUE\nIn Billions of Dollars\n00 01 02 03 04\nINCOME BEFORE CUMULATIVE EFFECT\nOF CHANGES IN ACCOUNTING PRINCIPLES\nIn Millions of Dollars\n00 01 02 03 04\nFREE CASH FLOW\nIn Millions of Dollars\n00 01 02 03 04\nTOTAL ASSETS\nIn Billions of Dollars\n00 01 02 03 04\nSTOCKHOLDERS’ EQUITY\nIn Billions of Dollars\nDILUTED EARNINGS PER SHARE BEFORE\nCUMULATIVE EFFECT OF CHANGES IN\nACCOUNTING PRINCIPLES\nIn Dollars\n2.1\n2.3\n2.4\n2.5\n2.7\n215.4\n237.9\n221.0\n125.5\n239.6\n336.4\n388.2\n266.4\n218.6\n325.7\n3.6\n3.9\n4.2\n4.6\n4.5\n1.7\n1.8\n1.9\n1.9\n1.9\n1.26\n0.73\n1.44\n1.33\n1.53\n00 01 02 03 04\nCorporate Office Stockholder Relations & Inquiries Independent Certified Common Stock T ransfer &\nRepublic Services, Inc. Investor Relations Public Accountants Agent Registrar\n110 SE 6th Street, Suite 2800 Republic Services, Inc. Ernst & Young LLP Wachovia Bank, NA\nFort Lauderdale, Florida 33301 110 SE 6th Street, Suite 2800 First Fort Lauderdale Place 1525 West W.T. Harris Boulevard\nPhone: (954) 769-2400 Fort Lauderdale, Florida 33301 100 NE 3rd Avenue, Suite 700 Charlotte, North Carolina 28288-1153\nwww.republicservices.com Phone: (954) 769-3616 Fort Lauderdale, Florida 33301 Phone: (800) 829-8432\nNotice of Annual Meeting\nThe Annual Meeting of Stockholders of Republic Services, Inc. will be held at 10:30 a.m., May 12, 2005,\nat 110 SE 6th Street, 7th Floor Atrium, Fort Lauderdale, Florida 33301\n*Free cash flow consists of cash provided by operating activities less purchases of property and equipment plus proceeds from t he sale of property and equipment.\nFinancial Highlights\nANNUAL REPORT 2004\nCorporate Headquarters\n110 SE 6th Street, 28th Floor, Fort Lauderdale, Florida 33301\nPhone: (954) 769-2400 • Fax: (954) 769-2664 • www.republicservices.com\n©2005, RITM, LLC\nRepublic Services and Republic Services, Inc. names and logos are service marks of RITM, LLC\nRepublic Services, Inc. • 2004 Annual Report", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "2004 2003 2002 2001 2000\nRevenue $ 2,708.1 $ 2,517.8 $ 2,365.1 $ 2,257.5 $ 2,103.3\nOperating income 452.3 412.7 459.5 283.5 434.0\nDepreciation, amortization, depletion and accretion 273.1 251.8 199.6 215.4 197.4\nIncome before cumulative effect of changes\nin accounting principles 237.9 215.4 239.6 125.5 221.0\nDiluted earnings per share before cumulative effect\nof changes in accounting principles 1.53 1.33 1.44 0.73 1.26\nCash flow provided by operating activities 666.3 600.5 569.7 459.2 461.8\nFree cash flow* 388.2 336.4 325.7 218.6 266.4\nTotal assets 4,464.6 4,554.1 4,209.1 3,856.3 3,561.5\nTotal stockholders’ equity 1,872.5 1,904.5 1,881.1 1,755.9 1,674.9\ndollar amounts in millions except per-share data\n00 01 02 03 04\nREVENUE\nIn Billions of Dollars\n00 01 02 03 04\nINCOME BEFORE CUMULATIVE EFFECT\nOF CHANGES IN ACCOUNTING PRINCIPLES\nIn Millions of Dollars\n00 01 02 03 04\nFREE CASH FLOW\nIn Millions of Dollars\n00 01 02 03 04\nTOTAL ASSETS\nIn Billions of Dollars\n00 01 02 03 04\nSTOCKHOLDERS’ EQUITY\nIn Billions of Dollars\nDILUTED EARNINGS PER SHARE BEFORE\nCUMULATIVE EFFECT OF CHANGES IN\nACCOUNTING PRINCIPLES\nIn Dollars\n2.1\n2.3\n2.4\n2.5\n2.7\n215.4\n237.9\n221.0\n125.5\n239.6\n336.4\n388.2\n266.4\n218.6\n325.7\n3.6\n3.9\n4.2\n4.6\n4.5\n1.7\n1.8\n1.9\n1.9\n1.9\n1.26\n0.73\n1.44\n1.33\n1.53\n00 01 02 03 04\nCorporate Office Stockholder Relations & Inquiries Independent Certified Common Stock T ransfer &\nRepublic Services, Inc. Investor Relations Public Accountants Agent Registrar\n110 SE 6th Street, Suite 2800 Republic Services, Inc. Ernst & Young LLP Wachovia Bank, NA\nFort Lauderdale, Florida 33301 110 SE 6th Street, Suite 2800 First Fort Lauderdale Place 1525 West W.T. Harris Boulevard\nPhone: (954) 769-2400 Fort Lauderdale, Florida 33301 100 NE 3rd Avenue, Suite 700 Charlotte, North Carolina 28288-1153\nwww.republicservices.com Phone: (954) 769-3616 Fort Lauderdale, Florida 33301 Phone: (800) 829-8432\nNotice of Annual Meeting\nThe Annual Meeting of Stockholders of Republic Services, Inc. will be held at 10:30 a.m., May 12, 2005,\nat 110 SE 6th Street, 7th Floor Atrium, Fort Lauderdale, Florida 33301\n*Free cash flow consists of cash provided by operating activities less purchases of property and equipment plus proceeds from t he sale of property and equipment.\nFinancial Highlights\nANNUAL REPORT 2004\nCorporate Headquarters\n110 SE 6th Street, 28th Floor, Fort Lauderdale, Florida 33301\nPhone: (954) 769-2400 • Fax: (954) 769-2664 • www.republicservices.com\n©2005, RITM, LLC\nRepublic Services and Republic Services, Inc. names and logos are service marks of RITM, LLC\nRepublic Services, Inc. • 2004 Annual Report", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "annual report 2002", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "Who is the Vice Chairmain of the Board of Republic Services ?", - "target_page": 5, - "target_passage": " Harris W. Hudson1 Vice Chairman of the Board", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\nON INTERNAL CONTROL OVER FINANCIAL REPORTING\nThe Board of Directors and Stockholders of Republic Services, Inc.:\nWe have audited management's assessment, included in the accompanying Report of Management on\nRepublic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and\nsubsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on\ncriteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring\nOrganizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is\nresponsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the\neÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on\nmanagement's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial\nreporting based on our audit.\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable\nassurance about whether eÅective internal control over Ñnancial reporting was maintained in all material\nrespects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating\nmanagement's assessment, testing and evaluating the design and operating eÅectiveness of internal control,\nand performing such other procedures as we considered necessary in the circumstances. We believe that our\naudits provide a reasonable basis for our opinion.\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable\nassurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external\npurposes in accordance with generally accepted accounting principles. A company's internal control over\nÑnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that,\nin reasonable detail, accurately and fairly reÖect the transactions and dispositions of the assets of the company;\n(2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial\nstatements in accordance with generally accepted accounting principles, and that receipts and expenditures of\nthe company are being made only in accordance with authorizations of management and directors of the\ncompany; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized\nacquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial\nstatements.\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect\nmisstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that\ncontrols may become inadequate because of changes in conditions, or that the degree of compliance with the\npolicies and procedures may deteriorate.\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal\ncontrol over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the\nCOSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal\ncontrol over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States), the consolidated balance sheets as of Republic Services, Inc. as of December 31, 2004\nand 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for each of\nthe three years in the period ended December 31, 2004 of the Company and our report dated February 24,", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\nON THE FINANCIAL STATEMENTS\nThe Board of Directors and Stockholders of Republic Services, Inc.:\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and\nsubsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income,\nstockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits\nalso included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements\nand schedule are the responsibility of the Company's management. Our responsibility is to express an opinion\non these Ñnancial statements and schedule based on our audits.\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable\nassurance about whether the Ñnancial statements are free of material misstatement. An audit includes\nexamining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An\naudit also includes assessing the accounting principles used and signiÑcant estimates made by management, as\nwell as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable\nbasis for our opinion.\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the\nconsolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and\nthe consolidated results of their operations and their cash Öows for each of the three years in the period ended\nDecember 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the\nrelated Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a\nwhole, presents fairly in all material respects the information set forth therein.\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of\naccounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas\ncollection systems.\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting\nas of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by\nthe Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24,\n2005, expressed an unqualiÑed opinion thereon.\n/s/ E RNST & YOUNG LLP\nCertiÑed Public Accountants\nFort Lauderdale, Florida\nFebruary 24, 2005\n51", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "SIGNATURES\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the\nCompany has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\nREGISTRANT:\nREPUBLIC SERVICES, INC.\nBy: /s/ JAMES E. O'CONNOR\nJames E. O'Connor\nChairman of the Board and Chief Executive OÇcer\n(principal executive oÇcer)\nFebruary 25, 2005\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the\nfollowing persons on behalf of the Registrant and in the capacities and on the dates indicated.\nSignature Title Date\n/s/ J AMES E. O'CONNOR Chairman of the Board and Chief February 25, 2005\nExecutive OÇcer (principalJames E. O'Connor executive oÇcer)\n/s/ H ARRIS W. HUDSON Vice Chairman and Director February 25, 2005\nHarris W. Hudson\n/s/ T OD C. HOLMES Senior Vice President and Chief February 25, 2005\nFinancial OÇcer (principal ÑnancialTod C. Holmes oÇcer)\n/s/ C HARLES F. SERIANNI Vice President and Chief Accounting February 25, 2005\nOÇcer (principal accountingCharles F. Serianni oÇcer)\n/s/ J OHN W. CROGHAN Director February 25, 2005\nJohn W. Croghan\n/s/ W. L EE NUTTER Director February 25, 2005\nW. Lee Nutter\n/s/ R AMON A. RODRIGUEZ Director February 25, 2005\nRamon A. Rodriguez\n/s/ A LLAN C. SORENSEN Director February 25, 2005\nAllan C. Sorensen\n/s/ M ICHAEL W. WICKHAM Director February 25, 2005\nMichael W. Wickham\n93", - "page_start": 100, - "page_end": 100, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "EXHIBIT 23.1\nCONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\nWe consent to the incorporation by reference in the Registration Statements (Form S-8 Nos. 333-81801,\n333-78125, 333-45542 and 333-104048) pertaining to the Republic Services 401(k) Plan, 1998 Stock\nIncentive Plan, Republic Services, Inc. Amended and Restated Employee Stock Purchase Plan, and Republic\nServices, Inc. Amended and Restated 1998 Stock Incentive Plan, respectively, of our reports dated\nFebruary 24, 2005, with respect to the consolidated Ñnancial statements and schedule of Republic Services,\nInc., Republic Services, Inc. management's assessment of the eÅectiveness of internal control over Ñnancial\nreporting, and the eÅectiveness of internal control over Ñnancial reporting of Republic Services, Inc., included\nin this Annual Report (Form 10-K) for the year ended December 31, 2004.\n/s/ E RNST & YOUNG LLP\nCertiÑed Public Accountants\nFort Lauderdale, Florida\nFebruary 24, 2005\n95", - "page_start": 102, - "page_end": 102, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "EXHIBIT 32.1\nCERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350,\nAS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for\nthe period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof\n(the \"\"Report''), I, James E. O'Connor, Chairman and Chief Executive OÇcer of the Company, hereby\ncertify, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of\n2002, that to the best of my knowledge:\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities\nExchange Act of 1934, as amended; and\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial\ncondition and results of operations of the Company.\nFebruary 25, 2005\n/s/ JAMES E. O'CONNOR\nJames E. O'Connor\nChairman and Chief Executive OÇcer\nEXHIBIT 32.2\nCERTIFICATION PURSUANT TO 18 U.S.C. SECTION 1350,\nAS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002\nIn connection with the Annual Report on Form 10-K of Republic Services, Inc. (the \"\"Company'') for\nthe period ended December 31, 2004 as Ñled with the Securities and Exchange Commission on the date hereof\n(the \"\"Report''), I, Tod C. Holmes, Chief Financial OÇcer of the Company, hereby certify, pursuant to\n18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the\nbest of my knowledge:\n(1) The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities\nExchange Act of 1934, as amended; and\n(2) The information contained in the Report fairly presents, in all material respects, the Ñnancial\ncondition and results of operations of the Company.\nFebruary 25, 2005\n/s/ TOD C. HOLMES\nTod C. Holmes\nSenior Vice President and Chief Financial OÇcer\n98", - "page_start": 105, - "page_end": 105, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "EXHIBIT 31.2\nCERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a),\nAS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002\nI, Tod C. Holmes, certify that:\n1. I have reviewed this annual report on Form 10-K of Republic Services, Inc.;\n2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to\nstate a material fact necessary to make the statements made, in light of the circumstances under which such\nstatements were made, not misleading with respect to the period covered by this report;\n3. Based on my knowledge, the Ñnancial statements, and other Ñnancial information included in this\nreport, fairly present in all material respects the Ñnancial condition, results of operations and cash Öows of the\nregistrant as of, and for, the periods presented in this report;\n4. The registrant's other certifying oÇcer(s) and I are responsible for establishing and maintaining\ndisclosure controls and procedures (as deÑned in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal\ncontrol over Ñnancial reporting (as deÑned in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the\nregistrant and have:\na) Designed such disclosure controls and procedures, or caused such disclosure controls and\nprocedures to be designed under our supervision, to ensure that material information relating to the\nregistrant, including its consolidated subsidiaries, is made known to us by others within those entities,\nparticularly during the period in which this report is being prepared;\nb) Designed such internal control over Ñnancial reporting, or caused such internal control over\nÑnancial reporting to be designed under our supervision, to provide reasonable assurance regarding the\nreliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in\naccordance with generally accepted accounting principles.\nc) Evaluated the eÅectiveness of the registrant's disclosure controls and procedures and presented in\nthis report our conclusions about the eÅectiveness of the disclosure controls and procedures, as of the end\nof the period covered by this report based on such evaluation; and\nd) Disclosed in this report any change in the registrant's internal control over Ñnancial reporting\nthat occurred during the registrant's most recent Ñscal quarter (the registrant's fourth Ñscal quarter in the\ncase of an annual report) that has materially aÅected, or is reasonably likely to materially aÅect, the\nregistrant's internal control over Ñnancial reporting; and\n5. The registrant's other certifying oÇcer(s) and I have disclosed, based on our most recent evaluation of\ninternal control over Ñnancial reporting, to the registrant's auditors and the audit committee of registrant's\nboard of directors (or persons performing the equivalent function):\na) All signiÑcant deÑciencies and material weaknesses in the design or operation of internal control\nover Ñnancial reporting which are reasonably likely to adversely aÅect the registrant's ability to record,\nprocess, summarize and report Ñnancial information; and\nb) Any fraud, whether or not material, that involves management or other employees who have a\nsigniÑcant role in the registrant's internal control over Ñnancial reporting.\nDate: February 25, 2005\n/s/ TOD C. HOLMES\nTod C. Holmes\nSenior Vice President and\nChief Financial OÇcer\n97", - "page_start": 104, - "page_end": 104, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "SECURITIES AND EXCHANGE COMMISSION\nWashington, D.C. 20549\nFORM 10-K\n(Mark One)\n≤ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF\nTHE SECURITIES EXCHANGE ACT OF 1934\nFor the Ñscal year ended December 31, 2004\nOR\nn TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF\nTHE SECURITIES EXCHANGE ACT OF 1934\nFor the transition period from to\nCommission Ñle number: 1-14267\nREPUBLIC SERVICES, INC.\n(Exact name of Registrant as SpeciÑed in its Charter)\nDelaware 65-0716904\n(State of Incorporation) (I.R.S. Employer IdentiÑcation No.)\nRepublic Services, Inc. 33301\n(Zip Code)110 S.E. 6th Street, 28th Floor\nFort Lauderdale, Florida\n(Address of Principal Executive OÇces)\nRegistrant's telephone number, including area code: (954) 769-2400\nSecurities registered pursuant to Section 12(b) of the Act:\nTitle of Each Class Name of Each Exchange on which Registered\nCommon Stock, par value $.01 per share The New York Stock Exchange\nSecurities registered pursuant to Section 12(g) of the Act: None\nIndicate by check mark whether the registrant: (1) has Ñled all reports required to be Ñled by Section 13\nor 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period\nthat the registrant was required to Ñle such reports), and (2) has been subject to such Ñling requirements for\nthe past 90 days. Yes≤ No n\nIndicate by check mark if disclosure of delinquent Ñlers pursuant to Item 405 of Regulation S-K is not\ncontained herein, and will not be contained, to the best of registrant's knowledge, in deÑnitive proxy or\ninformation statements incorporated by reference in Part III of this Form 10-K or any amendment to this\nForm 10-K. ≤\nIndicate by check mark whether the registrant is an accelerated Ñler (as deÑned in Rule 12b-2 of the\nAct). Yes ≤ No n\nAs of June 30, 2004, the aggregate market value of the shares of the Common Stock held by non-\naÇliates of the registrant was approximately $4,395,636,476.\nAs of February 18, 2005, the registrant had outstanding 149,670,988 shares of Common Stock.\nDOCUMENTS INCORPORATED BY REFERENCE\nPart III Portions of the Registrant's Proxy Statement relative to the 2005 Annual Meeting of Stockholders.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "How mush did the Moomba incident cost to Santos in 2004 ?", - "target_page": 12, - "target_passage": " the Moomba incident resulted in $17 million of one-off costs in 2004.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Annual Report 200410\n2004 WAS A YEAR OF GOOD\nOPERATING RESULTS\nOverall the increase in 2004 profit\nof 16% reflected a year of sound\noperating performance. Sales\nrevenue was a record $1,501\nmillion, up 2.5% on 2003,\nreflecting higher prices across\nmost products and was achieved\ndespite lower production as a\nresult of the Moomba incident\nand declining output from late\nlife fields.\nSantos benefited from higher\nworld oil prices and realised\nUS$51.83 per boe in 2004, an\nincrease of 19% over 2003. The\nbenefit of higher world oil prices\nsubstantially offset the impact \nof lower production volumes. \nSantos was also able to negotiate\nhigher domestic gas prices (up\n4% on average) and deliver new\nrevenue streams from project\nstart-ups and acquisitions during\nthe year.\nPRODUCTION HAMPERED BY\nMOOMBA INCIDENT\n2004 production was lower due \nto the Moomba incident, which\nreduced production by 4.6 million\nboe. Field decline reduced\nproduction by a further \n5.0 million boe.\nOffsetting these factors, Santos’\ngrowth projects are starting to\ncome on line and have begun to\nreverse the decline experienced\nover the past three years. Two\nprojects were commissioned in\n2004: the Bayu-Undan liquids\nproject and the Minerva gas\nproject. In addition, acquisitions\ncontributed 0.8 million boe to\nproduction. \nFor 2005, production is expected\nto improve by around 15%, or \n4% excluding the impact of the\nMoomba incident. Santos now\nexpects production to be around\n54 million boe in 2005. This\nincrease is largely driven by the\ncommissioning of Mutineer-Exeter\nin March 2005 and the John\nBrookes gas field in the middle \nof the year.\nPRODUCTION COSTS \nUNDER CONTROL\nProduction costs in 2004 were\n$309 million, up $45 million or\n17% on 2003. Analysis shows\nthat Santos was able to continue\nto effectively control its costs \nin the face of significant external\npressures in the form of rising\nservices and materials prices.\nExamining production costs in\ndetail reveals:\n• the start-up of Bayu-Undan and\nacquisitions added $16 million\nto Santos’ cost base\n• changes in our accounting\nadded a further $16 million \nto Santos’ production costs\n• higher insurance premiums \n($8 million) and one-off stock\nwrite-offs ($5 million) were\noffset by $17 million in cost\nsavings largely as a result of\nSantos’ continuous\nimprovement initiatives\n• the Moomba incident resulted\nin $17 million of one-off costs\nin 2004.\nPiecing this together, the key\nthemes in our financial\nperformance were:\n• cost savings in established\nproduction areas more than\noffset increases in the price \nof services and materials\n• Santos’ cost base rose as\nproduction from new\ndevelopments and acquisitions\nwere added to the Company’s\nexpanding portfolio of\nproducing assets.\nANALYSING FINANCIAL PERFORMANCE \n‘The sound operating results\nachieved in 2004 underline \nthe changing face of Santos\ntowards a higher value, higher\nmargin business. We ended the\nyear with a strong financial\nposition and our financial\nflexibility intact. ’ \nPETER WASOW\nChief Financial Officer\n’01 ’02 ’03 ’04\nPRODUCTION AND SALES REVENUE\nRevenue Net profit after tax Production\n1,460\n445\n322 327 380\n1,478 1,465\n54.257.355.7\n1,501\n47.1\n0\n500\n1000\n1500\n2000\n0\n10\n20\n30\n40\n50\n60\n$million\nmmboe\nSAN165 WWW Text 30/3/05 12:06 PM Page 10", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 11\nDEPRECIATION, DEPLETION AND\nAMORTISATION\nAll things being equal, DD&A\ncould have been expected to \nbe lower this year, as Santos\nproduced lower volumes and had\nwritten off the Heytesbury plant\nin the onshore Otway Basin \nlast year.\nHowever, two factors caused an\nincrease in 2004 DD&A. Firstly,\nwhile reserve revisions were\npositive overall, negative\nrevisions were predominantly in\nproducing areas which increased\ndepletion rates in 2004, while\npositive reserve revisions were in\nareas where Santos is not yet\nproducing or where straight line\ndepreciation is dominant; for\nexample, Casino and John\nBrookes.\nSecondly, on the future\ndevelopment cost side, depletion\nis up partly because Santos is\nstarting to factor in higher steel\nand service company costs into\nlong-term economic models.\nCASH FLOW LOWER\nWhile Santos had a strong profit\nyear, this is not fully reflected in\ncash flows.\nThere were large movements \nin trade debtors between years,\nreflecting the timing of liftings\nand the payments for them.\nIn addition, Santos has not yet\nbeen paid for the insurance claim\nrelating to the Moomba incident.\nA total of $117 million was\nrecognised in sundry income,\nwhich represents an estimate \nof the amount receivable from\ninsurers for lost revenue,\nadditional costs and replacement\nplant and equipment. At year end\nthe money was still owed and so\nis not shown as part of operating\ncash flow. The final quantification\nof the claim with insurers is\nprogressing.\nRECORD CAPITAL EXPENDITURE\nCapital expenditure ended \nright on target at $930 million –\na record year for Santos –\napproaching a level which is\ndouble DD&A, reflecting how\nrapidly the portfolio is changing.\nSantos will continue with a high\ndevelopment expenditure in 2005,\nbut expects to spend more in line\nwith cash generation. Exploration\nspend is estimated to be about\n$150 million, while development\nspend is expected to be reduced\nto $530 million and delineation\nto $90 million. Other capital\nspending is expected to be\nreduced to $80 million.\nThis results in a total planned\ncapital expenditure for 2005 of\napproximately $850 million.\nFINANCIAL FLEXIBILITY INTACT\nSantos ended the year in a \nstrong financial position with its\nfinancial flexibility intact, despite\nthe record development spending.\nThe FUELS issue was successful\nand Santos’ gearing increased\nonly marginally, despite the large\ncapital program in 2004.\nThis is important in Santos’\nbusiness as the Company needs \nto be able to fund exploration\nsuccess as it occurs, and our\ndevelopment projects are\nincreasing in size.\n’01 ’02 ’03 ’04\nOPERATING CASH FLOW AND CAPITAL EXPENDITURE\n$million\nOperating cash flow Capital expenditure\n0\n200\n400\n600\n800\n1000\n717\n660\n761 750\n605\n821\n897 930\nSAN165 WWW Text 30/3/05 12:06 PM Page 11", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 81\nAustralia International Consolidated\n2004 2003 2004 2003 2004 2003\n28. Segment Information (continued) $million $million $million $million $million $million\nPrimary Reporting\nGeographic segments\nRevenue\nTotal segment revenue 1,633.1 1,445.9 120.7 134.6 1,753.8 1,580.5\nOther unallocated revenue (0.6) 38.9\nTotal revenue 1,753.2 1,619.4\nResults\nEarnings before interest, tax and significant items 505.9 529.8 3.8 15.6 509.7 545.4\nSignificant items:\nInsurance recovery 116.6 – – – 116.6 –\nCosts associated with Moomba liquids recovery plant fire (17.5) – – – (17.5) –\nProfit on sale of oil and gas assets 43.9 – – – 43.9 –\nWrite-down of exploration and development expenditure (4.7) (1.3) (17.4) (58.4) (22.1) (59.7)\nOrganisation restructure costs (21.6) – – – (21.6) –\nAccelerated depreciation – Heytesbury – (20.2) – – – (20.2)\n622.6 508.3 (13.6) (42.8) 609.0 465.5\nGain on sale of listed investments 0.1 45.8\nUnallocated corporate expenses (34.7) (45.8)\nEarnings before interest and tax 574.4 465.5\nUnallocated borrowing costs (33.6) (34.6)\nProfit from ordinary activities before income tax expense 540.8 430.9\nIncome tax expense (160.9) (103.9)\nNet profit after income tax attributable to the \nshareholders of Santos Ltd 379.9 327.0\nNon-cash expenses\nDepreciation, depletion and amortisation 434.4 454.9 90.8 65.9 525.2 520.8\nUnallocated corporate depreciation, depletion and amortisation 14.5 10.8\nTotal depreciation, depletion and amortisation 539.7 531.6\nWrite-down of exploration and development expenditure 4.7 1.3 17.4 58.4 22.1 59.7\nUnallocated corporate write-down of listed investment – 4.4\nTotal non-cash expenses 561.8 595.7\nAcquisition of non-current assets\nControlled entities 92.2 24.0 35.1 – 127.3 24.0\nOil and gas assets, property, plant and equipment 761.8 587.0 146.4 140.0 908.2 727.0\nUnallocated corporate acquisition of oil and gas assets, \nproperty, plant and equipment 21.3 23.3\nTotal acquisition of non-current assets 1,056.8 774.3\nAssets\nSegment assets 5,120.1 4,447.8 694.7 602.7 5,814.8 5,050.5\nUnallocated corporate assets 141.2 167.8\nConsolidated total assets 5,956.0 5,218.3\nLiabilities\nSegment liabilities 2,129.1 1,678.3 120.9 174.9 2,250.0 1,853.2\nUnallocated corporate liabilities 207.7 277.2\nConsolidated total liabilities 2,457.7 2,130.4\nSecondary Reporting\nBusiness segments\nThe Santos Group operates predominantly in one business, namely the exploration, development, production, transportation and marketing of\nhydrocarbons. Revenue is derived from the sale of gas and liquid hydrocarbons and the transportation of crude oil.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 81", - "page_start": 82, - "page_end": 82, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200412\nThe Santos base business\ncomprises production from assets\nin all of the Company's existing\nproducing fields. \nSantos is countering decline from\nmature fields with strategies such\nas optimisation and trialling new\ntechnologies to maximise output,\nwhile running an exploration\nprogram which aims to add new\nprojects and production.\nAt all times, ensuring the safety\nof all operations and minimising\nany environmental impacts\nremains paramount.\n2004 PRODUCTION IMPACTED\nBY MOOMBA INCIDENT\nSantos' total production in 2004\nfell from 54.2 million boe in 2003\nto 47.1 million boe, primarily due\nto the effects of the 1 January\nincident at Moomba that resulted\nin a reduction of 4.6 million \nboe, together with declining\nperformance from the East Spar\nand Stag fields in the Carnarvon\nBasin, offshore Western Australia.\nSales gas and ethane production\nfell 14% during the year from\n222.8 PJ to 190.5 PJ. Production\ndeclined in the Cooper Basin and\ngas production from the onshore\nOtway Basin ceased with the\ndivestment of these interests.\nHowever, gas production was\nsteady or increased in four of five\nother areas of operation. This\nillustrates the success of Santos'\ncontinued efforts to diversify its\nbase business and to optimise\nexisting production. \nLower Cooper Basin gas\nproduction was partly offset \nby higher gas production from\neastern Queensland through\nappraisal and development\nsuccess at Churchie, new interests\nin Indonesia at Kakap and Brantas\nand increased interests at\nPatricia-Baleen. Amadeus Basin\ngas production remained flat \nas declining production was\ncountered by successful\ndevelopment drilling during \nthe second half of 2004 at Palm\nValley and Mereenie.\nCrude oil production was 13%\nlower at 9.5 million barrels, down\nfrom 10.9 million barrels in the\nprevious year as production\ndeclined at Stag, Legendre and\nJabiru-Challis. Successful infill\ndrilling at Legendre and Stag\nhelped turn around declines for\nthese fields during the second\nhalf of 2004. The program to\nimprove production at Stag will\ncontinue into 2005 as simulation\nstudies suggest further drilling\nand increased water injection\ncould improve future production. \nCooper Basin oil production\ndeclined just 4% during 2004 \ndue to successful delineation,\ndevelopment and production\noptimisation at several fields,\nparticularly Merrimelia, Derrilyn\nand Mulberry. Amadeus Basin oil\nproduction declines were made\nless severe through successful\ndrilling at Mereenie.\nCondensate production increased\nby 20% from 3.1 million barrels\nto 3.7 million barrels as Bayu-\nUndan liquids production\ncommenced with better than\nexpected performance during\n2004, offsetting the lower\ncondensate production from the\nCooper Basin due to the Moomba\nincident and decline at East Spar\nas the field approached the end\nof its production life. \nCondensate production from the\nUnited States was also improved\nby almost 0.1 million barrels \nas successful development and\ndelineation wells on the deep \nFrio trend contributed with\nimproved condensate content\nduring the year.\nLPG production declined by \n34% to 158,600 tonnes in 2004\nfrom 240,700 tonnes in 2003,\ndue mainly to the effects \nof the Moomba incident on the\nproduction of liquids through the\nliquids recovery plant. Production\nfrom Bayu-Undan was able to\nonly partially offset this decrease.\nAPPLYING NEW TECHNOLOGIES \nReservoir studies have identified\nthat some lower permeability\nreservoirs may have significant\npotential to increase recoveries\nthrough activities such as\nadditional infill drilling, fracture\nstimulation and waterflooding. \nSantos tested new technologies \nin the Cooper Basin in drilling,\ncompletions and artificial lift\noptimisation during 2004 to\nimprove product delivery and\nrecovery in order to reduce\nproduction costs per unit.\nTo this end, further reductions \nin costs for 2005 are targeted \nby increasing the focus on \nfit for purpose rigs and larger\ncampaigns. These efforts will be\nsupported by a significant boost", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200444 Annual Report 200444\n10 YEAR SUMMARY 1995–2004\nAs at 31 December 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004\nSantos average realised oil price (A$/bbl) 24.96 27.43 27.42 20.95 27.57 46.54 45.53 44.74 43.59 51.83\nFinancial performance($million)\nProduct sales revenue 671.6 729.2 778.5 769.4 944.5 1,497.1 1,459.7 1,478.4 1,465.0 1,500.9\nTotal operating revenue 740.1 804.0 859.5 1,000.8 995.6 1,556.2 1,561.8 1,542.3 1,619.4 1,753.2\nForeign currency gains/(losses) (16.0) 25.0 3.6 2.0 0.3 2.7 0.2 (0.7) (7.9) (3.0)\nProfit from ordinary activities before tax 241.0 331.9 322.3 267.3 339.6 725.9 627.6 493.3 430.9 540.8\nIncome tax relating to ordinary activities 130.4 136.0 116.1 91.0 30.5 239.1 181.7 171.2 103.9 160.9\nNet profit after income tax attributable \nto the shareholders of Santos Ltd 110.6 195.9 206.2 176.3 309.1 486.8 445.9 322.1 327.0 379.9\nFinancial position ($million)\nTotal assets 2,915.5 3,443.4 4,036.2 4,236.1 4,338.7 4,659.8 5,048.7 5,320.8 5,218.3 5,956.0\nNet debt 642.0 938.6 1,114.2 1,280.0 1,301.1 866.6 1,060.8 1,162.9 897.6 1,131.4\nTotal equity 1,519.3 1,586.3 1,919.0 1,939.2 2,056.7 2,310.9 2,726.6 2,863.9 3,087.9 3,498.3\nReserves and production(mmboe)\nProven plus Probable reserves (2P) 703 860 1,009 966 941 921 724 732 636 643\nProduction 36.8 39.2 41.1 45.6 49.2 56.0 55.7 57.3 54.2 47.1\nExploration*\nWells drilled (number) 66 91 112 81 34 42 26 18 19 16\nExpenditure ($million) 87.9 121.1 190.1 180.7 78.1 100.1 93.4 133.1 136.4 125.6\nOther capital expenditure($million)\nDelineation and development* 53.9 105.8 179.7 158.1 116.8 187.1 308.1 308.8 519.0 672.7\nBuildings, plant and equipment 40.1 150.3 205.4 165.7 102.5 153.5 258.7 319.0 94.9 131.1\n* From 2001, appraisal and near-field exploration wells have been reclassified from exploration to delineation expenditure. Prior year amounts have not been restated.\nSAN165 WWW Text 30/3/05 12:07 PM Page 44", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 5\nis also located in relatively \nshallow water with infrastructure\nnearby, creating options for \nearly production.\nAt Santos, we are proud that an\nAustralian company took on that\nchallenge and succeeded, and I\ncongratulate the exploration and\ndrilling teams on a great effort.\nWith the Jeruk discovery behind\nus, Indonesia is at the forefront\nof our international exploration\nefforts. With eight wells planned\nin the region for 2005, Santos is\ncurrently the most active explorer\nin Indonesia. \nA STRONG FINANCIAL\nPERFORMANCE\nIt was pleasing that Santos \nwas able to conclude 2004 \non a higher note than it started. \nWe achieved record annual\nrevenue thanks to higher oil and\ngas prices combined with the\nreturn of full production at\nMoomba to produce a 21.5% jump\nin second half sales: the best\nresult for any six-month period \nin Santos' history. \nThe average realised price for\ncrude oil was up nearly 19% \nto A$51.83 per barrel.\nThese results have left Santos\nwell positioned to continue its\nstrong investment program which\nsaw capital expenditure peak at\n$930 million in 2004. \nIn 2005 we expect to invest\naround $850 million of new\ncapital in projects and our\nstrategy is to plan for firm\ndevelopments based on\naffordability at relatively low oil\nprices. If higher prices continue\nand some projects mature quickly\nand can be given the green light,\nour overall capital expenditure\nmay be higher.\nProduction is expected to rise \nin 2005 when, as usual, our\nfinancial performance will be\nsubject to oil prices, exchange\nrates and interest rates. These\nfactors have a significant effect\non our bottom line. A US$1 per\nbarrel change in the oil price\nequates to a A$16 million change\nin net profit after tax in 2005. \nA one US cent movement in the\nAustralia–US dollar exchange rate\nwould produce a change in profit\nafter tax of A$8 million, and \na 1% change in interest rates\nequates to a change in net profit\nafter tax of A$9 million.\n2004 has also been an important\nperiod for shareholders, with a\nsignificant improvement in the\nSantos share price combined with\nan increase in the dividend.\nPRODUCTION TO REBOUND\nWhile we expected lower\nproduction overall in 2004, our\noutput was obviously curtailed\nfurther by the incident at the\nMoomba plant. The good news \nis that several projects emerged\nfrom the development pipeline\nduring the year and made positive\ncontributions to our expanding\nsuite of oil and gas facilities.\nProduction is forecast to increase\nby 15% in 2005, or by 4% after\nexcluding the effect of the\nMoomba downtime, to about \n54 million boe. We expect this\npositive forward trend to be\nfollowed by further production\ngrowth of more than 10% in 2006.\nThe Bayu-Undan liquids project\ncame on line in April 2004 \nand, at its increased design\nthroughput of just over one\nbillion cubic feet of gas per day,\nproduced liquids at a rate of\n100,000 barrels per day. \nBayu-Undan is currently stripping\nliquids and re-injecting the gas\npending tie-in of the pipeline to\nDarwin in May 2005 for future\nLNG production. The onshore LNG\nfacilities are more than two-thirds\ncomplete. With a gross production\nof 19 million barrels, 22% above\nexpectations for the year, we were\npleased with the performance of\nBayu-Undan and look forward to \na full year contribution from this\nexciting project in 2005.\nThe Minerva gas field off\nVictoria's western coast started\nproduction in December 2004 \nand is ramping up to full field\nproduction of around 150 TJ \nper day. Our share in this project\nis 10%, and is significant because \nit represents our first foray \ninto marketing gas directly to\ncustomers or into the Victorian\nspot market through our sales\nvehicle, Santos Direct, aimed \nat delivering higher prices.\nRECORD EXPLORATION \nEFFORT AHEAD\nExploration is a great way to\nincrease shareholder value so \nI am pleased to be able to report\nthat in 2004, Santos drilled 16\nwildcat wells resulting in seven\nhydrocarbon discoveries.\nGrowing our oil and gas reserves", - "page_start": 6, - "page_end": 6, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 61\n15. Interest-Bearing Liabilities (continued)\n(c) Medium-term notes\nThe Santos Group has a A$500.0 million (2003: A$500.0 million) Australian medium-term note program. At 31 December 2004, A$20.0 million\n(2003: A$20.0 million) of medium-term notes have been issued at fixed rate and swapped into floating rates of interest of 6.25% (2003: 6.20%),\nmaturing in 2008.\n(d) Long-term notes\nUS$170.0 million of long-term notes were issued to institutional investors in 1993 at an annual effective interest rate of 6.95% and are\nrepayable in five annual US dollar instalments which commenced in December 2001. As at 31 December 2004, US$34.0 million (A$43.7 million)\nremains outstanding (2003: US$68.0 million equivalent to A$90.8 million). A further US$290.0 million (A$372.5 million) (2003: US$290.0 million\nequivalent to A$387.3 million) of long-term notes were issued to institutional investors in 2000 at an annual effective interest rate of 8.37%\nand are repayable at varying maturity dates between 2007 and 2015. In addition US$300.0 million (A$385.3 million) (2003: US$300.0 million\nequivalent to A$400.6 million) of long-term notes were issued to institutional investors in 2002 at an annual effective interest rate of 6.11%\nand are repayable at varying maturity dates between 2009 and 2022.\nThe Santos Group has entered into interest rate swap contracts to manage the exposure to interest rates. This has resulted in a weighted average\ninterest rate on interest-bearing liabilities of 5.50% as at 31 December 2004 (2003: 4.72%). All facilities are unsecured and arranged through a\ncontrolled entity, Santos Finance Ltd, and are guaranteed by Santos Ltd.\nConsolidated Santos Ltd\n2004 2003 2004 2003\n16. Provisions $million $million $million $million\nCurrent\nEmployee benefits 48.7 47.7 47.6 46.3\nFuture restoration costs 3.9 7.6 0.9 1.2\nNon-executive Directors’ retirement benefits 0.2 – 0.2 –\n52.8 55.3 48.7 47.5\nNon-current\nFuture restoration costs 129.4 113.7 43.8 36.0\nNon-executive Directors’ retirement benefits 2.2 2.3 2.2 2.3\n131.6 116.0 46.0 38.3\nReconciliations of the carrying amount of the non-executive Directors’ retirement \nbenefits are set out below:\nCurrent\nCarrying amount at beginning of the year – 0.6 – 0.6\nTransfer from/(to) non-current provision 0.2 (0.3) 0.2 (0.3)\nPayments made during the year – (0.3) – (0.3)\nCarrying amount at end of the year 0.2 – 0.2 –\nNon-current\nCarrying amount at beginning of the year 2.3 1.7 2.3 1.7\nProvision made during the year 0.1 0.3 0.1 0.3\nTransfer from/(to) current provision (0.2) 0.3 (0.2) 0.3\nCarrying amount at end of the year 2.2 2.3 2.2 2.3\n17. Other Liabilities\nCurrent\nDeferred foreign currency fluctuations on borrowings 3.5 10.6 – –\nAccrued fluctuations on foreign currency swaps 11.2 – – –\n14.7 10.6 – –\nNon-current\nDeferred foreign currency fluctuations on borrowings 33.9 55.7 – –\nThe deferred foreign currency fluctuations on US dollar borrowings designated as hedges reflect the deferred gains arising from the movement of the\nAustralian dollar against the US dollar from the inception of the drawdown of the borrowings to balance date.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 61", - "page_start": 62, - "page_end": 62, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200484\nNOTES TO THE FINANCIAL STATEMENTS\nfor the year ended 31 December 2004\n32. Additional Financial Instruments Disclosure\n(a) Foreign exchange risk exposure\nThe Santos Group is exposed to foreign exchange risk principally through the sale of liquid petroleum products denominated in US dollars,\nUS dollar borrowings and US dollar expenditure. In order to hedge this foreign exchange risk, the Santos Group has from time to time entered\ninto forward foreign exchange, foreign currency swap and foreign currency option contracts.\nAt 31 December 2004 the Santos Group has one open forward foreign currency exchange contract which has expired in January 2005. If closed\nout at balance date a loss of $0.2 million would have resulted.\nUS dollar denominated borrowings are either swapped into Australian dollar exposure (2004: US$321.4 million; 2003: US$115.0 million) or\ndesignated as a hedge of US dollar denominated investments in self-sustaining overseas controlled entities (2004: US$313.0 million;\n2003: US$323.6 million) or as a hedge of future US denominated sales revenues (2004: US$146.4 million; 2003: US$219.4 million). As a result,\nthere were no net foreign currency gains or losses arising from translation of US denominated dollar borrowings recognised in the statements\nof financial performance in 2004. Accordingly, $37.4 million of unrealised foreign currency gains were deferred as at 31 December 2004\n(2003: gains of $66.3 million). The ultimate foreign currency gains or losses will be included in the measurement of the specific hedged US dollar\ndenominated sales revenues to be realised in the years 2005 through 2006.\nThe Australian dollar equivalents of foreign currency monetary items included in the statements of financial position to the extent that they are\nnot effectively hedged are:\nConsolidated Santos Ltd\n2004 2003 2004 2003\n$million $million $million $million\nCurrent assets – United States dollars 126.4 82.7 32.9 41.3\nCurrent liabilities – United States dollars 60.5 35.4 6.5 8.5\nNon-current liabilities – United States dollars 26.5 – – –\nSAN165 WWW Fins 30/3/05 11:55 AM Page 84", - "page_start": 85, - "page_end": 85, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 63\n18. Contributed Equity (continued)\n(b) Santos Employee Share Acquisition Plan (continued)\nSummary of share movements in the Plan during 2004 (and comparative 2003 information):\nOpening Granted during Distributions\nbalance the year during the year Closing balance\nNumber Fair value Fair value Fair value \nGrant dates Number of shares per share Number aggregate Number aggregate\n$$$\n2004\n24 August 2001 177,908 – – 177,908 1,180,728 – –\n2 September 2002 195,624 – – 32,760 227,623 162,864 1,381,087\n2 September 2003 242,991 – – 42,237 294,081 200,754 1,702,394\n22 November 2004 – 157,014 8.14 244 2,089 156,770 1,329,410\n616,523 157,014 253,149 1,704,521 520,388 4,412,891\n2003\n25 August 2000 192,950 – – 192,950 1,163,949 – –\n24 August 2001 196,552 – – 18,644 111,036 177,908 1,222,228\n2 September 2002 216,840 – – 21,216 126,185 195,624 1,343,937\n2 September 2003 – 254,106 5.84 11,115 67,943 242,991 1,669,348\n606,342 254,106 243,925 1,469,113 616,523 4,235,513\nShares are allocated at a price equal to the weighted average sale price of the Company’s ordinary shares on the Australian Stock Exchange during\nthe one week period up to and including the Grant Date. This is shown as fair value per share for shares granted during the year. The fair value of\nshares distributed from the trust during the year and remaining in the trust at the end of the financial year is the market price of shares of the\nCompany on the Australian Stock Exchange as at close of trading on the respective dates.\nDistributions during the year occurred at various dates throughout the year and therefore have not been separately listed.\nThe amounts recognised in the financial statements of the Santos Group and the Company in relation to the Santos Employee Share Acquisition\nPlan during the year were:\nConsolidated Santos Ltd\n2004 2003 2004 2003\n$million $million $million $million\nEmployee expenses 1.2 1.4 1.2 1.4\nIssued ordinary share capital 1.3 1.5 1.3 1.5\nAt 31 December 2004, the total number of shares acquired under the Plan since its commencement was 1,874,287.\n(c) Santos Employee Share Purchase Plan\nThe Santos Employee Share Purchase Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation,\nwith amendment, approved at the Annual General Meeting on 5 May 2000.\nGeneral Employee Participation\nThe Plan is open to all employees (other than a casual employee or Director of the Company) determined by the Board who are continuing\nemployees at the date of the offer. However, employees who are not resident in Australia at the time of an offer under the Plan and those who\nhave participated in the Executive Long Term Incentive Plan during the year will not be eligible to participate in that offer unless the Board\notherwise decides.\nUnder the Plan, eligible employees may be offered the opportunity to subscribe for or acquire fully paid ordinary shares in the capital of the\nCompany at a discount to market price, subject to restrictions, including on disposal, determined by the Board (which has been a period of one\nyear for issues so far). The subscription or acquisition price is Market Value (being the weighted average sale price of the Company’s ordinary\nshares on the Australian Stock Exchange during the one week period up to and including the offer date) less any discount determined by the\nBoard (5% for issues so far). Under the Plan, at the discretion of the Board, financial assistance may be provided to employees to subscribe for\nand acquire shares under the Plan. The 5% discount constitutes financial assistance for these purposes. Participants are entitled to vote, receive\ndividends and participate in bonus and rights issues while the shares are restricted.\nOn 26 November 2004, the Company issued 32,400 ordinary shares to 49 eligible employees at a subscription price of $8.14 per share under", - "page_start": 64, - "page_end": 64, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 59\nConsolidated Santos Ltd\n2004 2003 2004 2003\n11. Land and Buildings, Plant and Equipment $million $million $million $million\nLand and buildings\nAt cost 97.2 94.7 55.5 52.3\nLess accumulated depreciation (49.7) (47.7) (34.0) (33.0)\n47.5 47.0 21.5 19.3\nPlant and equipment\nAt cost 3,938.1 3,576.1 1,711.7 1,642.1\nLess accumulated depreciation (1,926.9) (1,782.3) (1,067.8) (988.3)\n2,011.2 1,793.8 643.9 653.8\nTotal land and buildings, plant and equipment 2,058.7 1,840.8 665.4 673.1\nMovements during the year\nLand and buildings\nBalance at the beginning of the year 47.0 45.2 19.3 18.5\nAdditions 2.5 5.1 3.2 2.6\nDepreciation expense (2.0) (3.3) (1.0) (1.8)\nBalance at the end of the year 47.5 47.0 21.5 19.3\nPlant and equipment\nBalance at the beginning of the year 1,793.8 1,627.5 653.8 621.0\nAdditions 461.7 358.1 188.0 102.2\nAcquisitions 12.6 13.5 – –\nDisposals (26.6) (32.2) (94.5) (0.3)\nDepreciation expense (169.1) (168.7) (85.8) (69.1)\nForeign currency translation (0.5) (4.4) – –\nExpenditure transferred to exploration and development (60.7) – (17.6) –\nBalance at the end of the year 2,011.2 1,793.8 643.9 653.8\n12. Other Financial Assets\nInvestments in controlled entities – – 2,530.2 2,284.9\nInvestments in other entities:\nListed shares at cost 1.2 1.2 0.5 0.5\nListed shares at recoverable amount – 10.5 – 10.5\n1.2 11.7 2,530.7 2,295.9\nMarket value of investments in listed shares 2.7 16.2 0.5 11.7\n13. Intangibles\nGoodwill, at cost 160.2 160.2 – –\nLess accumulated amortisation (156.2) (151.7) – –\n4.0 8.5 – –\n14. Payables\nTrade creditors 278.9 242.6 109.5 95.3\nSundry creditors and accruals 92.7 48.7 28.4 18.4\nAmounts owing to controlled entities – – 298.4 541.3\n371.6 291.3 436.3 655.0\nSAN165 WWW Fins 30/3/05 11:55 AM Page 59", - "page_start": 60, - "page_end": 60, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What is the main focus of the Santos 2005 program ?", - "target_page": 19, - "target_passage": " Oil is the main focus of the 2005 program", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Santos’ Strategic Projects team\nfocuses on assets that have\nproven difficult to commercialise\nor that need to be considered \nin a regional context rather than\non an individual basis.\nThe other key activity for this\nteam has been to lead Santos’\ncontinuous improvement focus.\nUNITED STATES GAS\nThe US gas business was a major\nfocus in 2004 for a number of\nreasons, not the least of which\nare the higher gas prices in the\nUS compared with the domestic\nAustralian market, and the ability\nto rapidly commercialise new\ndiscoveries. \nAn ongoing development and\ndelineation program was carried\nout during the year, yielding\nbetter than planned production.\nThe exploration initiative also\ncontinued to seek higher risk \nbut more material prospects, \naimed at enhancing the move\ninto the shallow water area of \nthe Gulf of Mexico. Exploration\nresults in this area during 2005\nwill shape Santos’ future strategy\nin the US.\nTIGHT GAS\nHydrocarbons contained in traps\nwith poor permeability are known\nas ‘tight gas’ . Large tight gas\nresources are known to exist in\nthe Cooper Basin. Under current\ncircumstances, this gas cannot \nbe economically developed but,\nwith the combination of improved\nproduction techniques and better\ncommercial terms, could prove\nattractive. \nSantos assessed the resources \nand potential technologies that\ncould be applied to unlock these\nresources during 2004 and is now\nworking up a range of possible\nevaluation projects to be\nundertaken in 2005.\nNORTHERN AUSTRALIA GAS\nSantos has a significant existing\ngas resource base and some\npromising exploration acreage \nin the waters offshore Darwin,\nwhere it intends to drill a gas\nexploration well later this year.\nThe Company currently operates\nthe Mereenie gas field in the\nAmadeus Basin in central\nAustralia, which supplies gas to\nDarwin. Santos’ first offshore gas\nproduction in northern Australia\nbegins in 2006, sending Bayu-\nUndan gas to Darwin for\nconversion to LNG. Santos plans\nto build upon its growing\nposition in the region to target\nfurther development which could\nensure long-term gas supplies \nfor the current market, or an\nexpanded Northern Territory\ndomestic market, or for export.\nPAPUA NEW GUINEA GAS\nSantos is in active discussions\nwith the PNG Gas Project\nparticipants to potentially \nre-enter the PNG Gas Project.\nSantos has a significant interest\nin a large part of the liquids-rich\nHides gas field which is integral\nto the development of \nthe Project.\nAnnual Report 200422\n‘Our objective is to derive value\nfrom undeveloped assets which\nhave been outside of Santos’\nbase business. ’\nBRUCE WOOD \nVice President \nStrategic Projects\nManaging Options\nUNLOCKING THE VALUE OF STRATEGIC ASSETS\n2004 CONTINGENT RESOURCES\n(TOTAL 1,443 mmboe)\nNorthern Australia \n709 mmboe\nWestern Australia \n71 mmboe\nCentral Australia \n240 mmboe\nSouthern Australia \n32 mmboe\nPapua New Guinea \n391 mmboe\nSAN165 WWW Text 30/3/05 12:07 PM Page 22", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "To this end, further reductions \nin costs for 2005 are targeted \nby increasing the focus on \nfit for purpose rigs and larger\ncampaigns. These efforts will be\nsupported by a significant boost\nin 3D seismic acquisition that\ncommenced at the end of 2003\nand continues in 2005.\nCoiled tubing underbalanced\ndrilling operations were performed\nat three gas wells and one oil\nwell, while multiple pinpoint\nfracture stimulations were\nperformed at five new gas wells,\nwith between three and six fracs\nperformed in each well. \nThese introductory programs \nare providing encouraging initial\nresults. The underbalanced drilling\nprogram achieved better than\npredicted rate improvements \nfor all three gas wells.\nThese programs will now be\nextended to a variety of more\ncomplex and possibly harsher \noil and gas wellbore/reservoir\nenvironments during 2005. \nSantos increased gas well\ndeliverability in the Cooper \nBasin by 63 TJ per day through\nnumerous projects brought on\nline during 2004. Some 8 PJ \nof incremental gas production\nresulted during 2004 from this\noptimisation program. These\nresults were achieved at a\nsignificantly lower cost than\nconventional development drilling\nand substantially exceeded\ntargets set at the beginning \nof the year.\nWhile the Cooper Basin \nis a mature hydrocarbon area,\nSantos is drilling wells which can\nbe commercialised quickly and\ncost-effectively, delivering strong\ncash flow which can be applied \nto other growth opportunities. \nA further focus in 2004 was \nto leverage Cooper Basin\ninfrastructure; for example, via\ngas swaps, and increase prices\nunder existing agreements. \nAn increased Gas Sales Agreement\nwas reached with CS Energy which\nresulted in an additional seven\nwells being drilled at the Scotia\ncoal seam methane gas field in\neastern Queensland.\nLeveraging Base Business\nHARNESSING VALUE FROM OPERATIONS\nSAN165 WWW Text 30/3/05 12:06 PM Page 12", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 17\n2005 WILDCAT EXPLORATION PROGRAM\nGulf of Suez\nRAD 1, NZB A, NZB B,\nNZB C,Khufu, Pawnee\nGulf of Mexico\nCougar, Thunder\nEast Java Basin\nAgung, Herbras, \nBanjar Panji\nDenison Trough\nGreenmount, Yamala\nOtway Basin\nPecten East, Lindsay\nWA Basins\nHurricane, Little Joe, Brick\nLanding \nBonaparte Basin\nCaldita, Phoenix\nKutei Basin \nHiu Aman, Raksasa, Orca, Pangkal\nGas\nOil\nHIGH IMPACT DRILLING \nIN 2005 \nThe 2005 exploration program \nhas the highest resource potential\nof any program undertaken \nat Santos.\nSantos is planning a large, high\nimpact drilling campaign that is\nalready well underway.\nSantos plans to drill 25 wells and\nwill invest $150 million testing\nprospects within its expanding\ndomestic and international\nexploration portfolio – up 19%\nfrom the $126 million spent on\nexploration in 2004.\nOil is the main focus of the \n2005 program with most activity\nin the Kutei and East Java Basins\noffshore Indonesia, the Gulf of\nSuez in Egypt, the Bonaparte\nBasin in the Timor Sea and the\nCarnarvon Basin offshore \nWestern Australia.\nThe 2005 program reflects \nthe increasing materiality of\nSantos’ exploration portfolio \nand continues the emphasis on\nmore globally-focused exploration\nas an important part of the\nCompany’s growth strategy.\nSantos has already had drilling\nsuccess early in 2005 with the\nHiu Aman 1 well – the first to be\ndrilled by Santos in the Donggala\nPSC. Hiu Aman 1 has indicated\nthe presence of a prolific\nhydrocarbon system in this area.\nThe discovery should add other\nlower risk prospects to Santos’\nexploration portfolio. A \nmulti-well drilling program \nwill be undertaken in Santos’\nKutei Basin PSCs during 2005.\nAnother gas discovery has \nbeen made at Hurricane 1 in \nthe Carnarvon Basin, offshore\nWestern Australia. While both\nwells were discoveries, they\nrequire further evaluation to\ndetermine their commercial\nsignificance.\nSAN165 WWW Text 30/3/05 12:07 PM Page 17", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 7\nThese activities are designed to\nacknowledge and return the\nsupport we receive from these\ncommunities.\nDELIVERING THE VISION\nSo, 50 years on, would the late\nJohn Bonython be pleased at the\nCompany that Santos has become\n– one of Australia's leading\nenergy suppliers that is an\noffshore production operator,\nbuilding new businesses in places\nlike Indonesia, the US and Egypt,\nwhile retaining firm roots in\nAdelaide? I suspect he would. \nIt is our job to continue to\ndeliver on our strategy and, in\ndoing so, keep delivering on the\nforesight of Santos' founders.\nOf course, this has to be achieved\nsafely and with a view to the\nlong term. In this regard, our\npeople continue to deliver: safety\nperformance improved again in\n2004 and the publication of our\nfirst Sustainability Review\ndemonstrates that we have\nadopted sustainability as a \ncore value.\nI am proud of their commitment\nto Santos’ success and I thank\nthem for their efforts and\nachievements during a year \nof considerable challenges \nand change. \nJohn C Ellice-Flint\nManaging Director\n21 March 2005\nBayu-Undan drilling and\nproduction platforms, \nTimor Sea.\nSAN165 WWW Text 30/3/05 12:06 PM Page 7", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "and, in our drive to do so, it is\nimportant to identify ways in\nwhich we might achieve more\nefficient and cost-effective\noutcomes. \nAs a result, an important initiative\nhas been the introduction of a\ncontinuous improvement program.\nThe organisational restructure\nimplemented during 2004 yielded\ndividends with savings recorded\nin the past year of $38 million for\nprogram outlays of $22 million.\nThese programs will continue to\ncontribute at even higher levels\ngoing forward for even less cost. \nA PART OF OUR COMMUNITY\nSantos engages with many\nstakeholders and we believe it \nis important to have rewarding\nrelationships with the communities\nto which we belong. \nWe sponsor a wide range \nof educational, cultural and\ncommunity events and programs.\nAnnual Report 20046\nPERFORMANCE AGAINST TARGETS\nLong-term 2004 Comments\ntarget performance\nProduction growth 6-8% -13.1% Moomba incident impact\nReserve replacement ratio >140% 121% Excludes Jeruk \nexploration success\nReserve replacement cost per boe A$22 A$21 On target\nEBITDA growth per share >10% 8.8% Improving trend\nReturn on capital employed >10% 9.4% Improving trend\nManaging Director’s Review continued\nSAN165 WWW Text 30/3/05 12:06 PM Page 6", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 200412\nThe Santos base business\ncomprises production from assets\nin all of the Company's existing\nproducing fields. \nSantos is countering decline from\nmature fields with strategies such\nas optimisation and trialling new\ntechnologies to maximise output,\nwhile running an exploration\nprogram which aims to add new\nprojects and production.\nAt all times, ensuring the safety\nof all operations and minimising\nany environmental impacts\nremains paramount.\n2004 PRODUCTION IMPACTED\nBY MOOMBA INCIDENT\nSantos' total production in 2004\nfell from 54.2 million boe in 2003\nto 47.1 million boe, primarily due\nto the effects of the 1 January\nincident at Moomba that resulted\nin a reduction of 4.6 million \nboe, together with declining\nperformance from the East Spar\nand Stag fields in the Carnarvon\nBasin, offshore Western Australia.\nSales gas and ethane production\nfell 14% during the year from\n222.8 PJ to 190.5 PJ. Production\ndeclined in the Cooper Basin and\ngas production from the onshore\nOtway Basin ceased with the\ndivestment of these interests.\nHowever, gas production was\nsteady or increased in four of five\nother areas of operation. This\nillustrates the success of Santos'\ncontinued efforts to diversify its\nbase business and to optimise\nexisting production. \nLower Cooper Basin gas\nproduction was partly offset \nby higher gas production from\neastern Queensland through\nappraisal and development\nsuccess at Churchie, new interests\nin Indonesia at Kakap and Brantas\nand increased interests at\nPatricia-Baleen. Amadeus Basin\ngas production remained flat \nas declining production was\ncountered by successful\ndevelopment drilling during \nthe second half of 2004 at Palm\nValley and Mereenie.\nCrude oil production was 13%\nlower at 9.5 million barrels, down\nfrom 10.9 million barrels in the\nprevious year as production\ndeclined at Stag, Legendre and\nJabiru-Challis. Successful infill\ndrilling at Legendre and Stag\nhelped turn around declines for\nthese fields during the second\nhalf of 2004. The program to\nimprove production at Stag will\ncontinue into 2005 as simulation\nstudies suggest further drilling\nand increased water injection\ncould improve future production. \nCooper Basin oil production\ndeclined just 4% during 2004 \ndue to successful delineation,\ndevelopment and production\noptimisation at several fields,\nparticularly Merrimelia, Derrilyn\nand Mulberry. Amadeus Basin oil\nproduction declines were made\nless severe through successful\ndrilling at Mereenie.\nCondensate production increased\nby 20% from 3.1 million barrels\nto 3.7 million barrels as Bayu-\nUndan liquids production\ncommenced with better than\nexpected performance during\n2004, offsetting the lower\ncondensate production from the\nCooper Basin due to the Moomba\nincident and decline at East Spar\nas the field approached the end\nof its production life. \nCondensate production from the\nUnited States was also improved\nby almost 0.1 million barrels \nas successful development and\ndelineation wells on the deep \nFrio trend contributed with\nimproved condensate content\nduring the year.\nLPG production declined by \n34% to 158,600 tonnes in 2004\nfrom 240,700 tonnes in 2003,\ndue mainly to the effects \nof the Moomba incident on the\nproduction of liquids through the\nliquids recovery plant. Production\nfrom Bayu-Undan was able to\nonly partially offset this decrease.\nAPPLYING NEW TECHNOLOGIES \nReservoir studies have identified\nthat some lower permeability\nreservoirs may have significant\npotential to increase recoveries\nthrough activities such as\nadditional infill drilling, fracture\nstimulation and waterflooding. \nSantos tested new technologies \nin the Cooper Basin in drilling,\ncompletions and artificial lift\noptimisation during 2004 to\nimprove product delivery and\nrecovery in order to reduce\nproduction costs per unit.\nTo this end, further reductions \nin costs for 2005 are targeted \nby increasing the focus on \nfit for purpose rigs and larger\ncampaigns. These efforts will be\nsupported by a significant boost", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "CREATING OPPORTUNITIES\nMaximising the value of the exploration program, building \na better and more balanced portfolio and pursuing new\nopportunities.\nAnnual Report 2004 1\n…TO DELIVER ON THE STRATEGY\nSantos continues to tap into the spirit and commitment of the\nentrepreneurs and explorers who laid the Company’s foundations\nas we deliver on our growth strategy.\nT oday, Santos is a major Australian oil and gas exploration and\nproduction company growing a global energy business through:\nLEVERAGING BASE BUSINESS\nCreating value from the base business through environment,\nhealth, safety and operational excellence, optimisation\nprograms and cost leadership.\nCAPTURING AND\nDELIVERING GROWTH\nCommencing new production, advancing key projects,\nextracting value from our infrastructure position and \nseeking innovative commercial arrangements.\nMANAGING OPTIONS\nDelivering improved returns, strong cash flow and reserve\nreplacement through disciplined portfolio management,\nstrategic acquisitions and divestments, and making\nsustainable progress.\nSAN165 WWW Text 30/3/05 12:06 PM Page 1", - "page_start": 2, - "page_end": 2, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "increase shareholder value so \nI am pleased to be able to report\nthat in 2004, Santos drilled 16\nwildcat wells resulting in seven\nhydrocarbon discoveries.\nGrowing our oil and gas reserves\nfor future production is the goal\nof our exploration efforts. On \na rolling three-year average we\nhave replaced the hydrocarbons\nthat Santos has produced at \na rate of 130% of Proven (1P)\nreserves, at an average\nreplacement cost of around \nUS$7 per boe. \nSantos has an exciting\nexploration program for 2005: one\nthat I believe holds the highest\nresource potential of any program\nin the Company's 50-year history.\nWe expect to participate in\ndrilling a record 157 wells during\n2005, of which 25 are exploration\nwildcat wells. Consistent with \nthe growing internationalisation\nof Santos, this includes eight\nwells in Indonesia and six wells\nin the Gulf of Suez, Egypt. This\nprogram offers an attractive\ncombination of risk and reward\nand is a new focus to our\noverseas exploration effort.\nIn the US, two exploration wells\nare planned, one onshore, and\none offshore in the shallow\nwaters of the Gulf of Mexico.\nIn Australia, our increasing focus\non the potential of offshore areas\nwill see Santos drill three wells\noff Western Australia in 2005, \none off southern Australia and\ntwo wells off northern Australia.\nWe will also drill two wells\nonshore in Queensland and one\nonshore in Victoria. \nThe discovery of oil and gas \nat Hiu Aman in the Kutei Basin,\noffshore East Kalimantan, has\nprovided a strong start to our\n2005 exploration program and \nwe look forward with anticipation\nto further work on that\nsignificant find. Santos has a \n50% interest in the discovery. We\nbelieve this region of Indonesia \nis very promising and Santos\nexpects to drill four wells in the\nKutei Basin in 2005.\nBIGGEST DEVELOPMENT \nYEAR YET\nI am pleased also to report \nthat 2004 was a record year for\ndevelopment with six projects\nadvancing through the pipeline.\nThe start-up of the Mutineer-\nExeter oil field is a significant\nmilestone in Santos' development\nhistory. This project off the\nSAN165 WWW Text 30/3/05 12:06 PM Page 5", - "page_start": 6, - "page_end": 6, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 93\nINSIDE\nSantos Ltd ABN 80 007 550 923\nCHAIRMAN’S REVIEW\n2 Stephen Gerlach comments on Santos’\nperformance in 2004.\n2004 ACHIEVEMENTS\n2005 AND BEYOND\n3 Key achievements in 2004 and three-year\nperformance, plus what to look for in thenear-term future.\nMANAGING DIRECTOR’S\nREVIEW\n4 John Ellice-Flint reviews Santos’ 50th year,\nwhere the values embodied in the greatexplorers of yesteryear are shaping Santos today.\nTHE WORLD OF SANTOS\n8 Locations of Santos’ global exploration,\ndevelopment and production activities.\nANALYSING FINANCIAL\nPERFORMANCE\n10 Putting the numbers in perspective and\nexplaining the 2004 financial results.\nLEVERAGING BASE BUSINESS\n12 Production results for 2004 plus a review\nof activities that are creating value inSantos’ base business.\nCREATING OPPORTUNITIES\n15 Exploration strategy, results and acreage\nacquisitions, 2005 program and newventure opportunities.\nCAPTURING AND\nDELIVERING GROWTH\n18 Progress on Santos’ development projects\nand gas commercialisation highlights. \nMANAGING OPTIONS\n22 Strategic projects, portfolio management\nactivities and reserves movements in 2004.\nSUSTAINABILITY \n26 Sustainability activities undertaken in\n2004, including safety and environmentalperformance, employees and communities.\nCORPORATE GOVERNANCE\n29 Details of the main corporate governance\npractices Santos has in place.\nDIRECTORS’ AND SENIOR\nEXECUTIVES’ REMUNERATION\n37 Remuneration details for Directors and \nkey executives.\nBOARD OF DIRECTORS\n41 Directors’ biographical details.\nGROUP INTERESTS\n42 Santos licence areas and percentage\ninterests.\n10 YEAR SUMMARY \n44 Statistical summary of financial\nperformance.\nDIRECTORS’ STATUTORY\nREPORT\n47 Directors’ shareholdings, meetings,\nactivities and emoluments.\nFINANCIAL REPORT\n50 Statements of financial performance,\nfinancial position and cash flows andnotes to the financial statements.\nSTOCK EXCHANGE \nAND SHAREHOLDERINFORMATION\n90 Listing of top 20 shareholders, analysis \nof shares and voting rights.\nINFORMATION FOR\nSHAREHOLDERS\n92 Annual General Meeting, final dividend,\nshareholder enquiries and informationresources for shareholders.\nGLOSSARY\n93 Most frequently used terms explained.\nBACK COVER\nCorporate directory\nCover photograph: \nClose-up of spinning Kelly Bushing (KB) on the drill floor of an exploration rig. \nPage 1 photographs (top to bottom):\nInspection of coiled tubing drilling activities, Cooper Basin, central Australia; installation of mid water arches, Mutineer-Exeter oil fields, Carnarvon Basin, offshore Western Australia; siteinspection and liaison with contractors, offshore Western Australia; inspection of MODEC Venture11 Floating Production Storage and Offloading facility, Jurong Shipyard, Singapore.\nGLOSSARY\nbarrel/bbl\nThe standard unit of measurement for all\nproduction and sales. One barrel = 159 litres or 35 imperial gallons.\nbcf\nBillion cubic feet, a billion defined as 10\n9, on\naverage 1 bcf of sales gas = 1.055 petajoules.\nboe\nBarrels of oil equivalent. The factor used \nby Santos to convert volumes of differenthydrocarbon production to barrels of oilequivalent.\nbopd\nBarrels of oil per day.\ncontingent resources\nThose quantities of hydrocarbons which are\nestimated, on a given date, to be potentiallyrecoverable from known accumulations, butwhich are not currently considered to becommercially recoverable. Contingent resourcesmay be of a significant size, but still haveconstraints to development. These constraints,preventing the booking of reserves, may relateto lack of gas marketing arrangements or totechnical, environmental or political barriers.\nthe Company or Santos\nSantos Ltd and its subsidiaries.\nDD&A\nDepreciation, depletion and amortisation of\nbuilding, plant and equipment, exploration and development expenditure.\ndelineation well\nComprises two categories: near-field", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Annual Report 2004 93\nINSIDE\nSantos Ltd ABN 80 007 550 923\nCHAIRMAN’S REVIEW\n2 Stephen Gerlach comments on Santos’\nperformance in 2004.\n2004 ACHIEVEMENTS\n2005 AND BEYOND\n3 Key achievements in 2004 and three-year\nperformance, plus what to look for in thenear-term future.\nMANAGING DIRECTOR’S\nREVIEW\n4 John Ellice-Flint reviews Santos’ 50th year,\nwhere the values embodied in the greatexplorers of yesteryear are shaping Santos today.\nTHE WORLD OF SANTOS\n8 Locations of Santos’ global exploration,\ndevelopment and production activities.\nANALYSING FINANCIAL\nPERFORMANCE\n10 Putting the numbers in perspective and\nexplaining the 2004 financial results.\nLEVERAGING BASE BUSINESS\n12 Production results for 2004 plus a review\nof activities that are creating value inSantos’ base business.\nCREATING OPPORTUNITIES\n15 Exploration strategy, results and acreage\nacquisitions, 2005 program and newventure opportunities.\nCAPTURING AND\nDELIVERING GROWTH\n18 Progress on Santos’ development projects\nand gas commercialisation highlights. \nMANAGING OPTIONS\n22 Strategic projects, portfolio management\nactivities and reserves movements in 2004.\nSUSTAINABILITY \n26 Sustainability activities undertaken in\n2004, including safety and environmentalperformance, employees and communities.\nCORPORATE GOVERNANCE\n29 Details of the main corporate governance\npractices Santos has in place.\nDIRECTORS’ AND SENIOR\nEXECUTIVES’ REMUNERATION\n37 Remuneration details for Directors and \nkey executives.\nBOARD OF DIRECTORS\n41 Directors’ biographical details.\nGROUP INTERESTS\n42 Santos licence areas and percentage\ninterests.\n10 YEAR SUMMARY \n44 Statistical summary of financial\nperformance.\nDIRECTORS’ STATUTORY\nREPORT\n47 Directors’ shareholdings, meetings,\nactivities and emoluments.\nFINANCIAL REPORT\n50 Statements of financial performance,\nfinancial position and cash flows andnotes to the financial statements.\nSTOCK EXCHANGE \nAND SHAREHOLDERINFORMATION\n90 Listing of top 20 shareholders, analysis \nof shares and voting rights.\nINFORMATION FOR\nSHAREHOLDERS\n92 Annual General Meeting, final dividend,\nshareholder enquiries and informationresources for shareholders.\nGLOSSARY\n93 Most frequently used terms explained.\nBACK COVER\nCorporate directory\nCover photograph: \nClose-up of spinning Kelly Bushing (KB) on the drill floor of an exploration rig. \nPage 1 photographs (top to bottom):\nInspection of coiled tubing drilling activities, Cooper Basin, central Australia; installation of mid water arches, Mutineer-Exeter oil fields, Carnarvon Basin, offshore Western Australia; siteinspection and liaison with contractors, offshore Western Australia; inspection of MODEC Venture11 Floating Production Storage and Offloading facility, Jurong Shipyard, Singapore.\nGLOSSARY\nbarrel/bbl\nThe standard unit of measurement for all\nproduction and sales. One barrel = 159 litres or 35 imperial gallons.\nbcf\nBillion cubic feet, a billion defined as 10\n9, on\naverage 1 bcf of sales gas = 1.055 petajoules.\nboe\nBarrels of oil equivalent. The factor used \nby Santos to convert volumes of differenthydrocarbon production to barrels of oilequivalent.\nbopd\nBarrels of oil per day.\ncontingent resources\nThose quantities of hydrocarbons which are\nestimated, on a given date, to be potentiallyrecoverable from known accumulations, butwhich are not currently considered to becommercially recoverable. Contingent resourcesmay be of a significant size, but still haveconstraints to development. These constraints,preventing the booking of reserves, may relateto lack of gas marketing arrangements or totechnical, environmental or political barriers.\nthe Company or Santos\nSantos Ltd and its subsidiaries.\nDD&A\nDepreciation, depletion and amortisation of\nbuilding, plant and equipment, exploration and development expenditure.\ndelineation well\nComprises two categories: near-field", - "page_start": 94, - "page_end": 94, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the primary aim of the OSPRO cohort study ?", - "target_page": 2, - "target_passage": " The primary aim of the OSPRO cohort study was to de velop and validate review of systems (i.e. evidence of sys temic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in out patient orthopedic physical therapy settings", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Abbreviations\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of\nReferral and Outcome; OSPRO-ROS: Review of systems screening tool from\nOSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening\ntool from OSPRO cohort study\nAcknowledgements\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M.\nMarlow for their input on study design and analysis. OPT-IN Network\nParticipants included: University of Florida: Joel Bialosky; UF Health: Giorgio\nZeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike\nHodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI\nPhysical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise\nHarris, Jordan Floyd, Wade Harrell; University of Southern California: Lori\nMichener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata\nSalvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando\nMalaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University\nof Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette,\nAdam Wielechowski, Richard Severin, Erik Martinez; Indiana State University:\nRyan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia\nUniversity: Angela Tate; Life ’s Work Physical Therapy: Sandra Stryker, Aaron\nLeonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson,\nCharleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul\nMintken, Virginia Arnette, Andrea Barsch.\nFunding\nThis project was supported by the 2013 Clinical Research Network grant\nfrom the Orthopaedic Section, American Physical Therapy Association. The\nfunding body had no role in the design of the study or collection, analysis,\nand interpretation of the data or in writing the manuscript. TAL received\nadditional support from the Foundation for Physical Therapy with Promotion\nof Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional\nsupport from Brooks Rehabilitation while designing this study. JMB received\nsupport from the American National Institutes of Health (NIH) Rehabilitation\nResearch Career Development Program (K12-HD055929).\nAvailability of data and materials\nThe data that support the findings of this study are available from the\ncorresponding author upon reasonable request.\nAuthors’ contributions\nTAL provided input on study design and analysis plan, drafted the manuscript\nand approved final version of the manuscript. SZG secured funding, provided\noverall design, gave input on the analysis plan and approved final version of\nthe manuscript. JMB provided input on design and analysis plan and approved\nfinal version of the manuscript.\nEthics approval and consent to participate\nEthics approval for this study was granted by the University of Florida\nInstitutional Review Board-01 (Study #: 525 – 2012). All participants provided\nwritten consent to participate in the study.\nConsent for publication\nNot applicable.\nCompeting interests\nThe authors declare that they have no competing interests.\nPublisher’sN o t e\nSpringer Nature remains neutral with regard to jurisdictional claims in\npublished maps and institutional affiliations.\nAuthor details\n1Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham,\nNC 27705, USA. 2Department of Physical Therapy, College of Public Health &\nHealth Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL\n32610-0154, USA. 3Brooks Rehabilitation Clinical Research Center, 3901\nUniversity Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4Duke Clinical\nResearch Institute, Department of Orthopaedic Surgery, Duke University, 2400\nPratt Street, Durham, NC 27705, USA.\nReceived: 9 November 2017 Accepted: 14 August 2018\nReferences\n1. Von Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et\nal. United states national pain strategy for population research: concepts,\ndefinitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068 – 80.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "Prediction of Referral and Outcome (OSPRO) in patients with\nmusculoskeletal pain conditions: a longitudinal validation cohort from the\nUSA. BMJ Open. 2017;7:e015188.\n20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr.\nOptimal Screening for Prediction of Referral and Outcome (OSPRO) for\nMusculoskeletal Pain Conditions: Results From the Validation Cohort. J\nOrthop Sports Phys Ther. 2018;48(6):460 – 75.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 13 of 14", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "Block 2: 10-item OSPRO-YF and 10-item OSPRO-ROS\nat baseline.\nBlock 3: Remaining items from the OSPRO-YF\n(+ 7 items) and OSPRO-ROS (+ 13 items). These were\nincluded to determine whether full-length versions of\nthe tools provided better prediction over shortened\nversions.\nBlock 4: Baseline-to-4 week change in pain intensity,\nregion-specific disability, and OSPRO-YF scores. Early\nchanges in these variables may be associated with\nimproved prediction of outcomes over baseline vari-\nables alone [ 38]. This approach modeled change in\nthese variables as a measure of treatment response and\nallowed us to assess the relative value of treatment\nmonitoring for the prediction of healthcare utilization\noutcomes.\nFor the first analysis, binary logistic regression was used\nto determine predictors of any healthcare utilization fol-\nlowing physical therapy, with the dependent variable\ndefined as reporting one or more utilization events for any\nof the potential healthcare services over the entire\nfollow-up period. For analyses of specific services,\nutilization was dichotomized for each service. Specific\nservice utilization over early (through 6 months) and late\n(6 months to 12 months) phases following physical ther-\napy were collapsed to create a single dichotomous\nutilization indicator for each service over the entire study\nfollow-up period. Any utilization of the service over that\nperiod was categorized as YES. Separate multivariate bin-\nary logistic regression models were then fitted for the\ndichotomous utilization indicator (i.e. YES or NO) of each\nhealthcare service (e.g. opioid use, injection, imaging, sur-\ngery, and emergency room visits).\nFor all analyses, full hierarchical multivariate models\nwere first fit to assess the unique contributions of each\nblock. This approach allowed us to determine the rela-\ntive contributions of baseline demographic and\nhealth-related variables, the newly developed\nOSPRO-ROS and OSPRO-YF tools, and response to\ntreatment via time varying variables (e.g., pain intensity\nand region specific function). However, since our pri-\nmary aim was to develop concise and accurate\nutilization prediction models for efficient assessment of\nrisk, we then separately developed stepwise models using\nbackward selection for each dependent variable to derive\nparsimonious prediction item sets. Parsimonious models\nwere chosen as a more conservative approach to identi-\nfying individual predictors given the potential for overfit-\nting full multivariate models because of high subject\nattrition. For stepwise models, the p-value threshold was\n0.05 for entry and 0.10 for removal. Overall fit for each\nmodel was examined with Hosmer & Lemeshow test,\nchi-square and pseudo-R 2 values (e.g. Nagelkerke) when\nappropriate. Comparison of adjusted odds ratios (OR)\nand 95% confidence interval (CI) were used to determine\nthe relative strength of each predictor in parsimonious\nmodels. Multicollinearity was assessed using variance\ninflation factor (VIF) and tolerance, where VIFs < 10 and\ntolerances > 0.1 suggested no significant collinearity\namong independent variables [ 39].\nPlanned sensitivity analyses for missing data\nThe electronic OPT-IN data collection forms required\ncomplete data from respondents before they were\nallowed to proceed to subsequent survey pages. There-\nfore, the occurrence of missing data for independent\npredictor variables was minimal (< 1% of sample). How-\never, for subjects who were lost to follow-up, we planned\ntwo approaches to assess the potential influence of miss-\ning data on study outcomes. First, demographic and\nbaseline health variables would be compared between\nthose with complete follow-up at 1 year and those with-\nout follow-up at 1 year to identify any potential group\ndifferences related to completion of follow-up. Second,\nsensitivity analyses would be conducted by repeating\neach analysis using inverse probability of attrition\nweighting (IPAW). This propensity scoring approach", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed5.pdf" - }, - { - "text": "Readers should consider our inability to independently\nconfirm utilization when interpreting results.\nIn future studies, we will embed the OSPRO tools into\nelectronic medical record (EMR) databases to refine and\ntest outcomes prediction models at the health care systems\nlevel. Importantly, we will collect clinical encounter data\nthrough the EMR and combine it with administrative or\nbilling data to confirm the results of this study with more\nobjective measures of health care use. These studies will\nalso allow us to provide better guidance on how to use the\nOSPRO tools to identify serious psychiatric involvement or\nsystemic sources of pain that require medical referral. Fi-\nnally, we will explore alternative scoring strategies for the\ntools, such as weighted scoring for the OSPRO-ROS and\nuse of predicted full-length p sychological questionnaire\nscores for the OSPRO-YF. Healthcare providers could then\nuse the collective informatio n from these studies to build\nlearning health systems that facilitate effective, real-time\nclinical decision-making support to improve value of care\nfor patients with musculoskeletal pain.\nConclusion\nBaseline disability and change in pain intensity were im-\nportant predictors of any subsequent pain-related\nhealthcare utilization, while predictors of individual ser-\nvice utilization were outcome-specific. Identification of\nrisk is improved through treatment monitoring for pain\nand, in some cases, disability and pain-related psycho-\nlogical distress. Comorbidity burden was an important\npredictor of subsequent utilization of opioids and diag-\nnostic tests and imaging, both of which have been recent\ntargets of healthcare policy to constrain their unneces-\nsary use. Future research is needed to refine these pre-\ndictor variables and incorporate them into risk models\nthat support clinical decision-making so that treatment\neffectiveness and efficiency are optimized in value-based\nsystems.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 12 of 14", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed5.pdf" - }, - { - "text": "cure study website for the informed consent process and\nbaseline self-report assessment. Eligibility criteria have\nbeen thoroughly reported elsewhere [ 19] and were\nintentionally broad to develop a cohort that was\ngeneralizable to those seeking physical therapy for com-\nmon musculoskeletal conditions in the US. Participants\ncompleted follow-up self-reported assessments on the\nstudy website at 4 weeks, 6 months and 12 months. Partic-\nipants were notified of a pending assessment by an email\nthat directed them back to the study website to complete\ntheir follow-up assessment. For additional details of the\ndataset and cohort, readers are directed to the published\ncohort profile [ 19].\nThe primary aim of the OSPRO cohort study was to de-\nvelop and validate review of systems (i.e. evidence of sys-\ntemic involvement) and yellow flag (i.e. pain-related\npsychological distress) screening tools for use in out-\npatient orthopedic physical therapy settings. These screen-\ning tools, once validated and refined for clinical decision\nmaking, may improve the value of care delivery by accur-\nately identifying individuals who 1) are appropriate for\nreferral to other providers for management of\nnon-musculoskeletal symptoms, and/or 2) would benefit\nfrom enhanced, psychologically-informed physical ther-\napy. Early identification of individuals most appropriate\nfor these modified pathways of care has the potential to\nreduce wasteful downstream health care utilization, limit\nthe risk of unwarranted and costly care escalation, and im-\nprove clinical outcomes. Results of the primary analyses\nexamining the predictive ability of the OSPRO tools for\npain, disability, health status, and comorbidity outcomes\nhave been previously published [ 20]. Pre-planned second-\nary analyses included prediction of persistent pain state\n[21] and this current analysis predicting future healthcare\nutilization. All subjects consented to participation in the\nstudy and ethics approval was granted by the University of\nFlorida Institutional Review Board.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 2 of 14", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed5.pdf" - }, - { - "text": "shown to identify approximately 95% of positive red-flag re-\nsponders. For statistical analyses, the “yes” responses were\nadded for each version and included in each model as a\ncontinuous independent variable.\nOSPRO Yellow Flag tool (OSPRO-YF)\nThe OSPRO-YF is a yellow flag assessment tool that in-\ncludes items from pain vulnerability domains (negative\naffect and fear-avoidance) and pain resilience domains\n(positive affect and self-efficacy) to aid with identification\nof pain-related psychological distress in outpatient ortho-\npedic physical therapy settings [ 37]. The OSPRO-YF has\ngood concurrent validity with pain intensity and\nregion-specific disability [ 37] and is capable of predicting\npain intensity, disability, quality of life and persistent pain\n12 months following physical therapy in patients with\nmusculoskeletal pain [ 20, 21]. The full-length OSPRO-YF\nhas 17-items, however a shortened 10-item version is also\navailable with an acceptable trade-off in accuracy. Like the\nOSPRO-ROS, the OSPRO-YF is designed for implementa-\ntion into electronic medical record (EMR) systems to\nquickly and accurately identify risk for a variety of clinical\noutcomes [ 19]. For statistical analyses, a summary score\nwas derived for each version by adding the item responses\nafter reverse-scoring items 2, 13, 14, 15 and 17 so that\nhigher scores indicate higher pain-related psychological\ndistress. The summary score was then included in each\nmodel as a continuous independent variable.\nIntervention\nAll physical therapy treatment was provided at the discre-\ntion of the treating clinician. The duration of the episode,\nthe number of physical therapy visits, and individual treat-\nment parameters (type, intensity, duration, frequency)\nwere not collected for pragmatic reasons. In particular,\nclinical and utilization data are not commonly collected in\na standardized format and would need to be extracted\nfrom disparate medical record databases across different\nhealth care systems to assess treatment. This was not feas-\nible given the scope and design of this multisite\nsurvey-based study. However, instead of coding treatment\ntype we included baseline-to-4 week change in pain inten-\nsity, region-specific disability, and OSPRO-YF scores in\neach model as measures of treatment response. In that\nmanner the individual effects of the treatment received\nwere included in the predictive models, without directly\naccounting for the type of treatment.\nHealthcare utilization outcomes\nSelf-reported health care utilization was assessed at 6- and\n12-months following initial evaluation by online assessment.\nQuestions were derived from previous population-based\nstudies involving musculoskeletal pain that have used survey\nmethods for follow-up assessment [ 22, 23]. Study\nparticipants were asked whether they used any of the fol-\nlowing healthcare services for their primary musculoskeletal\npain complaint in the time following their physical therapy\ntreatment:\n1. Opioid painkillers (eg. Vicodin, Lortab,\nHydrocodone, Fentanyl, Percocet, Oxycontin,\nOxycodone, tramadol, Ultram, Diludid, etc)\n2. Injections\n3. Surgery\n4. Diagnostic tests or Imaging (eg. xray, MRI, CT\nscan, nerve conduction test, etc.)\n5. Emergency room visits\n“Yes” responses were followed by questions regarding\nthe quantity of services utilized (i.e. number of opioid\npainkillers, number of diagnostic tests or number of\nemergency room visits). All utilization questions were\nanswered on a categorical scale (0, 1, 2 – 5, 5 – 10, or > 10)\nindicating the quantity of a particular service received\nduring the applicable follow-up timeframe. At 6-month\nfollow-up, study participants reported their use of ser-\nvices for the previous 2 months, allowing a timeframe of\n4 months from initial evaluation for them to complete\nphysical therapy. At 12-month follow-up, study partici-\npants reported their use of services over the previous\n6 months since their last survey. This method provided", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "reproduced in an independent sample [ 42, 43]. With 18\npotential predictors, a sample of n = 180 reporting\nhealthcare utilization at follow-up would be sufficient\nfor the proposed analyses. However, this estimate is con-\nservative. Other methods for determining sample size\nfor prediction analyses suggest an overall sample size of\nN >5 0+8 * m (where m = number of independent vari-\nables) [ 44]o r N > 104 + number of independent predic-\ntors [ 45, 46]. For these less conservative estimates, the\nprojected study sample size is sufficient for the proposed\nanalyses.\nResults\nFour hundred and forty subjects were recruited at initial\nevaluation. Follow-up at 4 weeks was 75.0% ( n =3 3 0 ) , a t\n6 months was 69.0% ( n = 304) and at 12 months was\n65.2% (n = 287). Baseline demographics and health-related\ncharacteristics for the full cohort, as well as those who did\nand did not complete all follow-up are presented in\nTables 1, 2 and 3. Those who did not complete follow-up\nwere younger, more likely to be non-white, had less than a\ncollege degree, were more likely to have had sudden\nsymptom onset, had higher baseline pain intensity, and\nhad higher baseline pain-related psychological distress\nmeasured by the OSPRO-YF. Only those with complete\nfollow-up data at each time point were considered for pre-\ndiction analyses ( n = 246, 55.9%).\nOverall, 43.1% ( n = 106/246) of those with complete\nfollow-up data utilized at least one healthcare service\nfollowing the physical therapy episode. Distribution of\nutilization for specific services is provided in Table 4.\nFor multivariate analyses, all VIFs were less than 10 and\ntolerance values greater than 0.1 suggesting no signifi-\ncant multicollinearity among independent variables.\nFull multivariate model performance\nOverall performance for each full multivariate model is\nlisted in Table 5. Block 1 (Demographic, clinical and co-\nmorbidity) consistently contributed to prediction of\nhealthcare utilization and accounted for the greatest\namount of variation in utilization outcome for all\nmodels. Block 4 (change scores for pain, disability, and\nOSPRO-YF) provided statistically significant contribu-\ntions in all models except prediction of injection. Blocks\nincluding baseline OSPRO-YF and OSPRO-ROS, both\nshort and long forms, did not predict utilization out-\ncomes. Weighted models consistently outperformed\ntheir complete case analysis model counterparts with\noverall model pseudo-R 2 values ranging from .337 (Any\ncare) to .611 (Emergency room).\nTable 1 Demographic information for the full cohort, and for those with complete and incomplete follow-up\nVariable Label Full cohort at baseline\n(n = 440)\nCompleted follow-up\n(n = 246)\nDid not complete follow-up\n(n = 194)\np-value a\nDemographic information\nAge Mean ± SD 45.06 ± 15.82 46.59 ± 16.00 43.15 ± 15.43 0.02\nMedian (min, max) 45 (18 – 75) 47 (18 – 75) 42 (18 – 74)\nSex (1 missing) Male 164 (37.3%) 85 (34.6%) 79 (40.7%) 0.20\nFemale 275 (62.5%) 160 (65.0%) 115 (59.3%)\nRace (7 missing) White 343 (78.0%) 200 (81.3%) 143 (73.7%) 0.05\nNon-white 90 (20.5%) 42 (17.1%) 48 (24.7%)\nEthnicity (33 missing) Hispanic or Latino 31 (7.0%) 20 (8.1%) 11 (5.7%) 0.36\nNot Hispanic or Latino 376 (85.5%) 211 (85.8%) 165 (85.1%)\nEducation (6 missing) Less than college graduate 161 (36.6%) 71 (28.9%) 90 (46.4%) < 0.001\nCollege graduate or higher 273 (62.0%) 172 (69.9%) 101 (52.1%)\nIncome (66 missing) $35,000 or less 112 (25.5%) 62 (25.2%) 50 (25.8%) 0.30\n$35,000 to $70,000 106 (24.1%) 59 (24.0%) 47 (24.2%)\nGreater than 70,000 156 (35.5%) 99 (40.2%) 57 (29.4%)\nInsurance (26 missing) Private 273 (62.0%) 156 (63.4%) 117 (60.3%) 0.70\nPublic 75 (17.0%) 46 (18.7%) 29 (14.9%)\nOther 66 (15.0%) 36 (14.6%) 30 (15.5%)\nGeographic region Southeast 275 (62.5%) 146 (59.3%) 129 (66.5%) 0.10\nMidwest 47 (10.7%) 23 (9.3%) 24 (12.4%)\nWest 98 (22.3%) 65 (26.4%) 33 (17.0%)\nNortheast 20 (4.5%) 12 (4.9%) 8 (4.1%)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed5.pdf" - }, - { - "text": "services, suggesting injection may be the most difficult\nservice to predict with the included variable set.\nSurgery\nBaseline disability (OR = 3.13 – 3.25, p < 0.001), change in\ndisability (OR = 3.04 – 3.05, p = 0.01) and change in\n10-item OSPRO-YF score (OR = 1.12 – 1.14, p < 0.05)\nwhere consistent predictors of subsequent surgery. Not-\nably, magnitude of prediction was comparable between\nchange in disability and baseline disability. This was the\nonly parsimonious model to include an OSPRO tool. In\nthis case, an increase in pain-related psychological dis-\ntress measured by the OSPRO-YF 10-item questionnaire\nover the first 4 weeks was associated with higher odds of\nsurgery. The 3 predictors in this model explained just\nover 30% of the variance in surgery utilization.\nDiagnostic tests or imaging\nComorbidity index score (OR = 1.35 – 1.45, p < 0.05),\nbaseline disability (OR = 2.25 – 2.66, p < 0.001), and base-\nline to 4-week change in pain intensity (OR = 3.04 – 3.05,\np = 0.01) were significant predictors of diagnostic test or\nimaging utilization. Among these, baseline disability was\nthe strongest predictor. In these models, higher comor-\nbidity index, higher baseline disability and worsening\npain were associated with higher odds of utilization.\nTogether, these variables explained approximately 30%\nof the variance in utilization.\nEmergency room\nModels for emergency room use had the highest pseudo-R 2\nvalues of any individual service (0.48 – 0.50), but also had\nthe largest number of predictors (8 – 9). Agreement between\ncomplete case and weighte dm o d e l sw a sm o d e r a t e .T h e\nmodels converged on the foll owing predictors: age (OR =\n0.91– 0.94, p < 0.05), insurance (OR = 8.99 – 13.15, p <0 . 0 5 ) ,\nbaseline disability (OR = 3.33 – 4.88, p < 0.001), and change\nin pain (OR = 1.59 – 1.77, p < 0.05). Higher utilization was\nassociated with younger age, other insurance (e.g., self-pay,\nWorker’s Compensation, or other commercial insurance)\ncompared to private insurance , higher baseline disability\nand worsening of pain. In the weighted analysis, subjects\nwith knee pain were less likely to utilize the emergency\nroom than those with low back pain. However, this rela-\ntionship was not significant ( p = .06) in the complete case\nanalysis. Of the significant predictors in both models, insur-\nance status was the strongest individual predictor of subse-\nquent emergency room use.\nDiscussion\nThis study identified novel predictors for pain-related\nutilization outcomes following an episode of physical\ntherapy for a primary complaint of musculoskeletal\npain. The most robust finding from these analyses\nwas that baseline disability and change in pain inten-\nsity over the first 4 weeks following physical therapy\nevaluation were consistent predictors of subsequent\npain-related healthcare utilization in those participants\nthat completed all follow up. Aside from these robust\npredictors, other individual predictors of utilization\nwere highly outcome-specific. High model specificity\nfor utilization outcomes observed in this study is con-\nsistent with a recent systematic review that found\nsimilar levels of model specificity for more traditional\noutcomes like pain intensity, disability and work\nabsenteeism [ 14]. Across models, health-related vari-\nables were generally strong er predictors than sociode-\nmographic factors, which is also supported by prior\nresearch [ 15, 16]. Additionally, there were cases when\nprediction models were improved for specific services\n(e.g. surgery, use of opioids) when considering change\nin pain, disability or pain-related psychological dis-\ntress. A notable finding is that the OSPRO-YF had\nthe greatest utility when used to measure change in\npain-related psychological distress. Current risk pre-\ndiction paradigms in musculoskeletal pain consider\nonly baseline pain-related psychological distress. How-\never, these results underscore the importance of", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed5.pdf" - }, - { - "text": "burden. The CCI has demonstrated good test-retest re-\nliability (0.91) and positive but weak to modest correla-\ntions with medication use, hospitalizations, length of\nstay, total charges, and pharmacy and laboratory\ncharges for older adults in general medical care and\nsurgical care settings [ 35].\nAssessment tools\nOSPRO Review of Systems tool (OSPRO-ROS)\nThe OSPRO-ROS is a review-of-systems screening tool for\nuse in outpatient orthopedi c physical therapy settings [ 36].\nThe OSPRO-ROS has demonstrated good concurrent val-\nidity with depression and a comprehensive 97-item battery\nof non-musculoskeletal symptoms (i.e., red flags). [ 36]\nModerate to strong predictive capabilities of the\nOSPRO-ROS have been reported for persistence of pain,\nquality of life, and change in comorbidity 12 months fol-\nlowing physical therapy in pat ients with musculoskeletal\npain [ 20, 21]. The OSPRO-ROS includes standard symp-\ntom descriptors to aid with identification of systemic or\nnon-musculoskeletal origins of musculoskeletal pain. It\nincludes questions related to symptoms of the cardiovascu-\nlar, gastrointestinal, endocrine, nervous, integumentary,\npulmonary, and musculoskeletal systems. The full-length\n23-item version of the OSPRO-ROS is capable of identify-\ning 100% of positive red-flag r esponders (i.e. indicating\n“yes” to at least one systemic symptom on a questionnaire)\nin outpatient orthopedic ph ysical therapy settings. [ 36]A\nshorter, 10-item version is also available that has been\nLentz et al. BMC Health Services Research (2018) 18:648 Page 3 of 14", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed5.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team\nincluded three individuals representing users from the Nordland\nMS Association, along with an MS nurse and a neurologist from\nthe MS-outpatient clinic, and three physiotherapists/ researchers.\n2.4 Research team and reflexivity\nAll researchers on the team are clinical specialists in\nneurological physiotherapy. BN and ECA developed the\nCoreDISTparticipation intervention, and SSHD contributed to\nthe development of the outdoor part.\nThe researchers ’ closeness to the intervention and the\nclinical field may have strengthened the depth and relevance\nof their interpretations in this study ( 27), as it was easy to\nunderstand what participan ts described and helped form\nfollow-up questions during the interviews. However, closeness\nm a ya l s op r o d u c ear i s ko f“blind spots ”, as the researchers\nmay prejudice participants ’ experiences, omitting questions\nwhere the answers are believed to be obvious ( 27). Thus,\nthroughout the process, trustworthiness and rigor were\nenhanced by discussing the methodology, findings, and\ninterpretations with external res earchers (including specialists\nin enactive theory), as well as user representatives. The\npresented theoretical framework (enactive theory) enhanced\nthe distance to the material, as recommended in qualitative\nresearch (28).\n2.5 Recruitment and participants\nPrior to recruitment, the study was introduced to individuals\nwith multiple sclerosis (pwMS) through a seminar hosted by the\nNordland MS Association. Additionally, seminars were\nconducted for health professionals in community healthcare and\nat the regional hospital. Written information about this study\n(and the RCT) was sent from the MS clinic at the regional\nhospital by post to all eligible individuals af filiated with the\nhospital. Individuals who wished to participate signed the\nattached consent form and returned it in the pre-stamped\nenvelope. The inclusion criteria were as follows: had been\ndiagnosed with MS, had a score on the Expanded Disability\nStatus Scale (EDSS) (29)o f ≤3.5, was ≥18 years, was employed\n(10%–100% of full-time) and residential address in the two\npredefined municipalities. The exclusion criteria were as follows:\npregnancy, exacerbation of symptoms within two weeks prior to\nenrollment and other serious conditions compromising balance,\nwalking or work capacity. All participants in the intervention\ngroup of the RCT (n = 15) were included (Table 3).\n2.6 Data collection\nThe interview guide (Table 4) was developed based on literature\nreviews, clinical experience and discussions within the research\ngroup and with user representatives. Two test interviews were\nconducted (with pwMS who were not part of the sample), and the\ninterview guide was then refined around the following themes:\noverall experience and re flections from participation, content,\noutdoor setting, the group, and the physiotherapists. Questions\nwere open-ended to capture rich, in-depth reflections regarding\nparticipants’ experiences, following a phenomenological approach.\nThe interviewer asked for both negative and positive experiences\nTABLE 4 Interview guide.\nTheme Potential questions\nOverall experiences and\nreflections from participation\nGenerally, what are your main experiences of\nparticipation?\nWhat did you perceive as meaningful?\nWhat did you perceive as negative?\nContent How did you experience:\n The content of the sessions in general\n The high-intensity walking/running\n The specific exercises\n The combination of specific exercises and\nintervals of running/walking\n The exercise intensity\nHow did you respond to the exercises? How did\nyou experience getting tired?\nHow do you perceive your specific movement\nimpairments (if any) being addressed?\nPlease elaborate on situations where you\nexperienced the feeling of mastery/failure.\nIf anything: What was challenging? What would\nyou prefer to have been done differently? What\ndid you enjoy?\nWhat was the value of participating in the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the range of the pain rating scale ?", - "target_page": 3, - "target_passage": "Pain intensity was assessed by the numerical pain rating scale (NPRS) ranging from “0” (no pain) to “10” (worst pain imaginable)", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Energy/fatigue /C0 0.454 (/C0 0.479 to/C0 0.428) < .001 /C0 0.452 (/C0 0.479 to/C0 0.425) < .001\nEmotional well-being /C0 0.230 (/C0 0.256 to/C0 0.204) < .001 /C0 0.239 (/C0 0.266 to/C0 0.213) < .001\nSocial functioning /C0 0.433 (/C0 0.466 to/C0 0.399) < .001 /C0 0.434 (/C0 0.469 to/C0 0.399) < .001\nPain /C0 0.410 (/C0 0.444 to/C0 0.377) < .001 /C0 0.387 (/C0 0.423 to/C0 0.352) < .001\nGeneral health /C0 0.390 (/C0 0.416 to/C0 0.364) < .001 /C0 0.382 (/C0 0.409 to/C0 0.355) < .001\nTotal score /C0 0.485 (/C0 0.504 to/C0 0.467) < .001 /C0 0.473 (/C0 0.493 to/C0 0.454) < .001\nAdjusted coefficients are adjusted for age, sex, and BMI. Regression coefficients are presented with 95% CIs andP values.\nchestjournal.org 1305", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Healthcare utilization predictors\nWe collected potential predictors by self-reported ques-\ntionnaires at initial evaluation using an online study web-\nsite. Participants were directed back to the study website\n4 weeks following initial evaluation to again complete\nquestions on pain intensity, disability, and pain-related\npsychological distress. Change in pain intensity, disability,\nand pain-related psychological distress from baseline to\n4 weeks were modeled as treatment response variables\nand included as potential predictors.\nSociodemographic and health-related information\nParticipants completed a standard intake questionnaire\nform previously used in our clinical studies that assessed\nage, sex, race, and insurance provider type. This ques-\ntionnaire also assessed health-related variables included\nanatomical region of primary pain complaint (low back,\nneck, shoulder, or knee) and whether the patient had\nundergone surgery for their primary pain complaints\n(yes or no). Due to small cell sizes for certain categories,\nrace was dichotomized as white or non-white. For insur-\nance type, participants were asked to choose one of the\nfollowing options: private, public (Medicare and/or Me-\ndicaid), uninsured/self-pay, worker ’s compensation, and\nother/commercial insurance. Among the study sample,\nwe observed few with no insurance ( n = 7) or worker ’s\ncompensation ( n = 14). The study also included relatively\nfew with ‘other/commercial insurance ’ (n = 45). Within\nthis group, informal assessment of these various plans\nsuggested high heterogeneity of plan characteristics and\ncoverage. Due to the small number of subjects in these\nindividual insurance strata and to improve interpretabil-\nity of results, we collapsed those reporting no insurance,\nworker’s compensation and other/commercial insurance\ninto a single category (i.e., ‘Other’). Therefore, insurance\ntype was categorized as private, public, or other (no in-\nsurance, worker ’s compensation, or other/commercial\ninsurance) for purposes of analysis.\nPain-related clinical variables\nPain status was determined using established definitions\nthat account for the duration of pain and activity limita-\ntions [ 22, 23] using the following two questions: 1)\n“How long have you been experiencing your current\npainful symptoms? ” and 2) “Have you experienced ANY\npain and activity limitations every day for the past 3\nmonths?” Responses to question 1 of “greater than 90\ndays” or responses to question 2 of “Yes” were used to\nclassify patients as having persistent pain at initial\nevaluation.\nPain intensity\nPain intensity was assessed by the numerical pain rating\nscale (NPRS) ranging from “0” (no pain) to “10” (worst\npain imaginable) [ 24– 26]. Participants rated their\ncurrent pain intensity, as well as their best (lowest) and\nworst (highest) pain intensity over the past 24 h.\nCurrent, best and worst pain ratings were averaged for\npurposes of analysis.\nRegion-specific disability\nSelf-reported region-specific disability was assessed with\nthe Neck Disability Index [ 27, 28], Oswestry Disability\nQuestionnaire [29, 30], Quick Disability of Arm Shoulder\nand Hand [ 31] or International Knee Documentation\nCommittee Subjective Knee Form [ 32] for cervical, low\nback, shoulder and knee pain, respectively. Region-specific\ndisability measures were z-transformed for purposes of\nanalysis, consistent with our prior work involving multiple\nanatomical regions [ 33].\nComorbidities\nCharlson comorbidity index (CCI)\nThe Charlson Comorbidity Index was used to measure\nthe presence of chronic comorbid medical conditions\n[34]. It lists 19 medical conditions that participants are\nasked to indicate whether they “have ever been diag-\nnosed with by a physician ”.C o n d i t i o n sa r ew e i g h t e d\nand added for an overall measure of comorbidity\nburden. The CCI has demonstrated good test-retest re-\nliability (0.91) and positive but weak to modest correla-\ntions with medication use, hospitalizations, length of", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed5.pdf" - }, - { - "text": "21. Beneciuk JM, Lentz TA, He Y, Wu SS, George SZ. Prediction of persistent\nmusculoskeletal pain at 12 months: a secondary analysis of the Optimal\nScreening for Prediction of Referral and Outcome (OSPRO) validation cohort\nstudy. Phys Ther. 2018;98:290 – 301.\n22. Freburger JK, Holmes GM, Agans RP, Jackman AM, Darter JD, Wallace AS, et\nal. The rising prevalence of chronic low back pain. Arch Intern Med. 2009;\n169:251– 8.\n23. Carey TS, Freburger JK, Holmes GM, Jackman A, Knauer S, Wallace A, et al.\nRace, care seeking, and utilization for chronic back and neck pain:\npopulation perspectives. J Pain Off J Am Pain Soc. 2010;11:343 – 50.\n24. Jensen MP, Turner JA, Romano JM, Fisher LD. Comparative reliability and\nvalidity of chronic pain intensity measures. Pain. 1999;83:157 – 62.\n25. Bolton JE. Accuracy of recall of usual pain intensity in back pain patients.\nPain. 1999;83:533 – 9.\n26. Childs JD, Piva SR, Fritz JM. Responsiveness of the numeric pain rating scale\nin patients with low back pain. Spine. 2005;30:1331 – 4.\n27. Vernon H. The neck disability index: state-of-the-art, 1991-2008. J Manip\nPhysiol Ther. 2008;31:491 – 502.\n28. Vernon H, Mior S. The neck disability index: a study of reliability and validity.\nJ Manip Physiol Ther. 1991;14:409 – 15.\n29. Hudson-Cook N, Tomes-Nicholson K, Breen A. A revised Oswestry disability\nquestionnaire. In: Roland M, Jenner J, editors. Back pain: new approaches to\nrehabilitation and education. New York: Manchester University Press; 1989.\np. 187 – 204.\n30. Fritz JM, Irrgang JJ. A comparison of a modified Oswestry low back pain\ndisability questionnaire and the Quebec back pain disability scale. Phys\nTher. 2001;81:776 – 88.\n31. Beaton DE, Wright JG, Katz JN, Upper Extremity Collaborative Group.\nDevelopment of the QuickDASH: comparison of three item-reduction\napproaches. J Bone Joint Surg Am. 2005;87:1038 – 46.\n32. Irrgang JJ, Anderson AF, Boland AL, Harner CD, Kurosaka M, Neyret P, et al.\nDevelopment and validation of the international knee documentation\ncommittee subjective knee form. Am J Sports Med. 2001;29:600 – 13.\n33. Butera KA, Lentz TA, Beneciuk JM, George SZ. Preliminary evaluation of a\nmodified STarT back screening tool across different musculoskeletal pain\nconditions. Phys Ther. 2016;96:1251 – 61.\n34. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying\nprognostic comorbidity in longitudinal studies: development and validation.\nJ Chronic Dis. 1987;40:373 – 83.\n35. Katz JN, Chang LC, Sangha O, Fossel AH, Bates DW. Can comorbidity be\nmeasured by questionnaire rather than medical record review? Med Care.\n1996;34:73– 84.\n36. George SZ, Beneciuk JM, Bialosky JE, Lentz TA, Zeppieri G, Pei Q, et al.\nDevelopment of a review-of-systems screening tool for orthopaedic\nphysical therapists: results from the Optimal Screening for Prediction of\nReferral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2015;45:\n512– 26.\n37. Lentz TA, Beneciuk JM, Bialosky JE, Zeppieri G, Dai Y, Wu SS, et al.\nDevelopment of a yellow flag assessment tool for orthopaedic physical\ntherapists: results from the Optimal Screening for Prediction of Referral and\nOutcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2016;46:327 – 43.\n38. Beneciuk JM, Fritz JM, George SZ. The STarT back screening tool for\nprediction of 6-month clinical outcomes: relevance of change patterns in\noutpatient physical therapy settings. J Orthop Sports Phys Ther. 2014;44:\n656– 64.\n39. Myers RH. Classical and modern regression with applications. 2nd ed. Pacific\nGrove: Duxbury Press; 2000.\n40. Weuve J, Tchetgen Tchetgen EJ, Glymour MM, Beck TL, Aggarwal NT,\nWilson RS, et al. Accounting for bias due to selective attrition: the example\nof smoking and cognitive decline. Epidemiol Camb Mass. 2012;23:119 – 28.\n41. Hernán MA, Hernández-Díaz S, Robins JM. A structural approach to\nselection bias. Epidemiol Camb Mass. 2004;15:615 – 25.\n42. Kent P, Keating JL, Leboeuf-Yde C. Research methods for subgrouping low", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed5.pdf" - }, - { - "text": "shown to identify approximately 95% of positive red-flag re-\nsponders. For statistical analyses, the “yes” responses were\nadded for each version and included in each model as a\ncontinuous independent variable.\nOSPRO Yellow Flag tool (OSPRO-YF)\nThe OSPRO-YF is a yellow flag assessment tool that in-\ncludes items from pain vulnerability domains (negative\naffect and fear-avoidance) and pain resilience domains\n(positive affect and self-efficacy) to aid with identification\nof pain-related psychological distress in outpatient ortho-\npedic physical therapy settings [ 37]. The OSPRO-YF has\ngood concurrent validity with pain intensity and\nregion-specific disability [ 37] and is capable of predicting\npain intensity, disability, quality of life and persistent pain\n12 months following physical therapy in patients with\nmusculoskeletal pain [ 20, 21]. The full-length OSPRO-YF\nhas 17-items, however a shortened 10-item version is also\navailable with an acceptable trade-off in accuracy. Like the\nOSPRO-ROS, the OSPRO-YF is designed for implementa-\ntion into electronic medical record (EMR) systems to\nquickly and accurately identify risk for a variety of clinical\noutcomes [ 19]. For statistical analyses, a summary score\nwas derived for each version by adding the item responses\nafter reverse-scoring items 2, 13, 14, 15 and 17 so that\nhigher scores indicate higher pain-related psychological\ndistress. The summary score was then included in each\nmodel as a continuous independent variable.\nIntervention\nAll physical therapy treatment was provided at the discre-\ntion of the treating clinician. The duration of the episode,\nthe number of physical therapy visits, and individual treat-\nment parameters (type, intensity, duration, frequency)\nwere not collected for pragmatic reasons. In particular,\nclinical and utilization data are not commonly collected in\na standardized format and would need to be extracted\nfrom disparate medical record databases across different\nhealth care systems to assess treatment. This was not feas-\nible given the scope and design of this multisite\nsurvey-based study. However, instead of coding treatment\ntype we included baseline-to-4 week change in pain inten-\nsity, region-specific disability, and OSPRO-YF scores in\neach model as measures of treatment response. In that\nmanner the individual effects of the treatment received\nwere included in the predictive models, without directly\naccounting for the type of treatment.\nHealthcare utilization outcomes\nSelf-reported health care utilization was assessed at 6- and\n12-months following initial evaluation by online assessment.\nQuestions were derived from previous population-based\nstudies involving musculoskeletal pain that have used survey\nmethods for follow-up assessment [ 22, 23]. Study\nparticipants were asked whether they used any of the fol-\nlowing healthcare services for their primary musculoskeletal\npain complaint in the time following their physical therapy\ntreatment:\n1. Opioid painkillers (eg. Vicodin, Lortab,\nHydrocodone, Fentanyl, Percocet, Oxycontin,\nOxycodone, tramadol, Ultram, Diludid, etc)\n2. Injections\n3. Surgery\n4. Diagnostic tests or Imaging (eg. xray, MRI, CT\nscan, nerve conduction test, etc.)\n5. Emergency room visits\n“Yes” responses were followed by questions regarding\nthe quantity of services utilized (i.e. number of opioid\npainkillers, number of diagnostic tests or number of\nemergency room visits). All utilization questions were\nanswered on a categorical scale (0, 1, 2 – 5, 5 – 10, or > 10)\nindicating the quantity of a particular service received\nduring the applicable follow-up timeframe. At 6-month\nfollow-up, study participants reported their use of ser-\nvices for the previous 2 months, allowing a timeframe of\n4 months from initial evaluation for them to complete\nphysical therapy. At 12-month follow-up, study partici-\npants reported their use of services over the previous\n6 months since their last survey. This method provided", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "al. United states national pain strategy for population research: concepts,\ndefinitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068 – 80.\n2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic:\npopulation health implications and potential solutions. Report from the\nnational stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1 – 10.\n3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for\nchronic pain--United States, 2016. JAMA. 2016;315:1624 – 45.\n4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual\nphysical therapy in the treatment of cervical radiculopathy: a systematic\nreview. J Man Manip Ther. 2011;19:135 – 42.\n5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical\ntherapy only and of usual care for various health conditions: systematic\nreview. Phys Ther. 2016;96:774 – 86.\n6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al.\nPhysical therapy treatment effectiveness for osteoarthritis of the knee: a\nrandomized comparison of supervised clinical exercise and manual therapy\nprocedures versus a home exercise program. Phys Ther. 2005;85:1301 – 17.\n7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC.\nEffectiveness of manual physical therapy and exercise in osteoarthritis of\nthe knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173 – 81.\n8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the\nmanagement of chronic spine disorders: a propensity score approach. Phys\nTher. 2006;86:381 – 94.\n9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al.\nEffectiveness of physical therapy in treating atraumatic full-thickness rotator\ncuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013;\n22:1371– 9.\n10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients\nwith low back pain to physical therapy: impact on future health care\nutilization and costs. Spine. 2012;37:2114 – 21.\n11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions\nafter a new consultation for low back pain: implications of the usage of\nphysical therapy for subsequent health care costs and utilization. Arch Phys\nMed Rehabil. 2013;94:808 – 16.\n12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care\nback pain screening tool: identifying patient subgroups for initial treatment.\nArthritis Rheum. 2008;59:632 – 41.\n13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG,\net al. Estimating the risk of chronic pain: development and validation of a\nprognostic model (PICKUP) for patients with acute low back pain. PLoS\nMed. 2016;13:e1002019.\n14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al.\nCan screening instruments accurately determine poor outcome risk in\nadults with recent onset low back pain? A systematic review and meta-\nanalysis. BMC Med. 2017;15:13.\n15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM.\nChronic pain and health services utilization: is there overuse of diagnostic\ntests and inequalities in nonpharmacologic treatment methods utilization?\nMed Care. 2013;51:859 – 69.\n16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G.\nThe societal impact of pain in the European Union: health-related quality of\nlife and healthcare resource utilization. J Med Econ. 2010;13:571 – 81.\n17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive\nvalue of pain intensity on costs and resources utilization in patients with\nperipheral neuropathic pain. Clin J Pain. 2015;31:273 – 9.\n18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and\nresponse to treatment. Phys Ther. 2011;91:712 – 21.\n19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for\nPrediction of Referral and Outcome (OSPRO) in patients with\nmusculoskeletal pain conditions: a longitudinal validation cohort from the", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "diction paradigms in musculoskeletal pain consider\nonly baseline pain-related psychological distress. How-\never, these results underscore the importance of\nTable 7 Summary of consistent individual predictors for each utilization outcome *\nDependent variable Utilization outcome\nAny care Opioids Injection Surgery Diagnostic tests or imaging Emergency room\nAge X\nInsurance X\nComorbidities (CCI) X X\nBaseline disability X X X X X\nBaseline pain X\nChange in pain X X X X\nChange in disability X\nChange in 10-item OSPRO-YF X\nCCI Charlson comorbidity index, OSPRO-YF Pain-related psychological distress screening tool\n*Significant predictors ( p < .05) for each dependent variable denoted with “X”\nLentz et al. BMC Health Services Research (2018) 18:648 Page 10 of 14", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed5.pdf" - }, - { - "text": "Prediction of Referral and Outcome (OSPRO) in patients with\nmusculoskeletal pain conditions: a longitudinal validation cohort from the\nUSA. BMJ Open. 2017;7:e015188.\n20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr.\nOptimal Screening for Prediction of Referral and Outcome (OSPRO) for\nMusculoskeletal Pain Conditions: Results From the Validation Cohort. J\nOrthop Sports Phys Ther. 2018;48(6):460 – 75.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 13 of 14", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "routine pain-related psychological distress monitoring\nthroughout the early phases of rehabilitation espe-\ncially if the goal is to identify risk for subsequent\npain-related healthcare utilization. The implications of\nthese collective findings are that treatment pathways\nmay provide greater value by 1) addressing modifiable\nhealth-related variables like pain, disability and\npain-related psychological distress, 2) routine moni-\ntoring of these health-related variables and 3) offering\ntreatment alternatives that safely escalate care if\nneeded while minimizing risk of harm and unhelpful\nutilization.\nOpioids and diagnostic tests and imaging were the two\nmost common subsequent healthcare services utilized\nfollowing physical therapy. Of the individuals that com-\npleted follow up and had any subsequent healthcare\nutilization, approximately 42% reported opioid use and\n70% reported use of diagnostic tests and imaging. An\nimportant health-related predictor of these services was\nlevel of comorbidity burden. For those with high comor-\nbidity burden and inadequate treatment response to\nphysical therapy, use of additional diagnostic tests and\nimaging or low-dose opioids may be appropriate in some\ncases. But given the growing public health concern over\nopioid use and the desire to avoid unnecessary treat-\nment driven by imaging, our results suggest the import-\nance of considering disease burden when developing\ntreatment pathways and healthcare policy to mitigate\nrisk for avoidable use of these services. Interestingly,\nneither versions of the OSPRO-ROS predicted\nutilization outcomes even though it has been linked to\nmental health, comorbidity, a nd persistent pain state in\nother analyses [ 20, 21]. Systemic symptom burden is a\nmeasure of patient complexity that is related to but dis-\ntinct from comorbidity burden [ 36, 47]. In these ana-\nlyses, the chronic condition measure (i.e. the CCI) was\na better predictor of utilization than symptom burden\n(i.e. OSPRO-ROS). The reasons for this finding are un-\nclear but may be related to providers and patients being\nm o r el i k e l yt op u r s u ef o l l o w - u pm e d i c a lc a r ef o rm u s -\nculoskeletal pain when known co-existing conditions\nare present as opposed to reporting of symptoms alone.\nThe distinction between symptom and disease burden\nin defining musculoskeletal patient complexity, and its\ninfluence on clinical decision-making and outcomes,\nshould be the subject of future research particularly re-\nlated to aging populations [ 48].\nUtilization outcomes benchmarks have not been estab-\nlished to determine how the percentage of subsequent\nhealthcare use in this study compares to outcomes using\nother health services. Prior studies suggest physical ther-\napy is associated with reduced incidence of additional\nhealthcare use compared to not using physical therapy\nin patients with acute low back pain [ 10, 49]. Some\nadditional healthcare use is expected following physical\ntherapy, especially among individuals that are on\nlong-term pain management pathways due to chronic or\npersistent symptoms. Yet with over 40% reporting subse-\nquent pain-related healthcare among those completing\nfollow-up, it is apparent that opportunities exist to im-\nprove pathway selection and/or the effectiveness of\nphysical therapy for individuals with musculoskeletal\npain. This finding is particularly notable given recent\nefforts to define physical therapy as an effective first line,\nnon-pharmacological treatment option against more\ninvasive or higher risk services, such as surgery or opioid\nuse, respectively. Predictive variables identified in this\nanalysis can be used to develop risk models that better\ninform pathway selection for those seeking physical ther-\napy for musculoskeletal pain. The precise application of\nthese risk models, and how they inform policy and prac-\ntice should be the target of future study. However, phys-\nical therapy re-design might incorporate enhanced", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed5.pdf" - }, - { - "text": "Readers should consider our inability to independently\nconfirm utilization when interpreting results.\nIn future studies, we will embed the OSPRO tools into\nelectronic medical record (EMR) databases to refine and\ntest outcomes prediction models at the health care systems\nlevel. Importantly, we will collect clinical encounter data\nthrough the EMR and combine it with administrative or\nbilling data to confirm the results of this study with more\nobjective measures of health care use. These studies will\nalso allow us to provide better guidance on how to use the\nOSPRO tools to identify serious psychiatric involvement or\nsystemic sources of pain that require medical referral. Fi-\nnally, we will explore alternative scoring strategies for the\ntools, such as weighted scoring for the OSPRO-ROS and\nuse of predicted full-length p sychological questionnaire\nscores for the OSPRO-YF. Healthcare providers could then\nuse the collective informatio n from these studies to build\nlearning health systems that facilitate effective, real-time\nclinical decision-making support to improve value of care\nfor patients with musculoskeletal pain.\nConclusion\nBaseline disability and change in pain intensity were im-\nportant predictors of any subsequent pain-related\nhealthcare utilization, while predictors of individual ser-\nvice utilization were outcome-specific. Identification of\nrisk is improved through treatment monitoring for pain\nand, in some cases, disability and pain-related psycho-\nlogical distress. Comorbidity burden was an important\npredictor of subsequent utilization of opioids and diag-\nnostic tests and imaging, both of which have been recent\ntargets of healthcare policy to constrain their unneces-\nsary use. Future research is needed to refine these pre-\ndictor variables and incorporate them into risk models\nthat support clinical decision-making so that treatment\neffectiveness and efficiency are optimized in value-based\nsystems.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 12 of 14", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed5.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca.\nThe remaining authors have no conflicts of interest to declare.\nData are available on request to lead contact G.-\nA.W.—gregory.weir@glasgow.ac.uk. Further information and\nrequests for reagents and/or reagents used in this study should\nalso be directed to G.A.W., and we will endeavour to fulfil these.\nAcknowledgments\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp\ntransgenic mouse line and Prof Andrew Todd and Dr David\nHughes for their critical feedback on the manuscript. Neuron and\nganglion illustrations in Figure 1 and S1 (http://links.lww.com/\nPAIN/C84) were adapted from images provided by Servier\nMedical Art, licensed under CC BY 4.0. The research was funded\nby an MRC Fellowship grant awarded to GAW. (MR/T01072X/1)\nand a Tenovus Scotland Pilot Grant awarded to AHC and GAW\n(S22-17). This work was also funded by the Wellcome Trust (DPhil\nscholarship to AMB, 215145/Z/18/Z) and a Wellcome Investiga-\ntor Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/\nT020113/1), and with funding from the MRC and Versus Arthritis\nto the PAINSTORM consortium as part of the Advanced Pain\nDiscovery Platform (MR/W002388/1). AMB further received\na GTC MSDTC Scholarship.\nSupplemental digital content\nSupplemental digital content associated with this article can be\nfound online at http://links.lww.com/PAIN/C84.\nSupplemental video content\nVideo content associated with this article can be found on the\nPAIN Web site.\nArticle history:\nReceived 14 November 2023\nReceived in revised form 11 April 2024\nAccepted 25 May 2024\nAvailable online 15 August 2024\nReferences\n[1] Abraira VE, Kuehn ED, Chirila AM, Springel MW, Toliver AA, Zimmerman\nAL, Orefice LL, Boyle KA, Bai L, Song BJ, Bashista KA, O’Neill TG, Zhuo J,\nTsan C, Hoynoski J, Rutlin M, Kus L, Niederkofler V, Watanabe M,\nDymecki SM, Nelson SB, Heintz N, Hughes DI, Ginty DD. The cellular and\nsynaptic architecture of the mechanosensory dorsal horn. Cell 2017;168:\n295–310.e19.\n[2] Bailey AL, Ribeiro-Da-Silva A. Transient loss of terminals from non-\npeptidergic nociceptive fibers in the substantia gelatinosa of spinal cord\nfollowing chronic constriction injury of the sciatic nerve. Neuroscience\n2006;138:675–90.\n[3] Barry AM, Zhao N, Yang X, Bennett DL, Baskozos G. Deep RNA-seq of\nmale and female murine sensory neuron subtypes after nerve injury. PAIN\n2023;164:2196–215.\n[4] Bell AM, Utting C, Dickie AC, Kucharczyk MW, Quillet R, Gutierrez-\nMecinas M, Razlan ANB, Cooper AH, Lan Y, Hachisuka J, Weir GA,\nBannister K, Watanabe M, Kania A, Hoon MA, Macaulay IC, Denk F, Todd\nAJ. Deep sequencing of Phox2a nuclei reveals five classes of anterolateral\nsystem neurons. bioRxiv 2023.2023.08.20.553715.\n[5] Bennett DL, Michael GJ, Ramachandran N, Munson JB, Averill S, Yan Q,\nMcMahon SB, Priestley JV. A distinct subgroup of small DRG cells\nexpress GDNF receptor components and GDNF is protective for these\nneurons after nerve injury. J Neurosci 1998;18:3059–72.\n[6] Bondok AA, Sansone FM. Retrograde and transganglionic degeneration\nof sensory neurons after a peripheral nerve lesion at birth. Exp Neurol\n1984;86:322–30.\n[7] Boucher TJ, Okuse K, Bennett DLH, Munson JB, Wood JN, McMahon\nSB. Potent analgesic effects of GDNF in neuropathic pain states. Science\n2000;290:124–7.\n[8] Bradbury EJ, Burnstock G, McMahon SB. The expression of P2X3\npurinoreceptors in sensory neurons: effects of axotomy and glial-derived\nneurotrophic factor. Mol Cell Neurosci 1998;12:256–68.\n[9] Br ´az JM, Basbaum AI. Triggering genetically-expressed transneuronal\ntracers by peripheral axotomy reveals convergent and segregated\nsensory neuron-spinal cord connectivity. Neuroscience 2009;163:\n1220–32.\n[10] Cobos EJ, Nickerson CA, Gao F, Chandran V, Bravo-Caparr ´ os I,\nGonz ´alez-Cano R, Riva P, Andrews NA, Latremoliere A, Seehus CR,\nPerazzoli G, Nieto FR, Joller N, Painter MW, Ma CHE, Omura T, Chesler\nEJ, Geschwind DH, Coppola G, Rangachari M, Woolf CJ, Costigan M.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What are the health consequences of musculoskeletal pain ?", - "target_page": 1, - "target_passage": "Musculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related ad diction [1].", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "RESEARCH ARTICLE Open Access\nPrediction of healthcare utilization\nfollowing an episode of physical therapy\nfor musculoskeletal pain\nTrevor A. Lentz 1* , Jason M. Beneciuk 2,3 and Steven Z. George 4\nAbstract\nBackground: In the United States, value-based purchasing has crea ted the need for healthcare s ystems to prospectively\nidentify patients at risk for high healthc are utilization beyond a physical therapy episode for musculoskeletal pain. The\npurpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode\nof physical therapy for musculoskeletal pain.\nMethods:This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO)\nlongitudinal cohort study that recruited individuals wit h a primary complaint of neck, low back, knee or shoulder\npain in physical therapy ( n = 440). Demographics, health-related infor mation, review of systems, comorbidity and\npain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in\npain intensity, disability, and pain-related psychological distress were measured as treatment response variables.\nAt 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests\nor imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models\nwere developed for any subsequent care and service-specific utilization.\nResults: Subsequent pain-related healthcare utilization was reported by 43% (n = 106) of the study sample that completed\nthe 12-month follow-up (n = 246). Baseline disability and 4-week change in pain intensity were important global predictors\nof subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain\nintensity, disability and pain-related psychological distress predicted specific service utilization.\nConclusion:In those completing follow up measures, risk of additional pain-related healthcare utilization after physical\ntherapy was best predicted by baseline characteristics and 4-week treatment response variablesfor pain intensity, disability\nand pain-related psychologicaldistress. These findings suggest treatment monitoring of specific response variables could\nenhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is\nrequired to determine how specific characteristics of the clinical encounter influence future utilization.\nKeywords:Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring\nBackground\nMusculoskeletal pain is a prevalent and costly health\ncondition with far-reaching public health consequences\nincluding chronic pain, disability and opioid-related ad-\ndiction [ 1]. Clinical practice guidelines now recom-\nmend non-pharmacological treatment as frontline\nmanagement for musculoskeletal pain, which will lead\nto increased utilization of services such as physical\ntherapy [ 1– 3]. Physical therapy is effective for improving\ndisability and reducing costs associated with many muscu-\nloskeletal pain conditions [ 4– 9]. However, pain-related\nhealthcare utilization beyond the physical therapy episode\n(e.g. subsequent use of surgery, injection, opioids, etc.)\nmay indicate suboptimal treatment response, the presence\nof more complex needs, or unwarranted escalation of care.\nDownstream healthcare utilization is not often considered\nas an outcome of care or indication of treatment effective-\nness for musculoskeletal pain. But the importance of\n* Correspondence: trevor.lentz@duke.edu\n1Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham,\nNC 27705, USA\nFull list of author information is available at the end of the article\n© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "diction paradigms in musculoskeletal pain consider\nonly baseline pain-related psychological distress. How-\never, these results underscore the importance of\nTable 7 Summary of consistent individual predictors for each utilization outcome *\nDependent variable Utilization outcome\nAny care Opioids Injection Surgery Diagnostic tests or imaging Emergency room\nAge X\nInsurance X\nComorbidities (CCI) X X\nBaseline disability X X X X X\nBaseline pain X\nChange in pain X X X X\nChange in disability X\nChange in 10-item OSPRO-YF X\nCCI Charlson comorbidity index, OSPRO-YF Pain-related psychological distress screening tool\n*Significant predictors ( p < .05) for each dependent variable denoted with “X”\nLentz et al. BMC Health Services Research (2018) 18:648 Page 10 of 14", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed5.pdf" - }, - { - "text": "routine pain-related psychological distress monitoring\nthroughout the early phases of rehabilitation espe-\ncially if the goal is to identify risk for subsequent\npain-related healthcare utilization. The implications of\nthese collective findings are that treatment pathways\nmay provide greater value by 1) addressing modifiable\nhealth-related variables like pain, disability and\npain-related psychological distress, 2) routine moni-\ntoring of these health-related variables and 3) offering\ntreatment alternatives that safely escalate care if\nneeded while minimizing risk of harm and unhelpful\nutilization.\nOpioids and diagnostic tests and imaging were the two\nmost common subsequent healthcare services utilized\nfollowing physical therapy. Of the individuals that com-\npleted follow up and had any subsequent healthcare\nutilization, approximately 42% reported opioid use and\n70% reported use of diagnostic tests and imaging. An\nimportant health-related predictor of these services was\nlevel of comorbidity burden. For those with high comor-\nbidity burden and inadequate treatment response to\nphysical therapy, use of additional diagnostic tests and\nimaging or low-dose opioids may be appropriate in some\ncases. But given the growing public health concern over\nopioid use and the desire to avoid unnecessary treat-\nment driven by imaging, our results suggest the import-\nance of considering disease burden when developing\ntreatment pathways and healthcare policy to mitigate\nrisk for avoidable use of these services. Interestingly,\nneither versions of the OSPRO-ROS predicted\nutilization outcomes even though it has been linked to\nmental health, comorbidity, a nd persistent pain state in\nother analyses [ 20, 21]. Systemic symptom burden is a\nmeasure of patient complexity that is related to but dis-\ntinct from comorbidity burden [ 36, 47]. In these ana-\nlyses, the chronic condition measure (i.e. the CCI) was\na better predictor of utilization than symptom burden\n(i.e. OSPRO-ROS). The reasons for this finding are un-\nclear but may be related to providers and patients being\nm o r el i k e l yt op u r s u ef o l l o w - u pm e d i c a lc a r ef o rm u s -\nculoskeletal pain when known co-existing conditions\nare present as opposed to reporting of symptoms alone.\nThe distinction between symptom and disease burden\nin defining musculoskeletal patient complexity, and its\ninfluence on clinical decision-making and outcomes,\nshould be the subject of future research particularly re-\nlated to aging populations [ 48].\nUtilization outcomes benchmarks have not been estab-\nlished to determine how the percentage of subsequent\nhealthcare use in this study compares to outcomes using\nother health services. Prior studies suggest physical ther-\napy is associated with reduced incidence of additional\nhealthcare use compared to not using physical therapy\nin patients with acute low back pain [ 10, 49]. Some\nadditional healthcare use is expected following physical\ntherapy, especially among individuals that are on\nlong-term pain management pathways due to chronic or\npersistent symptoms. Yet with over 40% reporting subse-\nquent pain-related healthcare among those completing\nfollow-up, it is apparent that opportunities exist to im-\nprove pathway selection and/or the effectiveness of\nphysical therapy for individuals with musculoskeletal\npain. This finding is particularly notable given recent\nefforts to define physical therapy as an effective first line,\nnon-pharmacological treatment option against more\ninvasive or higher risk services, such as surgery or opioid\nuse, respectively. Predictive variables identified in this\nanalysis can be used to develop risk models that better\ninform pathway selection for those seeking physical ther-\napy for musculoskeletal pain. The precise application of\nthese risk models, and how they inform policy and prac-\ntice should be the target of future study. However, phys-\nical therapy re-design might incorporate enhanced", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed5.pdf" - }, - { - "text": "identifying risk for additional utilization has emerged due\nto the growth of cost-sharing and capitated payment\nmodels, particularly in the United States (US). As a result,\nmany US health care services organizations have begun\nto prioritize early identification of individuals at risk for\ndownstream healthcare use at the onset of treatment\n[10, 11]. Early risk assessment allows systems to deliver\ngreater value by 1) focusing limited health care re-\nsources towards patients who are most in need, and 2)\nidentifying those who may require coordination of mul-\ntiple providers and services to optimize outcomes.\nProspective identification of risk for high subsequent\nhealthcare utilization is a different approach to out-\ncomes prediction for musculoskeletal pain [ 12, 13] and\none that has not been evaluated in physical therapy set-\ntings in the US. Most existing outcomes prediction\nmodels focus on pain and disability endpoints [ 12– 14].\nThey also concentrate on condition-specific and psycho-\nlogical predictors, with less attention to factors that could\ninfluence healthcare utilization more directly [ 15– 17].\nThese factors include insurance, comorbidities, symp-\ntoms unrelated to the pain condition, and treatment\nresponse. As a result, predictors of pain-related\nhealthcare utilization beyond physical therapy are un-\nknown. A better understanding of these predictors\nwill have significant implications for future healthcare\npathway development. For instance, an influence of\nmodifiable factors like pain-related psychological dis-\ntress might imply the need to build clinical pathways\nthat address those factors directly through physical\ntherapist provided intervention. Additionally, under-\nstanding the relative predictive capabilities of baseline\nversus change estimates for modifiable factors would\nclarify whether prediction is improved by routinely\nassessing outcomes during the course of treatment\n(i.e. treatment monitoring) [ 18].\nThis study was undertaken in a nationwide, US cohort\nof patients receiving outpatient physical therapy for a\nprimary complaint of knee, shoulder, back or neck pain.\nThe primary aim of the analysis was to predict incidence\nof additional pain-related healthcare utilization in the\nyear following the episode of physical therapy for mus-\nculoskeletal pain. We considered factors not commonly\nassessed in outcomes prediction for musculoskeletal\npain, like insurance, comorbidities, and treatment re-\nsponse, as well as those more often associated with\npain-related outcomes (e.g. psychological distress). This\nproject will lead to the development of potentially novel\noutcome prediction models for this population in a com-\nmon, non-pharmacological US healthcare setting. The\nresults of this study will be particularly important in\nvalue-based payment settings where enhanced clinical\ndecision-making drives treatment effectiveness and sys-\ntem efficiency.\nMethods\nDataset and patient population\nThis study used data from the Orthopedic Physical Ther-\napy – Investigative Network’s (OPT-IN) Optimal Screen-\ning for Prediction of Referral and Outcome (OSPRO)\nvalidation cohort study, a longitudinal prospective study\nof individuals with knee, shoulder, back or neck pain seek-\ning Physical Therapy in the US. A convenience sample\nwas recruited from December 2014 and December 2015\nby participating OPT-IN clinics. The OPT-IN clinics that\nparticipated in data collection represented multiple geo-\ngraphic regions in the US including the Mideast, South-\neast, Great Lakes, Rocky Mountain States and Far West,\nwith an attempt to balance recruitment between urban\nand rural settings over the entire OPT-IN network. Phys-\nical therapists practicing in these clinics identified eligible\nparticipants at initial evaluation and directed them to a se-\ncure study website for the informed consent process and\nbaseline self-report assessment. Eligibility criteria have\nbeen thoroughly reported elsewhere [ 19] and were", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed5.pdf" - }, - { - "text": "41. Hernán MA, Hernández-Díaz S, Robins JM. A structural approach to\nselection bias. Epidemiol Camb Mass. 2004;15:615 – 25.\n42. Kent P, Keating JL, Leboeuf-Yde C. Research methods for subgrouping low\nback pain. BMC Med Res Methodol. 2010;10:62.\n43. Peduzzi P, Concato J, Kemper E, Holford TR, Feinstein AR. A simulation study\nof the number of events per variable in logistic regression analysis. J Clin\nEpidemiol. 1996;49:1373 – 9.\n44. Tabachnick BG, Fidell LS. Using multivariate statistics. 5th ed. Boston:\nPearson; 2006.\n45. Green SB. How many subjects does it take to do a regression analysis.\nMultivar Behav Res. 1991;26:499 – 510.\n46. Harris RJ. A primer of multivariate statistics. 3rd ed. Mahwah: Psychology\nPress; 2001.\n47. Piette JD, Kerr EA. The impact of comorbid chronic conditions on diabetes\ncare. Diabetes Care. 2006;29:725 – 31.\n48. Rice ASC, Smith BH, Blyth FM. Pain and the global burden of disease. Pain.\n2016;157:791– 6.\n49. Fritz JM, Cleland JA, Speckman M, Brennan GP, Hunter SJ. Physical therapy\nfor acute low back pain: associations with subsequent healthcare costs.\nSpine. 2008;33:1800 – 5.\n50. Lentz TA, Harman JS, Marlow NM, George SZ. Application of a value model\nfor the prevention and management of chronic musculoskeletal pain by\nphysical therapists. Phys Ther. 2017;97:354 – 64.\n51. Sterne JAC, White IR, Carlin JB, Spratt M, Royston P, Kenward MG, et al.\nMultiple imputation for missing data in epidemiological and clinical\nresearch: potential and pitfalls. BMJ. 2009;338:b2393.\n52. Bishop MD, Mintken PE, Bialosky JE, Cleland JA. Patient expectations of\nbenefit from interventions for neck pain and resulting influence on\noutcomes. J Orthop Sports Phys Ther. 2013;43:457 – 65.\n53. Bialosky JE, Bishop MD, Cleland JA. Individual expectation: an overlooked,\nbut pertinent, factor in the treatment of individuals experiencing\nmusculoskeletal pain. Phys Ther. 2010;90:1345 – 55.\n54. Hanney WJ, Masaracchio M, Liu X, Kolber MJ. The influence of physical\ntherapy guideline adherence on healthcare utilization and costs among\npatients with low back pain: a systematic review of the literature. PLoS One.\n2016;11:e0156799.\n55. Childs JD, Fritz JM, Wu SS, Flynn TW, Wainner RS, Robertson EK, et al.\nImplications of early and guideline adherent physical therapy for low back\npain on utilization and costs. BMC Health Serv Res. 2015;15 https://doi.org/\n10.1186/s12913-015-0830-3.\n56. Yu S-T, Chang H-Y, Lin M-C, Lin Y-H. Agreement between self-reported and\nhealth insurance claims on utilization of health care: a population study. J\nClin Epidemiol. 2009;62:1316 – 22.\n57. Petrou S, Murray L, Cooper P, Davidson LL. The accuracy of self-reported\nhealthcare resource utilization in health economic studies. Int J Technol\nAssess Health Care. 2002;18:705 – 10.\n58. Short ME, Goetzel RZ, Pei X, Tabrizi MJ, Ozminkowski RJ, Gibson TB, et al.\nHow accurate are self-reports? Analysis of self-reported health care\nutilization and absence when compared with administrative data. J Occup\nEnviron Med. 2009;51:786 – 96.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 14 of 14", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed5.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 43 \nIn a similar way, the levels of ergonomic risks are related with the sectoral structure of a country, \ndetermining the type of occupations and work tasks. EU -OSHA provided a detailed analysis of the \nprevalence of musculoskeletal disorders (MSDs) and the related risk factors in several studies on \nmusculoskeletal diseases, for example, ‘Work-related musculoskeletal disorders: why are they still so \nprevalent?’58 \nAn example of the interrelation between sectors and risks is the connection between the sector \naggregate ‘Trade, transport, food/accommodation and recreation activities’ and t hree major indicators \nof ergonomic burden, that is, ‘Painful, tiring positions’, ‘Repetitive hand or arm movements’ , and \n‘Carrying or moving heavy loads’. \nSeven countries have a share of employees in this sector of more than 30% (Cyprus, Greece, Spain, \nMalta, Bulgaria, Croatia and Latvia), and many of them are present in two or three lists of countries with \nthe highest number of responses regarding the indicators. \n \n \n \n \n© Tyler Olson/Adobe Stock", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "In general, the EU -wide surveys (self -reported working conditions or health problems) show a high \nprevalence of ergonomic risks. Between 40% and 65% of the respondents in ESENER and the EWCS \nreport classical ergonomic risks. A quite constant share of workers reports physical exposures like \nnoise, vibrations, high or low temperatures and exposure to chemical and biological agents; depending", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 150 \n \n \n224 Pega et al., 2022: Global, regional and national burden of disease attributable to 19 selected occupational risk \nfactors for 183 countries, 2000–2016: A systematic analysis from the WHO/ILO Joint Estimates of the Work-\nrelated Burden of Disease and Injury, here \n225 Kauppinen et al., 1998: Occupational exposure to carcinogens in the European Union in 1990-1993: \ninternational information system on occupational exposure to carcinogens, here \nCAREX Canada \nFevotte et al., 2011: Matgéné: A Program to Develop Job-Exposure Matrices in the General Population in France \nMannetje et al., 2011: Developing a general population job-exposure matrix in the absence of sufficient exposure \nmonitoring data \n226 YLDs = years lived with disability, together with YLLs = years of life lost, it composes the DALY (DALY = YLL + \nYLD). \n227 GBD 2019 Mental Disorders Collaborators, 2022: Global, regional, and national burden of 12 mental disorders \nin 204 countries and territories, 1990–2019: a systematic analysis from the Global Burden of Disease Study 2019, \nhere \n228 WHO: Mental disorders, Key facts and \nIHME: Global Health Data Exchange (GHDx), here \n229 OECD, 2015: Sick on the Job?: Myths and Realities about Mental Health and Work \n230 OECD/European Union, 2018: Health at a Glance: Europe 2018: State of Health in the EU Cycle \n231 Andlin-Sobocki et al., 2005: Cost of disorders of the brain in Europe \n232 Niedhammer et al.; 2021: Update of the fractions of cardiovascular diseases and mental disorders attributable \nto psychosocial work factors in Europe, here \n233 Norder et al., 2017: Beyond return to work from sickness absence due to mental disorders: 5-year longitudinal \nstudy of employment status among production workers, here \n234 Leka & Jain, 2017: EU Compass for Action on Mental Health and Well-Being - Mental Health in the Workplace \nin Europe \n235 Musculoskeletal disorders refer to backache and/or muscular pains in shoulders, neck, upper limbs and/or \nlower limbs (hips, legs, knees, feet, etc.). In the medical systematic it is the IC 10 group of diseases: Diseases of \nthe musculoskeletal system and connective tissue. \n236 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU \n237 Graveling, 2018: Ergonomics and Musculoskeletal Disorders (MSDs) in the Workplace. A Forensic and \nEpidemiological Analysis \n238 Da Costa & Viera, 2010: Risk factors for work-related musculoskeletal disorders: a systematic review of recent \nlongitudinal studies, here \n239 EU-OSHA, 2020: Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a \nliterature review (p. 15). \n240 EU-OSHA, 2019: Summary - Work-related musculoskeletal disorders: prevalence, costs and demographics in \nthe EU (p. 8). \n241 EU-OSHA, 2019: Work-related musculoskeletal disorders: prevalence, costs and demographics in the EU \n242 Ibid., p. 174ff. \n243 Eurofound, 2007: Fourth European Working Conditions Survey (2005) (p. 77). \n244 United Nations Economic Commission for Europe (UNECE), 2015: Handbook on measuring quality of \nemployment: A statistical framework, here \n245 Quinlan & Bohle, 2013: Re-invigorating industrial relations as a field of study: Changes at work, substantive \nworking conditions and the case of OHS, here (p. 8). \n246 The percentages of responses to this question in the European Working Conditions Survey (EWCS, 2015) are \ndisplayed. Each bar shows the percentages of the four possible responses for each EU Member State, the \naverage for the EU Member States, and the responses for Switzerland and Norway. Responses are displayed for \nthe question below: How satisfied are you with working conditions in your main paid job? Answer options were: \nNot at all satisfied; Not very satisfied; Satisfied; Very satisfied. See here", - "page_start": 149, - "page_end": 149, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Prediction of Referral and Outcome (OSPRO) in patients with\nmusculoskeletal pain conditions: a longitudinal validation cohort from the\nUSA. BMJ Open. 2017;7:e015188.\n20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr.\nOptimal Screening for Prediction of Referral and Outcome (OSPRO) for\nMusculoskeletal Pain Conditions: Results From the Validation Cohort. J\nOrthop Sports Phys Ther. 2018;48(6):460 – 75.\nLentz et al. BMC Health Services Research (2018) 18:648 Page 13 of 14", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "al. United states national pain strategy for population research: concepts,\ndefinitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068 – 80.\n2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic:\npopulation health implications and potential solutions. Report from the\nnational stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1 – 10.\n3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for\nchronic pain--United States, 2016. JAMA. 2016;315:1624 – 45.\n4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual\nphysical therapy in the treatment of cervical radiculopathy: a systematic\nreview. J Man Manip Ther. 2011;19:135 – 42.\n5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical\ntherapy only and of usual care for various health conditions: systematic\nreview. Phys Ther. 2016;96:774 – 86.\n6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al.\nPhysical therapy treatment effectiveness for osteoarthritis of the knee: a\nrandomized comparison of supervised clinical exercise and manual therapy\nprocedures versus a home exercise program. Phys Ther. 2005;85:1301 – 17.\n7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC.\nEffectiveness of manual physical therapy and exercise in osteoarthritis of\nthe knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173 – 81.\n8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the\nmanagement of chronic spine disorders: a propensity score approach. Phys\nTher. 2006;86:381 – 94.\n9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al.\nEffectiveness of physical therapy in treating atraumatic full-thickness rotator\ncuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013;\n22:1371– 9.\n10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients\nwith low back pain to physical therapy: impact on future health care\nutilization and costs. Spine. 2012;37:2114 – 21.\n11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions\nafter a new consultation for low back pain: implications of the usage of\nphysical therapy for subsequent health care costs and utilization. Arch Phys\nMed Rehabil. 2013;94:808 – 16.\n12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care\nback pain screening tool: identifying patient subgroups for initial treatment.\nArthritis Rheum. 2008;59:632 – 41.\n13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG,\net al. Estimating the risk of chronic pain: development and validation of a\nprognostic model (PICKUP) for patients with acute low back pain. PLoS\nMed. 2016;13:e1002019.\n14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al.\nCan screening instruments accurately determine poor outcome risk in\nadults with recent onset low back pain? A systematic review and meta-\nanalysis. BMC Med. 2017;15:13.\n15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM.\nChronic pain and health services utilization: is there overuse of diagnostic\ntests and inequalities in nonpharmacologic treatment methods utilization?\nMed Care. 2013;51:859 – 69.\n16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G.\nThe societal impact of pain in the European Union: health-related quality of\nlife and healthcare resource utilization. J Med Econ. 2010;13:571 – 81.\n17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive\nvalue of pain intensity on costs and resources utilization in patients with\nperipheral neuropathic pain. Clin J Pain. 2015;31:273 – 9.\n18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and\nresponse to treatment. Phys Ther. 2011;91:712 – 21.\n19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for\nPrediction of Referral and Outcome (OSPRO) in patients with\nmusculoskeletal pain conditions: a longitudinal validation cohort from the", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "What is Creative Commons ?", - "target_page": 2, - "target_passage": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and GlennOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple openand public domain works. View full licensing and attribution information about all works included in thevideo on Flickr.\nCreative CommonsPO Box 1866 Mountain View CA 94042 USA+1 415 429 6753info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "2023 was a busy year at Creative\nCommons. Our Open Culture program\nand Open Climate Campaign entered\ntheir third and second years, respectively.\nWe hosted our first in-person CC Global\nSummit since 2019 in Mexico City. We\nheld critical consultations and open\npanels on AI, copyright, and the CC\nLicenses, cultural heritage, education,\nand science; and we launched our Open\nInfrastructure Circle in an effort to\nensure the CC Licenses are funded well\ninto the future. \nWe also marked transitions in leadership.\nAt the end of December, Catherine Stihler\nconcluded her time as Chief Executive\nOfficer (CEO) at Creative Commons, and I\ntransitioned in as Interim. In March 2024, I\nwas appointed CC’s permanent CEO. I\nlook forward to working closely with our\nBoard of Directors, staff, and larger\ncommunity on the critical work that\nawaits us in 2024. \nCC staff photos are licensed under CC BY 4.0. \nA Note from Leadership\nAnna Tumadóttir, CEO", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as de fined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be bene ficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this 4\nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements.\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5\ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.\nTowards a Books Data Commons for AI Training 2", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "22.Thinking About Africa's Open Data \n23.Towards EU Benchmarking 2.0 - Transparency and Open Data on Structural Funds in \nEurope \n24.UK Open Government Licence removes barriers to re-use of public sector information \n25.Western Europe: A journey through tech for transparency projects \n26.What open data means to marginalized communities \n27.What's in a Name? Open Gov and Good Gov \n28.WikiLeaks Relationship With the Media \n29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government \n34/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 33, - "page_end": 33, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "When was the first CC licence created?", - "target_page": 4, - "target_passage": "The first CC License was created in 2002.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\"The great growling engine of change - technology.Alvin Toffler\" by katerha is licensed under CC BY 2.0.\nOur legal and technology staffcontinued to make keyinfrastructure updates andmanage daily maintenance toensure these Licenses work foreveryone. \nIn 2023, welaunched the OpenInfrastructure Circle(OIC) to ensureconsistent fundingfor this work. \nWe’re grateful to the earlysupporters of the OIC,including the William + FloraHewlett Foundation, Bill &Melinda Gates Foundation,Filecoin Foundation for theDecentralized Web, RobertWood Johnson Foundation,Chan Zuckerberg Initiative,Endless, Siegel FamilyEndowment, Flickr, Microsoft,and Paul and Iris Brest. \nLicenses and Public Domain Tools\nThe first CC License was created in 2002. Today, we boast six CC Licenses andtwo public domain tools, setting a global standard for sharing. \nWe’ve estimated that over 2.5 billion pieces of contentwere CC Licensed by the end of 2023.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "19 Workshops & Trainings with institutions like ALA, Connecticut Humanities & State University of New York,Digital Research Alliance of Canada, and WikiConf North America.\n2 Week-Long CC Certificate Bootcamps for California Community Colleges.\n27 Webinars on topics like the basics of Open Culture, the possibilties of Open EducationalResources (OER) for business-university cooperation, and the future of CC Licensesin digital and online education.\n12 CC Legal Open Office Hours hosted by our legal team, providing a personalized opportunity for the CCcommunity to ask questions about CC Licenses, open access, and sharing. \nIn 2023, we greatly expanded our CC Licensestraining and education offerings:\nTraining in how to use CC Licenses iskey to their adoption.\nWe offer a ten-week CC Certificate program that is now tailored not only to theeducation and library sectors, but also galleries, archives, libraries, and museumsand available in 10 languages.\nAs of 2023, we’ve certified:\n65 \nCountries\n1,705 \nGraduates\nacross", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 34 of 57 \n \n \n3.2.6 How to view licensing information \nLicensing info rmation is available for all data sets associated with common licenc es, w hich are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \nBy clicking on the licence name (here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "2023 was a busy year at Creative\nCommons. Our Open Culture program\nand Open Climate Campaign entered\ntheir third and second years, respectively.\nWe hosted our first in-person CC Global\nSummit since 2019 in Mexico City. We\nheld critical consultations and open\npanels on AI, copyright, and the CC\nLicenses, cultural heritage, education,\nand science; and we launched our Open\nInfrastructure Circle in an effort to\nensure the CC Licenses are funded well\ninto the future. \nWe also marked transitions in leadership.\nAt the end of December, Catherine Stihler\nconcluded her time as Chief Executive\nOfficer (CEO) at Creative Commons, and I\ntransitioned in as Interim. In March 2024, I\nwas appointed CC’s permanent CEO. I\nlook forward to working closely with our\nBoard of Directors, staff, and larger\ncommunity on the critical work that\nawaits us in 2024. \nCC staff photos are licensed under CC BY 4.0. \nA Note from Leadership\nAnna Tumadóttir, CEO", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "cc global summit \nOver 300 attendees from 45 countries joined us this past October inMexico City for the first in-person CC Global Summit since 2019. Thetheme was AI & the Commons with over 60 sessions and 180 speakers.Learn more here. \nThank you to our sponsors: John D. and Catherine T. MacArthurFoundation, Microsoft Corporation, Filecoin Foundation for theDecentralized Web, Akin, Anthropic, Mozilla Foundation, The Michelson20MM Foundation, MHz Curationist, Frontiers Media, Arnold & Porter,and Crowell & Moring. \n CC photos are licensed under CC BY 4.0.", - "page_start": 5, - "page_end": 5, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6 \nISSN: 1756-3666 \n \n© Crown copyright 2016 \nThis publication is licensed under the terms of the Open Government Licence v3.0 \nexcept where otherwise stated. To view this licence, visit \nnationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the \nInformation Policy Team, The National Archives, Kew, London TW9 4DU, or email: \npsi@nationalarchives.gsi.gov.uk. \nWhere we have identified any third party copyright information you will need to obtain \npermission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "£4.90 \nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "To what subjects Creative Commons expand its work in 2023 ?", - "target_page": 8, - "target_passage": "We expanded our work in biodiversity, climate, and life sciences focused on ensuring that science research and data are open", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "2023 was a busy year at Creative\nCommons. Our Open Culture program\nand Open Climate Campaign entered\ntheir third and second years, respectively.\nWe hosted our first in-person CC Global\nSummit since 2019 in Mexico City. We\nheld critical consultations and open\npanels on AI, copyright, and the CC\nLicenses, cultural heritage, education,\nand science; and we launched our Open\nInfrastructure Circle in an effort to\nensure the CC Licenses are funded well\ninto the future. \nWe also marked transitions in leadership.\nAt the end of December, Catherine Stihler\nconcluded her time as Chief Executive\nOfficer (CEO) at Creative Commons, and I\ntransitioned in as Interim. In March 2024, I\nwas appointed CC’s permanent CEO. I\nlook forward to working closely with our\nBoard of Directors, staff, and larger\ncommunity on the critical work that\nawaits us in 2024. \nCC staff photos are licensed under CC BY 4.0. \nA Note from Leadership\nAnna Tumadóttir, CEO", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and GlennOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple openand public domain works. View full licensing and attribution information about all works included in thevideo on Flickr.\nCreative CommonsPO Box 1866 Mountain View CA 94042 USA+1 415 429 6753info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\"Kaleidoscope\" by\ndocoverachiever is\nlicensed under CC\nBY 2.0.\nAbout this\nOpen Work\n2023\nAnnual Report", - "page_start": 0, - "page_end": 0, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Our Impact\nCC believes that opening up knowledge is key to addressing the world’s mostpressing challenges. Today, we steer campaigns, programming, and training inmany areas:\n2023 was quite a year for the CCOpen Culture Program, thanks togenerous funding from Arcadia.We grew our Open Culture teamfrom one to two and a half staff,rolling out new initiatives likeTAROC (Towards aRecommendation on OpenCulture) and Open Culture Live:A Webinar Series. We invite youto read “What did CreativeCommons do for Open Culturein 2023?” to learn more.\nOpen Culture\nWe delivered workshops andpresentations on CC Licenses andOpen Educational Resources atover 16 conferences and events.The CC Open Education Platformalso funded six global projects,including work to advance theUNESCO Recommendation onOER.\nOpen Education\nThanks to generous funding fromthe John D. and Catherine T.MacArthur Foundation, CChosted its very first OpenJournalism track at the CC GlobalSummit, including eightpresentations, lightning talks,panel discussions, andworkshops as well as a keynoteby Anya Kamenetz. \nRepresentatives from 33 newsoutlets and digital rights-focusedorganizations attended the CCSummit sessions. The OpenJournalism track built onnumerous collaborations andworkshops throughout 2023.\nOpen Journalism\n\"Follow the Color Brick Road\" by Bert Kaufmann islicensed under CC BY-SA 2.0.", - "page_start": 6, - "page_end": 6, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "In 2023, we convened hundreds viaroundtables, community conferences(e.g. MozFest, Wikimania), and publicevents (e.g. symposium on GenerativeAI & Creativity)to debate copyright law,the ethics of open sharing, and otherrelevant areas that touch AI. \nAt our CC Global Summit, participantsdrafted community-driven principleson AI that are a valuable input and willhelp inform the organization’s thinkingas we determine CC’s exact role in the AIspace. \n“The Pillars of Creation” by James Webb Space Telescope is licensed under CC BY 2.0. \nAreas of Exploration\nSupport for Creators in the Time of Artificial Intelligence", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "19 Workshops & Trainings with institutions like ALA, Connecticut Humanities & State University of New York,Digital Research Alliance of Canada, and WikiConf North America.\n2 Week-Long CC Certificate Bootcamps for California Community Colleges.\n27 Webinars on topics like the basics of Open Culture, the possibilties of Open EducationalResources (OER) for business-university cooperation, and the future of CC Licensesin digital and online education.\n12 CC Legal Open Office Hours hosted by our legal team, providing a personalized opportunity for the CCcommunity to ask questions about CC Licenses, open access, and sharing. \nIn 2023, we greatly expanded our CC Licensestraining and education offerings:\nTraining in how to use CC Licenses iskey to their adoption.\nWe offer a ten-week CC Certificate program that is now tailored not only to theeducation and library sectors, but also galleries, archives, libraries, and museumsand available in 10 languages.\nAs of 2023, we’ve certified:\n65 \nCountries\n1,705 \nGraduates\nacross", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "\"The great growling engine of change - technology.Alvin Toffler\" by katerha is licensed under CC BY 2.0.\nOur legal and technology staffcontinued to make keyinfrastructure updates andmanage daily maintenance toensure these Licenses work foreveryone. \nIn 2023, welaunched the OpenInfrastructure Circle(OIC) to ensureconsistent fundingfor this work. \nWe’re grateful to the earlysupporters of the OIC,including the William + FloraHewlett Foundation, Bill &Melinda Gates Foundation,Filecoin Foundation for theDecentralized Web, RobertWood Johnson Foundation,Chan Zuckerberg Initiative,Endless, Siegel FamilyEndowment, Flickr, Microsoft,and Paul and Iris Brest. \nLicenses and Public Domain Tools\nThe first CC License was created in 2002. Today, we boast six CC Licenses andtwo public domain tools, setting a global standard for sharing. \nWe’ve estimated that over 2.5 billion pieces of contentwere CC Licensed by the end of 2023.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "From which country does Killam Properties Inc originate ?", - "target_page": 3, - "target_passage": "Killam Properties Inc. is a growth oriented Canadian real estate company.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "about Killam p roperties i nc.\nKillam Properties Inc. is a growth oriented Canadian real estate \ncompany. We own, manage and develop multi-family residential \nproperties in Atlantic Canada and Ontario. Since our first acquisition \nin 2002, our real estate portfolio has grown to $1.5 billion and \nincludes 12,647 apartment units and 5,164 manufactured home \ncommunity (MHC) sites. We are committed to growing Killam’s \nearnings by maximizing the returns from our existing portfolio and \nexpanding through acquisitions and development.\nour mission \nTo have a team of caring staff deliver clean, safe, quality housing to \ntenants who are proud to call our properties home.\nour core Values\nBuildCommunity\nCurb\nAppeal\nDo the \nRight \nThing\nStrong \nCustomer\nRelationships\nCreative\nSolutions\npresident’s letter 9 \nasset portfolio 18 \nMD&a 21 \nFinancial Statements 66\nFive-Y ear Summary 96\n180 mill street, london, ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nPART II\nBusiness Overview\nKillam Properties Inc., based in Halifax, Nova Scotia, is one of Canada’s largest residential landlords, owning, operating, managing and developing \nmulti‑family residential and Manufactured Home Community (“MHC”) properties. Killam’s 164 apartment properties are located in Atlantic \nCanada’s six largest urban centres and in Ontario. The Company’s 35 MHCs are located in Ontario and Atlantic Canada. The value of Killam’s \nreal estate assets at December 31, 2013, was $1.5 billion. Killam is focused on growing its portfolio, maximizing the value of its properties and \nincreasing FF o per share.\nKillam was founded in 2000, based on the recognition of an opportunity to create value through the consolidation of apartments in Atlantic \nCanada and MHCs across Canada. Killam’s first apartment was purchased in 2002 and its first MHC was purchased in 2003. From 2002 to 2009, \nKillam’s apartment portfolio grew through the acquisition of properties in Atlantic Canada’s six largest cities, namely Halifax, Moncton, Saint \nJohn, Fredericton, St. John’s and Charlottetown. Killam is now Atlantic Canada’s largest residential landlord, with a 14.2% market share of the \nmulti‑family rental units in these core markets. Killam entered the Ontario apartment market in 2010, and today owns twelve properties in the \nprovince, including assets in Toronto, Ottawa, London and Cambridge. Killam plans to expand its presence in Ontario with additional acquisitions \nand developments. The apartment business is Killam’s largest business segment, accounting for 86% of the Company’s NOI from property \noperations and equity income in 2013. At December 31, 2013, Killam’s apartment portfolio consisted of 12,647 units.\nKillam complements its acquisition program with the construction of apartment buildings. During 2013, Killam completed the development \nof four projects totalling 282 units and commenced two additional projects in the second half of the year. Management does not expect \ndevelopments to exceed 5% of the total asset base in any given year.\nIn addition, the Company owns MHCs, also known as land‑lease communities or trailer parks. Killam owns the land and infrastructure supporting \neach community and leases the lots to tenants, who own their own homes and pay Killam a monthly site rent. Killam owns 35 communities \nwhich accounted for 14% of Killam’s NOI in 2013. During the year Killam sold ten MHC properties located in New Brunswick, allowing the \nCompany to crystallize the value of the properties at attractive cap‑rates and use the funds to continue to grow the apartment portfolio.\nKey Performance Indicators (KPIs)\nManagement measures Killam’s performance based on the following KPIs: \n1. FFO per Share – A standard measure of earnings for real estate entities. Management is focused on growing FFO per share on an annual \nbasis. \n2. Rental Increases – Management expects to achieve increases in average rental rates on an annual basis and measures the average rental \nincreases achieved. \n3. Occupancy – Management is focused on maximizing occupancy levels while also managing the impact of higher rents. This measure \nconsiders units rented as a percentage of total stabilized units at a point in time. \n4. Same Store NOI Growth – This measure considers the Company’s ability to increase the NOI at properties that it has owned for equivalent \nperiods year‑over‑year, removing the impact of acquisitions, dispositions, developments and other non same store operating adjustments. \n5. Weighted a verage cost of Debt – Killam monitors the weighted average cost of its mortgage debt and total debt.\n6. Debt to t otal assets – Killam measures its debt levels as a percentage of total assets and works to ensure that the debt to total assets \nremains at a range of 55% to 65%.", - "page_start": 22, - "page_end": 22, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "With a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada. \nincreasing Geographic \nDiversification\n1033 Queen street West, toronto, ontario", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "significant premium for quality assets. \nGeographic Diversification\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada.\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.\nKillam ProPerties inc | 2013 29", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam properties Inc.\nsuite 100\n3700 Kempt road\nHalifax, nova scotia \nB3K 4X8\n1.866.453.8900\nkillamproperties.com \ntsx: kmp", - "page_start": 97, - "page_end": 97, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nPortfolio Summary\nThe following table summarizes Killam’s apartment portfolio by market as at and for the year ended December 31, 2013:\nApartment Properties\n Units(1)\nNumber of \nProperties\n% of Apartment NOI \nand Equity Income\nNova Scotia\n Halifax(2) 4,970 54 47.1%\n sydney 139 2 1.2%\n 5,109 56 48.3%\nNew Brunswick\n moncton 1,593 30 9.8%\n Fredericton 1,394 20 9.9%\n saint John 1,143 13 5.6%\n miramichi 96 1 0.7%\n 4,226 64 26.0%\nOntario(3)\n Ottawa 492 6 2.7%\n london 264 2 2.8%\n cambridge 225 2 3.4%\n t oronto 378 2 1.5%\n 1,359 12 10.4%\nNewfoundland and Labrador\n st. John’s 813 11 7.3%\n Grand Falls 148 2 1.1%\n 961 13 8.4%\nPrince Edward Island\n Charlottetown 906 17 6.6%\n summerside 86 2 0.3%\n 992 19 6.9%\nTotal 12,647 164 100.0%\n(1) Unit count includes properties held through Killam’s partnerships and joint ventures.\n(2) Killam owns a 47% interest in and manages Garden Park Apartments, a 246‑unit building located in Halifax, NS. Killam’s 47% ownership interest \nrepresents 116 of the 246 units related to this property. \n(3) Killam owns three buildings located in Ontario through a joint venture, with Killam having a 25% ownership interest and managing the properties. \nKillam’s 25% ownership interest represents 118 of the 472 units related to these properties.\nManufactured Home Communities Portfolio\nThe following table summarizes Killam’s MHC investment by province as at and for the year ended December 31, 2013:\n Sites\nNumber of \nCommunities\n% of MHC\nNOI\nNova Scotia 2,626 16 34.3%\nnew Brunswick 224 1 34.2%\nontario 2,144 16 29.3%\nnewfoundland and labrador 170 2 2.2%\nTotal 5,164 35 100.0%\n30 Killam ProPerties inc | 2013", - "page_start": 29, - "page_end": 29, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam properties inc\n2013 annual report", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nBusiness Strategy\nMaximize NOI from Existing Portfolio\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI \ngrowth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, \ninvesting in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property \ngeneral and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam’s \napartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on \nKillam’s operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy \nusage.\nGrowth through Acquisitions\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 \nmillion in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\nGrowth through Development\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed \nfive properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, \nmaximizes the use of excess land and eliminates the seller’s profit, generating higher returns than through acquisitions. Management expects to \nlimit development projects to approximately 5% of the balance sheet on an annual basis. \nInvestment in New Properties\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam’s ownership \nin new, high‑quality buildings will result in above‑market and long‑term demand for the Company’s assets from an aging population, reduce \nannual capital requirements for deferred maintenance, and transform Killam’s portfolio, over time, into one of the highest quality portfolios in \ncanada. \nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC’s Fall 2013 \nHalifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. \nThe average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of \n$976. \nThe new properties added to Killam’s portfolio are condo quality, providing tenants with features and amenities traditionally associated with \nownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners \nreaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new \nassets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount \nof annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally \nhigher in newer buildings.\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between \nolder and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a \nsignificant premium for quality assets. \nGeographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam Fundamentals\nIncreasing Geographic \nDiversification\nWe are increasing our geographic \ndiversification by expanding our \napartment ownership outside Atlantic \nCanada. Over the last four years we have \ninvested approximately $200 million in \napartments located in Ontario and at the \nend of 2013 owned 1,359 units in three \ncore Ontario markets: Ottawa, Toronto and \nSouthwestern Ontario. Our long-term goal \nis to have 50% of our earnings generated \noutside Atlantic Canada. We plan to \nachieve this by focusing future acquisition \nand development activity in Ontario, and \npotentially Western Canada. \nannual apartment net operating \nand equity Income from \natlantic Canada and ontario\n$ millions \nInvesting in \nnewer properties\n \nWe are expanding our portfolio with a \nfocus on acquiring newer properties \nand through development. We believe \nthat newer buildings often generate \nhigher total returns due to limited \ndeferred maintenance requirements, \nlower operating costs and a preference \nfor renters to live in newer buildings. \nWith 35% of Killam’s apartment portfolio \nconstructed since the year 2000, Killam has \none of the newest multi-family real estate \nportfolios in Canada.\napartment Value by Y ear \nof Construction\n2000 + | 35%\n1990 - 99 | 10%\n1980 - 89 | 6%\n1970 - 79 | 25%\nPre 1970 | 24%\n$80\n$70\n$60\n$50\n$40\n$30\n$20\n$10\n$0\nAtlantic Canada ontario\n 09 10 11 12 13\nKillam ProPerties inc | 2013 5", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nContinued Geographic Expansion in Ontario\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \nReduced Cap‑Rate Compression in 2013\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance.\nDividend Increase\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014.\nPerformance Compared to 2013 Key Objectives\nConsolidation of Multi‑family Residential Real Estate Market\n2013 t arget Complete approximately $75‑$125 million in acquisitions.\n2013 Performance Killam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments.\nIncrease Investment in New Properties\n2013 t arget Focus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n2013 Performance During 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.\n26 Killam ProPerties inc | 2013", - "page_start": 25, - "page_end": 25, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "How Killam Properties Inc does increase its geographic diversification ? ", - "target_page": 5, - "target_passage": "We are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "significant premium for quality assets. \nGeographic Diversification\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada.\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.\nKillam ProPerties inc | 2013 29", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam Fundamentals\nIncreasing Geographic \nDiversification\nWe are increasing our geographic \ndiversification by expanding our \napartment ownership outside Atlantic \nCanada. Over the last four years we have \ninvested approximately $200 million in \napartments located in Ontario and at the \nend of 2013 owned 1,359 units in three \ncore Ontario markets: Ottawa, Toronto and \nSouthwestern Ontario. Our long-term goal \nis to have 50% of our earnings generated \noutside Atlantic Canada. We plan to \nachieve this by focusing future acquisition \nand development activity in Ontario, and \npotentially Western Canada. \nannual apartment net operating \nand equity Income from \natlantic Canada and ontario\n$ millions \nInvesting in \nnewer properties\n \nWe are expanding our portfolio with a \nfocus on acquiring newer properties \nand through development. We believe \nthat newer buildings often generate \nhigher total returns due to limited \ndeferred maintenance requirements, \nlower operating costs and a preference \nfor renters to live in newer buildings. \nWith 35% of Killam’s apartment portfolio \nconstructed since the year 2000, Killam has \none of the newest multi-family real estate \nportfolios in Canada.\napartment Value by Y ear \nof Construction\n2000 + | 35%\n1990 - 99 | 10%\n1980 - 89 | 6%\n1970 - 79 | 25%\nPre 1970 | 24%\n$80\n$70\n$60\n$50\n$40\n$30\n$20\n$10\n$0\nAtlantic Canada ontario\n 09 10 11 12 13\nKillam ProPerties inc | 2013 5", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "With a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada. \nincreasing Geographic \nDiversification\n1033 Queen street West, toronto, ontario", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "complete a minimum \nof $75 million in \nacquisitions.\nacquire over 50% \nof 2014 acquisitions \noutside atlantic \ncanada, with a focus \nin ontario.\nGrow same store \nnoi by up to 2%.\ncontinue to invest \nin development \nwith two projects \nunderway, managing \nprojects on schedule \nand on budget.\ndevelopment program to a maximum of 5% of our balance sheet per year. We \nhave three other developments projects in various planning stages, but don’t \nexpect to begin construction on any additional new projects until late 2014 or \ninto 2015. \nGeographic Diversification is a Priority\nGeographic diversification is a priority for Killam. Our asset base in Atlantic \nCanada is the foundation of the Company; however, with Atlantic Canada \nrepresenting only 5% of the Canadian rental market, our growth opportunities \nincrease significantly by expanding our target markets outside of this region. \nWith its strong operating platform, Killam can support a larger and more \ngeographically diverse portfolio. We are actively growing a portfolio of \napartments in Ontario in three target markets: Ottawa, the Greater Toronto \nArea, and Southwestern Ontario. An increased investment outside Atlantic \nCanada will increase not only Killam’s growth potential, it will also expand the \nCompany’s diversification and exposure to higher growth markets. \nAcquisitions in Ontario represented 45% of acquisitions in 2013. In addition \nto 1,359 apartment units in the province, we also have 2,144 manufactured \nhome community sites, representing 29% of the MHC NOI last year. Based on \nour current portfolio, 15% of Killam’s 2014 NOI will be generated in Ontario, \ncompared to our longer-term goal of generating 50% of NOI outside Atlantic \nCanada. We expect to reach this goal by focusing acquisition activity in \nOntario, with the majority of future investment anticipated in the province over \nthe next few years. We will look for additional development opportunities in \nOntario and we are exploring opportunities in Western Canada, attracted by \nthe strong population growth trends in Alberta’s urban markets. \nI would like to thank all Killam employees for their contributions and \ncommitment over the last year and our board of directors for their governance. \nAlso, I would like to thank you, our shareholders, for your continued investment \nin Killam. I invite you to attend the Company’s annual meeting on May 7, 2014 \nat 2:00 pm Atlantic Time at the Halifax Marriott Harbourfront Hotel, either in \nperson or via webcast. \nYours truly,\nPhilip Fraser\nour Goals\nfor 2014\nKillam ProPerties inc | 2013 11", - "page_start": 10, - "page_end": 10, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nGeographic \nDiversification\n2013 t arget 2013 acquisition program to include investments in Ontario.\n 2013 Performance During 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West \nin Toronto. These acquisitions increased Killam’s total unit count in Ontario to 1,359 units, representing \n11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by \nadding property managers, dedicated leasing representatives and administrative staff to manage the growing \nportfolio.\nGrowth in Same Store \nNet Operating Income \n2013 t arget Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013).\n 2013 Performance consolidated same store noi decreased by 0.4% for the year ended December 31, 2013. this decrease was \ndriven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first \nquarter as well as another spike in pricing in new Brunswick in December 2013. this resulted in a 14.6% \nincrease in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net \nproperty revenues, as well the management of other property operating expenses at levels consistent with \n2012, helped to offset the impact of higher utility costs.\n2014 Targets\nConsolidation of Multi‑family Residential Real Estate Market \nand Increase Investment New Properties\nComplete a minimum of $75 million in acquisitions and continue to \ndevelop two current projects on schedule and within 5% of budget.\nGeographic Diversification Killam’s 2014 acquisition program is to include over 50% of \nacquisitions outside of Atlantic Canada, with a focus on Ontario.\nGrowth in Same Store Net Operating Income same store noi growth of 0% to 2%.\nKillam ProPerties inc | 2013 27", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "in the rents charged and could adversely affect Killam’s revenues and ability to meet its obligations. To mitigate against this risk Killam has a \ngeographically diverse asset base. Management is expanding this diversification by increasing Killam’s investment in apartment markets outside \nAtlantic Canada. \nCredit Risk \nCredit risk arises from the possibility that tenants may experience financial difficulty and be unable to fulfill their lease term commitments. The \nCompany mitigates the risk of credit loss through the diversification of its existing portfolio and limiting its exposure to any one tenant. Credit \nassessments are conducted with respect to all new leasing and the Company also obtains a security deposit to assist in potential recovery \nrequirements. In addition, the receivable balances are monitored on an ongoing basis with the result that the Company’s exposure to bad debt is \nnot significant. The Company’s bad debt expense experience has historically been less than 0.4% of revenues. None of Killam’s tenants account \nfor more than 1% of tenant receivables. \nDevelopment Risk\nDevelopment risk is the risk that costs of developments will exceed original estimates, unforeseen delays occur and/or units will not be leased in \nthe timeframe and/or at rents anticipated. Killam minimizes its exposure to development risk my limiting the amount of development underway \nat any one time. To reduce the Company’s exposure to price increases, Killam enters into fixed‑rate contracts when possible. To reduce the \nlease‑up risk, Killam does extensive market research in advance of each development to support expected rental rates, and pre‑markets its \nproperties early on in the process, to increase demand for the new developments.\nKillam ProPerties inc | 2013 59", - "page_start": 58, - "page_end": 58, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "about Killam p roperties i nc.\nKillam Properties Inc. is a growth oriented Canadian real estate \ncompany. We own, manage and develop multi-family residential \nproperties in Atlantic Canada and Ontario. Since our first acquisition \nin 2002, our real estate portfolio has grown to $1.5 billion and \nincludes 12,647 apartment units and 5,164 manufactured home \ncommunity (MHC) sites. We are committed to growing Killam’s \nearnings by maximizing the returns from our existing portfolio and \nexpanding through acquisitions and development.\nour mission \nTo have a team of caring staff deliver clean, safe, quality housing to \ntenants who are proud to call our properties home.\nour core Values\nBuildCommunity\nCurb\nAppeal\nDo the \nRight \nThing\nStrong \nCustomer\nRelationships\nCreative\nSolutions\npresident’s letter 9 \nasset portfolio 18 \nMD&a 21 \nFinancial Statements 66\nFive-Y ear Summary 96\n180 mill street, london, ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam’s growth opportunities include increasing earnings of its existing \nportfolio and expanding the portfolio through acquisitions and development. \nacquisitions have been an important part of Killam’s growth, having completed \nover $1.1 billion in acquisitions since the first property was acquired in 2002. \nKillam began development as a complement to its acquisition program in 2010, \nand to-date has invested approximately $90 million in new developments. \n2013 was Killam’s largest year for growth since 2005, adding $191 million of \nproperties to the portfolio, including $121 million in acquisitions and $70 \nmillion in new developments. looking ahead to 2014, Killam has targeted \na minimum of $75 million in acquisitions, and the development of two new \napartment buildings totaling approximately $46 million. \nopportunities for Growth\nthe plaza, Fredericton, new Brunswick", - "page_start": 13, - "page_end": 13, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nBusiness Strategy\nMaximize NOI from Existing Portfolio\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI \ngrowth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, \ninvesting in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property \ngeneral and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam’s \napartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on \nKillam’s operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy \nusage.\nGrowth through Acquisitions\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 \nmillion in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\nGrowth through Development\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed \nfive properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, \nmaximizes the use of excess land and eliminates the seller’s profit, generating higher returns than through acquisitions. Management expects to \nlimit development projects to approximately 5% of the balance sheet on an annual basis. \nInvestment in New Properties\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam’s ownership \nin new, high‑quality buildings will result in above‑market and long‑term demand for the Company’s assets from an aging population, reduce \nannual capital requirements for deferred maintenance, and transform Killam’s portfolio, over time, into one of the highest quality portfolios in \ncanada. \nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC’s Fall 2013 \nHalifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. \nThe average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of \n$976. \nThe new properties added to Killam’s portfolio are condo quality, providing tenants with features and amenities traditionally associated with \nownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners \nreaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new \nassets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount \nof annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally \nhigher in newer buildings.\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between \nolder and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a \nsignificant premium for quality assets. \nGeographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nContinued Geographic Expansion in Ontario\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \nReduced Cap‑Rate Compression in 2013\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance.\nDividend Increase\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014.\nPerformance Compared to 2013 Key Objectives\nConsolidation of Multi‑family Residential Real Estate Market\n2013 t arget Complete approximately $75‑$125 million in acquisitions.\n2013 Performance Killam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments.\nIncrease Investment in New Properties\n2013 t arget Focus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n2013 Performance During 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.\n26 Killam ProPerties inc | 2013", - "page_start": 25, - "page_end": 25, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "What is the Killam Properties Inc 2013 performance about the Geographic Diversification objective ?", - "target_page": 8, - "target_passage": "Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. ", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Killam properties inc\n2013 annual report", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "significant premium for quality assets. \nGeographic Diversification\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, \nKillam is the region’s largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is \nbetween 15%‑18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam’s growth opportunities increase \nsignificantly when considering assets outside Atlantic Canada.\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building \na portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in \nOntario, and potentially Western Canada, will increase the Company’s diversification and exposure in high growth centres in Canada. Based on \nthe Company’s portfolio at year‑end, 15% of Killam’s 2014 NOI will be generated in Ontario. Management has set a long‑term target of growing \nthe amount of NOI generated outside of Atlantic Canada to 50%. \nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive \ncap‑rates. This creates moderate short‑term dilution but it provides the Company with funds to continue its geographic diversification by \naccretively growing its apartment portfolio in Ontario.\nKillam ProPerties inc | 2013 29", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nGeographic \nDiversification\n2013 t arget 2013 acquisition program to include investments in Ontario.\n 2013 Performance During 2013 Killam acquired Kristin Way, a 102‑unit building located in Ottawa, and 1033 Queen Street West \nin Toronto. These acquisitions increased Killam’s total unit count in Ontario to 1,359 units, representing \n11% of the total apartment portfolio. Killam has continued to expand its operating platform in Ontario by \nadding property managers, dedicated leasing representatives and administrative staff to manage the growing \nportfolio.\nGrowth in Same Store \nNet Operating Income \n2013 t arget Same Store NOI growth of 0% to 1% (adjusted from 2% to 4% following Q2 2013).\n 2013 Performance consolidated same store noi decreased by 0.4% for the year ended December 31, 2013. this decrease was \ndriven by an increase in natural gas prices in Atlantic Canada during the peak heating season in the first \nquarter as well as another spike in pricing in new Brunswick in December 2013. this resulted in a 14.6% \nincrease in utility and fuel expenses compared to 2012 within the apartment portfolio. An increase in net \nproperty revenues, as well the management of other property operating expenses at levels consistent with \n2012, helped to offset the impact of higher utility costs.\n2014 Targets\nConsolidation of Multi‑family Residential Real Estate Market \nand Increase Investment New Properties\nComplete a minimum of $75 million in acquisitions and continue to \ndevelop two current projects on schedule and within 5% of budget.\nGeographic Diversification Killam’s 2014 acquisition program is to include over 50% of \nacquisitions outside of Atlantic Canada, with a focus on Ontario.\nGrowth in Same Store Net Operating Income same store noi growth of 0% to 2%.\nKillam ProPerties inc | 2013 27", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Killam Fundamentals\nIncreasing Geographic \nDiversification\nWe are increasing our geographic \ndiversification by expanding our \napartment ownership outside Atlantic \nCanada. Over the last four years we have \ninvested approximately $200 million in \napartments located in Ontario and at the \nend of 2013 owned 1,359 units in three \ncore Ontario markets: Ottawa, Toronto and \nSouthwestern Ontario. Our long-term goal \nis to have 50% of our earnings generated \noutside Atlantic Canada. We plan to \nachieve this by focusing future acquisition \nand development activity in Ontario, and \npotentially Western Canada. \nannual apartment net operating \nand equity Income from \natlantic Canada and ontario\n$ millions \nInvesting in \nnewer properties\n \nWe are expanding our portfolio with a \nfocus on acquiring newer properties \nand through development. We believe \nthat newer buildings often generate \nhigher total returns due to limited \ndeferred maintenance requirements, \nlower operating costs and a preference \nfor renters to live in newer buildings. \nWith 35% of Killam’s apartment portfolio \nconstructed since the year 2000, Killam has \none of the newest multi-family real estate \nportfolios in Canada.\napartment Value by Y ear \nof Construction\n2000 + | 35%\n1990 - 99 | 10%\n1980 - 89 | 6%\n1970 - 79 | 25%\nPre 1970 | 24%\n$80\n$70\n$60\n$50\n$40\n$30\n$20\n$10\n$0\nAtlantic Canada ontario\n 09 10 11 12 13\nKillam ProPerties inc | 2013 5", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "2013 performance summary\nObjective 2013 Target 2013 Performance\nConsolidation of \nthe Multi-family \nResidential Real Estate \nMarket\nTo complete $75 million \nto $125 million in \nacquisitions.\nTarget achieved. $121 million in acquisitions \ncompleted in 2013, including $113 million in \napartment acquisitions, $7 million for three \nparcels of land for future development and $1 \nmillion for an MHC acquisition.\nIncrease Investment in \nNew Properties\nAcquire new properties \nas part of the acquisition \nprogram in 2013. \nTarget achieved. During 2013, 74% of the total \nunits added to the portfolio were constructed \nafter 2001. These acquisitions included three \nbuildings constructed in 2013, a 179-unit \nbuilding on Queen Street West in Toronto, an \n83-unit luxury building in Halifax, and a 48-unit \nbuilding in Moncton.\nComplete and lease-\nup Killam's four \ndevelopments and \ncommence two new \ndevelopment projects.\nTarget partially achieved. The Company \ncompleted the construction of four \ndevelopment projects totaling 282 units during \nthe first half of 2013. Two of the properties, \nBennett House and Brighton House, were \nfully leased within three months of opening, \nwhile S2 and The Plaza are expected to be \nsubstantially leased by the middle of 2014. \nKillam began two new developments during \nthe second half of the year, a 101-unit building \nin St. John’s, Newfoundland, and a 122-unit \nbuilding in Cambridge, Ontario. \nGeographic \nDiversification\n2013 acquisition \nprogram to include \ninvestments in Ontario.\nTarget achieved. Killam acquired $55 million in \nOntario real estate in 2013, representing 45% \nof its acquisition program in the year. Assets \nacquired included a 102-unit property in \nOttawa, a newly built, 179-unit, mixed-used \nproperty in downtown Toronto and a 5.2 acre \nparcel of land for development in Cambridge, \nOntario. \nGrowth in Same Store \nNet Operating Income\n(NOI)\nSame store NOI growth \nof 2% to 4% in 2013.\nTarget not achieved. Despite generating 1.8% \ngrowth in same store revenue, high natural gas \nprices in Atlantic Canada caused total same \nstore utility and fuel expenses to increase 13.8% \nduring the year, which resulted in a decrease in \nsame store NOI of 0.4% for the year. \nrichmond Hill, london, ontario", - "page_start": 7, - "page_end": 7, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nSummary of 2013 Results and Operations\nAcquisitions and Developments Drive Revenue Growth of 5.6%\nKillam completed $114.2 million in property acquisitions throughout 2013 and also completed $69.6 million of development projects in the first \nhalf of 2013, adding 1,025 apartment units and 65 MHC sites to the portfolio. $84.8 million of acquisitions completed throughout 2012 also \ncontributed to revenue growth in 2013. This growth was partially offset by the disposition of ten MHC properties located in New Brunswick for \nproceeds of $69.0 million during the fourth quarter of 2013 and the disposition of twelve MHCs during 2012 for $72.9 million. The development \nprojects completed in 2013 located in Halifax and Fredericton are expected to be substantially leased by mid‑2014 and will generate additional \nrevenue growth for the company in 2014.\nConsolidated Same Store Revenue Growth of 1.8%\nKillam’s same store portfolio posted a 1.8% increase in revenue growth compared to 2012, driven by an increase of 1.3% in rental rates related \nto the apartment portfolio and a 3.7% increase in rental rates related to the MHC portfolio. These rental rate gains were partially offset by higher \nvacancy during the first half of 2013, compared to 2012, and higher rental incentives due to increased competition in certain of the Company’s \ncore markets in Atlantic Canada as a result of increased supply. \nThe Halifax market, which comprises approximately 50% of the Company’s same store apartments, contributed to the rental growth, posting a \n2.5% increase in residential rents. The improved top‑line growth in Halifax reflects the marketing and leasing changes implemented in 2013 and \nthe quality and location of the Company’s assets in the city. Growth in Halifax offset the Charlottetown and Saint John markets, which saw flat \nrevenues year‑over‑year and a decline of 2.4% in revenue, respectively. \n14% Increase in Same Store Utility Costs Due to Pressure on Natural Gas Pricing \nDuring the first quarter of 2013 the Company experienced high natural gas prices as a result of supply constraints and high demand from utilities \nin New England, which drove up pricing within Atlantic Canada. Unanticipated disruptions at the Sable Offshore Energy project and delays in the \nDeep Panuke Project coming on‑line created a regional supply deficit and forced distributors to purchase the commodity at higher prices from \nthe day markets in the Northeastern United States. During the fourth quarter of 2013 Killam also saw a spike in pricing, specifically in the New \nBrunswick market, as colder than normal weather increased demand from utilities in Northeast New England and placed added pressure on \nday pricing in a market with a shortage of gas pipeline capacity. Pricing was more stable during the fourth quarter in Nova Scotia as the region’s \nlargest supplier had previously entered into a number of fixed gas‑supply contracts for the 2013‑2014 heating season. \nStability in Controllable Operating Costs\nExcluding energy and property taxes, Killam delivered an impressively modest 0.3% increase in same store operating expenses in 2013 compared \nto 2012. Killam managed operating costs by renegotiating key contracts, including garbage and elevator contracts, and reducing repair and \nmaintenance and property administrative expenses through a company‑wide focus on minimizing discretionary spending. In addition, the \nincrease in same store property tax expense was managed to 2.8% as a result of successful assessment appeals.\nInterest Cost Savings on Refinancings \nDuring 2013 Killam successfully refinanced $66.7 million of maturing apartment mortgages at a weighted average interest rate of 3.03%, 155 \nbasis points (“bps”) lower than the weighted average interest rate prior to refinancing. The Company also refinanced $10.7 million of MHC", - "page_start": 24, - "page_end": 24, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nContinued Geographic Expansion in Ontario\nKillam acquired two buildings in Ontario during 2013 including a 102‑unit building located in Ottawa for $10.4 million as well as a newly \nconstructed, 8‑storey, mixed‑use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and \n179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam’s future NOI generated from \nits Ontario properties is expected to increase to 15.0% from 7.5%. \nReduced Cap‑Rate Compression in 2013\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease \nyear‑over‑year was driven by a combination of reduced cap‑rate compression in 2013 and a slight uptick in cap‑rates of 25 bps in the Saint John \nmarket in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company’s FFO per share, its key measure of \nperformance.\nDividend Increase\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase \nreflects Management’s expectation of earning’s growth to be generated in 2014.\nPerformance Compared to 2013 Key Objectives\nConsolidation of Multi‑family Residential Real Estate Market\n2013 t arget Complete approximately $75‑$125 million in acquisitions.\n2013 Performance Killam completed $121.1 million in acquisitions in 2013 which includes $112.8 million in apartment \nacquisitions, $1.4 million for 65 MHC sites and $6.9 million in vacant land for future developments.\nIncrease Investment in New Properties\n2013 t arget Focus on newer properties as part of the acquisition program in 2013. Complete and lease‑up Killam’s four \ndevelopments, and commence two new development projects. \n2013 Performance During 2013 Killam acquired 552 units which were constructed after 2001, representing 74% of the total \nunits added to the portfolio during the year. The acquisitions included three buildings constructed in 2013, \nan 83‑unit luxury building in Halifax, a 48‑unit building in Moncton, and a 179‑unit building on Queen Street \nWest in toronto. \nThe Company also completed the construction of four development projects totaling 282 units during \nthe first half of the year. These buildings were all ready for occupancy by the beginning of May 2013 with \nlease‑up periods varying by project. Bennett House and Brighton House were fully leased within three \nmonths of opening while the S2 and The Plaza are currently 62% and 61% leased. Both properties are \nexpected to be substantially leased by mid‑2014. \nKillam commenced two new development projects during the year. Development started on a 101‑unit \nproject in St. John’s in Q3‑2013 and a 122‑unit project in Cambridge broke ground in December 2013. Please \nrefer to the Investment Properties Under Construction section of the MD&A on page 49 for further details on \nthese projects.\n26 Killam ProPerties inc | 2013", - "page_start": 25, - "page_end": 25, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nBusiness Strategy\nMaximize NOI from Existing Portfolio\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI \ngrowth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, \ninvesting in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property \ngeneral and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam’s \napartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on \nKillam’s operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy \nusage.\nGrowth through Acquisitions\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 \nmillion in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\nGrowth through Development\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed \nfive properties to‑date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, \nmaximizes the use of excess land and eliminates the seller’s profit, generating higher returns than through acquisitions. Management expects to \nlimit development projects to approximately 5% of the balance sheet on an annual basis. \nInvestment in New Properties\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam’s ownership \nin new, high‑quality buildings will result in above‑market and long‑term demand for the Company’s assets from an aging population, reduce \nannual capital requirements for deferred maintenance, and transform Killam’s portfolio, over time, into one of the highest quality portfolios in \ncanada. \nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above‑average rents. CMHC’s Fall 2013 \nHalifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. \nThe average rent for a two‑bedroom unit in these newer buildings was $1,320 per month, compared to a market average two‑bedroom rent of \n$976. \nThe new properties added to Killam’s portfolio are condo quality, providing tenants with features and amenities traditionally associated with \nownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners \nreaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new \nassets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount \nof annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally \nhigher in newer buildings.\nWith strong demand for the acquisition of apartments over the last three years, cap‑rates have declined and the pricing differential between \nolder and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a \nsignificant premium for quality assets. \nGeographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nPortfolio Summary\nThe following table summarizes Killam’s apartment portfolio by market as at and for the year ended December 31, 2013:\nApartment Properties\n Units(1)\nNumber of \nProperties\n% of Apartment NOI \nand Equity Income\nNova Scotia\n Halifax(2) 4,970 54 47.1%\n sydney 139 2 1.2%\n 5,109 56 48.3%\nNew Brunswick\n moncton 1,593 30 9.8%\n Fredericton 1,394 20 9.9%\n saint John 1,143 13 5.6%\n miramichi 96 1 0.7%\n 4,226 64 26.0%\nOntario(3)\n Ottawa 492 6 2.7%\n london 264 2 2.8%\n cambridge 225 2 3.4%\n t oronto 378 2 1.5%\n 1,359 12 10.4%\nNewfoundland and Labrador\n st. John’s 813 11 7.3%\n Grand Falls 148 2 1.1%\n 961 13 8.4%\nPrince Edward Island\n Charlottetown 906 17 6.6%\n summerside 86 2 0.3%\n 992 19 6.9%\nTotal 12,647 164 100.0%\n(1) Unit count includes properties held through Killam’s partnerships and joint ventures.\n(2) Killam owns a 47% interest in and manages Garden Park Apartments, a 246‑unit building located in Halifax, NS. Killam’s 47% ownership interest \nrepresents 116 of the 246 units related to this property. \n(3) Killam owns three buildings located in Ontario through a joint venture, with Killam having a 25% ownership interest and managing the properties. \nKillam’s 25% ownership interest represents 118 of the 472 units related to these properties.\nManufactured Home Communities Portfolio\nThe following table summarizes Killam’s MHC investment by province as at and for the year ended December 31, 2013:\n Sites\nNumber of \nCommunities\n% of MHC\nNOI\nNova Scotia 2,626 16 34.3%\nnew Brunswick 224 1 34.2%\nontario 2,144 16 29.3%\nnewfoundland and labrador 170 2 2.2%\nTotal 5,164 35 100.0%\n30 Killam ProPerties inc | 2013", - "page_start": 29, - "page_end": 29, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "With a home base in Halifax, Killam’s roots are in atlantic canada and the \ncompany has successfully grown by consolidating the residential real estate \nmarket in the region’s urban centres. in order to meet its long-term growth \ntargets and increase its investment in canada’s most dynamic real estate \nmarkets, Killam has been actively expanding its apartment portfolio in ontario \nand is exploring investment opportunities in Western canada. since 2010, \nKillam has expanded its apartment target markets to include specific cities \nin ontario, and has invested approximately $200 million in real estate assets \nin the province. approximately 15% of Killam’s 2014 net operating income is \nexpected to be earned in ontario. the company has set a long-term target to \nearn 50% of its net operating income outside atlantic canada. \nincreasing Geographic \nDiversification\n1033 Queen street West, toronto, ontario", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "What is the conventional workflow for BERT ?", - "target_page": 1, - "target_passage": "The conventional workflow for BERT consists of two stages: pre-training and fine-tuning. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "A Primer in BERTology: What We Know About How BERT Works\nAnna Rogers\nCenter for Social Data Science\nUniversity of Copenhagen\narogers@sodas.ku.dk\nOlga Kovaleva\nDept. of Computer Science\nUniversity of Massachusetts Lowell\nokovalev@cs.uml.edu\nAnna Rumshisky\nDept. of Computer Science\nUniversity of Massachusetts Lowell\narum@cs.uml.edu\nAbstract\nTransformer-based models have pushed state\nof the art in many areas of NLP, but our un-\nderstanding of what is behind their success\nis still limited. This paper is the first sur-\nvey of over 150 studies of the popular BERT\nmodel. We review the current state of knowl-\nedge about how BERT works, what kind\nof information it learns and how it is repre-\nsented, common modifications to its training\nobjectives and architecture, the overparame-\nterization issue and approaches to compres-\nsion. We then outline directions for future\nresearch.\n1 Introduction\nSince their introduction in 2017, Transformers\n(Vaswani et al., 2017) have taken NLP by storm,\noffering enhanced parallelization and better model-\ning of long-range dependencies. The best known\nTransformer-based model is BERT (Devlin et al.,\n2019); it obtained state-of-the-art results in numer-\nous benchmarks and is still a must-have baseline.\nWhile it is clear that BERT works remarkably\nwell, it is less clear why, which limits further\nhypothesis-driven improvement of the architecture.\nUnlike CNNs, the Transformers have little cogni-\ntive motivation, and the size of these models limits\nour ability to experiment with pre-training and per-\nform ablation studies. This explains a large number\nof studies over the past year that attempted to un-\nderstand the reasons behind BERT’s performance.\nIn this paper, we provide an overview of what\nhas been learned to date, highlighting the questions\nwhich are still unresolved. We first consider the\nlinguistic aspects of it, i.e., the current evidence\nregarding the types of linguistic and world knowl-\nedge learned by BERT, as well as where and how\nthis knowledge may be stored in the model. We\nthen turn to the technical aspects of the model and\nprovide an overview of the current proposals to\nimprove BERT’s architecture, pre-training and fine-\ntuning. We conclude by discussing the issue of\noverparameterization, the approaches to compress-\ning BERT, and the nascent area of pruning as a\nmodel analysis technique.\n2 Overview of BERT architecture\nFundamentally, BERT is a stack of Transformer\nencoder layers (Vaswani et al., 2017) which consist\nof multiple self-attention \"heads\". For every input\ntoken in a sequence, each head computes key, value\nand query vectors, used to create a weighted repre-\nsentation. The outputs of all heads in the same layer\nare combined and run through a fully-connected\nlayer. Each layer is wrapped with a skip connection\nand followed by layer normalization.\nThe conventional workflow for BERT consists\nof two stages: pre-training and fine-tuning. Pre-\ntraining uses two self-supervised tasks: masked\nlanguage modeling (MLM, prediction of randomly\nmasked input tokens) and next sentence prediction\n(NSP, predicting if two input sentences are adjacent\nto each other). In fine-tuning for downstream ap-\nplications, one or more fully-connected layers are\ntypically added on top of the final encoder layer.\nThe input representations are computed as fol-\nlows: each word in the input is first tokenized into\nwordpieces (Wu et al., 2016), and then three em-\nbedding layers (token, position, and segment) are\ncombined to obtain a fixed-length vector. Special\ntoken [CLS] is used for classification predictions,\nand [SEP] separates input segments.\nGoogle1 and HuggingFace (Wolf et al., 2020)\nprovide many variants of BERT, including the orig-\ninal \"base\" and \"large\" versions. They vary in the\nnumber of heads, layers, and hidden state size.\n1https://github.com/\ngoogle-research/bert\narXiv:2002.12327v3 [cs.CL] 9 Nov 2020", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "and longer training (Liu et al., 2019b). The data\nalso does not have to be raw text: there is a num-\nber efforts to incorporate explicit linguistic in-\nformation, both syntactic (Sundararaman et al.,\n2019) and semantic (Zhang et al., 2020). Wu et al.\n(2019b) and Kumar et al. (2020) include the label\nfor a given sequence from an annotated task dataset.\nSchick and Schütze (2020) separately learn repre-\nsentations for rare words.\nAlthough BERT is already actively used as a\nsource of world knowledge (see subsection 3.3),\nthere is also work on explicitly supplying struc-\ntured knowledge . One approach is entity-\nenhanced models. For example, Peters et al.\n(2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter mod-\nules. They achieve competitive performance on\n26 classification tasks at a fraction of the computa-\ntional cost. Adapters in BERT were also used for\nmulti-task learning (Stickland and Murray, 2019)\nand cross-lingual transfer (Artetxe et al., 2019). An\nalternative to fine-tuning is extracting features from\nfrozen representations, but fine-tuning works better\nfor BERT (Peters et al., 2019b).\nA big methodological challenge in the current\nNLP is that the reported performance improve-\nments of new models may well be within varia-\ntion induced by environment factors (Crane, 2018).\nBERT is not an exception. Dodge et al. (2020)\nreport significant variation for BERT fine-tuned\non GLUE tasks due to both weight initialization\nand training data order. They also propose early\nstopping on the less-promising seeds.\nAlthough we hope that the above observations\nmay be useful for the practitioners, this section\ndoes not exhaust the current research on fine-tuning\nand its alternatives. For example, we do not cover\nsuch topics as Siamese architectures, policy gradi-\nent training, automated curriculum learning, and\nothers.\n6 How big should BERT be?\n6.1 Overparameterization\nTransformer-based models keep growing by or-\nders of magnitude: the 110M parameters of base\nBERT are now dwarfed by 17B parameters of\nTuring-NLG (Microsoft, 2020), which is dwarfed\nby 175B of GPT-3 (Brown et al., 2020). This trend\nraises concerns about computational complexity\nof self-attention (Wu et al., 2019a), environmental\nissues (Strubell et al., 2019; Schwartz et al., 2019),\nfair comparison of architectures (Aßenmacher and\nHeumann, 2020), and reproducibility.\nHuman language is incredibly complex, and\nwould perhaps take many more parameters to de-\nscribe fully, but the current models do not make\ngood use of the parameters they already have. V oita\net al. (2019b) showed that all but a few Trans-\nformer heads could be pruned without signif-\nicant losses in performance . For BERT, Clark\net al. (2019) observe that most heads in the same\nlayer show similar self-attention patterns (perhaps\nrelated to the fact that the output of all self-attention\nheads in a layer is passed through the same MLP),\nwhich explains why Michel et al. (2019) were able\nto reduce most layers to a single head.\nDepending on the task, some BERT heads/layers\nare not only redundant (Kao et al., 2020), but also\nharmful to the downstream task performance. Pos-\nitive effect from head disabling was reported for\nmachine translation (Michel et al., 2019), abstrac-\ntive summarization (Baan et al., 2019), and GLUE\ntasks (Kovaleva et al., 2019). Additionally, Ten-\nney et al. (2019a) examine the cumulative gains of\ntheir structural probing classifier, observing that in\n5 out of 8 probing tasks some layers cause a drop\nin scores (typically in the final layers). Gordon\net al. (2020) find that 30–40% of the weights can\nbe pruned without impact on downstream tasks.\nIn general, larger BERT models perform better\n(Liu et al., 2019a; Roberts et al., 2020), but not\nalways: BERT-base outperformed BERT-large on\nsubject-verb agreement (Goldberg, 2019) and sen-\ntence subject detection (Lin et al., 2019). Given\nthe complexity of language, and amounts of pre-\ntraining data, it is not clear why BERT ends up with\nredundant heads and layers. Clark et al. (2019) sug-\ngest that one possible reason is the use of attention\ndropouts, which causes some attention weights to\nbe zeroed-out during training.\n6.2 Compression techniques\nGiven the above evidence of overparameteriza-\ntion, it does not come as a surprise that BERT\ncan be efficiently compressed with minimal ac-\ncuracy loss, which would be highly desirable for\nreal-world applications. Such efforts to date are\nsummarized in Table 1. The main approaches are\nknowledge distillation, quantization, and pruning.\nThe studies in the knowledge distillation\nframework (Hinton et al., 2014) use a smaller\nstudent-network trained to mimic the behavior of", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "5.3 Pre-training BERT\nThe original BERT is a bidirectional Transformer\npre-trained on two tasks: next sentence prediction\n(NSP) and masked language model (MLM) (sec-\ntion 2). Multiple studies have come up with alter-\nnative training objectives to improve on BERT,\nwhich could be categorized as follows:\n• How to mask. Raffel et al. (2019) systemati-\ncally experiment with corruption rate and cor-\nrupted span length. Liu et al. (2019b) propose\ndiverse masks for training examples within\nan epoch, while Baevski et al. (2019) mask\nevery token in a sequence instead of a random\nselection. Clinchant et al. (2019) replace the\nMASK token with [UNK] token, to help the\nmodel learn a representation for unknowns\nthat could be useful for translation. Song et al.\n(2020) maximize the amount of information\navailable to the model by conditioning on both\nmasked and unmasked tokens, and letting the\nmodel see how many tokens are missing.\n• What to mask. Masks can be applied to full\nwords instead of word-pieces (Devlin et al.,\n2019; Cui et al., 2019). Similarly, we can\nmask spans rather than single tokens (Joshi\net al., 2020), predicting how many are missing\n(Lewis et al., 2019). Masking phrases and\nnamed entities (Sun et al., 2019b) improves\nrepresentation of structured knowledge.\n• Where to mask. Lample and Conneau (2019)\nuse arbitrary text streams instead of sentence\npairs and subsample frequent outputs similar\nto Mikolov et al. (2013). Bao et al. (2020)\ncombine the standard autoencoding MLM\nwith partially autoregressive LM objective us-\ning special pseudo mask tokens.\n• Alternatives to masking. Raffel et al. (2019)\nexperiment with replacing and dropping spans,\nLewis et al. (2019) explore deletion, infilling,\nsentence permutation and document rotation,\nand Sun et al. (2019c) predict whether a to-\nken is capitalized and whether it occurs in\nother segments of the same document. Yang\net al. (2019) train on different permutations\nof word order in the input sequence, maximiz-\ning the probability of the original word order\n(cf. the n-gram word order reconstruction task\n(Wang et al., 2019a)). Clark et al. (2020) de-\ntect tokens that were replaced by a generator\nnetwork rather than masked.\n• NSP alternatives. Removing NSP does not\nhurt or slightly improves performance (Liu\net al., 2019b; Joshi et al., 2020; Clinchant\net al., 2019). Wang et al. (2019a) and Cheng\net al. (2019) replace NSP with the task of\npredicting both the next and the previous sen-\ntences. Lan et al. (2020a) replace the negative\nNSP examples by swapped sentences from\npositive examples, rather than sentences from\ndifferent documents. ERNIE 2.0 includes sen-\ntence reordering and sentence distance pre-\ndiction. Bai et al. (2020) replace both NSP\nand token position embeddings by a combina-\ntion of paragraph, sentence, and token index\nembeddings. Li and Choi (2020) experiment\nwith utterance order prediction task for multi-\nparty dialogue (and also MLM at the level of\nutterances and the whole dialogue).\n• Other tasks. Sun et al. (2019c) propose si-\nmultaneous learning of 7 tasks, including dis-\ncourse relation classification and predicting\nwhether a segment is relevant for IR. Guu\net al. (2020) include a latent knowledge re-\ntriever in language model pretraining. Wang\net al. (2020c) combine MLM with knowledge\nbase completion objective. Glass et al. (2020)\nreplace MLM with span prediction task (as\nin extractive question answering), where the\nmodel is expected to provide the answer not\nfrom its own weights, but from a different pas-\nsage containing the correct answer (a relevant\nsearch engine query snippet).\nAnother obvious source of improvement is pre-\ntraining data. Several studies explored the ben-\nefits of increasing the corpus volume (Liu et al.,\n2019b; Conneau et al., 2019; Baevski et al., 2019)\nand longer training (Liu et al., 2019b). The data\nalso does not have to be raw text: there is a num-\nber efforts to incorporate explicit linguistic in-\nformation, both syntactic (Sundararaman et al.,", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "ing directions are the \"amnesic probing\" (Elazar\net al., 2020), identifying features important for pre-\ndiction for a given task (Arkhangelskaia and Dutta,\n2019), and pruning the model to remove the non-\nimportant components (V oita et al., 2019b; Michel\net al., 2019; Prasanna et al., 2020).\n8 Conclusion\nIn a little over a year, BERT has become a ubiq-\nuitous baseline in NLP experiments and inspired\nnumerous studies analyzing the model and propos-\ning various improvements. The stream of papers\nseems to be accelerating rather than slowing down,\nand we hope that this survey helps the community\nto focus on the biggest unresolved questions.\n9 Acknowledgements\nWe thank the anonymous reviewers for their valu-\nable feedback. This work is funded in part by\nthe NSF award number IIS-1844740 to Anna\nRumshisky.", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "5.2 Improvements to the training regime\nLiu et al. (2019b) demonstrate the benefits of\nlarge-batch training: with 8k examples both the\nlanguage model perplexity and downstream task\nperformance are improved. They also publish their\nrecommendations for other parameters. You et al.\n(2019) report that with a batch size of 32k BERT’s\ntraining time can be significantly reduced with no\ndegradation in performance. Zhou et al. (2019) ob-\nserve that the normalization of the trained [CLS]\ntoken stabilizes the training and slightly improves\nperformance on text classification tasks.\nGong et al. (2019) note that, since self-attention\npatterns in higher and lower layers are similar, the\nmodel training can be done in a recursive man-\nner, where the shallower version is trained first and\nthen the trained parameters are copied to deeper\nlayers. Such a \"warm-start\" can lead to a 25% faster\ntraining without sacrificing performance.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "43. Liu Y, Ott M, Goyal N, et al. Roberta: a robustly optimized bert pretraining approach.arXiv. Preprint posted\nonline July 26, 2019. doi:10.48550/arXiv.1907.11692\n44. Touvron H, Martin L, Stone K, et al. Llama 2: open foundation and fine-tuned chat models.arXiv. Preprint\nposted online July 19, 2023. doi:10.48550/arXiv.2307.09288\n45. World Health Organization. Conceptual framework for the international classification for patient safety\nversion 1.1: final technical report January 2009. 2010. Accessed October 23, 2024.https://www.who.int/publications/\ni/item/WHO-IER-PSP-2010.2\n46. Lin CY. Rouge: a package for automatic evaluation of summaries. 2004. Accessed October 23, 2024.https://\naclanthology.org/W04-1013/\n47. Zhang T, Kishore V, Wu F, Weinberger KQ, Artzi Y. Bertscore: Evaluating text generation with bert.arXiv.\nPreprint posted online February 24, 2020. doi:10.48550/arXiv.1904.09675\n48. Lattimer BM, Chen P, Zhang X, Yang Y. Fast and accurate factual inconsistency detection over long documents.\nPresented at: Conference on Empirical Methods in Natural Language Processing. December 6-10, 2023; Singapore.\n49. Schaye V, Miller L, Kudlowitz D, et al. Development of a clinical reasoning documentation assessment tool for\nresident and fellow admission notes: a shared mental model for feedback.J Gen Intern Med. 2022;37(3):507-512.\ndoi:10.1007/s11606-021-06805-6\n50. Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge\nsummaries to patient-friendly language and format.JAMA Netw Open. 2024;7(3):e240357. doi:10.1001/\njamanetworkopen.2024.0357\n51. Choudhury A, Chaudhry Z. Large language models and user trust: consequence of self-referential learning loop\nand the deskilling of health care professionals.J Med Internet Res. 2024;26:e56764. doi:10.2196/56764\n52. Gisev N, Bell JS, Chen TF. Interrater agreement and interrater reliability: key concepts, approaches, and\napplications. Res Social Adm Pharm. 2013;9(3):330-338. doi:10.1016/j.sapharm.2012.04.004\n53. Baxter SL, Longhurst CA, Millen M, Sitapati AM, Tai-Seale M. Generative artificial intelligence responses to\npatient messages in the electronic health record: early lessons learned.JAMIA Open. 2024;7(2):ooae028. doi:10.\n1093/jamiaopen/ooae028\n54. Goodman KE, Paul HY, Morgan DJ. LLM-generated clinical summaries require more than accuracy.JAMA.\n2024;331(8):637-638. doi:10.1001/jama.2024.0555\n55. Achiam J, Adler S, Agarwal S, et al. Gpt-4 technical report.arXiv. Preprint posted online March 4, 2024. doi:10.\n48550/arXiv.2303.08774\n56. Chung HW, Hou L, Longpre S, et al. Scaling instruction-finetuned language models.J Mach Learn Res. 2024;\n25(70):1-53.\nSUPPLEMENT 1.\neAppendix 1.Technology Specifications, Model Training, and Inference\neAppendix 2.Automated Method of SCALE\neTable 1.Definitions From the Clinical Assessment\neTable 2.Worst Case Scenario of Incorrectness Examples From LLM-Generated Notes\nSUPPLEMENT 2.\nData Sharing Statement\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 12/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed8.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with\nsupervised parsing does not make much difference\nfor downstream task performance.\n3.2 Semantic knowledge\nTo date, more studies have been devoted to BERT’s\nknowledge of syntactic rather than semantic phe-\nnomena. However, we do have evidence from an\nMLM probing study that BERT has some knowl-\nedge of semantic roles (Ettinger, 2019). BERT\neven displays some preference for the incorrect\nfillers for semantic roles that are semantically re-\nlated to the correct ones, as opposed to those that\nare unrelated (e.g. \"to tip a chef\" is better than \"to\ntip a robin\", but worse than \"to tip a waiter\").\nTenney et al. (2019b) showed that BERT en-\ncodes information about entity types, relations,\nsemantic roles, and proto-roles, since this infor-\nmation can be detected with probing classifiers.\nBERT struggles with representations of num-\nbers. Addition and number decoding tasks showed\nthat BERT does not form good representations for\nfloating point numbers and fails to generalize away\nfrom the training data (Wallace et al., 2019b). A\npart of the problem is BERT’s wordpiece tokeniza-\ntion, since numbers of similar values can be divided\nup into substantially different word chunks.\nOut-of-the-box BERT is surprisingly brittle to\nnamed entity replacements: e.g. replacing names\nin the coreference task changes 85% of predictions\n(Balasubramanian et al., 2020). This suggests that\nthe model does not actually form a generic idea of\nnamed entities, although its F1 scores on NER prob-\ning tasks are high (Tenney et al., 2019a). Broscheit\n(2019) find that fine-tuning BERT on Wikipedia\nentity linking \"teaches\" it additional entity knowl-\nedge, which would suggest that it did not absorb all\nthe relevant entity information during pre-training\non Wikipedia.\n3.3 World knowledge\nThe bulk of evidence about commonsense knowl-\nedge captured in BERT comes from practitioners\nusing it to extract such knowledge. One direct prob-\ning study of BERT reports that BERT struggles\nwith pragmatic inference and role-based event\nknowledge (Ettinger, 2019). BERT also struggles\nwith abstract attributes of objects, as well as visual\nand perceptual properties that are likely to be as-\nsumed rather than mentioned (Da and Kasai, 2019).\nThe MLM component of BERT is easy to\nadapt for knowledge induction by filling in the\nLanguage Models as Knowledge Bases?\nFabio Petroni1 Tim Rockt¨aschel1,2 Patrick Lewis1,2 Anton Bakhtin1\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2\n1Facebook AI Research\n2University College London\n{fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\nAbstract\nRecent progress in pretraining language mod-\nels on large textual corpora led to a surge\nof improvements for downstream NLP tasks.\nWhilst learning linguistic knowledge, these\nmodels may also be storing relational knowl-\nedge present in the training data, and may\nbe able to answer queries structured as “fill-\nin-the-blank” cloze statements. Language\nmodels have many advantages over structured\nknowledge bases: they require no schema en-\ngineering, allow practitioners to query about\nan open class of relations, are easy to extend to\nmore data, and require no human supervision\nto train. We present an in-depth analysis of the\nrelational knowledge already present (without\nfine-tuning) in a wide range of state-of-the-\nart pretrained language models. We find that\n(i) without fine-tuning, BERT contains rela-\ntional knowledge competitive with traditional\nNLP methods that have some access to ora-\ncle knowledge, (ii) BERT also does remark-\nably well on open-domain question answer-\ning against a supervised baseline, and (iii) cer-\ntain types of factual knowledge are learned\nmuch more readily than others by standard lan-\nguage model pretraining approaches. The sur-\nprisingly strong ability of these models to re-\ncall factual knowledge without any fine-tuning\ndemonstrates their potential as unsupervised\nopen-domain QA systems. The code to re-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 5: Pre-trained weights help BERT find wider\noptima in fine-tuning on MRPC (right) than training\nfrom scratch (left) (Hao et al., 2019)\nbeddings as input for training BERT, while Po-\nerner et al. (2019) adapt entity vectors to BERT\nrepresentations. As mentioned above, Wang et al.\n(2020c) integrate knowledge not through entity em-\nbeddings, but through additional pre-training ob-\njective of knowledge base completion. Sun et al.\n(2019b,c) modify the standard MLM task to mask\nnamed entities rather than random words, and Yin\net al. (2020) train with MLM objective over both\ntext and linearized table data. Wang et al. (2020a)\nenhance RoBERTa with both linguistic and factual\nknowledge with task-specific adapters.\nPre-training is the most expensive part of train-\ning BERT, and it would be informative to know\nhow much benefit it provides. On some tasks, a\nrandomly initialized and fine-tuned BERT obtains\ncompetitive or higher results than the pre-trained\nBERT with the task classifier and frozen weights\n(Kovaleva et al., 2019). The consensus in the com-\nmunity is that pre-training does help in most situa-\ntions, but the degree and its exact contribution re-\nquires further investigation. Prasanna et al. (2020)\nfound that most weights of pre-trained BERT are\nuseful in fine-tuning, although there are \"better\"\nand \"worse\" subnetworks. One explanation is that\npre-trained weights help the fine-tuned BERT find\nwider and flatter areas with smaller generalization\nerror, which makes the model more robust to over-\nfitting (see Figure 5 from Hao et al. (2019)).\nGiven the large number and variety of proposed\nmodifications, one would wish to know how much\nimpact each of them has. However, due to the\noverall trend towards large model sizes, systematic\nablations have become expensive. Most new mod-\nels claim superiority on standard benchmarks, but\ngains are often marginal, and estimates of model\nstability and significance testing are very rare.\n5.4 Fine-tuning BERT\nPre-training + fine-tuning workflow is a crucial\npart of BERT. The former is supposed to provide\ntask-independent knowledge, and the latter would\npresumably teach the model to rely more on the\nrepresentations useful for the task at hand.\nKovaleva et al. (2019) did not find that to be the\ncase for BERT fine-tuned on GLUE tasks 5: dur-\ning fine-tuning, the most changes for 3 epochs oc-\ncurred in the last two layers of the models, but those\nchanges caused self-attention to focus on [SEP]\nrather than on linguistically interpretable patterns.\nIt is understandable why fine-tuning would increase\nthe attention to [CLS], but not [SEP]. If Clark\net al. (2019) are correct that [SEP] serves as \"no-\nop\" indicator, fine-tuning basically tells BERT what\nto ignore.\nSeveral studies explored the possibilities of im-\nproving the fine-tuning of BERT:\n• Taking more layers into account: learning\na complementary representation of the infor-\nmation in deep and output layers (Yang and\nZhao, 2019), using a weighted combination\nof all layers instead of the final one (Su and\nCheng, 2019; Kondratyuk and Straka, 2019),\nand layer dropout (Kondratyuk and Straka,\n2019).\n• Two-stage fine-tuning introduces an inter-\nmediate supervised training stage between\npre-training and fine-tuning (Phang et al.,\n2019; Garg et al., 2020; Arase and Tsujii,\n2019; Pruksachatkun et al., 2020; Glavaš and\nVuli´c, 2020). Ben-David et al. (2020) propose\na pivot-based variant of MLM to fine-tune\nBERT for domain adaptation.\n• Adversarial token perturbations improve\nrobustness of the model (Zhu et al., 2019).\n• Adversarial regularization in combination\nwith Bregman Proximal Point Optimization\nhelps alleviate pre-trained knowledge forget-\nting and therefore prevents BERT from overfit-\nting to downstream tasks (Jiang et al., 2019a).\n• Mixout regularization improves the stability\nof BERT fine-tuning even for a small number\nof training examples (Lee et al., 2019).\nWith large models, even fine-tuning becomes ex-\npensive, but Houlsby et al. (2019) show that it can", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "3 What knowledge does BERT have?\nA number of studies have looked at the knowledge\nencoded in BERT weights. The popular approaches\ninclude fill-in-the-gap probes of MLM, analysis of\nself-attention weights, and probing classifiers with\ndifferent BERT representations as inputs.\n3.1 Syntactic knowledge\nLin et al. (2019) showed that BERT represen-\ntations are hierarchical rather than linear , i.e.\nthere is something akin to syntactic tree structure\nin addition to the word order information. Ten-\nney et al. (2019b) and Liu et al. (2019a) also\nshowed that BERT embeddings encode informa-\ntion about parts of speech, syntactic chunks\nand roles. Enough syntactic information seems\nto be captured in the token embeddings themselves\nto recover syntactic trees (Vilares et al., 2020; Kim\net al., 2020; Rosa and Mare ˇcek, 2019), although\nprobing classifiers could not recover the labels of\ndistant parent nodes in the syntactic tree (Liu et al.,\n2019a). Warstadt and Bowman (2020) report evi-\ndence of hierarchical structure in three out of four\nprobing tasks.\nAs far as how syntax is represented, it seems\nthat syntactic structure is not directly encoded\nin self-attention weights. Htut et al. (2019) were\nunable to extract full parse trees from BERT heads\neven with the gold annotations for the root. Jawahar\net al. (2019) include a brief illustration of a depen-\ndency tree extracted directly from self-attention\nweights, but provide no quantitative evaluation.\nHowever, syntactic information can be recov-\nered from BERT token representations. Hewitt\nand Manning (2019) were able to learn transfor-\nmation matrices that successfully recovered syn-\ntactic dependencies in PennTreebank data from\nBERT’s token embeddings (see also Manning et al.,\n2020). Jawahar et al. (2019) experimented with\ntransformations of the [CLS] token using Tensor\nProduct Decomposition Networks (McCoy et al.,\n2019a), concluding that dependency trees are the\nbest match among 5 decomposition schemes (al-\nthough the reported MSE differences are very\nsmall). Miaschi and Dell’Orletta (2020) performs\na range of syntactic probing experiments with con-\ncatenated token representations as input.\nNote that all these approaches look for the\nevidence of gold-standard linguistic structures,\nand add some amount of extra knowledge to the\nprobe. Most recently, Wu et al. (2020) proposed a\n4168\n[CLS]Forthosewhofollowsocialmedia\ntransitions\non\nCapitol\nHill , this will be alittle\ndifferent\n.\n[CLS]\nFor\nthose\nwho\nfollow\nsocial\nmedia\ntransitions\non\nCapitol\nHill\n,\nthis\nwill\nbe\na\nlittle\ndifferent\n.\n0\n1\n2\n3\n4\n5\nFigure 1: Heatmap of the impact matrix for the sen-\ntence “For those who follow social media transitions\non Capitol Hill, this will be a little different.”\n3 Visualization with Impact Maps\nBefore we discuss specific syntactic phenomena,\nlet us first analyze some example impact matri-\nces derived from sample sentences. We visual-\nize an impact matrix of a sentence by displaying\na heatmap. We use the term “impact map” to refer\nto a heatmap of an impact matrix.\nSetup. We extract impact matrices by feed-\ning BERT with 1,000 sentences from the English\nParallel Universal Dependencies (PUD) treebank\nof the CoNLL 2017 Shared Task ( Zeman et al. ,\n2017). We follow the setup and pre-processing\nsteps employed in pre-training BERT. An example\nimpact map is shown in Figure 1.\nDependency. We notice that the impact map\ncontains many stripes, which are short series of\nvertical/horizontal cells, typically located along\nthe diagonal. Take the word “ different” as an ex-\nample (which is illustrated by the second-to-last\ncolumn in the impact matrix). We observe a clear\nvertical stripe above the main diagonal. The inter-\npretation is that this particular occurrence of the\nword “different” strongly affects the occurrences\nof those words before it. These strong influences\nare shown by the darker-colored pixels seen in the\nsecond last column of the impact map. This ob-\nservation agrees with the ground-truth dependency", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is syntaxis encoded with Bert model ?", - "target_page": 2, - "target_passage": " As far as how syntaxis represented, it seems that syntactic structure is not directly encoded in self-attention weights.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "and longer training (Liu et al., 2019b). The data\nalso does not have to be raw text: there is a num-\nber efforts to incorporate explicit linguistic in-\nformation, both syntactic (Sundararaman et al.,\n2019) and semantic (Zhang et al., 2020). Wu et al.\n(2019b) and Kumar et al. (2020) include the label\nfor a given sequence from an annotated task dataset.\nSchick and Schütze (2020) separately learn repre-\nsentations for rare words.\nAlthough BERT is already actively used as a\nsource of world knowledge (see subsection 3.3),\nthere is also work on explicitly supplying struc-\ntured knowledge . One approach is entity-\nenhanced models. For example, Peters et al.\n(2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "3 What knowledge does BERT have?\nA number of studies have looked at the knowledge\nencoded in BERT weights. The popular approaches\ninclude fill-in-the-gap probes of MLM, analysis of\nself-attention weights, and probing classifiers with\ndifferent BERT representations as inputs.\n3.1 Syntactic knowledge\nLin et al. (2019) showed that BERT represen-\ntations are hierarchical rather than linear , i.e.\nthere is something akin to syntactic tree structure\nin addition to the word order information. Ten-\nney et al. (2019b) and Liu et al. (2019a) also\nshowed that BERT embeddings encode informa-\ntion about parts of speech, syntactic chunks\nand roles. Enough syntactic information seems\nto be captured in the token embeddings themselves\nto recover syntactic trees (Vilares et al., 2020; Kim\net al., 2020; Rosa and Mare ˇcek, 2019), although\nprobing classifiers could not recover the labels of\ndistant parent nodes in the syntactic tree (Liu et al.,\n2019a). Warstadt and Bowman (2020) report evi-\ndence of hierarchical structure in three out of four\nprobing tasks.\nAs far as how syntax is represented, it seems\nthat syntactic structure is not directly encoded\nin self-attention weights. Htut et al. (2019) were\nunable to extract full parse trees from BERT heads\neven with the gold annotations for the root. Jawahar\net al. (2019) include a brief illustration of a depen-\ndency tree extracted directly from self-attention\nweights, but provide no quantitative evaluation.\nHowever, syntactic information can be recov-\nered from BERT token representations. Hewitt\nand Manning (2019) were able to learn transfor-\nmation matrices that successfully recovered syn-\ntactic dependencies in PennTreebank data from\nBERT’s token embeddings (see also Manning et al.,\n2020). Jawahar et al. (2019) experimented with\ntransformations of the [CLS] token using Tensor\nProduct Decomposition Networks (McCoy et al.,\n2019a), concluding that dependency trees are the\nbest match among 5 decomposition schemes (al-\nthough the reported MSE differences are very\nsmall). Miaschi and Dell’Orletta (2020) performs\na range of syntactic probing experiments with con-\ncatenated token representations as input.\nNote that all these approaches look for the\nevidence of gold-standard linguistic structures,\nand add some amount of extra knowledge to the\nprobe. Most recently, Wu et al. (2020) proposed a\n4168\n[CLS]Forthosewhofollowsocialmedia\ntransitions\non\nCapitol\nHill , this will be alittle\ndifferent\n.\n[CLS]\nFor\nthose\nwho\nfollow\nsocial\nmedia\ntransitions\non\nCapitol\nHill\n,\nthis\nwill\nbe\na\nlittle\ndifferent\n.\n0\n1\n2\n3\n4\n5\nFigure 1: Heatmap of the impact matrix for the sen-\ntence “For those who follow social media transitions\non Capitol Hill, this will be a little different.”\n3 Visualization with Impact Maps\nBefore we discuss specific syntactic phenomena,\nlet us first analyze some example impact matri-\nces derived from sample sentences. We visual-\nize an impact matrix of a sentence by displaying\na heatmap. We use the term “impact map” to refer\nto a heatmap of an impact matrix.\nSetup. We extract impact matrices by feed-\ning BERT with 1,000 sentences from the English\nParallel Universal Dependencies (PUD) treebank\nof the CoNLL 2017 Shared Task ( Zeman et al. ,\n2017). We follow the setup and pre-processing\nsteps employed in pre-training BERT. An example\nimpact map is shown in Figure 1.\nDependency. We notice that the impact map\ncontains many stripes, which are short series of\nvertical/horizontal cells, typically located along\nthe diagonal. Take the word “ different” as an ex-\nample (which is illustrated by the second-to-last\ncolumn in the impact matrix). We observe a clear\nvertical stripe above the main diagonal. The inter-\npretation is that this particular occurrence of the\nword “different” strongly affects the occurrences\nof those words before it. These strong influences\nare shown by the darker-colored pixels seen in the\nsecond last column of the impact map. This ob-\nservation agrees with the ground-truth dependency", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "A Primer in BERTology: What We Know About How BERT Works\nAnna Rogers\nCenter for Social Data Science\nUniversity of Copenhagen\narogers@sodas.ku.dk\nOlga Kovaleva\nDept. of Computer Science\nUniversity of Massachusetts Lowell\nokovalev@cs.uml.edu\nAnna Rumshisky\nDept. of Computer Science\nUniversity of Massachusetts Lowell\narum@cs.uml.edu\nAbstract\nTransformer-based models have pushed state\nof the art in many areas of NLP, but our un-\nderstanding of what is behind their success\nis still limited. This paper is the first sur-\nvey of over 150 studies of the popular BERT\nmodel. We review the current state of knowl-\nedge about how BERT works, what kind\nof information it learns and how it is repre-\nsented, common modifications to its training\nobjectives and architecture, the overparame-\nterization issue and approaches to compres-\nsion. We then outline directions for future\nresearch.\n1 Introduction\nSince their introduction in 2017, Transformers\n(Vaswani et al., 2017) have taken NLP by storm,\noffering enhanced parallelization and better model-\ning of long-range dependencies. The best known\nTransformer-based model is BERT (Devlin et al.,\n2019); it obtained state-of-the-art results in numer-\nous benchmarks and is still a must-have baseline.\nWhile it is clear that BERT works remarkably\nwell, it is less clear why, which limits further\nhypothesis-driven improvement of the architecture.\nUnlike CNNs, the Transformers have little cogni-\ntive motivation, and the size of these models limits\nour ability to experiment with pre-training and per-\nform ablation studies. This explains a large number\nof studies over the past year that attempted to un-\nderstand the reasons behind BERT’s performance.\nIn this paper, we provide an overview of what\nhas been learned to date, highlighting the questions\nwhich are still unresolved. We first consider the\nlinguistic aspects of it, i.e., the current evidence\nregarding the types of linguistic and world knowl-\nedge learned by BERT, as well as where and how\nthis knowledge may be stored in the model. We\nthen turn to the technical aspects of the model and\nprovide an overview of the current proposals to\nimprove BERT’s architecture, pre-training and fine-\ntuning. We conclude by discussing the issue of\noverparameterization, the approaches to compress-\ning BERT, and the nascent area of pruning as a\nmodel analysis technique.\n2 Overview of BERT architecture\nFundamentally, BERT is a stack of Transformer\nencoder layers (Vaswani et al., 2017) which consist\nof multiple self-attention \"heads\". For every input\ntoken in a sequence, each head computes key, value\nand query vectors, used to create a weighted repre-\nsentation. The outputs of all heads in the same layer\nare combined and run through a fully-connected\nlayer. Each layer is wrapped with a skip connection\nand followed by layer normalization.\nThe conventional workflow for BERT consists\nof two stages: pre-training and fine-tuning. Pre-\ntraining uses two self-supervised tasks: masked\nlanguage modeling (MLM, prediction of randomly\nmasked input tokens) and next sentence prediction\n(NSP, predicting if two input sentences are adjacent\nto each other). In fine-tuning for downstream ap-\nplications, one or more fully-connected layers are\ntypically added on top of the final encoder layer.\nThe input representations are computed as fol-\nlows: each word in the input is first tokenized into\nwordpieces (Wu et al., 2016), and then three em-\nbedding layers (token, position, and segment) are\ncombined to obtain a fixed-length vector. Special\ntoken [CLS] is used for classification predictions,\nand [SEP] separates input segments.\nGoogle1 and HuggingFace (Wolf et al., 2020)\nprovide many variants of BERT, including the orig-\ninal \"base\" and \"large\" versions. They vary in the\nnumber of heads, layers, and hidden state size.\n1https://github.com/\ngoogle-research/bert\narXiv:2002.12327v3 [cs.CL] 9 Nov 2020", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "0.2 0.4 0.6 0.8\ntext-embedding-3-large (0.087)\ntext-embedding-ada-002 (0.15)\ntext-embedding-3-small (0.17)\nmistral-embed (0.19)\nbge-m3 (0.22)\nvoyage-code-2 (0.24)\ne5-mistral-7b-instruct (0.24)\nSolon-embeddings-large-0.1 (0.25)\nsentence_croissant_alpha_v0.3 (0.26)\nsentence-t5-xxl (0.27)\nembed-multilingual-v3.0 (0.27)\nsentence-camembert-large (0.29)\nbge-m3-custom-fr (0.3)\nsentence_croissant_alpha_v0.2 (0.31)\nmultilingual-e5-large (0.31)\nSolon-embeddings-base-0.1 (0.34)\nmultilingual-e5-base (0.34)\nsentence-t5-xl (0.36)\nvoyage-2 (0.41)\nsentence-croissant-llm-base (0.42)\nparaphrase-multilingual-mpnet-base-v2 (0.43)\nembed-multilingual-light-v3.0 (0.43)\nmultilingual-e5-small (0.44)\nsentence-t5-large (0.45)\nsentence-flaubert-base (0.46)\nuniversal-sentence-encoder-multilingual-3 (0.49)\n(0.94) flaubert_large_cased\n(0.92) flaubert_base_uncased\n(0.91) xlm-roberta-base\n(0.86) xlm-roberta-large\n(0.86) flaubert_base_cased\n(0.86) udever-bloom-560m\n(0.84) camembert-base\n(0.78) bert-base-multilingual-cased\n(0.75) distilbert-base-25lang-cased\n(0.75) camembert-large\n(0.74) distilbert-base-en-fr-cased\n(0.74) distilbert-base-fr-cased\n(0.71) multi-qa-MiniLM-L6-cos-v1\n(0.69) all-MiniLM-L12-v2\n(0.69) all-MiniLM-L6-v2\n(0.67) laser2\n(0.64) bert-base-multilingual-uncased\n(0.64) udever-bloom-1b1\n(0.62) text2vec-base-multilingual\n(0.59) sentence-camembert-base\n(0.56) distiluse-base-multilingual-cased-v2\n(0.54) sentence-t5-base\n(0.54) paraphrase-multilingual-MiniLM-L12-v2\n(0.52) universal-sentence-encoder-multilingual-large-3\n(0.51) LaBSE\nStatistically equivalent performance\nLower \nperformance\nBetter \nperformance\nFigure 1: Critical difference diagram representing the significant rank gaps between models. The axis represents the\nnormalized average rank of the models (lower is better). The black bars indicate that the difference in models’ rank\nis not statistically significant, i.e. lower than the critical difference.\nfor similarity, prevail. Nevertheless, we can high-\nlight the excellent performance of a few French\nmodels such as sentence-camembert and sentence-\ncroissant and Solon-embeddings.\nLastly, we emphasize that closed-source models\nperform well on this benchmark (text-embeddings,\nmistral-embed and voyage), but we lack informa-\ntion about their characteristics. As more open-\nsource well-performing models get added in the\nfuture, we could expect this correlation to decrease.\nNote that the correlation between sequence length\nand performance could be dragged by closed-\nsource models that have generally larger sequence\nlengths.\nQ3: Do monolingual models have multilingual\ncapabilities?\nMultilingual French English +\ntuning on\nother languages\nBilingual English\nLanguage\n0.2\n0.4\n0.6\n0.8Average performance\nModel perfromance vs language\nFigure 2: Model performance depending on the lan-\nguage of the data they have been trained on.\nWe also studied the capabilities of models on the\nFrench language when the language of the training\ndata varies. It is surprising to note the absence of a\nclear correlation between the language the model\nis trained on and its performance on French, as\nshown by the large standard deviation in Figure 2.\nFurthermore, monolingual models trained exclu-\nsively on English such as voyage-code-2 show\nvery good results on French datasets compared\nto models trained exclusively on French such as\nflaubert derivatives and distilbert-base-fr-cased\n(see Table D.1).\nThis is explained by the fact that a large part of the\nselected French models generate embeddings using\na pooling strategy. Only a few are sentence trans-\nformer models, for which the pooled representation\nis part of the model and trained with it, leading to\nhigher-quality embeddings. This is endorsed by\nthe excellent results of sentence-camembert-large,\na sentence transformer model trained on French\ncorpus and confirms the recent findings in terms of\nmodel architecture (Gao et al., 2021).\nFinally, it should be noted that a significant portion", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv4.pdf" - }, - { - "text": "avenue for future work.\nThe above discussion concerns token embed-\ndings, but BERT is typically used as a sentence or\ntext encoder. The standard way to generate sen-\ntence or text representations for classification is\nto use the [CLS] token, but alternatives are also\nbeing discussed, including concatenation of token\nrepresentations (Tanaka et al., 2020), normalized\nmean (Tanaka et al., 2020), and layer activations\n(Ma et al., 2019). See Toshniwal et al. (2020) for a\nsystematic comparison of several methods across\ntasks and sentence encoders.\n4.2 Self-attention heads\nSeveral studies proposed classification of attention\nhead types. Raganato and Tiedemann (2018) dis-\ncuss attending to the token itself, previous/next\ntokens and the sentence end. Clark et al. (2019)\ndistinguish between attending to previous/next to-\nkens, [CLS], [SEP], punctuation, and \"attending\nbroadly\" over the sequence. Kovaleva et al. (2019)\npropose 5 patterns shown in Figure 3.\n4.2.1 Heads with linguistic functions\nThe \"heterogeneous\" attention pattern shown in\nFigure 3 could potentially be linguistically inter-\npretable, and a number of studies focused on iden-\ntifying the functions of self-attention heads. In\nparticular, some BERT heads seem to specialize\nin certain types of syntactic relations. Htut et al.\n(2019) and Clark et al. (2019) report that there\nare BERT heads that attended significantly more\nthan a random baseline to words in certain syntac-\ntic positions. The datasets and methods used in\nthese studies differ, but they both find that there are\nheads that attend to words in obj role more than\nthe positional baseline. The evidence for nsubj,\nadvmod, and amod varies between these two stud-\nies. The overall conclusion is also supported by\nV oita et al. (2019b)’s study of the base Transformer\nin machine translation context. Hoover et al. (2019)\nhypothesize that even complex dependencies like\ndobj are encoded by a combination of heads\nrather than a single head, but this work is limited\nto qualitative analysis. Zhao and Bethard (2020)\nlooked specifically for the heads encoding negation\nscope.\nBoth Clark et al. (2019) and Htut et al. (2019)\nconclude that no single head has the complete\nsyntactic tree information, in line with evidence\nof partial knowledge of syntax (cf. subsection 3.1).\nHowever, Clark et al. (2019) identify a BERT head\nthat can be directly used as a classifier to perform\ncoreference resolution on par with a rule-based\nsystem, which by itself would seem to require quite\na lot of syntactic knowledge.\nLin et al. (2019) present evidence that atten-\ntion weights are weak indicators of subject-\nverb agreement and reflexive anaphora. Instead\nof serving as strong pointers between tokens that\nshould be related, BERT’s self-attention weights\nwere close to a uniform attention baseline, but there\nwas some sensitivity to different types of distrac-\ntors coherent with psycholinguistic data. This is\nconsistent with conclusions by Ettinger (2019).\nTo our knowledge, morphological information\nin BERT heads has not been addressed, but with\nthe sparse attention variant by Correia et al. (2019)\nin the base Transformer, some attention heads ap-\npear to merge BPE-tokenized words. For semantic\nrelations, there are reports of self-attention heads\nencoding core frame-semantic relations (Kovaleva\net al., 2019), as well as lexicographic and common-\nsense relations (Cui et al., 2020).\nThe overall popularity of self-attention as an in-\nterpretability mechanism is due to the idea that\n\"attention weight has a clear meaning: how much\na particular word will be weighted when comput-\ning the next representation for the current word\"\n(Clark et al., 2019). This view is currently debated\n(Jain and Wallace, 2019; Serrano and Smith, 2019;\nWiegreffe and Pinter, 2019; Brunner et al., 2020),\nand in a multi-layer model where attention is fol-\nlowed by non-linear transformations, the patterns\nin individual heads do not provide a full picture.\nAlso, while many current papers are accompanied", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for\nsentence embeddings have been developed by the\nopen-source community2, by fine-tuning models\nlike CamemBERT(Martin et al., 2019) or Crois-\nsantLLM(Faysse et al., 2024).\nBenchmarks Embedding models are generally\ncompared on specific tasks, such as information\nretrieval, STS or reranking (Thakur et al., 2021;\nAgirre et al., 2016; Wang et al., 2021). Other\nworks evaluate embedding models on multiple\ntasks (Wang et al., 2018; et al., 2022; Conneau and\nKiela, 2018) or compare meta-embeddings (García-\nFerrero et al., 2021). The most comprehensive\nbenchmark to date is MTEB (Muennighoff et al.,\n2022). MTEB still has a critical limit: it mainly\nfocuses on English. Some initiatives already ex-\ntended this benchmark to other languages, such as\nChinese (Xiao et al., 2024) and German (Wehrli\net al., 2024). Our work comes with the same am-\nbition for French. It relies on the MTEB structure\nthat provides a solid basis for analysis and extends\nit to a new language.\n3 MTEB for French\nIn this section, we describe the datasets and the\nmodels that we propose for the French extension\nof MTEB. We also list the research questions we\nwant to discuss with the results.\n3.1 New Datasets\nWe identified 7 datasets relevant to French in the ex-\nisting MTEB, which we assume are of good quality.\nWe complemented these with 8 external relevant\ndatasets proposed in the literature, such as BSARD\n(Louis and Spanakis, 2022) and Alloprof (Lefebvre-\nBrossard et al., 2023), which are proven to be good\nquality. We created 3 new ones presented in Table 1\nand assessed their quality with various procedures\nand metrics. In addition to all performed checks,\nwe run multiple models on these datasets and pro-\nvide results to show that they are neither trivial nor\nimpossible to solve (see Tables 10, 11, 12 and 13).\nTherefore, as of today, our French MTEB\nruns on 18 datasets. Some datasets are framed\ndifferently according to the task category they\nare used with. For example, MasakhaNEWS\ndataset (Adelani et al., 2023) is used for\nboth Classification (MasakhaNEWSClassification)\nand Clustering (MasakhaNEWSClusteringS2S and\n2Models on the HuggingFace hub: sentence-camebert,\nsentence_croissant_alpha_v0.3, Solon-embeddings-large-0.1.\nMasakhaNEWSClusteringP2P). Table 3 shows de-\ntails of each task data used for running the bench-\nmark.\nThis section describes the 3 new datasets we in-\ntroduce, quality checks performed and an analysis\nof the semantic similarities between datasets.\n3.1.1 Syntec (Retrieval)\nThe Syntec French collective bargaining agree-\nment3 comprises around 90 articles. Despite its\ntopic, the language used does not feature the speci-\nficity of the legal vocabulary, making the data\nsuitable for benchmarking general-purpose mod-\nels. The articles have been scraped for use as doc-\numents. Four annotators were divided into two\ngroups. Each group was given half of the articles\nand asked to choose an article and write a question\nabout it. Each annotator wrote 25 questions. Thus,\na hundred questions have been manually created\nand paired with the articles containing the answer4.\nExamples of the dataset are available in the ap-\npendix Figure 5. This dataset could also be used\nfor text classification, clustering or topic modeling.\nRegarding quality checks, every article’s integrity\nhas been reviewed while manually creating ques-\ntions. We also manually checked that the questions\ncould only be answered using the annotated article.\n3.1.2 HAL (Clustering)\nHyper Articles en Ligne (HAL) is a French open\narchive of scholarly documents from all academic\nfields. Scrapping this resource, we fetched 85,000\npublications in French5. We extracted IDs, titles\nand the author’s choice among domain labels. The\nlast 2 are provided by authors when submitting\ntheir papers to HAL. Since domain annotations are\nprovided, the dataset can be used for many tasks,\nsuch as topic modeling or text classification. To en-", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with\nsupervised parsing does not make much difference\nfor downstream task performance.\n3.2 Semantic knowledge\nTo date, more studies have been devoted to BERT’s\nknowledge of syntactic rather than semantic phe-\nnomena. However, we do have evidence from an\nMLM probing study that BERT has some knowl-\nedge of semantic roles (Ettinger, 2019). BERT\neven displays some preference for the incorrect\nfillers for semantic roles that are semantically re-\nlated to the correct ones, as opposed to those that\nare unrelated (e.g. \"to tip a chef\" is better than \"to\ntip a robin\", but worse than \"to tip a waiter\").\nTenney et al. (2019b) showed that BERT en-\ncodes information about entity types, relations,\nsemantic roles, and proto-roles, since this infor-\nmation can be detected with probing classifiers.\nBERT struggles with representations of num-\nbers. Addition and number decoding tasks showed\nthat BERT does not form good representations for\nfloating point numbers and fails to generalize away\nfrom the training data (Wallace et al., 2019b). A\npart of the problem is BERT’s wordpiece tokeniza-\ntion, since numbers of similar values can be divided\nup into substantially different word chunks.\nOut-of-the-box BERT is surprisingly brittle to\nnamed entity replacements: e.g. replacing names\nin the coreference task changes 85% of predictions\n(Balasubramanian et al., 2020). This suggests that\nthe model does not actually form a generic idea of\nnamed entities, although its F1 scores on NER prob-\ning tasks are high (Tenney et al., 2019a). Broscheit\n(2019) find that fine-tuning BERT on Wikipedia\nentity linking \"teaches\" it additional entity knowl-\nedge, which would suggest that it did not absorb all\nthe relevant entity information during pre-training\non Wikipedia.\n3.3 World knowledge\nThe bulk of evidence about commonsense knowl-\nedge captured in BERT comes from practitioners\nusing it to extract such knowledge. One direct prob-\ning study of BERT reports that BERT struggles\nwith pragmatic inference and role-based event\nknowledge (Ettinger, 2019). BERT also struggles\nwith abstract attributes of objects, as well as visual\nand perceptual properties that are likely to be as-\nsumed rather than mentioned (Da and Kasai, 2019).\nThe MLM component of BERT is easy to\nadapt for knowledge induction by filling in the\nLanguage Models as Knowledge Bases?\nFabio Petroni1 Tim Rockt¨aschel1,2 Patrick Lewis1,2 Anton Bakhtin1\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2\n1Facebook AI Research\n2University College London\n{fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\nAbstract\nRecent progress in pretraining language mod-\nels on large textual corpora led to a surge\nof improvements for downstream NLP tasks.\nWhilst learning linguistic knowledge, these\nmodels may also be storing relational knowl-\nedge present in the training data, and may\nbe able to answer queries structured as “fill-\nin-the-blank” cloze statements. Language\nmodels have many advantages over structured\nknowledge bases: they require no schema en-\ngineering, allow practitioners to query about\nan open class of relations, are easy to extend to\nmore data, and require no human supervision\nto train. We present an in-depth analysis of the\nrelational knowledge already present (without\nfine-tuning) in a wide range of state-of-the-\nart pretrained language models. We find that\n(i) without fine-tuning, BERT contains rela-\ntional knowledge competitive with traditional\nNLP methods that have some access to ora-\ncle knowledge, (ii) BERT also does remark-\nably well on open-domain question answer-\ning against a supervised baseline, and (iii) cer-\ntain types of factual knowledge are learned\nmuch more readily than others by standard lan-\nguage model pretraining approaches. The sur-\nprisingly strong ability of these models to re-\ncall factual knowledge without any fine-tuning\ndemonstrates their potential as unsupervised\nopen-domain QA systems. The code to re-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "layers are more transferable (Liu et al., 2019a). In\nfine-tuning, it explains why the final layers change\nthe most (Kovaleva et al., 2019), and why restoring\nthe weights of lower layers of fine-tuned BERT to\ntheir original values does not dramatically hurt the\nmodel performance (Hao et al., 2019).\nTenney et al. (2019a) suggest that while syntactic\ninformation appears early in the model and can be\nlocalized, semantics is spread across the entire\nmodel, which explains why certain non-trivial ex-\namples get solved incorrectly at first but correctly\nat the later layers. This is rather to be expected:\nsemantics permeates all language, and linguists de-\nbate whether meaningless structures can exist at\nall (Goldberg, 2006, p.166-182). But this raises\nthe question of what stacking more Transformer\nlayers in BERT actually achieves in terms of the\nspread of semantic knowledge, and whether that\nis beneficial. Tenney et al. compared BERT-base\nand BERT-large, and found that the overall pattern\nof cumulative score gains is the same, only more\nspread out in the larger model.\nNote that Tenney et al. (2019a)’s experiments\nconcern sentence-level semantic relations; Cui et al.\n(2020) report that the encoding of ConceptNet se-\nmantic relations is the worst in the early layers and\nincreases towards the top. Jawahar et al. (2019)\nplace \"surface features in lower layers, syntactic\nfeatures in middle layers and semantic features in\nhigher layers\", but their conclusion is surprising,\ngiven that only one semantic task in this study actu-\nally topped at the last layer, and three others peaked\naround the middle and then considerably degraded\nby the final layers.\n5 Training BERT\nThis section reviews the proposals to optimize the\ntraining and architecture of the original BERT.\n5.1 Model architecture choices\nTo date, the most systematic study of BERT archi-\ntecture was performed by Wang et al. (2019b), who\nexperimented with the number of layers, heads, and\nmodel parameters, varying one option and freez-\ning the others. They concluded that the number\nof heads was not as significant as the number\nof layers . That is consistent with the findings\nof V oita et al. (2019b) and Michel et al. (2019)\n(section 6), and also the observation by Liu et al.\n(2019a) that the middle layers were the most trans-\nferable. Larger hidden representation size was con-\nsistently better, but the gains varied by setting.\nAll in all, changes in the number of heads\nand layers appear to perform different func-\ntions. The issue of model depth must be related to\nthe information flow from the most task-specific\nlayers closer to the classifier (Liu et al., 2019a),\nto the initial layers which appear to be the most\ntask-invariant (Hao et al., 2019), and where the\ntokens resemble the input tokens the most (Brun-\nner et al., 2020) (see subsection 4.3). If that is the\ncase, a deeper model has more capacity to encode\ninformation that is not task-specific.\nOn the other head, many self-attention heads\nin vanilla BERT seem to naturally learn the same\npatterns (Kovaleva et al., 2019). This explains\nwhy pruning them does not have too much impact.\nThe question that arises from this is how far we\ncould get with intentionally encouraging diverse\nself-attention patterns: theoretically, this would\nmean increasing the amount of information in the\nmodel with the same number of weights. Raganato\net al. (2020) show for Transformer-based machine\ntranslation we can simply pre-set the patterns that\nwe already know the model would learn, instead of\nlearning them from scratch.\nVanilla BERT is symmetric and balanced in\nterms of self-attention and feed-forward layers, but\nit may not have to be. For the base Transformer,\nPress et al. (2020) report benefits from more self-\nattention sublayers at the bottom and more feedfor-\nward sublayers at the top.\n5.2 Improvements to the training regime\nLiu et al. (2019b) demonstrate the benefits of\nlarge-batch training: with 8k examples both the\nlanguage model perplexity and downstream task", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter mod-\nules. They achieve competitive performance on\n26 classification tasks at a fraction of the computa-\ntional cost. Adapters in BERT were also used for\nmulti-task learning (Stickland and Murray, 2019)\nand cross-lingual transfer (Artetxe et al., 2019). An\nalternative to fine-tuning is extracting features from\nfrozen representations, but fine-tuning works better\nfor BERT (Peters et al., 2019b).\nA big methodological challenge in the current\nNLP is that the reported performance improve-\nments of new models may well be within varia-\ntion induced by environment factors (Crane, 2018).\nBERT is not an exception. Dodge et al. (2020)\nreport significant variation for BERT fine-tuned\non GLUE tasks due to both weight initialization\nand training data order. They also propose early\nstopping on the less-promising seeds.\nAlthough we hope that the above observations\nmay be useful for the practitioners, this section\ndoes not exhaust the current research on fine-tuning\nand its alternatives. For example, we do not cover\nsuch topics as Siamese architectures, policy gradi-\nent training, automated curriculum learning, and\nothers.\n6 How big should BERT be?\n6.1 Overparameterization\nTransformer-based models keep growing by or-\nders of magnitude: the 110M parameters of base\nBERT are now dwarfed by 17B parameters of\nTuring-NLG (Microsoft, 2020), which is dwarfed\nby 175B of GPT-3 (Brown et al., 2020). This trend\nraises concerns about computational complexity\nof self-attention (Wu et al., 2019a), environmental\nissues (Strubell et al., 2019; Schwartz et al., 2019),\nfair comparison of architectures (Aßenmacher and\nHeumann, 2020), and reproducibility.\nHuman language is incredibly complex, and\nwould perhaps take many more parameters to de-\nscribe fully, but the current models do not make\ngood use of the parameters they already have. V oita\net al. (2019b) showed that all but a few Trans-\nformer heads could be pruned without signif-\nicant losses in performance . For BERT, Clark\net al. (2019) observe that most heads in the same\nlayer show similar self-attention patterns (perhaps\nrelated to the fact that the output of all self-attention\nheads in a layer is passed through the same MLP),\nwhich explains why Michel et al. (2019) were able\nto reduce most layers to a single head.\nDepending on the task, some BERT heads/layers\nare not only redundant (Kao et al., 2020), but also\nharmful to the downstream task performance. Pos-\nitive effect from head disabling was reported for\nmachine translation (Michel et al., 2019), abstrac-\ntive summarization (Baan et al., 2019), and GLUE\ntasks (Kovaleva et al., 2019). Additionally, Ten-\nney et al. (2019a) examine the cumulative gains of\ntheir structural probing classifier, observing that in\n5 out of 8 probing tasks some layers cause a drop\nin scores (typically in the final layers). Gordon\net al. (2020) find that 30–40% of the weights can\nbe pruned without impact on downstream tasks.\nIn general, larger BERT models perform better\n(Liu et al., 2019a; Roberts et al., 2020), but not\nalways: BERT-base outperformed BERT-large on\nsubject-verb agreement (Goldberg, 2019) and sen-\ntence subject detection (Lin et al., 2019). Given\nthe complexity of language, and amounts of pre-\ntraining data, it is not clear why BERT ends up with\nredundant heads and layers. Clark et al. (2019) sug-\ngest that one possible reason is the use of attention\ndropouts, which causes some attention weights to\nbe zeroed-out during training.\n6.2 Compression techniques\nGiven the above evidence of overparameteriza-\ntion, it does not come as a surprise that BERT\ncan be efficiently compressed with minimal ac-\ncuracy loss, which would be highly desirable for\nreal-world applications. Such efforts to date are\nsummarized in Table 1. The main approaches are\nknowledge distillation, quantization, and pruning.\nThe studies in the knowledge distillation\nframework (Hinton et al., 2014) use a smaller\nstudent-network trained to mimic the behavior of", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "tation and, in practical applications, the under-\nlying storage and compute costs. We selected\nmodels with embedding dimensions ranging\nfrom 384 to 4096.\n• Sequence length: Being the number of to-\nkens that a model can consider as input, the\nsequence length is important as it impacts the\nunit that can be encoded (sentence, paragraph,\ndocument). However, encoding overly long\nsequences requires efficiently storing the rele-\nvant information into a single vector. Among\nthe selected methods, this criterion varies\nfrom 128 tokens to 32768.\n• Model parameters:Often correlated with the\ntwo first characteristics, parameter count is im-\nportant for practical applications as it affects\nusability on resource-efficient machines. The\nselected models have a number of parameters\nranging from 20 million (∼100Mb in float32)\nto 7 billion (∼28Gb).\n• Language: This is a major feature of lan-\nguage models. Some are monolingual, and\nothers are multilingual. Language is usually\nacquired during pre-training, but sometimes,\nmodels familiarize themselves with new lan-\nguages at tuning. For the benchmark, we\nselected French models, as well as bilingual\nor multilingual models. We also included a\nfew ones that claimed to be English (e.g. all-\nMiniLM-L12-v29).\n• Model types:There are several strategies to\ngenerate text embeddings such as aggregat-\ning (e.g. with average pooling) token-level\nembeddings from raw pre-trained models, or\nadding an extra contrastive learning step on a\nsentence similarity task with, optionally, ad-\nditional transformation layers. We included\nmodels of all types in our benchmark, summa-\nrizing the model type information under two\nrelevant criteria: finetuned vs pretrained, and\ntrained for sentence similarity or not.\nThe selected models are visible in Figure 1, and\nall of their characteristics are summarized in ap-\npendix Table 7. Overall, the selection includes the\nbest models from the sentence transformers frame-\nwork (Reimers and Gurevych, 2019), the most pop-\nular French NLP models (Le et al., 2020; Martin\n9https://huggingface.co./sentence-transformers/\nall-MiniLM-L12-v2\net al., 2019), their variants optimized for semantic\nsimilarity (Reimers and Gurevych, 2019), numer-\nous multilingual models performing at the top on\nMTEB (e.g E5 and T5), Bloom variants (Zhang\net al., 2023), models based on very recent power-\nful LLMs (Wang et al., 2023; Faysse et al., 2024)\nand finally the proprietary models of OpenAI, Co-\nhere and V oyage. Certain models were selected in\nmultiple sizes to isolate the dimensionality effect\neffectively. We provide information on the mod-\nels’ licenses as reported in the Hugging Face hub10.\nHowever, we encourage readers to conduct further\nresearch before utilizing a model.\n3.3 Evaluation\nFor the sake of homogeneity, models are evalu-\nated using the same metrics per task as in MTEB\n(Muennighoff et al., 2022): Classification (Accu-\nracy), Bitext mining (F1 score), Pair classification\n(AP), Clustering (V measure), Reranking (MAP),\nRetrieval (NDCG@10), Summarization and STS\n(Spearman correlation based on cosine similarity).\nBitextMining tasks are excluded from the aver-\nage performance scores and therefore the figures,\nas this task evaluates 2 languages instead of one,\nand this benchmark focuses only on one language\n(French). We present the results for both DiaBlaBi-\ntextMining and FloresBitextMining in Table 12.\nUsing the overall benchmark results, our goal\nwill be to answer the following research questions:\nQ1: Is a model outstanding on all tasks?\nAs we are trying to find out whether one embed-\nding model is statistically better than the others for\nFrench, the objective will also be to analyze the\nperformance of the models by tasks to facilitate\nmodel choice for specific applications.\nQ2: Are there any links between the model charac-\nteristics and performance?\nIn section 3.2, we undertook the substantial task of\ngathering the characteristics of all evaluated mod-\nels. The goal here will be to analyze their impact", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is BERT good with numbers representations ?", - "target_page": 3, - "target_passage": " BERTstruggles with representations of numbers. ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "be successfully approximated with adapter mod-\nules. They achieve competitive performance on\n26 classification tasks at a fraction of the computa-\ntional cost. Adapters in BERT were also used for\nmulti-task learning (Stickland and Murray, 2019)\nand cross-lingual transfer (Artetxe et al., 2019). An\nalternative to fine-tuning is extracting features from\nfrozen representations, but fine-tuning works better\nfor BERT (Peters et al., 2019b).\nA big methodological challenge in the current\nNLP is that the reported performance improve-\nments of new models may well be within varia-\ntion induced by environment factors (Crane, 2018).\nBERT is not an exception. Dodge et al. (2020)\nreport significant variation for BERT fine-tuned\non GLUE tasks due to both weight initialization\nand training data order. They also propose early\nstopping on the less-promising seeds.\nAlthough we hope that the above observations\nmay be useful for the practitioners, this section\ndoes not exhaust the current research on fine-tuning\nand its alternatives. For example, we do not cover\nsuch topics as Siamese architectures, policy gradi-\nent training, automated curriculum learning, and\nothers.\n6 How big should BERT be?\n6.1 Overparameterization\nTransformer-based models keep growing by or-\nders of magnitude: the 110M parameters of base\nBERT are now dwarfed by 17B parameters of\nTuring-NLG (Microsoft, 2020), which is dwarfed\nby 175B of GPT-3 (Brown et al., 2020). This trend\nraises concerns about computational complexity\nof self-attention (Wu et al., 2019a), environmental\nissues (Strubell et al., 2019; Schwartz et al., 2019),\nfair comparison of architectures (Aßenmacher and\nHeumann, 2020), and reproducibility.\nHuman language is incredibly complex, and\nwould perhaps take many more parameters to de-\nscribe fully, but the current models do not make\ngood use of the parameters they already have. V oita\net al. (2019b) showed that all but a few Trans-\nformer heads could be pruned without signif-\nicant losses in performance . For BERT, Clark\net al. (2019) observe that most heads in the same\nlayer show similar self-attention patterns (perhaps\nrelated to the fact that the output of all self-attention\nheads in a layer is passed through the same MLP),\nwhich explains why Michel et al. (2019) were able\nto reduce most layers to a single head.\nDepending on the task, some BERT heads/layers\nare not only redundant (Kao et al., 2020), but also\nharmful to the downstream task performance. Pos-\nitive effect from head disabling was reported for\nmachine translation (Michel et al., 2019), abstrac-\ntive summarization (Baan et al., 2019), and GLUE\ntasks (Kovaleva et al., 2019). Additionally, Ten-\nney et al. (2019a) examine the cumulative gains of\ntheir structural probing classifier, observing that in\n5 out of 8 probing tasks some layers cause a drop\nin scores (typically in the final layers). Gordon\net al. (2020) find that 30–40% of the weights can\nbe pruned without impact on downstream tasks.\nIn general, larger BERT models perform better\n(Liu et al., 2019a; Roberts et al., 2020), but not\nalways: BERT-base outperformed BERT-large on\nsubject-verb agreement (Goldberg, 2019) and sen-\ntence subject detection (Lin et al., 2019). Given\nthe complexity of language, and amounts of pre-\ntraining data, it is not clear why BERT ends up with\nredundant heads and layers. Clark et al. (2019) sug-\ngest that one possible reason is the use of attention\ndropouts, which causes some attention weights to\nbe zeroed-out during training.\n6.2 Compression techniques\nGiven the above evidence of overparameteriza-\ntion, it does not come as a surprise that BERT\ncan be efficiently compressed with minimal ac-\ncuracy loss, which would be highly desirable for\nreal-world applications. Such efforts to date are\nsummarized in Table 1. The main approaches are\nknowledge distillation, quantization, and pruning.\nThe studies in the knowledge distillation\nframework (Hinton et al., 2014) use a smaller\nstudent-network trained to mimic the behavior of", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "A Primer in BERTology: What We Know About How BERT Works\nAnna Rogers\nCenter for Social Data Science\nUniversity of Copenhagen\narogers@sodas.ku.dk\nOlga Kovaleva\nDept. of Computer Science\nUniversity of Massachusetts Lowell\nokovalev@cs.uml.edu\nAnna Rumshisky\nDept. of Computer Science\nUniversity of Massachusetts Lowell\narum@cs.uml.edu\nAbstract\nTransformer-based models have pushed state\nof the art in many areas of NLP, but our un-\nderstanding of what is behind their success\nis still limited. This paper is the first sur-\nvey of over 150 studies of the popular BERT\nmodel. We review the current state of knowl-\nedge about how BERT works, what kind\nof information it learns and how it is repre-\nsented, common modifications to its training\nobjectives and architecture, the overparame-\nterization issue and approaches to compres-\nsion. We then outline directions for future\nresearch.\n1 Introduction\nSince their introduction in 2017, Transformers\n(Vaswani et al., 2017) have taken NLP by storm,\noffering enhanced parallelization and better model-\ning of long-range dependencies. The best known\nTransformer-based model is BERT (Devlin et al.,\n2019); it obtained state-of-the-art results in numer-\nous benchmarks and is still a must-have baseline.\nWhile it is clear that BERT works remarkably\nwell, it is less clear why, which limits further\nhypothesis-driven improvement of the architecture.\nUnlike CNNs, the Transformers have little cogni-\ntive motivation, and the size of these models limits\nour ability to experiment with pre-training and per-\nform ablation studies. This explains a large number\nof studies over the past year that attempted to un-\nderstand the reasons behind BERT’s performance.\nIn this paper, we provide an overview of what\nhas been learned to date, highlighting the questions\nwhich are still unresolved. We first consider the\nlinguistic aspects of it, i.e., the current evidence\nregarding the types of linguistic and world knowl-\nedge learned by BERT, as well as where and how\nthis knowledge may be stored in the model. We\nthen turn to the technical aspects of the model and\nprovide an overview of the current proposals to\nimprove BERT’s architecture, pre-training and fine-\ntuning. We conclude by discussing the issue of\noverparameterization, the approaches to compress-\ning BERT, and the nascent area of pruning as a\nmodel analysis technique.\n2 Overview of BERT architecture\nFundamentally, BERT is a stack of Transformer\nencoder layers (Vaswani et al., 2017) which consist\nof multiple self-attention \"heads\". For every input\ntoken in a sequence, each head computes key, value\nand query vectors, used to create a weighted repre-\nsentation. The outputs of all heads in the same layer\nare combined and run through a fully-connected\nlayer. Each layer is wrapped with a skip connection\nand followed by layer normalization.\nThe conventional workflow for BERT consists\nof two stages: pre-training and fine-tuning. Pre-\ntraining uses two self-supervised tasks: masked\nlanguage modeling (MLM, prediction of randomly\nmasked input tokens) and next sentence prediction\n(NSP, predicting if two input sentences are adjacent\nto each other). In fine-tuning for downstream ap-\nplications, one or more fully-connected layers are\ntypically added on top of the final encoder layer.\nThe input representations are computed as fol-\nlows: each word in the input is first tokenized into\nwordpieces (Wu et al., 2016), and then three em-\nbedding layers (token, position, and segment) are\ncombined to obtain a fixed-length vector. Special\ntoken [CLS] is used for classification predictions,\nand [SEP] separates input segments.\nGoogle1 and HuggingFace (Wolf et al., 2020)\nprovide many variants of BERT, including the orig-\ninal \"base\" and \"large\" versions. They vary in the\nnumber of heads, layers, and hidden state size.\n1https://github.com/\ngoogle-research/bert\narXiv:2002.12327v3 [cs.CL] 9 Nov 2020", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "avenue for future work.\nThe above discussion concerns token embed-\ndings, but BERT is typically used as a sentence or\ntext encoder. The standard way to generate sen-\ntence or text representations for classification is\nto use the [CLS] token, but alternatives are also\nbeing discussed, including concatenation of token\nrepresentations (Tanaka et al., 2020), normalized\nmean (Tanaka et al., 2020), and layer activations\n(Ma et al., 2019). See Toshniwal et al. (2020) for a\nsystematic comparison of several methods across\ntasks and sentence encoders.\n4.2 Self-attention heads\nSeveral studies proposed classification of attention\nhead types. Raganato and Tiedemann (2018) dis-\ncuss attending to the token itself, previous/next\ntokens and the sentence end. Clark et al. (2019)\ndistinguish between attending to previous/next to-\nkens, [CLS], [SEP], punctuation, and \"attending\nbroadly\" over the sequence. Kovaleva et al. (2019)\npropose 5 patterns shown in Figure 3.\n4.2.1 Heads with linguistic functions\nThe \"heterogeneous\" attention pattern shown in\nFigure 3 could potentially be linguistically inter-\npretable, and a number of studies focused on iden-\ntifying the functions of self-attention heads. In\nparticular, some BERT heads seem to specialize\nin certain types of syntactic relations. Htut et al.\n(2019) and Clark et al. (2019) report that there\nare BERT heads that attended significantly more\nthan a random baseline to words in certain syntac-\ntic positions. The datasets and methods used in\nthese studies differ, but they both find that there are\nheads that attend to words in obj role more than\nthe positional baseline. The evidence for nsubj,\nadvmod, and amod varies between these two stud-\nies. The overall conclusion is also supported by\nV oita et al. (2019b)’s study of the base Transformer\nin machine translation context. Hoover et al. (2019)\nhypothesize that even complex dependencies like\ndobj are encoded by a combination of heads\nrather than a single head, but this work is limited\nto qualitative analysis. Zhao and Bethard (2020)\nlooked specifically for the heads encoding negation\nscope.\nBoth Clark et al. (2019) and Htut et al. (2019)\nconclude that no single head has the complete\nsyntactic tree information, in line with evidence\nof partial knowledge of syntax (cf. subsection 3.1).\nHowever, Clark et al. (2019) identify a BERT head\nthat can be directly used as a classifier to perform\ncoreference resolution on par with a rule-based\nsystem, which by itself would seem to require quite\na lot of syntactic knowledge.\nLin et al. (2019) present evidence that atten-\ntion weights are weak indicators of subject-\nverb agreement and reflexive anaphora. Instead\nof serving as strong pointers between tokens that\nshould be related, BERT’s self-attention weights\nwere close to a uniform attention baseline, but there\nwas some sensitivity to different types of distrac-\ntors coherent with psycholinguistic data. This is\nconsistent with conclusions by Ettinger (2019).\nTo our knowledge, morphological information\nin BERT heads has not been addressed, but with\nthe sparse attention variant by Correia et al. (2019)\nin the base Transformer, some attention heads ap-\npear to merge BPE-tokenized words. For semantic\nrelations, there are reports of self-attention heads\nencoding core frame-semantic relations (Kovaleva\net al., 2019), as well as lexicographic and common-\nsense relations (Cui et al., 2020).\nThe overall popularity of self-attention as an in-\nterpretability mechanism is due to the idea that\n\"attention weight has a clear meaning: how much\na particular word will be weighted when comput-\ning the next representation for the current word\"\n(Clark et al., 2019). This view is currently debated\n(Jain and Wallace, 2019; Serrano and Smith, 2019;\nWiegreffe and Pinter, 2019; Brunner et al., 2020),\nand in a multi-layer model where attention is fol-\nlowed by non-linear transformations, the patterns\nin individual heads do not provide a full picture.\nAlso, while many current papers are accompanied", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with\nsupervised parsing does not make much difference\nfor downstream task performance.\n3.2 Semantic knowledge\nTo date, more studies have been devoted to BERT’s\nknowledge of syntactic rather than semantic phe-\nnomena. However, we do have evidence from an\nMLM probing study that BERT has some knowl-\nedge of semantic roles (Ettinger, 2019). BERT\neven displays some preference for the incorrect\nfillers for semantic roles that are semantically re-\nlated to the correct ones, as opposed to those that\nare unrelated (e.g. \"to tip a chef\" is better than \"to\ntip a robin\", but worse than \"to tip a waiter\").\nTenney et al. (2019b) showed that BERT en-\ncodes information about entity types, relations,\nsemantic roles, and proto-roles, since this infor-\nmation can be detected with probing classifiers.\nBERT struggles with representations of num-\nbers. Addition and number decoding tasks showed\nthat BERT does not form good representations for\nfloating point numbers and fails to generalize away\nfrom the training data (Wallace et al., 2019b). A\npart of the problem is BERT’s wordpiece tokeniza-\ntion, since numbers of similar values can be divided\nup into substantially different word chunks.\nOut-of-the-box BERT is surprisingly brittle to\nnamed entity replacements: e.g. replacing names\nin the coreference task changes 85% of predictions\n(Balasubramanian et al., 2020). This suggests that\nthe model does not actually form a generic idea of\nnamed entities, although its F1 scores on NER prob-\ning tasks are high (Tenney et al., 2019a). Broscheit\n(2019) find that fine-tuning BERT on Wikipedia\nentity linking \"teaches\" it additional entity knowl-\nedge, which would suggest that it did not absorb all\nthe relevant entity information during pre-training\non Wikipedia.\n3.3 World knowledge\nThe bulk of evidence about commonsense knowl-\nedge captured in BERT comes from practitioners\nusing it to extract such knowledge. One direct prob-\ning study of BERT reports that BERT struggles\nwith pragmatic inference and role-based event\nknowledge (Ettinger, 2019). BERT also struggles\nwith abstract attributes of objects, as well as visual\nand perceptual properties that are likely to be as-\nsumed rather than mentioned (Da and Kasai, 2019).\nThe MLM component of BERT is easy to\nadapt for knowledge induction by filling in the\nLanguage Models as Knowledge Bases?\nFabio Petroni1 Tim Rockt¨aschel1,2 Patrick Lewis1,2 Anton Bakhtin1\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2\n1Facebook AI Research\n2University College London\n{fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\nAbstract\nRecent progress in pretraining language mod-\nels on large textual corpora led to a surge\nof improvements for downstream NLP tasks.\nWhilst learning linguistic knowledge, these\nmodels may also be storing relational knowl-\nedge present in the training data, and may\nbe able to answer queries structured as “fill-\nin-the-blank” cloze statements. Language\nmodels have many advantages over structured\nknowledge bases: they require no schema en-\ngineering, allow practitioners to query about\nan open class of relations, are easy to extend to\nmore data, and require no human supervision\nto train. We present an in-depth analysis of the\nrelational knowledge already present (without\nfine-tuning) in a wide range of state-of-the-\nart pretrained language models. We find that\n(i) without fine-tuning, BERT contains rela-\ntional knowledge competitive with traditional\nNLP methods that have some access to ora-\ncle knowledge, (ii) BERT also does remark-\nably well on open-domain question answer-\ning against a supervised baseline, and (iii) cer-\ntain types of factual knowledge are learned\nmuch more readily than others by standard lan-\nguage model pretraining approaches. The sur-\nprisingly strong ability of these models to re-\ncall factual knowledge without any fine-tuning\ndemonstrates their potential as unsupervised\nopen-domain QA systems. The code to re-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "and longer training (Liu et al., 2019b). The data\nalso does not have to be raw text: there is a num-\nber efforts to incorporate explicit linguistic in-\nformation, both syntactic (Sundararaman et al.,\n2019) and semantic (Zhang et al., 2020). Wu et al.\n(2019b) and Kumar et al. (2020) include the label\nfor a given sequence from an annotated task dataset.\nSchick and Schütze (2020) separately learn repre-\nsentations for rare words.\nAlthough BERT is already actively used as a\nsource of world knowledge (see subsection 3.3),\nthere is also work on explicitly supplying struc-\ntured knowledge . One approach is entity-\nenhanced models. For example, Peters et al.\n(2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "layers are more transferable (Liu et al., 2019a). In\nfine-tuning, it explains why the final layers change\nthe most (Kovaleva et al., 2019), and why restoring\nthe weights of lower layers of fine-tuned BERT to\ntheir original values does not dramatically hurt the\nmodel performance (Hao et al., 2019).\nTenney et al. (2019a) suggest that while syntactic\ninformation appears early in the model and can be\nlocalized, semantics is spread across the entire\nmodel, which explains why certain non-trivial ex-\namples get solved incorrectly at first but correctly\nat the later layers. This is rather to be expected:\nsemantics permeates all language, and linguists de-\nbate whether meaningless structures can exist at\nall (Goldberg, 2006, p.166-182). But this raises\nthe question of what stacking more Transformer\nlayers in BERT actually achieves in terms of the\nspread of semantic knowledge, and whether that\nis beneficial. Tenney et al. compared BERT-base\nand BERT-large, and found that the overall pattern\nof cumulative score gains is the same, only more\nspread out in the larger model.\nNote that Tenney et al. (2019a)’s experiments\nconcern sentence-level semantic relations; Cui et al.\n(2020) report that the encoding of ConceptNet se-\nmantic relations is the worst in the early layers and\nincreases towards the top. Jawahar et al. (2019)\nplace \"surface features in lower layers, syntactic\nfeatures in middle layers and semantic features in\nhigher layers\", but their conclusion is surprising,\ngiven that only one semantic task in this study actu-\nally topped at the last layer, and three others peaked\naround the middle and then considerably degraded\nby the final layers.\n5 Training BERT\nThis section reviews the proposals to optimize the\ntraining and architecture of the original BERT.\n5.1 Model architecture choices\nTo date, the most systematic study of BERT archi-\ntecture was performed by Wang et al. (2019b), who\nexperimented with the number of layers, heads, and\nmodel parameters, varying one option and freez-\ning the others. They concluded that the number\nof heads was not as significant as the number\nof layers . That is consistent with the findings\nof V oita et al. (2019b) and Michel et al. (2019)\n(section 6), and also the observation by Liu et al.\n(2019a) that the middle layers were the most trans-\nferable. Larger hidden representation size was con-\nsistently better, but the gains varied by setting.\nAll in all, changes in the number of heads\nand layers appear to perform different func-\ntions. The issue of model depth must be related to\nthe information flow from the most task-specific\nlayers closer to the classifier (Liu et al., 2019a),\nto the initial layers which appear to be the most\ntask-invariant (Hao et al., 2019), and where the\ntokens resemble the input tokens the most (Brun-\nner et al., 2020) (see subsection 4.3). If that is the\ncase, a deeper model has more capacity to encode\ninformation that is not task-specific.\nOn the other head, many self-attention heads\nin vanilla BERT seem to naturally learn the same\npatterns (Kovaleva et al., 2019). This explains\nwhy pruning them does not have too much impact.\nThe question that arises from this is how far we\ncould get with intentionally encouraging diverse\nself-attention patterns: theoretically, this would\nmean increasing the amount of information in the\nmodel with the same number of weights. Raganato\net al. (2020) show for Transformer-based machine\ntranslation we can simply pre-set the patterns that\nwe already know the model would learn, instead of\nlearning them from scratch.\nVanilla BERT is symmetric and balanced in\nterms of self-attention and feed-forward layers, but\nit may not have to be. For the base Transformer,\nPress et al. (2020) report benefits from more self-\nattention sublayers at the bottom and more feedfor-\nward sublayers at the top.\n5.2 Improvements to the training regime\nLiu et al. (2019b) demonstrate the benefits of\nlarge-batch training: with 8k examples both the\nlanguage model perplexity and downstream task", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "3 What knowledge does BERT have?\nA number of studies have looked at the knowledge\nencoded in BERT weights. The popular approaches\ninclude fill-in-the-gap probes of MLM, analysis of\nself-attention weights, and probing classifiers with\ndifferent BERT representations as inputs.\n3.1 Syntactic knowledge\nLin et al. (2019) showed that BERT represen-\ntations are hierarchical rather than linear , i.e.\nthere is something akin to syntactic tree structure\nin addition to the word order information. Ten-\nney et al. (2019b) and Liu et al. (2019a) also\nshowed that BERT embeddings encode informa-\ntion about parts of speech, syntactic chunks\nand roles. Enough syntactic information seems\nto be captured in the token embeddings themselves\nto recover syntactic trees (Vilares et al., 2020; Kim\net al., 2020; Rosa and Mare ˇcek, 2019), although\nprobing classifiers could not recover the labels of\ndistant parent nodes in the syntactic tree (Liu et al.,\n2019a). Warstadt and Bowman (2020) report evi-\ndence of hierarchical structure in three out of four\nprobing tasks.\nAs far as how syntax is represented, it seems\nthat syntactic structure is not directly encoded\nin self-attention weights. Htut et al. (2019) were\nunable to extract full parse trees from BERT heads\neven with the gold annotations for the root. Jawahar\net al. (2019) include a brief illustration of a depen-\ndency tree extracted directly from self-attention\nweights, but provide no quantitative evaluation.\nHowever, syntactic information can be recov-\nered from BERT token representations. Hewitt\nand Manning (2019) were able to learn transfor-\nmation matrices that successfully recovered syn-\ntactic dependencies in PennTreebank data from\nBERT’s token embeddings (see also Manning et al.,\n2020). Jawahar et al. (2019) experimented with\ntransformations of the [CLS] token using Tensor\nProduct Decomposition Networks (McCoy et al.,\n2019a), concluding that dependency trees are the\nbest match among 5 decomposition schemes (al-\nthough the reported MSE differences are very\nsmall). Miaschi and Dell’Orletta (2020) performs\na range of syntactic probing experiments with con-\ncatenated token representations as input.\nNote that all these approaches look for the\nevidence of gold-standard linguistic structures,\nand add some amount of extra knowledge to the\nprobe. Most recently, Wu et al. (2020) proposed a\n4168\n[CLS]Forthosewhofollowsocialmedia\ntransitions\non\nCapitol\nHill , this will be alittle\ndifferent\n.\n[CLS]\nFor\nthose\nwho\nfollow\nsocial\nmedia\ntransitions\non\nCapitol\nHill\n,\nthis\nwill\nbe\na\nlittle\ndifferent\n.\n0\n1\n2\n3\n4\n5\nFigure 1: Heatmap of the impact matrix for the sen-\ntence “For those who follow social media transitions\non Capitol Hill, this will be a little different.”\n3 Visualization with Impact Maps\nBefore we discuss specific syntactic phenomena,\nlet us first analyze some example impact matri-\nces derived from sample sentences. We visual-\nize an impact matrix of a sentence by displaying\na heatmap. We use the term “impact map” to refer\nto a heatmap of an impact matrix.\nSetup. We extract impact matrices by feed-\ning BERT with 1,000 sentences from the English\nParallel Universal Dependencies (PUD) treebank\nof the CoNLL 2017 Shared Task ( Zeman et al. ,\n2017). We follow the setup and pre-processing\nsteps employed in pre-training BERT. An example\nimpact map is shown in Figure 1.\nDependency. We notice that the impact map\ncontains many stripes, which are short series of\nvertical/horizontal cells, typically located along\nthe diagonal. Take the word “ different” as an ex-\nample (which is illustrated by the second-to-last\ncolumn in the impact matrix). We observe a clear\nvertical stripe above the main diagonal. The inter-\npretation is that this particular occurrence of the\nword “different” strongly affects the occurrences\nof those words before it. These strong influences\nare shown by the darker-colored pixels seen in the\nsecond last column of the impact map. This ob-\nservation agrees with the ground-truth dependency", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 5: Pre-trained weights help BERT find wider\noptima in fine-tuning on MRPC (right) than training\nfrom scratch (left) (Hao et al., 2019)\nbeddings as input for training BERT, while Po-\nerner et al. (2019) adapt entity vectors to BERT\nrepresentations. As mentioned above, Wang et al.\n(2020c) integrate knowledge not through entity em-\nbeddings, but through additional pre-training ob-\njective of knowledge base completion. Sun et al.\n(2019b,c) modify the standard MLM task to mask\nnamed entities rather than random words, and Yin\net al. (2020) train with MLM objective over both\ntext and linearized table data. Wang et al. (2020a)\nenhance RoBERTa with both linguistic and factual\nknowledge with task-specific adapters.\nPre-training is the most expensive part of train-\ning BERT, and it would be informative to know\nhow much benefit it provides. On some tasks, a\nrandomly initialized and fine-tuned BERT obtains\ncompetitive or higher results than the pre-trained\nBERT with the task classifier and frozen weights\n(Kovaleva et al., 2019). The consensus in the com-\nmunity is that pre-training does help in most situa-\ntions, but the degree and its exact contribution re-\nquires further investigation. Prasanna et al. (2020)\nfound that most weights of pre-trained BERT are\nuseful in fine-tuning, although there are \"better\"\nand \"worse\" subnetworks. One explanation is that\npre-trained weights help the fine-tuned BERT find\nwider and flatter areas with smaller generalization\nerror, which makes the model more robust to over-\nfitting (see Figure 5 from Hao et al. (2019)).\nGiven the large number and variety of proposed\nmodifications, one would wish to know how much\nimpact each of them has. However, due to the\noverall trend towards large model sizes, systematic\nablations have become expensive. Most new mod-\nels claim superiority on standard benchmarks, but\ngains are often marginal, and estimates of model\nstability and significance testing are very rare.\n5.4 Fine-tuning BERT\nPre-training + fine-tuning workflow is a crucial\npart of BERT. The former is supposed to provide\ntask-independent knowledge, and the latter would\npresumably teach the model to rely more on the\nrepresentations useful for the task at hand.\nKovaleva et al. (2019) did not find that to be the\ncase for BERT fine-tuned on GLUE tasks 5: dur-\ning fine-tuning, the most changes for 3 epochs oc-\ncurred in the last two layers of the models, but those\nchanges caused self-attention to focus on [SEP]\nrather than on linguistically interpretable patterns.\nIt is understandable why fine-tuning would increase\nthe attention to [CLS], but not [SEP]. If Clark\net al. (2019) are correct that [SEP] serves as \"no-\nop\" indicator, fine-tuning basically tells BERT what\nto ignore.\nSeveral studies explored the possibilities of im-\nproving the fine-tuning of BERT:\n• Taking more layers into account: learning\na complementary representation of the infor-\nmation in deep and output layers (Yang and\nZhao, 2019), using a weighted combination\nof all layers instead of the final one (Su and\nCheng, 2019; Kondratyuk and Straka, 2019),\nand layer dropout (Kondratyuk and Straka,\n2019).\n• Two-stage fine-tuning introduces an inter-\nmediate supervised training stage between\npre-training and fine-tuning (Phang et al.,\n2019; Garg et al., 2020; Arase and Tsujii,\n2019; Pruksachatkun et al., 2020; Glavaš and\nVuli´c, 2020). Ben-David et al. (2020) propose\na pivot-based variant of MLM to fine-tune\nBERT for domain adaptation.\n• Adversarial token perturbations improve\nrobustness of the model (Zhu et al., 2019).\n• Adversarial regularization in combination\nwith Bregman Proximal Point Optimization\nhelps alleviate pre-trained knowledge forget-\nting and therefore prevents BERT from overfit-\nting to downstream tasks (Jiang et al., 2019a).\n• Mixout regularization improves the stability\nof BERT fine-tuning even for a small number\nof training examples (Lee et al., 2019).\nWith large models, even fine-tuning becomes ex-\npensive, but Houlsby et al. (2019) show that it can", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "More recently, Kobayashi et al. (2020) showed\nthat the norms of attention-weighted input vec-\ntors, which yield a more intuitive interpretation\nof self-attention, reduce the attention to special to-\nkens. However, even when the attention weights\nare normed, it is still not the case that most heads\nthat do the \"heavy lifting\" are even potentially in-\nterpretable (Prasanna et al., 2020).\nOne methodological choice in in many studies\nof attention is to focus on inter-word attention and\nsimply exclude special tokens (e.g. Lin et al. (2019)\nand Htut et al. (2019)). However, if attention to\nspecial tokens actually matters at inference time,\ndrawing conclusions purely from inter-word atten-\ntion patterns does not seem warranted.\nThe functions of special tokens are not yet well\nunderstood. [CLS] is typically viewed as an ag-\ngregated sentence-level representation (although\nall token representations also contain at least some\nsentence-level information, as discussed in subsec-\ntion 4.1); in that case, we may not see e.g. full\nsyntactic trees in inter-word attention because part\nof that information is actually packed in [CLS].\nClark et al. (2019) experiment with encoding\nWikipedia paragraphs with base BERT to consider\nspecifically the attention to special tokens, noting\nthat heads in early layers attend more to [CLS],\nin middle layers to [SEP], and in final layers to\nperiods and commas. They hypothesize that its\nfunction might be one of \"no-op\", a signal to ig-\nnore the head if its pattern is not applicable to the\ncurrent case. As a result, for example, [SEP]\ngets increased attention starting in layer 5, but its\nimportance for prediction drops. However, after\nfine-tuning both [SEP] and [CLS] get a lot of\nattention, depending on the task (Kovaleva et al.,\n2019). Interestingly, BERT also pays a lot of at-\ntention to punctuation, which Clark et al. (2019)\nexplain by the fact that periods and commas are\nsimply almost as frequent as the special tokens, and\nso the model might learn to rely on them for the\nsame reasons.\n4.3 BERT layers\nThe first layer of BERT receives as input a combina-\ntion of token, segment, and positional embeddings.\nIt stands to reason that the lower layers have\nthe most information about linear word order.\nLin et al. (2019) report a decrease in the knowledge\nof linear word order around layer 4 in BERT-base.\nThis is accompanied by an increased knowledge\n(a) ELMo (original)\nLayer 0\nLayer 2\n(b) ELMo (4-layer)\nLayer 0\nLayer 4\n(c) ELMo (transformer)\nLayer 0\nLayer 6\n(d) OpenAI transformer\nLayer 0\nLayer 12\n(e) BERT (base, cased)\nLayer 0\nLayer 12\n(f) BERT (large, cased)\nLayer 0\nLayer 24\nLower Performance Higher Performance\nFigure 3: A visualization of layerwise patterns in task\nperformance. Each column represents a probing task,\nand each row represents a contextualizer layer.\ntextualizers. Furthermore, the ELMo-based mod-\nels facilitate a controlled comparison—they only\ndiffer in the contextualizer architecture used.\nWe evaluate how well CWR features perform\nthe pretraining task—bidirectional language mod-\neling. Specifically, we take the pretrained repre-\nsentations for each layer and relearn the language\nmodel softmax classifiers used to predict the next\nand previous token. The ELMo models are trained\non the Billion Word Benchmark, so we retrain\nthe softmax classifier on similar data to mitigate\nany possible effects from domain shift. We split\nthe held-out portion of the Billion Word Bench-\nmark into train (80%, 6.2M tokens) and evalua-\ntion (20%, 1.6M tokens) sets and use this data to\nretrain and evaluate the softmax classifiers. We\nexpect that biLM perplexity will be lower when\ntraining the softmax classifiers on representations\nfrom layers that capture more information about\nthe pretraining task.\n5.2 Results and Discussion\nFigure 4 presents the performance of softmax clas-\nsifiers trained to perform the bidirectional lan-\nguage modeling task, given just the CWR s as in-\nput. We notice that higher layers in recurrent mod-", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "of BERT fine-tuning even for a small number\nof training examples (Lee et al., 2019).\nWith large models, even fine-tuning becomes ex-\npensive, but Houlsby et al. (2019) show that it can\n5Kondratyuk and Straka (2019) suggest that fine-tuning on\nUniversal Dependencies does result in syntactically meaning-\nful attention patterns, but there was no quantitative evaluation.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "How many affiliate banks has First Financial Bankshares ?", - "target_page": 4, - "target_passage": "The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "First Financial Bankshares, Inc. is a financial holding company \nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion\nas of December 31, 2002. The corporation has 10 affiliate banks,\nwhich provide services from 28 full-service locations in the Central, West\nand High Plains regions of Texas. The common stock of First Financial\nBankshares, Inc. is held by more than 3,500 shareholders and is listed\non The NASDAQ Stock Market® under the symbol FFIN.\n“Our 10 affiliate banks provide \nservices from 28 full-service \nlocations in the Central, West and\nHigh Plains regions of T exas.”\n2", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "F-1\nREPORT OF INDEPENDENT AUDITORS\nTo the Board of Directors and Shareholders of\nFirst Financial Bankshares, Inc.\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas\ncorporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings,\ncomprehensive earnings, shareholders’ equity, and cash flows for the year then ended. These financial statements\nare the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial\nstatements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and\nsubsidiaries as of December 31, 2001 and for each of the two years then ended , were audited by other auditors who\nhave ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those\nstatements.\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those\nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial\nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the\namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used\nand significant estimates made by management, as well as evaluating the overall financial statement presentation.\nWe believe that our audit provides a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position\nof First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their\noperations and their cash flows for the year then ended in conformity with accounting principles generally accepted\nin the United States.\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the\ntwo years then ended were audited by other auditors who have ceased operations. As described in Note 1, these\nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial\nAccounting Standards No. 142, Goodwill and Other Intangible Assets , which was adopted by the Company as of\nJanuary 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000\nincluded (a) agreeing the previously reported net income to the previously issued financial statements and the\nadjustments to reported net income representing amortization expense including related tax effects recognized in\nthose periods related to goodwill to the Company’s underlying records obtained from management, and (b) testing\nthe mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related\nearnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were\nnot engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company\nother than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of\nassurance on the 2001 and 2000 financial statements taken as a whole.\nErnst & Young LLP\nDallas, Texas\nJanuary 14, 2003", - "page_start": 64, - "page_end": 64, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-29\n17. BUSINESS COMBINATION:\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. (“City”) and its\nsubsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market\nvalue of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an\nidentifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible\nasset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized\nover seven years utilizing a method that approximates the expected attrition of the deposits.\nThe primary purpose of the acquisition was to expand the Company’s market share in areas with close proximity to\nDallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City’s\nhistorically stable record of earnings, capable management and its geographic location, which complements the\nCompany’s existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and\nCity National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are\nincluded in the consolidated earnings of the Company commencing July 1, 2001.\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts\nassigned to the major asset and liability captions at the acquisition date.\nASSETS\nCash and cash equivalents $ 9,651,769\nInvestment securities 29,717,834\nLoans, net 51,061,735\nGoodwill 6,891,959\nIdentifiable intangible asset 946,073\nOther assets 1,465,727\nTotal assets $ 99,735,097\nLIABILITIES AND SHAREHOLDER’S EQUITY\nNoninterest-bearing deposits $ 11,949,766\nInterest-bearing deposits 70,575,256\nOther liabilities 710,075\nShareholders' equity 16,500,000\nTotal liabilities and shareholder’s equity $ 99,735,097\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142.\nAccordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and\nidentifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of\nCity is insignificant to the Company's financial statements.\nCash flow information relative to the acquisition of City is, as follows:\nFair value of assets acquired $ 99,735,097\nCash paid for the capital stock of City 16,500,000\nLiabilities assumed $ 83,235,097", - "page_start": 92, - "page_end": 92, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-9\n1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:\nNature of Operations\nFirst Financial Bankshares, Inc. (a Texas corporation) (“Bankshares”) is a financial holding company which owns\n(through its wholly-owned Delaware subsidiary) all of the capital stock of ten banks located in Texas as of\nDecember 31, 2002. Those subsidiary banks are First National Bank of Abilene; Hereford State Bank; First\nNational Bank, Sweetwater; Eastland National Bank; First Financial Bank, National Association, Cleburne;\nStephenville Bank & Trust Co.; San Angelo National Bank; Weatherford National Bank; First Financial Bank,\nNational Association, Southlake and City National Bank, Mineral Wells. Each subsidiary bank’s primary source of\nrevenue is providing loans and banking services to consumers and commercial customers in the market area in\nwhich the subsidiary is located.\nA summary of significant accounting policies of Bankshares and subsidiaries (collectively, the “Company”) applied\nin the preparation of the accompanying consolidated financial statements follows. The accounting principles\nfollowed by the Company and the methods of applying them are in conformity with both accounting principles\ngenerally accepted in the United States of America and prevailing practices of the banking industry.\nUse of Estimates in Preparation of Financial Statements\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United\nStates of America requires management to make estimates and assumptions that affect the reported amounts of\nassets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and\nreported amounts of revenues and expenses during the reporting period. Actual results could differ from those\nestimates. Material estimates that are particularly susceptible to significant change in the near term relate to the\ndetermination of the allowance for loan losses, the valuations of foreclosed real estate, deferred income tax assets,\nand the fair value of financial instruments.\nConsolidation\nThe accompanying consolidated financial statements include the accounts of Bankshares and its subsidiaries, all of\nwhich are wholly-owned. All significant intercompany accounts and transactions have been eliminated.\nInvestment Securities\nManagement classifies debt and equity securities as held-to-maturity, available-for-sale, or trading based on its\nintent. Debt securities that management has the positive intent and ability to hold to maturity are classified as held-\nto-maturity and recorded at cost, adjusted for amortization of premiums and accretion of discounts, which are\nrecognized as adjustments to interest income using the interest method. Securities not classified as held-to-maturity\nor trading are classified as available-for-sale and recorded at estimated fair value, with unrealized gains and losses,\nnet of deferred income taxes, excluded from earnings and reported in a separate component of shareholders’ equity.\nSecurities classified as trading are recorded at estimated fair value, with unrealized gains and losses included in\nearnings. The Company had no trading securities at December 31, 2002, 2001, or 2000.\nLoans and Allowance for Loan Losses\nLoans are stated at the amount of unpaid principal, reduced by unearned income and an allowance for loan losses.\nUnearned income on installment loans is recognized in income over the terms of the loans in decreasing amounts\nusing a method which approximates the interest method. Interest on other loans is calculated by using the simple\ninterest method on daily balances of the principal amounts outstanding. The Company expenses its net loan\norigination costs, a method which does not materially differ from deferring and amortizing such amounts as an", - "page_start": 72, - "page_end": 72, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nConsolidated Balance Sheets\nDecember 31, 2002 and 2001\nThe accompanying notes are an integral part of these consolidated financial statements.\nF-4\nASSETS 2002 2001 \nCASH AND DUE FROM BANKS $ 108,436,645 $ 112,150,214\nFEDERAL FUNDS SOLD 70,000,000 72,975,000\nTotal cash and cash equivalents 178,436,645 185,125,214\nINTEREST-BEARING DEPOSITS IN BANKS 2,324,425 1,374,285\nINVESTMENT SECURITIES:\nSecurities held-to-maturity (fair value of $211,862,151 in\n 2002 and $298,569,794 in 2001) 200,449,784 290,674,490\nSecurities available-for-sale, at fair value 571,806,629 431,019,205\nTotal investment securities 772,256,413 721,693,695\nLOANS 964,039,773 940,130,975\nLess- allowance for loan losses 11,218,729 10,602,419\nNet loans 952,821,044 929,528,556\nBANK PREMISES AND EQUIPMENT, net 40,605,401 42,012,431\nINTANGIBLE ASSETS 24,870,788 24,711,969\nOTHER ASSETS 21,868,220 25,247,980\nTotal assets $1,993,182,936 $1,929,694,130\nLIABILITIES AND SHAREHOLDERS’ EQUITY\nNONINTEREST-BEARING DEPOSITS $ 425,473,353 $ 389,406,666\nINTEREST-BEARING DEPOSITS 1,286,088,863 1,295,755,932\nTotal deposits 1,711,562,216 1,685,162,598\nDIVIDENDS PAYABLE 4,327,374 3,699,976\nSECURITIES SOLD UNDER AGREEMENTS TO REPURCHASE 26,708,994 19,847,067\nOTHER LIABILITIES 11,816,707 7,330,476\nTotal liabilities 1,754,415,291 1,716,040,117\nCOMMITMENTS AND CONTINGENCIES\nSHAREHOLDERS’ EQUITY:\nCommon stock, $10 par value; authorized 20,000,000 shares;\n 12,364,201 and 12,333,252 issued and outstanding at \n December 31, 2002 and 2001, respectively 123,642,010 123,332,520\nCapital surplus58,087,687 57,824,061\nRetained earnings 45,647,522 28,375,353\nAccumulated other comprehensive earnings 11,390,426 4,122,079\nTotal shareholders’ equity 238,767,645 213,654,013\nTotal liabilities and shareholders’ equity $1,993,182,936 $1,929,694,130", - "page_start": 67, - "page_end": 67, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-27\n16. CONDENSED FINANCIAL INFORMATION - PARENT COMPANY:\nCondensed Balance Sheets-December 31, 2002 and 2001\nASSETS 2002 2001 \nCash in subsidiary bank $ 903,319 $ 579,686\nInterest-bearing deposits in subsidiary banks 22,212,064 13,796,338\n Total cash and cash equivalents 23,115,383 14,376,024\nInvestment in subsidiaries, at equity 219,947,550 202,758,981\nIntangible assets 917,350 723,375\nOther assets 950,708 932,986\n Total assets $244,930,991 $218,791,366\nLIABILITIES AND SHAREHOLDERS’ EQUITY\nTotal liabilities $ 6,163,346 $ 5,137,353\nShareholders’ equity:\nCommon stock 123,642,010 123,332,520\nCapital surplus 58,087,687 57,824,061\nRetained earnings 45,647,522 28,375,353\nAccumulated other comprehensive earnings 11,390,426 4,122,079\n Total shareholders’ equity 238,767,645 213,654,013\n Total liabilities and shareholders’ equity $244,930,991 $218,791,366\nCondensed Statements of Earnings-\n For the Years Ended December 31, 2002, 2001, and 2000\n 2002 2001 2000 \nIncome:\nCash dividends from subsidiary banks $ 26,550,000 $ 25,500,000 $ 21,000,000\nExcess of earnings over dividends of\nsubsidiary banks 8,479,939 4,582,993 7,383,516\nGain on sale of investment securities\navailable-for-sale - - 530,097\nOther income 944,911 1,092,375 1,325,613\n 35,974,850 31,175,368 30,239,226\nExpenses:\nSalaries and employee benefits 1,451,136 1,160,903 1,067,664\nOther operating expenses 1,142,832 1,015,184 1,288,508\n 2,593,968 2,176,087 2,356,172\nEarnings before income taxes 33,380,882 28,999,281 27,883,054\nIncome tax benefit 571,668 355,224 432,993\nNet earnings $33,952,550 $29,354,505 $28,316,047", - "page_start": 90, - "page_end": 90, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-28\nCondensed Statements of Cash Flows-\n For the Years Ended December 31, 2002, 2001, and 2000\n 2002 2001 2000 \nCash flows from operating activities:\nNet earnings $33,952,550 $29,354,505 $28,316,047\nAdjustments to reconcile net earnings to net\ncash provided by operating activities:\nExcess of earnings over\n dividends of subsidiary banks (8,479,939) (4,582,993) (7,383,516)\nDepreciation 54,219 32,658 26,222\nDiscount accretion, net of premium amortization - (4,667) (12,133)\nAmortization of excess of cost over fair value\n of assets acquired - 55,576 55,576\nGain on sale of securities - - (530,097)\n(Increase) decrease in other assets (215,435) 559,515 (178,092)\n(Decrease) increase in liabilities (1,041,688) 186,391 448,225\n Net cash provided by operating activities 24,269,707 25,600,985 20,742,232\nCash flows from investing activities:\nPurchases of bank premises and equipment (50,481) (157,291) (2,266)\nActivity in available-for-sale securities:\nSales - - 530,097\nMaturities - 10,000,000 -\nPurchases - - (9,983,200)\nCash payment for stock acquisition - (16,500,000) - \n Net cash used in investing activities (50,481) (6,657,291) (9,455,369)\nCash flows from financing activities:\nProceeds of stock issuances 573,116 356,670 161,919\nAcquisition of treasury stock - (315,050) (3,925,069)\nCash dividends paid (16,052,983) (13,921,211) (12,543,863)\n Net cash used in financing activities (15,479,867) (13,879,591 ) (16,307,013)\nNet increase (decrease) in cash and cash equivalents 8,739,359 5,064,103 (5,020,150)\nCash and cash equivalents, beginning of year 14,376,024 9,311,921 14,332,071\nCash and cash equivalents, end of year $23,115,383 $14,376,024 $ 9,311,921", - "page_start": 91, - "page_end": 91, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-11\nOn January 1, 2002, goodwill amounting to $23,765,896 was not subject to further amortization as a result of SFAS\nNo. 142. The Company conducted its initial impairment test in 2002, with no reduction of recorded goodwill\nresulting from the test. A reconciliation adjusting comparative net earnings and earnings per share for the years\nended December 31, 2001 and 2000, to show the effect of no longer amortizing the Company’s goodwill, follows:\n 2001 2000 \nReported net earnings $ 29,354,505 $ 28,316,047\nAdd back: goodwill amortization\nGoodwill amortization, before income tax 1,641,367 1,641,367\nIncome tax benefit (420,000) (420,000)\nAdjusted net earnings $ 30,575,872 $ 29,537,414\nBasic earnings per share:\nReported net earnings $ 2.38 $ 2.28\nGoodwill amortization, net of income tax benefit .10 .10\nAdjusted net earnings $ 2.48 $ 2.38\nEarnings per share, assuming dilution:\nReported net earnings $ 2.37 $ 2.27\nGoodwill amortization, net of income tax benefit .10 .10\nAdjusted net earnings $ 2.47 $ 2.37\nGoodwill arising from acquisitions of assets and liabilities, rather than acquisitions of stock, amounting to\n$13,000,000, is deductible for federal income tax purposes.\nOther identifiable intangible assets recorded by the Company represent the future benefit associated with the\nacquisition of the core deposits of City Bancshares, Inc. (Note 17) and is being amortized over seven years utilizing\na method that approximates the expected attrition of the deposits.\nSecurities Sold Under Agreements To Repurchase\nSecurities sold under agreements to repurchase, which are classified as secured borrowings, generally mature within\none to four days from the transaction date. Securities sold under agreements to repurchase are reflected at the\namount of the cash received in connection with the transaction. The Company may be required to provide additional\ncollateral based on the estimated fair value of the underlying securities.\nSegment Reporting\nThe Company has determined that it operates one line of business (community banking) located in a single\ngeographic area (Texas).\nStatements of Cash Flows\nFor purposes of reporting cash flows, cash and cash equivalents include cash on hand, amounts due from banks, and\nfederal funds sold.\nAccounting for Income Taxes\nThe Company’s provision for income taxes is based on income before income taxes adjusted for permanent\ndifferences between financial reporting and taxable income. Deferred tax assets and liabilities are determined using\nthe liability (or balance sheet) method. Under this method, the net deferred tax asset or liability is determined based\non the tax effects of the temporary differences between the book and tax bases of the various balance sheet assets\nand liabilities and gives current recognition to changes in tax rates and laws.", - "page_start": 74, - "page_end": 74, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "33\nSIGNATURES\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, as amended, the\nRegistrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\nFIRST FINANCIAL BANKSHARES, INC.\nDate: March 10, 2003 By: /s/ F. SCOTT DUESER \nF. SCOTT DUESER\nPresident, Chief Executive Officer and Director\nThe undersigned directors and officers of First Financial Bankshares, Inc. hereby constitute and appoint Curtis\nR. Harvey, with full power to act and with full power of substitution and resubstitution, our true and lawful attorney-\nin-fact with full power to execute in our name and behalf in the capacities indicated below any and all amendments\nto this report and to file the same, with all exhibits thereto and other documents in connection therewith with the\nSecurities and Exchange Commission and hereby ratify and confirm all that such attorney-in-fact or his substitute\nshall lawfully do or cause to be done by virtue hereof.\nPursuant to the requirements of the Securities Exchange Act of 1934, as amended, this report has been signed\nbelow by the following persons on behalf of the registrant and in the capacities and on the dates indicated.\nName Title Date\n/s/ KENNETH T. MURPHY \nKenneth T. Murphy\nChairman of the Board and Director March 10, 2003\n/s/ F. SCOTT DUESER \nF. Scott Dueser\nPresident, Chief Executive Officer\nand Director\n(Principal Executive Officer)\nMarch 10, 2003\n/s/ CURTIS R. HARVEY \nCurtis R. Harvey\nExecutive Vice President and Chief\nFinancial Officer\n(Principal Financial Officer and\nPrincipal Accounting Officer)\nMarch 10, 2003\n/s/ JOSEPH E. CANON \nJoseph E. Canon\nDirector March 18, 2003\n/s/ MAC A. COALSON \nMac A. Coalson\nDirector March 25, 2003\n/s/ DAVID COPELAND \nDavid Copeland\nDirector March 18, 2003", - "page_start": 60, - "page_end": 60, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "3\nrange of services to individuals, associations, and corporations. These services include administering estates,\ntestamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene,\nFirst Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association,\nSouthlake, Texas provide securities brokerage services through arrangements with various third parties.\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose\nnational bank under which we will consolidate the management of our current trust departments. The new entity\nwill operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We\nbelieve that with this structure we can more effectively manage our current trust operations and provide trust\nservices to customers of our banks that do not currently have trust departments. We anticipate that the new trust\ncompany will begin operations in the latter part of 2003.\nCompetition\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state’s deposits,\nwe represent only a minor segment of the industry. To succeed in this industry, our management believes that our\nbanks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services\noffered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas\nagainst highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions,\nmortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and\nsome of which are larger than our subsidiary banks in terms of capital, resources and personnel.\nOur business does not depend on any single customer or any few customers, the loss of any one of which would\nhave a materially adverse effect upon our business. Although we have a broad base of customers that are not related\nto us, our customers also occasionally include our officers and directors, as well as other entities with which we are\naffiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are\naffiliated, in the ordinary course of business. We make these loans on substantially the same terms, including\ninterest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to\ndirectors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws\nwhich we describe in greater detail below.\nEmployees\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003.\nOur management believes that our employee relations have been and will continue to be good.\nSupervision and Regulation\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and\nbanks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the\ndeposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also\nbenefit. The following information describes particular laws and regulatory provisions relating to financial holding\ncompanies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory\nprovisions. A change in any of these laws or regulations may have a material effect on our business and the\nbusiness of our subsidiary banks.\nBank Holding Companies and Financial Holding Companies\nTraditionally, the activities of bank holding companies were limited to the business of banking and activities\nclosely related or incidental to banking. Bank holding companies were generally prohibited from acquiring control", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What was the net income of First Financial Bankshares in 1995 ?", - "target_page": 14, - "target_passage": " 16,355", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nConsolidated Statements of Earnings\nDecember 31, 2002, 2001 and 2000\nThe accompanying notes are an integral part of these consolidated financial statements.\nF-5\n 2002 2001 2000 \nINTEREST INCOME:\nInterest and fees on loans $ 64,609,189 $ 74,881,682 $ 75,474,661\nInterest on investment securities:\nTaxable 32,263,763 32,169,874 33,556,796\nExempt from federal income tax 7,042,102 6,279,973 5,770,861\nInterest on federal funds sold and interest-bearing\ndeposits in banks 946,861 3,211,316 3,148,277\nTotal interest income 104,861,915 116,472,845 117,950,595\nINTEREST EXPENSE:\nInterest on deposits 24,087,911 43,970,532 47,737,862\nOther 291,793 863,480 1,091,180\nTotal interest expense 24,379,704 44,834,012 48,829,042\nNet interest income 80,482,211 71,638,833 69,121,553\nPROVISION FOR LOAN LOSSES 2,369,634 1,964,050 2,397,750\nNet interest income after provision for loan losses 78,112,577 69,674,783 66,723,803\nNONINTEREST INCOME:\nTrust department income 5,835,909 5,890,600 5,494,246\nService fees on deposit accounts 15,435,137 14,743,217 14,073,514\nATM fees 2,370,313 1,941,508 1,554,437\nReal estate mortgage fees 1,858,378 1,609,518 1,021,590\nNet gain on securities transactions 16,373 67,789 530,097\nOther 4,036,366 3,325,858 3,273,445\nTotal noninterest income 29,552,476 27,578,490 25,947,329\nNONINTEREST EXPENSE:\nSalaries and employee benefits 31,992,733 28,685,294 27,077,436\nNet occupancy expense 3,908,856 3,995,597 3,563,289\nEquipment expense 4,800,768 4,457,909 4,180,782\nPrinting, stationary and supplies 1,474,683 1,084,134 882,470\nCorrespondent bank service charges 1,491,132 1,329,134 1,261,811\nAmortization of intangible assets 135,156 1,641,367 1,641,367\nOther expenses 15,278,722 13,878,262 13,085,333\nTotal noninterest expense 59,082,050 55,071,697 51,692,488\nEARNINGS BEFORE INCOME TAXES 48,583,003 42,181,576 40,978,644\nINCOME TAX EXPENSE 14,630,453 12,827,071 12,662,597\nNET EARNINGS $ 33,952,550 $ 29,354,505 $28,316,047\nNET EARNINGS PER SHARE, BASIC $ 2.75 $ 2.38 $ 2.28\nNET EARNINGS PER SHARE, ASSUMING DILUTION $ 2.74 $ 2.37 $ 2.27", - "page_start": 68, - "page_end": 68, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-29\n17. BUSINESS COMBINATION:\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. (“City”) and its\nsubsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market\nvalue of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an\nidentifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible\nasset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized\nover seven years utilizing a method that approximates the expected attrition of the deposits.\nThe primary purpose of the acquisition was to expand the Company’s market share in areas with close proximity to\nDallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City’s\nhistorically stable record of earnings, capable management and its geographic location, which complements the\nCompany’s existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and\nCity National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are\nincluded in the consolidated earnings of the Company commencing July 1, 2001.\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts\nassigned to the major asset and liability captions at the acquisition date.\nASSETS\nCash and cash equivalents $ 9,651,769\nInvestment securities 29,717,834\nLoans, net 51,061,735\nGoodwill 6,891,959\nIdentifiable intangible asset 946,073\nOther assets 1,465,727\nTotal assets $ 99,735,097\nLIABILITIES AND SHAREHOLDER’S EQUITY\nNoninterest-bearing deposits $ 11,949,766\nInterest-bearing deposits 70,575,256\nOther liabilities 710,075\nShareholders' equity 16,500,000\nTotal liabilities and shareholder’s equity $ 99,735,097\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142.\nAccordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and\nidentifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of\nCity is insignificant to the Company's financial statements.\nCash flow information relative to the acquisition of City is, as follows:\nFair value of assets acquired $ 99,735,097\nCash paid for the capital stock of City 16,500,000\nLiabilities assumed $ 83,235,097", - "page_start": 92, - "page_end": 92, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-28\nCondensed Statements of Cash Flows-\n For the Years Ended December 31, 2002, 2001, and 2000\n 2002 2001 2000 \nCash flows from operating activities:\nNet earnings $33,952,550 $29,354,505 $28,316,047\nAdjustments to reconcile net earnings to net\ncash provided by operating activities:\nExcess of earnings over\n dividends of subsidiary banks (8,479,939) (4,582,993) (7,383,516)\nDepreciation 54,219 32,658 26,222\nDiscount accretion, net of premium amortization - (4,667) (12,133)\nAmortization of excess of cost over fair value\n of assets acquired - 55,576 55,576\nGain on sale of securities - - (530,097)\n(Increase) decrease in other assets (215,435) 559,515 (178,092)\n(Decrease) increase in liabilities (1,041,688) 186,391 448,225\n Net cash provided by operating activities 24,269,707 25,600,985 20,742,232\nCash flows from investing activities:\nPurchases of bank premises and equipment (50,481) (157,291) (2,266)\nActivity in available-for-sale securities:\nSales - - 530,097\nMaturities - 10,000,000 -\nPurchases - - (9,983,200)\nCash payment for stock acquisition - (16,500,000) - \n Net cash used in investing activities (50,481) (6,657,291) (9,455,369)\nCash flows from financing activities:\nProceeds of stock issuances 573,116 356,670 161,919\nAcquisition of treasury stock - (315,050) (3,925,069)\nCash dividends paid (16,052,983) (13,921,211) (12,543,863)\n Net cash used in financing activities (15,479,867) (13,879,591 ) (16,307,013)\nNet increase (decrease) in cash and cash equivalents 8,739,359 5,064,103 (5,020,150)\nCash and cash equivalents, beginning of year 14,376,024 9,311,921 14,332,071\nCash and cash equivalents, end of year $23,115,383 $14,376,024 $ 9,311,921", - "page_start": 91, - "page_end": 91, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nConsolidated Statements of Shareholders’ Equity\nDecember 31, 2002, 2001 and 2000\nThe accompanying notes are an integral part of these consolidated financial statements.\nF-7\nAccumulated\nOther\nTreasury Comprehensive Total\n Common Stock Capital Retained Stock, Earnings Shareholders’\n Shares Amount Surplus Earnings at cost (Losses) Equity \nBALANCE, December 31, 1999 9,972,193 $99,721,930 $60,538,481 $22,495,259 $ - $(4,092,727) $178,662,943\nNet earnings - - - 28,316,047 - - 28,316,047\nCash dividends declared, $1.03 per share - - - (12,808,111) - - (12,808,111)\nAcquisition of treasury stock - - - - (3,925,069) - (3,925,069)Stock issuances 10,809 108,090 53,829 - - - 161,919Change in unrealized gain (loss) on investment in\nsecurities available-for-sale, net of related income taxes - - \n - - - 5,713,159 5,713,159\nBALANCE, December 31, 2000 9,983,002 $99,830,020 $60,592,310 $38,003,195 $(3,925,069) $ 1,620,432 $196,120,888\nNet earnings - - - 29,354,505 - - 29,354,505\nStock split, effected in the form of a 25% stock dividend 2,461,770 24,617,700 - (24,617,700) - - -Cash dividends declared, $1.16 per share - - - (14,364,647) - - (14,364,647)Acquisition of treasury stock - - - - (315,050) - (315,050)Retirement of treasury stock (136,000) (1,360,000) (2,880,119) - 4,240,119 - -Stock issuances 24,480 244,800 111,870 - - - 356,670Change in unrealized gain on investment in\nsecurities available-for-sale, net of related income taxes - - \n - - - 2,501,647 2,501,647\nBALANCE, December 31, 2001 12,333,252 $123,332,520 $57,824,061 $28,375,353 $ - $ 4,122,079 $213,654,013\nNet earnings - - - 33,952,550 - - 33,952,550\nCash dividends declared, $1.35 per share - - - (16,680,381) - - (16,680,381)Stock issuances 30,949 309,490 263,626 - - - 573,116Minimum liability pension adjustment, net of related\nincome taxes - - - - - (1,440,283) (1,440,283)\nChange in unrealized gain on investment in\nsecurities available-for-sale, net of related income taxes - - \n - - - 8,708,630 8,708,630\nBALANCE, December 31, 2002 12,364,201 $123,642,010 $58,087,687 $45,647,522 $ - $11,390,426 $238,767,645", - "page_start": 70, - "page_end": 70, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-27\n16. CONDENSED FINANCIAL INFORMATION - PARENT COMPANY:\nCondensed Balance Sheets-December 31, 2002 and 2001\nASSETS 2002 2001 \nCash in subsidiary bank $ 903,319 $ 579,686\nInterest-bearing deposits in subsidiary banks 22,212,064 13,796,338\n Total cash and cash equivalents 23,115,383 14,376,024\nInvestment in subsidiaries, at equity 219,947,550 202,758,981\nIntangible assets 917,350 723,375\nOther assets 950,708 932,986\n Total assets $244,930,991 $218,791,366\nLIABILITIES AND SHAREHOLDERS’ EQUITY\nTotal liabilities $ 6,163,346 $ 5,137,353\nShareholders’ equity:\nCommon stock 123,642,010 123,332,520\nCapital surplus 58,087,687 57,824,061\nRetained earnings 45,647,522 28,375,353\nAccumulated other comprehensive earnings 11,390,426 4,122,079\n Total shareholders’ equity 238,767,645 213,654,013\n Total liabilities and shareholders’ equity $244,930,991 $218,791,366\nCondensed Statements of Earnings-\n For the Years Ended December 31, 2002, 2001, and 2000\n 2002 2001 2000 \nIncome:\nCash dividends from subsidiary banks $ 26,550,000 $ 25,500,000 $ 21,000,000\nExcess of earnings over dividends of\nsubsidiary banks 8,479,939 4,582,993 7,383,516\nGain on sale of investment securities\navailable-for-sale - - 530,097\nOther income 944,911 1,092,375 1,325,613\n 35,974,850 31,175,368 30,239,226\nExpenses:\nSalaries and employee benefits 1,451,136 1,160,903 1,067,664\nOther operating expenses 1,142,832 1,015,184 1,288,508\n 2,593,968 2,176,087 2,356,172\nEarnings before income taxes 33,380,882 28,999,281 27,883,054\nIncome tax benefit 571,668 355,224 432,993\nNet earnings $33,952,550 $29,354,505 $28,316,047", - "page_start": 90, - "page_end": 90, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "First Financial Bankshares, Inc. is a financial holding company \nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion\nas of December 31, 2002. The corporation has 10 affiliate banks,\nwhich provide services from 28 full-service locations in the Central, West\nand High Plains regions of Texas. The common stock of First Financial\nBankshares, Inc. is held by more than 3,500 shareholders and is listed\non The NASDAQ Stock Market® under the symbol FFIN.\n“Our 10 affiliate banks provide \nservices from 28 full-service \nlocations in the Central, West and\nHigh Plains regions of T exas.”\n2", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "F-1\nREPORT OF INDEPENDENT AUDITORS\nTo the Board of Directors and Shareholders of\nFirst Financial Bankshares, Inc.\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas\ncorporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings,\ncomprehensive earnings, shareholders’ equity, and cash flows for the year then ended. These financial statements\nare the responsibility of the Company’s management. Our responsibility is to express an opinion on these financial\nstatements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and\nsubsidiaries as of December 31, 2001 and for each of the two years then ended , were audited by other auditors who\nhave ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those\nstatements.\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those\nstandards require that we plan and perform the audit to obtain reasonable assurance about whether the financial\nstatements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the\namounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used\nand significant estimates made by management, as well as evaluating the overall financial statement presentation.\nWe believe that our audit provides a reasonable basis for our opinion.\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position\nof First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their\noperations and their cash flows for the year then ended in conformity with accounting principles generally accepted\nin the United States.\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the\ntwo years then ended were audited by other auditors who have ceased operations. As described in Note 1, these\nfinancial statements have been revised to include the transitional disclosures required by Statement of Financial\nAccounting Standards No. 142, Goodwill and Other Intangible Assets , which was adopted by the Company as of\nJanuary 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000\nincluded (a) agreeing the previously reported net income to the previously issued financial statements and the\nadjustments to reported net income representing amortization expense including related tax effects recognized in\nthose periods related to goodwill to the Company’s underlying records obtained from management, and (b) testing\nthe mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related\nearnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were\nnot engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company\nother than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of\nassurance on the 2001 and 2000 financial statements taken as a whole.\nErnst & Young LLP\nDallas, Texas\nJanuary 14, 2003", - "page_start": 64, - "page_end": 64, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nConsolidated Statements of Comprehensive Earnings\nDecember 31, 2002, 2001 and 2000\nThe accompanying notes are an integral part of these consolidated financial statements.\nF-6\n 2002 2001 2000 \nNET EARNINGS $ 33,952,550 $ 29,354,505 $ 28,316,047\nOTHER ITEMS OF COMPREHENSIVE EARNINGS:\nChange in unrealized gain on investment securities\navailable-for-sale, before income tax 13,414,265 3,916,477 9,319,576\nReclassification adjustment for realized gains on investment\nsecurities included in net earnings, before income tax (16,373) (67,789) (530,097)\nMinimum liability pension adjustment, before income tax (2,215,820) - - \nTotal other items of comprehensive earnings 11,182,072 3,848,688 8,789,479\nIncome tax expense related to other items of\ncomprehensive earnings (3,913,725) (1,347,041) (3,076,320)\nCOMPREHENSIVE EARNINGS $ 41,220,897 $ 31,856,152 $ 34,029,206", - "page_start": 69, - "page_end": 69, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-17\n4. BANK PREMISES AND EQUIPMENT:\nThe following is a summary of bank premises and equipment:\n Useful Life December 31, \n 2002 2001 \nLand – $ 7,362,814 $ 7,104,759\nBuildings 20 to 40 years 50,560,723 49,885,954\nFurniture and equipment 3 to 10 years 26,347,819 27,249,965\nLeasehold improvements Lesser of lease term or 5 to 15 years 4,385,288 4,105,350\n88,656,644 88,346,028\nLess- accumulated depreciation and amortization (48,051,243) (46,333,597)\n$40,605,401 $42,012,431\nDepreciation expense for the years ended December 31, 2002, 2001 and 2000 amounted to $4,284,473, $3,755,878,\nand $3,700,474, respectively and is included in the captions net occupancy expense and equipment expense in the\naccompanying consolidated statements of earnings.\nThe Company is lessor for portions of its banking premises. Total rental income for all leases included in net\noccupancy expense is approximately $1,578,000, $1,432,000 and $1,387,000, for the years ended December 31,\n2002, 2001, and 2000, respectively.\n5. TIME DEPOSITS\nTime deposits of $100,000 or more totaled approximately $195,754,000 and $196,905,000 at December 31, 2002\nand 2001, respectively. Interest expense on these deposits was approximately $11,559,000, $10,163,000, and\n$10,022,000 during 2002, 2001, and 2000, respectively.\nAt December 31, 2002, the scheduled maturities of time deposits were, as follows:\nYear ending December 31,\n2003 $466,285,411\n2004 42,007,875\n2005 12,232,334\n2006 2,222,764\n2007 10,878,020\n$533,626,404\n6. LINE OF CREDIT\nThe Company has a line of credit with a nonaffiliated bank under which it could borrow up to $25,000,000. The\nline of credit is unsecured and matures on June 30, 2003. Bankshares paid no fee to secure the unused line of credit\nand, accordingly, did not estimate a fair value of the unused line of credit at December 31, 2002 and 2001. The line\nof credit carries an interest rate of the London Interbank Offering Rate plus 1.0%. There was no outstanding balance\nunder the line of credit as of December 31, 2002 and 2001.", - "page_start": 80, - "page_end": 80, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Year-End Total Assets (1)\nShareholders’\nEquity(1)\nNet\nIncome(1)\nBasic\nEarnings\nper Share(2)\nCash\nDividends\nper Share(2)\nStock\nDividends\nand Splits\nYear-End\nBook Value\nper Share(2)\nYear-End\nMarket Value\nper Share(2)\n2002 $1,993,183 $238,768 $33,953 $2.75 $1.35 – $19.31 $38.00\n2001 1,929,694 213,654 29,355 2.38 1.16 5/4 split 17.32 30.10\n2000 1,753,814 196,121 28,316 2.28 1.03 – 15.92 25.15\n1999 1,723,369 178,663 25,690 2.06 0.90 – 14.33 24.60\n1998 1,686,647 169,449 23,254 1.87 0.80 10% dividend 13.62 28.00\n1997 1,573,509 148,226 20,063 1.70 0.70 5/4 split 12.46 31.18\n1996 1,262,041 131,161 18,122 1.58 0.63 5/4 split 11.36 23.27\n1995 1,062,325 114,917 16,355 1.52 0.56 – 10.66 15.59\n1994 1,001,906 103,908 13,112 1.22 0.51 5/4 split 9.67 12.44\n1993 924,630 90,443 11,978 1.31 0.45 10% dividend 8.99 15.46\nTen-Year\nCompound\nGrowth Rate 9.03% 11.36% 11.94% 9.60% 14.45% – 9.02% 11.15%\n(1) As originally reported at the close of each year and prior to restatements for pooling-of-interests.\n(2) Adjusted for stock dividends and splits.\nIN THOUSANDS EXCEPT PER SHARE DATA \n“The value of our stock rose as we\nachieved higher earnings for the\n16th year in a row.”\n12\nCurtis R. Harvey\nExecutive Vice President\nand Chief Financial Officer", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What is the address of the San Angelo National Bank main office ?", - "target_page": 21, - "target_passage": "Main Office 301 W. Beauregard San Angelo, Texas 76903 Chartered 1997 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "San Angelo\nMain Office\n301 W . Beauregard\nSan Angelo, T exas 76903\nChartered 1997 \nBranch\n3471 Knickerbocker\nSan Angelo, T exas 76904 \nSenior Officers\nMichael L. Boyd\nPresident and Chief Executive Officer\nDavid Byrd\nExecutive Vice President and Trust Officer\nRobert Pate\nExecutive Vice President\nKatherine Reeves\nExecutive Vice President and Cashier\nDirectors\nDal DeWees\nChairman of the Board\nGeorge Alexander\nPartner, Alexander Construction Company\nMichael L. Boyd\nPresident and Chief Executive Officer\nW. Dan Cravy, M.D.\nPhysician\nDavid B. Drake\nInvestment Advisor\nF. Scott Dueser\nFirst Financial Bankshares, Inc.\nDoug Eakman\nOwner, Pecos Street Pharmacy\nJoe Henderson\nPresident, Porter Henderson Implement \nCompany, Inc.\nRobert D. Housley\nPresident and Owner,\nHousley Communications\nJim Johnson\nShannon, Porter, Johnson, Pfluger, \nDavis & Joynton, LLP\nDavid F . Lupton\nPresident, Angelo Glass & Mirror \nCompany, Inc.\nKenneth T. Murphy\nFirst Financial Bankshares, Inc.\nBill Pfluger\nRancher\nRichard W. Salmon\nInvestments\nJohn E. Schwartz, Sr.\nFarmer/Rancher\nF.L. (Steve) Stephens\nRetired Chairman and Chief Executive Officer,\nTown & Country Food Stores, Inc.\nAssets $303,124 $299,808\nLoans 115,450 110,685\nDeposits 251,931 257,212\nEquity 30,634 27,986\nNet Income 4,917 4,167\nTrust Assets 144,047 129,471\nReturn on Average Assets 1.70% 1.46%\nReturn on Average Equity 16.48 15.13\nIN THOUSANDS December 31, 2002 December 31, 2001\nSan Angelo National Bank\n24%Tom Green County Deposit Market Share\n19\nMichael L. Boyd\nPresident and \nChief Executive Officer", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "2\n• Eastland National Bank, Eastland, Texas;\n• First Financial Bank, National Association, Cleburne, Texas;\n• Stephenville Bank and Trust Co., Stephenville, Texas;\n• San Angelo National Bank, San Angelo, Texas;\n• Weatherford National Bank, Weatherford, Texas;\n• First Financial Bank, National Association, Southlake, Texas; and\n• City National Bank, Mineral Wells, Texas.\nAs described in more detail below, we elected to be treated as a financial holding company in September 2001.\nOur service centers are located primarily in North Central and West Texas. Considering the branches and\nlocations of all our subsidiary banks, as of December 31, 2002, we had 28 financial centers across Texas, with seven\nlocations in Abilene, two locations in Cleburne, two locations in Stephenville, two locations in San Angelo, three\nlocations in Weatherford, and one location each in Mineral Wells, Hereford, Sweetwater, Eastland, Southlake,\nAledo, Alvarado, Burleson, Keller, Trophy Club, Roby, and Trent.\nInformation on our revenues, profits and losses and total assets appears in the discussion of our Results of\nOperations contained in Item 7 hereof.\nFirst Financial Bankshares, Inc.\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables\nthem to improve or expand their banking services while continuing their local activity and identity. Each of our\nsubsidiary banks operates under the day-to-day management of its own board of directors and officers, with\nsubstantial authority in making decisions concerning their own investments, loan policies, interest rates, and service\ncharges. We provide resources and policy direction in, among other things, the following areas:\n• asset and liability management;\n• accounting, budgeting, planning and insurance;\n• capitalization; and\n• regulatory compliance.\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital\nexpenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and\nappointment of officers and directors and their compensation. We also perform, through corporate staff groups or\nby outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National\nBank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing,\nadvertising, public relations, and computer services.\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we\nperiodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate\npotential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be\nprovided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of\ncredit and future debt or equity offerings.\nServices Offered by Our Subsidiary Banks\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own\nboard of directors and officers. Each of our subsidiary banks provides general commercial banking services, which\ninclude accepting and holding checking, savings and time deposits, making loans, automated teller machines, drive-\nin and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial\nbanking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other\nemployee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and\nTrust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", - "page_start": 29, - "page_end": 29, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "3\nrange of services to individuals, associations, and corporations. These services include administering estates,\ntestamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene,\nFirst Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association,\nSouthlake, Texas provide securities brokerage services through arrangements with various third parties.\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose\nnational bank under which we will consolidate the management of our current trust departments. The new entity\nwill operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We\nbelieve that with this structure we can more effectively manage our current trust operations and provide trust\nservices to customers of our banks that do not currently have trust departments. We anticipate that the new trust\ncompany will begin operations in the latter part of 2003.\nCompetition\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state’s deposits,\nwe represent only a minor segment of the industry. To succeed in this industry, our management believes that our\nbanks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services\noffered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas\nagainst highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions,\nmortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and\nsome of which are larger than our subsidiary banks in terms of capital, resources and personnel.\nOur business does not depend on any single customer or any few customers, the loss of any one of which would\nhave a materially adverse effect upon our business. Although we have a broad base of customers that are not related\nto us, our customers also occasionally include our officers and directors, as well as other entities with which we are\naffiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are\naffiliated, in the ordinary course of business. We make these loans on substantially the same terms, including\ninterest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to\ndirectors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws\nwhich we describe in greater detail below.\nEmployees\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003.\nOur management believes that our employee relations have been and will continue to be good.\nSupervision and Regulation\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and\nbanks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the\ndeposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also\nbenefit. The following information describes particular laws and regulatory provisions relating to financial holding\ncompanies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory\nprovisions. A change in any of these laws or regulations may have a material effect on our business and the\nbusiness of our subsidiary banks.\nBank Holding Companies and Financial Holding Companies\nTraditionally, the activities of bank holding companies were limited to the business of banking and activities\nclosely related or incidental to banking. Bank holding companies were generally prohibited from acquiring control", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Bob Housley appreciates loyalty.\nHis company, Housley Communications, is a thriv-\ning business with a staff of 225 and contracting\nrelationships with over 700 firms. The company\nprovides engineering and implementation of\nadvanced telecommunications systems. “We pro-\nvide everything a company needs to go from zero\nto 100 percent.”\nSuccess hasn’t necessarily been easy. “We had\nsome difficult times when we were starting out in\nthe ’80s,” says Housley. “San Angelo National\nBank worked very diligently to help me get where\nI am today. They stuck with me and were always\nteam players.”\nHousley is a demanding customer – a trait to\nwhich he credits much of his success. “I am very\ncustomer service-oriented. It’s how I built my busi-\nness. I appreciate that I can get that same type of\ndedication from San Angelo National Bank, and I\nsee it reflected throughout the First Financial\nBankshares organization.”\nHousley the shareholder is no less demanding, but\nhe’s had good reason to be pleased with his\nreturns from First Financial Bankshares. “First\nFinancial’s expansion strategy is excellent – they\ndo their research and find banks with good oppor-\ntunity. Their operations are sound, and their growth\nis well-managed. I believe they are one of the\nbest mid-size banking organizations around.”\nBob Housley\nPresident\nHousley Communications\nSan Angelo, T exas\n9\n“They stuck \nwith me and were \nalways team players.”", - "page_start": 10, - "page_end": 10, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Bank Act are subject to regulation and examination by the Office of the Comptroller of the Currency, or OCC. The\nOCC supervises, regulates and regularly examines the First National Bank of Abilene, First National Bank,\nSweetwater, First Financial Bank, National Association, Cleburne, Eastland National Bank, San Angelo National\nBank, Weatherford National Bank, First Financial Bank, National Association, Southlake and City National Bank,\nMineral Wells. The OCC’s supervision and regulation of banks is primarily intended to protect the interests of\ndepositors. The National Bank Act:\n• requires each national banking association to maintain reserves against deposits,\n• restricts the nature and amount of loans that may be made and the interest that may be charged, and\n• restricts investments and other activities.", - "page_start": 31, - "page_end": 31, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "20022001\nAnnual Meeting\nTuesday, April 22, 2003\nAbilene Civic Center\n1100 N. Sixth Street\nAbilene, T exas 79601\nCorporate Offices\n400 Pine Street\nAbilene, T exas 79601\n325.627.7155\nffin@abilene.com\nhttp://www.ffin.com\nCorporate Mailing\nAddress\nP. O . Box 701\nAbilene, T exas 79604\nCommon Stock Listing\nThe NASDAQ Stock\nMarket®\nSymbol: FFIN\nFor Financial Information,\nContact:\nJ. Bruce Hildebrand\nExecutive Vice President\n325.627.7167\nTransfer Agent\nThe Bank of New York\n1.866.828.8173\nAddress Shareholder Inquiries to:\nShareholder Relations Dept.\nP.O. Box 11258\nChurch Street Station\nNew York, NY 10286\nE-mail Address:\nshareowner-svcs@\nbankofny.com\nThe Bank of New York \nStock Transfer Website:\nhttp://www.stockbny.com\nSend Certificates for Transfer and\nAddress Changes to:\nReceive and Deliver Dept.\nP.O. Box 11002\nChurch Street Station\nNew York, NY 10286\nIndependent Public\nAuditors\nErnst & Young LLP\nOfficers\nKenneth T. Murphy\nChairman of the Board\nF. Scott Dueser\nPresident and Chief \nExecutive Officer\nCurtis R. Harvey\nExecutive Vice President and\nChief Financial Officer\nJ. Bruce Hildebrand\nExecutive Vice President\nRobert S. Patterson\nSenior Vice President, \nTrust Services\nGary S. Gragg\nSenior Vice President\nWilliam A. Rowe\nVice President, \nInvestment Securities\nSandy Lester\nSecretary-Treasurer\nJune D. Wideman\nAdministrative Officer\nDirectors\nKenneth T. Murphy\nChairman of the Board\nJoseph E. Canon\nExecutive Director,\nDodge Jones Foundation\nMac A. Coalson\nReal Estate and Ranching\nDavid Copeland\nPresident, \nShelton Family Foundation\nF. Scott Dueser\nPresident and Chief \nExecutive Officer\nDerrell Johnson\nPresident, American Council\nof Engineering Companies\nLife Health Trust\nKade Matthews\nRanching and Investments\nRaymond A. McDaniel, Jr.\nInvestments\nBynum Miers\nRanching\nJames Parker\nPresident,\nParker Properties, Inc.\nJack D. Ramsey, M.D.\nPhysician\nCraig Smith\nChairman, \nHereford State Bank\nDian Graves Stai\nInvestments\nF.L. (Steve) Stephens\nRetired Chairman and Chief\nExecutive Officer, T own &\nCountry Food Stores, Inc.\nQUARTER HIGH LOW CLOSE DIVIDENDS\nFourth $42.00 $34.65 $38.00 $0.350\nThird 41.73 34.85 36.44 0.350\nSecond 43.00 33.00 41.84 0.350\nFirst 34.30 29.30 33.21 0.300\nFourth $31.88 $27.20 $30.10 $0.300\nThird 32.91 27.00 29.03 0.300\nSecond 31.44 25.00 31.00 0.300\nFirst 27.15 23.40 26.60 0.264", - "page_start": 94, - "page_end": 94, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Assets managed by the Trust Departments at First National\nBank of Abilene, San Angelo National Bank, Stephenville\nBank & Trust Co. and First National Bank, Sweetwater,\nincreased $27.3 million during the past year to a \nDecember 31, 2002 book value of $986.2 million. However,\ndue to depressed stock market values and volumes, trust\ndepartment revenue declined in 2002. Trust combined\nrevenues for the year were down slightly from $5.89 mil-\nlion in 2001 to $5.83 million for 2002. In 2003, we anticipate\na return to improved income growth. \nThe performance of the stock market the past three years\nhas been a challenge that our trust investment profes-\nsionals have managed well. Not since 1939-1941 have\nwe seen the S&P 500 drop 35% in a three-year period. Our\nportfolio managers outperformed their indices in Large\nCap stocks by 83 basis points and Fixed Income securi-\nties by 168 basis points. This performance bodes well for\nthe present and future of our client accounts.\nDuring 2002, we saw a successful conversion of\nStephenville Bank & Trust to the SEI Corporation account-\ning system. In March 2003, we will be converting First\nNational Bank, Sweetwater, to this system as well. This will\nprovide all First Financial Bankshares trust clients with the\nstrength and advantages of a uniform accounting system.\nOther operational systems have been examined and con-\nsistent practices and procedures have been implemented. \nTo further enhance our risk management assessments in\n2003, we will be introducing an Operational Peer Review\nTeam similar to the successful peer review teams used in\nthe Personal Trust areas of our four locations.\nPlans for the formation of a First Financial Bankshares\ntrust company are moving forward with regulatory approval\nanticipated in late Spring or early Summer. This will permit\nyour Company to provide quality, locally delivered trust\nservices to additional markets.\nWith skilled trust professionals offering a complete range\nof financial products and services, the future of our trust\ndepartments look bright. Through dedication to individu-\nalized portfolio design and personalized service, our trust\ndepartments stand ready to meet the needs of our pres-\nent and future clients.\n98 99 00 01 02\n$0\n$4\n$3\n$5\n$6\n$1\n$2\n$5.10\n$5.50\n$5.89\n$5.83\n$4.75\n98 99 00 01 02\n$0\n$500\n$600\n$700\n$800\n$900\n$1000\n$100\n$200\n$300\n$400\n$845\n$911\n$959\n$986\n$774\nTRUST ASSETS in millions TRUST FEES in millions\n13\nDavid Byrd\nSan Angelo \nNational Bank\nPerry Elliott\nStephenville Bank \n& Trust Co.\nJ. Bruce Hildebrand\nExecutive Vice President\nJanis McDowell\nFirst National Bank, \nSweetwater\nRobert S. Patterson\nFirst National Bank \nof Abilene\nRobert S. Patterson\nSenior Vice President, Trust Services", - "page_start": 14, - "page_end": 14, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\nNotes to Consolidated Financial Statements\nDecember 31, 2002, 2001 and 2000\nF-25\nTo Be Well\nCapitalized Under\nFor Capital Prompt Corrective\n Actual Adequacy Purposes: Action Provisions: \n Amount Ratio Amount Ratio Amount Ratio \nAs of December 31, 2001:\n Total Capital (to Risk-Weighted Assets):\n Consolidated $195,422,000 18% ≥$ 86,380,000 ≥ 8% N/A N/A\n First National Bank of Abilene $ 65,676,000 17% ≥$ 31,594,000 ≥ 8% ≥$ 39,492,000 ≥ 10%\n San Angelo National Bank $ 27,945,000 20% ≥$ 10,925,000 ≥ 8% ≥$ 13,656,000 ≥ 10%\n Weatherford National Bank $ 18,931,000 18% ≥$ 8,624,000 ≥ 8% ≥$ 10,780,000 ≥ 10%\n Tier I Capital (to Risk-Weighted Assets):\n Consolidated $184,820,000 17% ≥$ 43,190,000 ≥ 4% N/A N/A\n First National Bank of Abilene $ 61,895,000 16% ≥$ 15,797,000 ≥ 4% ≥$ 23,695,000 ≥ 6%\n San Angelo National Bank $ 26,672,000 20% ≥$ 4,312,000 ≥ 4% ≥$ 8,194,000 ≥ 6%\n Weatherford National Bank $ 18,019,000 17% ≥$ 5,462,000 ≥ 4% ≥$ 6,468,000 ≥ 6%\n Tier I Capital (to Average Assets):\n Consolidated $184,820,000 10% ≥$ 56,060,000 ≥ 3% N/A N/A\n First National Bank of Abilene $ 61,895,000 9% ≥$ 19,728,000 ≥ 3% ≥$ 32,880,000 ≥ 5%\n San Angelo National Bank $ 26,672,000 9% ≥$ 8,800,000 ≥ 3% ≥$ 14,667,000 ≥ 5%\n Weatherford National Bank $ 18,019,000 9% ≥$ 5,788,000 ≥ 3% ≥$ 9,647,000 ≥ 5%\n15. STOCK OPTION PLAN:\nThe Company has an incentive stock plan to provide for the granting of options to senior management of the\nCompany at prices not less than market at the date of grant. At December 31, 2002, the Company had allocated\n740,690 shares of stock for issuance under the plan. The plan provides that options granted are exercisable after two\nyears from date of grant at a rate of 20% each year cumulatively during the 10-year term of the option. An analysis\nof stock option activity for the years ended December 31, 2002, 2001, and 2000, is presented in the table and\nnarrative below:\n 2002 2 001 2000 \nWtd. Avg. Wtd. Avg. Wtd. Avg.\n Shares Ex. Price Shares Ex. Price Shares Ex. Price \n Outstanding, beginning of year 150,057 $21.60 174,959 $20.51 137,354 $20.18\n Granted 2,000 30.50 3,700 29.82 60,597 20.80\n Exercised (30,949) 18.52 (24,480) 14.57 (10,809) 14.98\n Canceled (6,828) 23.48 (4,122) 24.95 (12,183 ) 24.02\n Outstanding, end of year 114,280 $22.47 150,057 $21.60 174,959 $20.51\n Exercisable at end of year 57,825 $21.15 66,210 $18.94 70,872 $16.37\n Weighted average fair value of\n options granted at date of issue $6.06 $ 6.13 $4.44", - "page_start": 88, - "page_end": 88, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "obtained from:\nInvestor Relations, Santos Ltd, GPO Box 2455,\nAdelaide, South Australia 5001. Telephone: 08 8218 5111.\nE-mail: investor.relations@santos.com\nElectronic enquiries can also be submitted through the Contact Us\nsection of the Santos website, www.santos.com.\nSHAREHOLDERS’ CALENDAR\n2004 full year results announcement 23 February 2005\nEx-dividend date for 2004 full year dividend 28 February 2005\nRecord date for 2004 full year dividend 4 March 2005\nPayment date for 2004 full year dividend 31 March 2005\nAnnual General Meeting 20 May 2005\nHalf year end 30 June 2005\n2005 interim results announcement 16 August 2005\nFull year end 31 December 2005\nQUARTERLY REPORTING CALENDAR\n2005 First Quarter Activities Report 27 April 2005\n2005 Second Quarter Activities Report 27 July 2005\n2005 Third Quarter Activities Report 26 October 2005\n2005 Fourth Quarter Activities Report 25 January 2006\nSAN165 WWW Fins 30/3/05 11:55 AM Page 92", - "page_start": 93, - "page_end": 93, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Abilene\nFirst National Bank of Abilene\nAssets $705,468 $670,959\nLoans 353,564 344,341\nDeposits 624,262 598,310\nEquity 68,670 63,276\nNet Income 14,277 13,051\nTrust Assets 740,745 722,504\nReturn on Average Assets 2.12% 1.98%\nReturn on Average Equity 21.05 20.19\nIN THOUSANDS December 31, 2002 December 31, 2001\n46\n%Taylor County Deposit Market Share\n14\nMain Office\n400 Pine Street \nAbilene, T exas 79601\nChartered 1890 \nBranches\n4400 Buffalo Gap Road\nAbilene, T exas 79606\n4350 Southwest Drive\nAbilene, T exas 79606\n920 N. Willis\nAbilene, T exas 79603\n3300 S. 14th Street\nAbilene, T exas 79605\n1010 N. Judge Ely Blvd.\nAbilene, T exas 79601\n701 Pine Street\nAbilene, T exas 79601\n1345 Barrow Street\nAbilene, T exas 79605\nSenior Officers\nF. Scott Dueser\nChairman of the Board\nChuck A. Cowell\nPresident and Chief Executive Officer\nRon Fogle\nExecutive Vice President, Commercial Loans\nRobert S. Patterson\nExecutive Vice President and \nSenior Trust Officer\nJohn Prince\nExecutive Vice President, Personal Loans\nMario A. Luppino\nExecutive Vice President, Marketing and Retail\nGary Tucker, CDP\nExecutive Vice President and \nChief Information Officer\nLeo Dennis\nExecutive Vice President, Chief Financial\nOfficer and Cashier\nDirectors\nChuck A. Cowell\nPresident and Chief Executive Officer\nJ. Michael Alexander\nPresident, James M. Alexander & Co.\nTucker S. Bridwell\nPresident and Chief Executive Officer,\nMansefeldt Investments, Inc.\nJoseph E. Canon\nExecutive Director, Dodge Jones Foundation\nDavid Copeland\nPresident, Shelton Family Foundation\nJoe Crawford\nPresident, Abilene Aero, Inc.\nF. Scott Dueser\nFirst Financial Bankshares, Inc.\nCharles Ezzell\nInvestments\nAllan D. Frizzell\nExecutive Vice President,\nEnrich Oil Corporation\nRaymond A. McDaniel, Jr.\nInvestments \nBynum Miers\nRancher\nWilliam D. Minter\nVice President, CameraMouse\nStanley Morris, Jr.\nInvestments \nKenneth T. Murphy\nFirst Financial Bankshares, Inc.\nJames Parker\nPresident, Parker Properties, Inc.\nJack D. Ramsey, M.D.\nPhysician\nDian Graves Stai\nInvestments\nMichael C. Waters, F .A.C.H.E.\nPresident, Hendrick Health System\nAdvisory\nBob J. Surovik\nMcMahon, Surovik, Suttle, Buhrmann, \nHicks and Gill, P .C.\nSteve Suttle\nMcMahon, Surovik, Suttle, Buhrmann, \nHicks and Gill, P .C.\nChuck A. Cowell\nPresident and \nChief Executive Officer", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What kind of scholarship programs are available to start a financial career?", - "target_page": 1, - "target_passage": "Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Log in\nHome  / Money  / 3 Great Resources to Kick-Start Your Financial Planning Career\n3 Great Resources to Kick-Start Your Financial\nPlanning Career\n \n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of\nhelping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should\nbe a top contender, whether you are just starting out or looking to make a career change. But once you have\ndecided that financial planning is the field for you, how do you get started? Here are three resources that can help\nyou launch a successful financial planning career. \n1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide\nintroduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry\npoints and career tracks, explores the types of companies that hire financial planners and provides information on\nhow to find financial planning career opportunities. It also includes resources such as a list of recommended\nquestions to ask in a job interview. \n2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional\njourney. Some are offered directly through colleges and universities that have financial planning degree and\ncertificate programs. Others are available through nonprofits and organizations like the CFP Board Center for\nFinancial Planning, which administers 16 scholarship programs that help pay for the education and exam\nrequirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer\nscholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and\ncredentials such as CFP® certification -- some of which may be required to advance within the company. \n3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective\nemployers. CFP Board’s spring and fall career fairs are some of the most popular hiring events in the profession,\nwith dozens of firms participating in these online exhibitions. Job seekers can visit employers’ virtual exhibit booths\nand view open jobs and internships, apply for open positions and interact with employers through one-on-one video\nmeetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship\nopportunities in financial planning, as well as a collection of articles providing career guidance. \nOther top resources include career offices at your college or university, financial services companies’ career\nwebsites and professional organizations that may have a local chapter near you. \nMaking the most of these resources will not only help you find a financial planning job, but also support your growth\nand development as a future financial planning professional. To learn more about CFP® certification, visit the CFP\nBoard website.\nArticle Link\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…\nMONEY\n11/23/2022\nRELATED ARTICLES\n", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, \nmarketing, business administration, computer science and information \ntechnology. In addition, scholars will take part in a Chesapeake Presiden-\ntial Leadership Course facilitated by faculty members in coordination with \ndesignated Chesapeake leadership coaches, including a Chesapeake senior \nvice president and OCU alumni. \nIn 2007 Chesapeake launched a scholarship program in Texas with an \ninitial $1.25 million contribution, challenging the cities of Fort Worth and Dal-\nlas to match its gift within a year. The cities responded and matched the gift, \nso Chesapeake in 2008 added another $1.25 million to the fund, bringing the \ntotal to $3.75 million. The Chesapeake Scholarship Fund currently funds the \ncost of higher education for 48 minority students. The fund provides each \nstudent $20,000 a year for up to four years at the school of their choice. To \ndate more than $1.0 million has been distributed to deserving local students.\nTo help ensure the training of qualified geologists, engineers, land -\nmen and energy lawyers in the next generation, we award scholarships \nto students pursuing energy-related degrees. We also help mentor them \nthrough Chesapeake’s Peak Program. Junior- and senior-level scholarship \nrecipients are paired with Chesapeake employee mentors who help devel-\nop students’ knowledge and provide career advice. There are currently 25 \nmentors and 40 scholarship recipients participating in the Peak Program. \nOur recruiting team also initiated a strategic military recruitment \neffort during the past two years to hire former military personnel to \nwork in a variety of leadership and crew positions. This effort earned \nChesapeake an honor from G.I. JOBS magazine when we were named a \n2011 Top 100 Military-Friendly Employer. Chesapeake currently employs \n37 men and women who formerly served as junior military officers and \nmore than 100 former servicemen and servicewomen who joined the \ncompany through a program called Troops 2 Roughnecks.\nIn addition to our specific scholarship programs, one-time educational \ndonations and recruitment efforts, in 2010 we gave more than $1.8 million \nto fund higher education for nearly 400 other students in 12 states through \nour Chesapeake Scholars program. Chesapeake’s scholarships help recruit \nthe best and brightest students and provide educational opportunities in \ncommunities where we operate. In Oklahoma City, more than 400 em -\nployees volunteer for up to an hour a week on company time at four local \npublic schools. Chesapeake’s program has grown to become the largest \ncorporate mentoring program in Oklahoma.\nCommunity Impact\nChesapeake employees have been enriching their hometowns as volun -\nteers for many years. We formalized those efforts in 2009 by establishing \nan official employee volunteer program, the H.E.L.P . (Helping Energize \nLocal Progress) Initiative, wherein employees are invited to volunteer \neach month for a variety of organizations from food pantries to animal \nshelters. Through that program, employees donated more than 26,000 \nhours to their communities in 2009. \nIn the summer of 2010, Chesapeake took the H.E.L.P . Initiative to a \nhigher level through the launch of Operation Blue. From Memorial Day \nthrough Labor Day, each employee was given four hours of company time \nto complete the volunteer project of their choice. Our employees eagerly \naccepted the challenge, and in three months more than 4,900 employ -\nees donated 30,900 hours of service to 519 organizations in more than \n96 communities across the country. Operation Blue is now an annual \nvolunteer program in which employees roll up their sleeves in the com -\nmunities they call home.\nChesapeake’s contributions take many forms: financial and equipment \ndonations, volunteerism and scholarships. Last year, we made numerous \nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Financial Information", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "Flexibility is Key to a Thriving\nRetirement\nJun 26, 2023\nHow Financial Planners Can\nAdvance Equality\nFeb 23, 2023\nSpending and Saving\nStrategies for 2023\nJan 12, 2023\nPlanning for Winter Expenses\nPays Off\nDec 07, 2022\n4 Tax-Smart Strategies for Your\nCharitable Giving\nOct 31, 2022\nHow to Find a Financial\nPlanner\nOct 27, 2022\nFASHION\nBUSINESS\nINFOGRAPHIC\nENVIRONMENT\nHEALTH\nMONEY\nFOOD\nTRAVEL\nBRIDAL\nRECREATION\nTECHNOLOGY\nHOME\nEDUCATION\nARTS & ENTERTAINMENT\nAUTO\nCHILDREN\nFITNESS\nHOLIDAY\nINSURANCE\nLAWN & GARDEN\nLISTICLE\nNUTRITION\nPARENTING\nCATEGORIES", - "page_start": 1, - "page_end": 1, - "source_file": "news3.pdf" - }, - { - "text": "Financial Information \n \n \n- 54 -", - "page_start": 55, - "page_end": 55, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Conferences sponsored by securities Conferences sponsored by securities \ncompanies, etc., as neededcompanies, etc., as needed\nOnline conferences held as neededOnline conferences held as needed\nAnnual and interim reports (in JapaneseAnnual and interim reports (in Japanese \nand English)and English)\nWe believe that the SMFG Group can contribute We believe that the SMFG Group can contribute \nfurther to the creation of a sustainable society further to the creation of a sustainable society \nthrough its activities in financial markets.through its activities in financial markets.\nFor example, SMBC Friend Securities markets For example, SMBC Friend Securities markets \n“Environmental Sustainability Bond”“Environmental Sustainability Bond” *1*1 while while \nSMBC Nikko Securities markets “WB Green SMBC Nikko Securities markets “WB Green \nBonds (Green Bonds)”Bonds (Green Bonds)” *2*2. These are bonds. These are bonds \nfor fund procurement that are also intendedfor fund procurement that are also intended \nas tools for contributing to protecting and as tools for contributing to protecting and \nconserving the global environment. For conserving the global environment. For \ncustomers who wish to invest in companies customers who wish to invest in companies \nthat contribute to a sustainable society,that contribute to a sustainable society, \nwe offer a wide range of socially responsiblewe offer a wide range of socially responsible \ninvestment vehicles.investment vehicles.\nTheThe Japan Research Institute analyzes applicant Japan Research Institute analyzes applicant \ncompanies’ corporate social responsibility companies’ corporate social responsibility \nactivities, and uses the information it gathers activities, and uses the information it gathers \nto create a basic file on companies managing to create a basic file on companies managing \nsocially responsible investment fundsocially responsible investment funds*3*3.\nIn November 2010, the Sumitomo Mitsui In November 2010, the Sumitomo Mitsui \nFinancial Group listed on the New York Financial Group listed on the New York \nStock Exchange. This move, we believe, not Stock Exchange. This move, we believe, not \nonly significantly increases convenience for only significantly increases convenience for \nour overseas shareholders and investors, our overseas shareholders and investors, \nbut also broadens our customer base as it but also broadens our customer base as it \nfurther increases the transparency of our further increases the transparency of our \nfinancial position. Listing on the New York financial position. Listing on the New York \nStock Exchange as a socially responsible Stock Exchange as a socially responsible \ncorporation accelerates our evolution into a corporation accelerates our evolution into a \nglobal player.global player.\n*1 In December 2010, SMBC Friend Securities sold a total of AUD25 million in “Environmental Sustainability Bond.” \n*2 This fund is provided by SMBC Nikko Securities under the full name Bond for Contributing to Environmental Protection.\n*3 As of the end of June 2011, approximately ¥63.5 billion in total had been invested in nine publicly offered socially responsible investment (SRI) trust funds.\nDate of opening Sold by\nSMBC Nikko Securities\nSumitomo Mitsui Banking Corporation\nSMBC Nikko Securities\nSMBC Nikko Securities\nSumitomo Mitsui Banking Corporation\nSMBC Nikko Securities \nSMBC Nikko Securities / Sumitomo Mitsui Banking Corporation\nSMBC Nikko Securities\nAug. 20, 1999\nMar. 14, 2006\nDec. 20, 2006\nAug. 31, 2007\nAug. 31, 2007\nApr. 28, 2009\n \nFeb. 19, 2010\nJun. 30, 2010\nNickname\nDouble Wing\nRising Tomorrow\nCool Earth\nGlobal Shift\n\u0001\n\u0001\nThe World Bank Green Fund\nBalance\nat March 31, 2011\n8,888\n1,494\n31,810\n12,810\n20,888\n14,935\n13,870\n1,230\nOfficial name of fund\nNikko Eco Fund\nSix-Asset Balanced Fund (distribution type, growth type)\nNikko DWS New Resource Fund\nUBS (JP) Climate Change Fund\nDWS New Resources Technology Fund\nNikko World Trust – Nikko Green New Deal Fund", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "2023 Financial Health\nIncome\nFoundations $4,402,663\nCorporate Sponsors $413,349\nMajor Donors $103,215\nSmall Dollar Donors $144,217\nProgram Income $169,980\nConsulting $173,939\nIn-Kind $30,358\nOther $38,792\nTotal: $5,496,708\nExpenses\nCC Licenses & Training $763,196\nPrograms $2,248,091\nEvents $395,600\nOperations $1,654,225\nTotal: $5,061,112\n\"bird flock in vedanthangal\" by VinothChandar is licensed under CC BY 2.0.", - "page_start": 9, - "page_end": 9, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Donation for a Japanese-language speech contest\n8\nEurope\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank \nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting \nchildren and improving children and improving \nthe water-supply and the water-supply and \nsanitary environment.sanitary environment.\nUNICEF support initiatives\n9\nMozambique\nSMBC GLOBAL FOUNDATION\n10\nThe United States\n3\n6\n4\n5\n7 8\n9\n10\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\nSMBCSMBC’s Bangkok Branch assisted s Bangkok Branch assisted \nfarmers by donating underground farmers by donating underground \nwater storage tanks and assisting water storage tanks and assisting \nwith vegetable planting and with vegetable planting and \nharvesting.harvesting.\nHigh school students from New York\n who visited Japan on a study trip\nScholarship students at Sun Yat-sen University\nDonated furniture\nEmployee volunteers who participated in\n landscape improvement projects\nPerforming a Japanese-language drama\nBank employees helped plant\n vegetables as volunteers\nPhotographs supplied by AYO\nScholarship award ceremony for university students in Vietnam\n*Please see this website \nfor further details (in \nJapanese):\n\u0001\u0001www.smbc.co.jp/ccs/\nSumitomo Mitsui Financial Group CSR Report \nHelping build prosperity \nin Asia and the world\nSocial Contribution Activities\n\u0013\u0018 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0019\nFor further details, please see our website.\nSMBCSMBC’s Hanoi Branch provided s Hanoi Branch provided \ninternational school students international school students \nwith vocational experiences.with vocational experiences.", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations 37\nChoice of vesting patterns. Under SFAS 123(R), awards with graded vesting, as all\nof our awards have, may be expensed in one of two time patterns: 1) On a straight-\nline basis over the complete vesting period (as though the entire award was one\ngrant); or 2) On an accelerated basis, treating each vesting layer as a separate grant\nand amortizing each layer on a straight-line basis. For disclosure purposes under\nSFAS 123, we used the accelerated basis. We have preliminarily concluded that we\nwill use the straight-line method for future grants under SFAS 123(R). As discussed\nbelow under transition methods, such policy will only apply to future grants.\nExpense recognized under SFAS 123(R) for previously granted options will be\nrecorded on the accelerated basis.\nEstimating forfeitures. Under SFAS 123, we could choose whether to estimate \nforfeitures at the grant date or recognize actual forfeitures as they occur. Under\nSFAS 123(R), we must estimate forfeitures as of the grant date.\nPresentation of excess tax benefits in the statement of cash flows. Under SFAS\n123(R), the excess of tax benefits realized from the exercise of employee stock\noptions over the tax benefit associated with the financial r eporting expense is shown\nas a financing cash inflow in the statement of cash flows. Previously, these excess\nbenefits were shown as an operating cash inflow.\nTransition alternatives. There are two allowable transition alternatives – the modified-\nprospective transition or the modified-retrospective transition. Under the modified-\nprospective transition, we would begin applying the valuation and other criteria to\nstock options granted beginning July 1, 2005. We would begin recognizing expense for\nthe unvested portion of previously issued grants at the same time, based on the valua-\ntion and attribution methods originally used to calculate the disclosures. Under the\nmodified-retrospective transition, we would restate prior periods to reflect the previous-\nly calculated amounts in the pro forma disclosures as actual expenses of the prior \nperiod (with no change in valuation or attribution methods). Future accounting would\nbe the same as under the modified-prospective transition. We would also restate the\nstatement of cash flows for the change in classification of excess tax benefits. In \naddition, we would be required under the modified-retrospective transition method to\nestimate forfeitures for options outstanding as of July 1, 2005 and recognize a cumula-\ntive effect of change in accounting principle to reverse such previously recognized\ncompensation. We have not yet determined which transition method we will apply.\nDisclosures. There are additional disclosure requirements under SFAS 123(R),\nwhich will not have a material impact on us.\nThe impact of adopting SFAS 123(R) on our operating results will depend in part\non the amount of stock options or other shar e-based payments we grant in the\nfuture. The following table shows compensation expense related to options granted\nthrough December 31, 2004, based on the options’ vesting schedules:\n(In thousands)\n2002 (Actual, included in our pro forma disclosures) $47,761\n2003 (Actual, included in our pro forma disclosures) 43,310\n2004 (Actual, included in our pro forma disclosures) 22,963\n2005, through June 30 (Estimated, for pro forma disclosures) 10,299\n2005, July 1 through December 31 (Estimated, to be r ecorded as expense) 10,032\nWe do not believe the adoption of SFAS 123(R) will have a material impact on our\ncash flows or financial position.\nMarket Risk\nMarket risk is the risk of loss arising from adverse changes in market rates and\nprices, such as interest rates, foreign currency exchange rates and commodity prices.\nOur primary exposure to market risk is interest rate risk associated with our", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "3\nrange of services to individuals, associations, and corporations. These services include administering estates,\ntestamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene,\nFirst Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association,\nSouthlake, Texas provide securities brokerage services through arrangements with various third parties.\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose\nnational bank under which we will consolidate the management of our current trust departments. The new entity\nwill operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We\nbelieve that with this structure we can more effectively manage our current trust operations and provide trust\nservices to customers of our banks that do not currently have trust departments. We anticipate that the new trust\ncompany will begin operations in the latter part of 2003.\nCompetition\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state’s deposits,\nwe represent only a minor segment of the industry. To succeed in this industry, our management believes that our\nbanks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services\noffered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas\nagainst highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions,\nmortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and\nsome of which are larger than our subsidiary banks in terms of capital, resources and personnel.\nOur business does not depend on any single customer or any few customers, the loss of any one of which would\nhave a materially adverse effect upon our business. Although we have a broad base of customers that are not related\nto us, our customers also occasionally include our officers and directors, as well as other entities with which we are\naffiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are\naffiliated, in the ordinary course of business. We make these loans on substantially the same terms, including\ninterest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to\ndirectors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws\nwhich we describe in greater detail below.\nEmployees\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003.\nOur management believes that our employee relations have been and will continue to be good.\nSupervision and Regulation\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and\nbanks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the\ndeposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also\nbenefit. The following information describes particular laws and regulatory provisions relating to financial holding\ncompanies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory\nprovisions. A change in any of these laws or regulations may have a material effect on our business and the\nbusiness of our subsidiary banks.\nBank Holding Companies and Financial Holding Companies\nTraditionally, the activities of bank holding companies were limited to the business of banking and activities\nclosely related or incidental to banking. Bank holding companies were generally prohibited from acquiring control", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "what are career fairs for?", - "target_page": 1, - "target_passage": " In-person and virtual career fairs provide valuable opportunities to connect with prospective employers.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Log in\nHome  / Money  / 3 Great Resources to Kick-Start Your Financial Planning Career\n3 Great Resources to Kick-Start Your Financial\nPlanning Career\n \n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of\nhelping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should\nbe a top contender, whether you are just starting out or looking to make a career change. But once you have\ndecided that financial planning is the field for you, how do you get started? Here are three resources that can help\nyou launch a successful financial planning career. \n1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide\nintroduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry\npoints and career tracks, explores the types of companies that hire financial planners and provides information on\nhow to find financial planning career opportunities. It also includes resources such as a list of recommended\nquestions to ask in a job interview. \n2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional\njourney. Some are offered directly through colleges and universities that have financial planning degree and\ncertificate programs. Others are available through nonprofits and organizations like the CFP Board Center for\nFinancial Planning, which administers 16 scholarship programs that help pay for the education and exam\nrequirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer\nscholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and\ncredentials such as CFP® certification -- some of which may be required to advance within the company. \n3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective\nemployers. CFP Board’s spring and fall career fairs are some of the most popular hiring events in the profession,\nwith dozens of firms participating in these online exhibitions. Job seekers can visit employers’ virtual exhibit booths\nand view open jobs and internships, apply for open positions and interact with employers through one-on-one video\nmeetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship\nopportunities in financial planning, as well as a collection of articles providing career guidance. \nOther top resources include career offices at your college or university, financial services companies’ career\nwebsites and professional organizations that may have a local chapter near you. \nMaking the most of these resources will not only help you find a financial planning job, but also support your growth\nand development as a future financial planning professional. To learn more about CFP® certification, visit the CFP\nBoard website.\nArticle Link\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…\nMONEY\n11/23/2022\nRELATED ARTICLES\n", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nWhen we think about our careers, and what we need to do to establish them, we \noften forget about the need to develop an essential skill: communication. If you \nstart reading through the job descriptions in a industry, you will find that the vast \nmajority of jobs require one or more of the following:\n• Effective communication skills\n• Interpersonal skills\n• Ability to work in a team\n• Negotiation skills\n• Conflict resolution skills\n• Report writing skills\nWhat all of these skills have in common is that they involve the use of \nlanguage to achieve a particular purpose. And for this reason, having good \nlanguage skills is essential in any working environment.\nIn a career context, good language skills can also:\n• Affect your credibility. Poor grammar indicates to a prospective \nemployer that you are sloppy, while flawless grammar indicates that \nyou pay attention to detail.\n• Improve your relationships with your co- workers. If you are able \nto express yourself clearly, you can eliminate the confusion and \nmisunderstanding that often leads to conflict.\n• Increase your chances of being promoted.\n• Help you to create a good impression.\n• Improve your ability to persuade others (which is a valuable skill in the \nworking world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nExample:\n“I have been offered an opportunity to work as an IT Manager abroad, \nand I have decided to accept the offer.”\n4.\nA sentence or two in which you thank your employer for the opportunities \nyou have been given during your time with the organisation.\nExample:\n“I would like to thank you for the wonderful opportunities you have given \nme, both to develop my skills, and to work with such knowledgeable and \ninspiring people.”\n5.\nAn offer to help with the transition.\nOnly include this if you are sincere, and don’t make any promises \nthat you won’t be able to keep. You could, for example, assure your \nemployer that you will finish your current projects or hand them over to \na colleague. You could also offer to train the person who will be replacing \nyou.\nExample:\n“During the next two weeks, I will do everything I can to ensure a \nsmooth transition for the company. If required, I am more than willing to \nassist with the hiring and training of the new Assistant IT Manager.”\n6.\nA suitable closing.\nIt is important to use a closing that is appropriate in the circumstances. \nIf you have a good relationship with your employer, you may want to \nwish him/her well for the future, and provide contact details that he/she \ncan use to get in touch with you once you have left the organisation. You \ncan then end your letter with a greeting such as “Kind regards,” followed \nby your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nThe benefits of using mind maps include the following:\n• They help you to see how the different bits of information fit into the \nbigger picture.\n• They help you to understand the relationships between concepts.\n• They help you to memorise information more quickly (by engaging \nboth hemispheres of your brain).\nTips for making mind maps:\n• Use different colours to distinguish between concepts.\n• Use key words and phrases, instead of writing in full sentences.\n• Include images/drawings that are relevant to the topic(s).\n• Use arrows to show how different concepts are related.\n \nBULLET POINTS OR LISTS\nIf you find that you memorise things more easily when they are in list \nform, then it might be a good idea to use bullet points when sum -\nmarising your work.\nUsing bullet points can help you to understand (and memorise) your \nwork more easily, as it requires you to:\n• Identify the key points that you want to include in your lists.\n• Come up with a logical structure for your lists.\n• Categorise information into relevant lists.\nHere is an example:\n• Pay salaries on time\n• Make necessary \ndeductions\n• Calculate overtime\n• Draft employment \ncontracts\n• Ensure safekeeping of \nemployment contracts\n• Establish staff training \nneeds\n• Establish skills gaps\n• Take responsibility for \nsuccession planning\nHR Manager’s Duties\nContracts TrainingPayroll", - "page_start": 29, - "page_end": 29, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "installations, family members, personal and household services, work in charitable organisations, \nvolunteers in general, and domestic and mobile workplaces. In addition to these existing exemptions, \nwe can observe in the last two to three decades an accelerating trend of erosion of the conventional \nemployer–employee relation. Examples are outsourcing of work to contractors, often to self -employed, \nor platform work.", - "page_start": 121, - "page_end": 121, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Share knowledge\nTeamwork is all about collaboration! Share with your team \nbest practices you learn along the way, tips and tricks for \nhow you can best organize your workflows and ask for their \nown advice to define how you can best use Teams together. \nKeep learning\nTest meetings\nUse the Meet now button in the \nCalendar tab\nThen select “Start meeting” \nAnd then \"Join now” \nNext Steps\nYou will get the most out of Teams when you get to truly connect with your team and \ncollaborate together. Keep practicing until each step of your workflow feels natural. \nNo matter how you like to learn and practice, we've got \nresources to support and inspire you: \nVirtual classes: We have instructors to answer your \nquestions and walk you through all the details. \n•\n•\n•\n•\nTraining series: Complete the beginner series of videos at \nyour own pace. \nSupport articles and step-by-step guides: To get answers to \nyour most common questions. \nFeature overviews, tutorials, and announcements: Our \nYouTube channel has carefully curated content to get you \nexcited and show how you can use Teams effortlessly. \n1.\n2.\n3.\nHere you can try to share your screen, \nstart a whiteboard or even record \nyourself while you are practicing a \npresentation. This is your safe space \nto test everything out! \nMicrosoft Teams: Quick Start Guide", - "page_start": 5, - "page_end": 5, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\n \nFirst Paragraph\nIntroduce yourself, and explain why you are writing the letter.\nIf you are responding to a job advertisement, state which advertisement \nyou are responding to, and indicate where you found it.\nFor example:\n“I would like to apply for the position of Graphic Designer, as advertised \nin the Career Times on 1 March 2015.”\nIf possible, mention a mutual contact or acquaintance.\nFor example:\n“Samantha Stevens mentioned that you are looking for an experienced \nGraphic Designer with a keen interest in the fashion industry.”\n \nSecond Paragraph\nMention your qualifications, skills and experience, and relate them to the \nneeds of the company. Give relevant examples of how you have used \nyour skills in the past to perform similar tasks and responsibilities to \nthose set out in the job description.\nThird Paragraph\nExplain why you want to work for this organisation in particular. Where \nrelevant, explain any gaps in your CV. If you don’t have the required \nacademic qualifications, for example, you can explain how your practical \nwork experience makes up for it.\nFourth paragraph\nMention any documents or attachments that you have included with your \ncover letter, and state your availability for an interview.\nClose\nThank the recipient for taking the time to read your letter, and sign off \nwith a professional greeting, such as “Yours sincerely” or “Kind regards”, \nfollowed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Meeting essentials\nCreate meetings\nSelect + New meeting or double-click on a time in your \ncalendar to create a new meeting. \n3. Send your invite. \n2. Add people, a location and any notes.\nJoin meetings\nFrom the calendar tab, select the meeting you intend to join, \nthen select join. .\n3. Then select join now. .\nA new screen will show up. Here you can choose how you \nwant to appear in the meeting, and your audio preferences. \nPresent in meetings\nScreen share from the Share button at the top of your \nmeeting window. \nWhen you are finished, use the share button at the top of your \nmeeting window to stop sharing. \nChoose what screen or window you want to share. Don't forget \nto include audio if you're sharing something with sound.\nMeeting controls\nWhen you join meetings, a different window will pop-up. These are the controls you need to know: \nUse [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.Tip\n1.\n1.\n2.\n1.\n2.\n3.\nParticipants\nClick to see who has been invited to the meeting, or to add new people. \nChat\nUse chat to share files, ideas, and notes. \nReactions\nStay involved without breaking the flow—you can share an emoji reaction to let the \npresenter know how you feel. Reactions also allow you to raise your hand, which \nwill signal that you'd like an opportunity to speak. \nVideo\nTurn your camera on or off. You can also select the … button near the camera \nto access audio and video settings. \nShare content\nUse this to share your screen with others. \nMicrophone\nMute and unmute your microphone when you want to speak.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n1 2 3 4 5 6", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "work, family work, mobile work in transport and often in construction, domestic work, care and craft work \nat the places of clients, plus several types of less regular and undeclared work. \nHigh public awareness is directed to those types of non-standard work that are connected either to new \nforms of contracts (voucher, platform, zero- hours, etc.) or new types of work made possible by the", - "page_start": 44, - "page_end": 44, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nCHAPTER 10:\nLANGUAGE SKILLS AT WORK \nHOW TO WRITE A COVER LETTER\nIf you’ve ever applied for a job, you’ll know that writing \nthe cover letter is the most difficult part of almost any job \napplication. Your cover letter creates the first impression, and \noften determines whether an employer will even look at your CV.\nYou need to use this opportunity to introduce yourself and your \nskills, and to set yourself apart from all the other candidates. \nYou can also use this opportunity to explain any gaps in your CV, \nand to motivate why you are the right person for the job.\n \ntips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips", - "page_start": 44, - "page_end": 44, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What are the priorities for job seekers ?", - "target_page": 1, - "target_passage": " Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Š\u0001Š\u0001SMFG has the following priorities in its SMFG has the following priorities in its \ncorporate social responsibility program: corporate social responsibility program: \nReconstruction after the earthquakeReconstruction after the earthquake \nand tsunami, environmental measures, and tsunami, environmental measures, \naddressing the shrinking and aging addressing the shr ink ing a nd ag ing \npopulation, and global challenges. —population, and global challenges. —\nKunibe : : Japan is facing a difficult period Japan is facing a difficult period \nwith limited prospects for economic growth with limited prospects for economic growth \ndue to a shrinking, aging population anddue to a shrinking, aging population and \na mature economy. Against this backdrop,a mature economy. Against this backdrop, \nthe country was hit by the unprecedented the country was hit by the unprecedented \ncatastrophe of the Great East Japan cata strophe of the Great Ea st Japa n \nEarthquake. We must face up to the new Earthquake. We must face up to the new \nchallenges arising from this disaster.challenges arising from this disaster.\nI believe the time has come for us to I believe the time has come for us to \nreconsider what we can do in our capacityreconsider what we can do in our capacity \nas a financial institution to address a variety as a financial institution to address a variety \nof issues, including the four priorities.of issues, including the four priorities.\nToday I hope we can discuss not only the road Today I hope we can discuss not only the road \nto reconstruction after the disaster, but also to reconstruction after the disaster, but also \nways to uplift the nation’s spirits.ways to uplift the nation’s spirits.\nAndo: Japan has achieved two miracles - the : Japan has achieved two miracles - the \nMeiji Restoration of 1868, and the economic Meiji Restoration of 1868, and the economic \nrecovery following the end of World War II in recovery following the end of World War II in \n1945. Both events are also regarded globally 1945. Both events are also regarded globally \nas being miraculous.as being miraculous.\nIn 1945, foreign diplomats and businessmen In 1945, foreign diplomats and businessmen \nvisiting Japan were fully confident that the visiting Japan were fully confident that the \ncountry would recover as they surveyed the country would recover as they surveyed the \nruins and the scorched earth around them, ruins and the scorched earth around them, \nbecause, in the words of one of them, “People because, in the words of one of them, “People \nreally work hard and help each other, and really work hard and help each other, and \nchildren take heed of what their parents say children take heed of what their parents say \nand study hard. And because there is a and study hard. And because there is a \nsparkle in their eyes.”sparkle in their eyes.”\nThereafter, the Japanese worked furiously Thereafter, the Japanese worked furiously \nuntil the country became an economic until the country became an economic \njuggernaut. However, in the early 1970s, juggernaut. However, in the early 1970s, \npeople became complacent about their people became complacent about their \naffluence, and stopped working hard and affluence, and stopped working hard and \nmaking efforts. Children assumed that if they making efforts. Children assumed that if they \nwent to a top-class university they would walk went to a top-class university they would walk \ninto a top-class company and have nothing to into a top-class company and have nothing to \nworry about thereafter. So they started going worry about thereafter. So they started going \nto cram schools even before kindergarten.to cram schools even before kindergarten. \nI give lectures on the theme “students born in I give lectures on the theme “students born in \nand after 1980 are hopeless cases” (laughs). and after 1980 are hopeless cases” (laughs). \nThat was because of the prevailing attitude at That was because of the prevailing attitude at", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "http://www.who.int/gho/indicator_registry/en/index.html \n496 United Nations: Sustainable Development Goals, https://sustainingdevelopment.com/sdg8-indicators/ \n497 UNECE, 2010: Measuring Quality of Employment, https://unece.org/statistics/publications/measuring-quality-\nemployment \n498https://ec.europa.eu/eurostat/web/labour-market/quality-of-employment/database \n499 Eurostat overview on their data related to quality of employment https://ec.europa.eu/eurostat/web/labour-\nmarket/quality-of-employment \n500 Andersen, J. H., et al., 2019: Systematic literature review on the effects of occupational safety and health \n(OSH) interventions at the workplace. Scandinavian Journal of Work Environment and Health, 45(2): 103-113", - "page_start": 159, - "page_end": 159, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that \nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next \nparagraph. For example, visualization techniques like those used by ABC News to show the effects \nof the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before \nand after the earthquake is to move a slider, should be routinely used to explain proposals about \nurban planning, zoning and related topics. \n4.6. Focus on local, specific issues to raise interest for Open \nData\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens \nto use Open Data in their political, economic and professional decisions, one of the final \nrecommendations of the Open Data, Open Society report confirms its importance and needs to be \nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of \ncitizens that demand and use Open Data in the shortest possible time, to practice all the \nrecommendations of this report at the local level, \nMost people encounter their local governments much more often then their national ones. When \nworking within a single city or region it is much easier to inform citizens, raise their interest and \ninvolve them, because they would be searching local solutions to improve local services and/or \nsave local money. There may also be much more opportunities to do so, especially in this period of \nfinancial crisis that will see substantial decreases both in credit by financial institutions and in \nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" \nmust be the keys for local activists and public employees working on local Open Data: \n• work on specific issues and with precise objectives \n• focus on immediate usefulness \n• work on demand, on the services that people want. Required services define what data must \nbe open, not the contrary \nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \n\"how do we get people to use the data that we publish?\" . The right question, instead, is \"what data \ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, \nor that what they need can be done more quickly and cheaply by releasing some information in that \nway. \nA great example of what all this means is the Great British Public Toilet Map: a public participation \n31/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nSTEP 2 – FILL IN YOUR STUDENT DETAILS\nTo complete this section, you need to provide us with your personal \ndetails:\nE-mail address\nPlease provide a valid e-mail address that you check on a regular \nbasis, as we’ll be using this address to communicate with you \nthroughout your studies.\nOccupation\nRefers to your current job (if you are employed). If you are \nunemployed, you can simply write “unemployed” or “not applicable”.\nDelivery address\nRefers to the address at which you want your study material to be \ndelivered. The reason why we prefer you to select your work address \nis so that there will always be someone available to receiv e your \nstudy material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\n \nFirst Paragraph\nIntroduce yourself, and explain why you are writing the letter.\nIf you are responding to a job advertisement, state which advertisement \nyou are responding to, and indicate where you found it.\nFor example:\n“I would like to apply for the position of Graphic Designer, as advertised \nin the Career Times on 1 March 2015.”\nIf possible, mention a mutual contact or acquaintance.\nFor example:\n“Samantha Stevens mentioned that you are looking for an experienced \nGraphic Designer with a keen interest in the fashion industry.”\n \nSecond Paragraph\nMention your qualifications, skills and experience, and relate them to the \nneeds of the company. Give relevant examples of how you have used \nyour skills in the past to perform similar tasks and responsibilities to \nthose set out in the job description.\nThird Paragraph\nExplain why you want to work for this organisation in particular. Where \nrelevant, explain any gaps in your CV. If you don’t have the required \nacademic qualifications, for example, you can explain how your practical \nwork experience makes up for it.\nFourth paragraph\nMention any documents or attachments that you have included with your \ncover letter, and state your availability for an interview.\nClose\nThank the recipient for taking the time to read your letter, and sign off \nwith a professional greeting, such as “Yours sincerely” or “Kind regards”, \nfollowed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nExample:\n“I have been offered an opportunity to work as an IT Manager abroad, \nand I have decided to accept the offer.”\n4.\nA sentence or two in which you thank your employer for the opportunities \nyou have been given during your time with the organisation.\nExample:\n“I would like to thank you for the wonderful opportunities you have given \nme, both to develop my skills, and to work with such knowledgeable and \ninspiring people.”\n5.\nAn offer to help with the transition.\nOnly include this if you are sincere, and don’t make any promises \nthat you won’t be able to keep. You could, for example, assure your \nemployer that you will finish your current projects or hand them over to \na colleague. You could also offer to train the person who will be replacing \nyou.\nExample:\n“During the next two weeks, I will do everything I can to ensure a \nsmooth transition for the company. If required, I am more than willing to \nassist with the hiring and training of the new Assistant IT Manager.”\n6.\nA suitable closing.\nIt is important to use a closing that is appropriate in the circumstances. \nIf you have a good relationship with your employer, you may want to \nwish him/her well for the future, and provide contact details that he/she \ncan use to get in touch with you once you have left the organisation. You \ncan then end your letter with a greeting such as “Kind regards,” followed \nby your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "to the length of service of all\nmembers of the Board.\nEach Director’s independence is\nassessed by the Board on an\nindividual basis, with reference\nto the above materiality\nguidelines and focussing on an\nassessment of each Director’s\ncapacity to bring independence\nof judgment to Board decisions.\nIn this context, as mentioned\nbelow, Directors are required to\npromptly disclose their interests\nin contracts and other\ndirectorships and offices held.\nThe names and details of the\nexperience, qualifications, special\nresponsibilities, and term of\noffice of each Director of the\nCompany are set out on page 41\nof this Annual Report. Details \nof each Director’s attendance at\nBoard and Committee Meetings\nand their shareholdings are also\nset out on page 47 of this\nAnnual Report.\n2.4 Nomination Committee\nThe role, responsibilities and\nmembership requirements of \nthe Nomination Committee are\ndocumented in the Board\nGuidelines and in a separate\nCharter, approved by the Board. \nUnder the Board Guidelines, \nit is the responsibility of the\nNomination Committee to devise\nthe criteria for, and review\nmembership of, and nominations\nto, the Board. The primary\ncriteria adopted in selection of\nsuitable Board candidates is their\ncapacity to contribute to the\nongoing development of the\nCompany having regard to the\nlocation and nature of the\nCompany’s significant business\ninterests and to the candidates’\nage and experience by reference\nto the attributes of existing\nBoard members.\nWhen a Board vacancy exists or\nwhere it is considered that the\nBoard would benefit from the\nservices of a new Director with\nparticular skills, the Nomination\nCommittee has responsibility for\nproposing candidates for\nconsideration by the Board and,\nwhere appropriate, engages the\nservices of external consultants.\nPrior to appointment, each\nDirector is provided with a letter\nof appointment which encloses a\ncopy of the Company’s\nConstitution and of the relevant\npolicies. Additionally, the\nexpectations of the Board in\nSAN165 WWW Text 30/3/05 12:07 PM Page 30", - "page_start": 31, - "page_end": 31, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nCHAPTER 10:\nLANGUAGE SKILLS AT WORK \nHOW TO WRITE A COVER LETTER\nIf you’ve ever applied for a job, you’ll know that writing \nthe cover letter is the most difficult part of almost any job \napplication. Your cover letter creates the first impression, and \noften determines whether an employer will even look at your CV.\nYou need to use this opportunity to introduce yourself and your \nskills, and to set yourself apart from all the other candidates. \nYou can also use this opportunity to explain any gaps in your CV, \nand to motivate why you are the right person for the job.\n \ntips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips", - "page_start": 44, - "page_end": 44, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "franchise contracts.\nDevelopment Activities. We seek to identify opportunities to further our position as an integrated\nservice provider in markets where we provide services for a portion of the waste stream. Where\nappropriate, we seek to obtain permits to build transfer stations and/or landÑlls that would provide\n5", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nWhen we think about our careers, and what we need to do to establish them, we \noften forget about the need to develop an essential skill: communication. If you \nstart reading through the job descriptions in a industry, you will find that the vast \nmajority of jobs require one or more of the following:\n• Effective communication skills\n• Interpersonal skills\n• Ability to work in a team\n• Negotiation skills\n• Conflict resolution skills\n• Report writing skills\nWhat all of these skills have in common is that they involve the use of \nlanguage to achieve a particular purpose. And for this reason, having good \nlanguage skills is essential in any working environment.\nIn a career context, good language skills can also:\n• Affect your credibility. Poor grammar indicates to a prospective \nemployer that you are sloppy, while flawless grammar indicates that \nyou pay attention to detail.\n• Improve your relationships with your co- workers. If you are able \nto express yourself clearly, you can eliminate the confusion and \nmisunderstanding that often leads to conflict.\n• Increase your chances of being promoted.\n• Help you to create a good impression.\n• Improve your ability to persuade others (which is a valuable skill in the \nworking world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What does ShareAlike mean in terms of licencing ?", - "target_page": 1, - "target_passage": "adaptations based on this work must be licensed under the same license.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier\nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee.\nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues\nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 62", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 34 of 57 \n \n \n3.2.6 How to view licensing information \nLicensing info rmation is available for all data sets associated with common licenc es, w hich are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \nBy clicking on the licence name (here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "market knowledge, community relations and name recognition, and to instill their entrepreneurial drive\nat all levels of our operations. By furnishing the local management of such acquired companies with our\nÑnancial and marketing resources and technical expertise, we believe that the acquired companies are\nbetter able to secure additional municipal franchises and other contracts.\nPrivatize Municipal Operations and Acquire Divested Operations. We also seek to acquire solid\nwaste collection operations, transfer stations and landÑlls that municipalities and other governmental\nauthorities are privatizing. Many municipalities are seeking to outsource or sell these types of solid\nwaste operations, as they lack the capital, technical expertise and/or operational resources necessary to\ncomply with increasingly stringent regulatory standards and/or to compete eÅectively with private-\nsector companies. In addition, we have acquired, and will continue to seek to acquire, operations and\nfacilities that may be divested by other publicly-owned waste companies.\nOperations\nOur operations primarily consist of the collection, transfer and disposal of non-hazardous solid waste.\nCollection Services.We provide solid waste collection services to commercial, industrial, municipal and\nresidential customers in 22 states through 140 collection companies. In 2004, 74.3% of our revenue was\nderived from collection services consisting of approximately 32.5% from services provided to municipal and\nresidential customers, 36.6% from services provided to commercial customers, and 30.9% from services\nprovided to industrial and other customers.\nOur residential collection operations involve the curbside collection of refuse from small containers into\ncollection vehicles for transport to transfer stations or directly to landÑlls. Residential solid waste collection\nservices are typically performed under contracts with municipalities, which we generally secure by competitive\nbid and which give our company exclusive rights to service all or a portion of the homes in their respective\njurisdictions. These contracts or franchises usually range in duration from one to Ñve years, although some of\nour exclusive franchises are for signiÑcantly longer periods. Residential solid waste collection services may also\nbe performed on a subscription basis, in which individual households contract directly with our company. The\nfees received for subscription residential collection are based primarily on market factors, frequency and type\nof service, the distance to the disposal facility and cost of disposal. In general, subscription residential\ncollection fees are paid quarterly in advance by the residential customers receiving the service.\nIn our commercial and industrial collection operations, we supply our customers with waste containers of\nvarying sizes. We also rent compactors to large waste generators. Commercial collection services are generally\nperformed under one- to three-year service agreements, and fees are determined by such considerations as:\n‚ market factors,\n‚ collection frequency,\n‚ type of equipment furnished,\n‚ the type and volume or weight of the waste collected,\n‚ the distance to the disposal facility and\n‚ the cost of disposal.\nWe rent waste containers to construction sites and also provide waste collection services to industrial and\nconstruction facilities on a contractual basis with terms generally ranging from a single pickup to one year or\nlonger. We collect the containers or compacted waste and transport the waste either to a landÑll or a transfer\nstation for disposal.\nAlso, we currently provide recycling services in certain markets primarily to comply with local laws or\nobligations under our franchise agreements. These services include the curbside collection of residential\nrecyclable waste and the provision of a variety of recycling services to commercial and industrial customers.\n7", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Total Commercial Commitments ............... $ 191,963 $ 182,011 $ 5,585 $ 2,500 $ 1,867\n The Company has no other off-balance sheet arrangements or transactions with unconsolidated, special purpose\nentities that would expose the Company to liability that is not reflected on the face of the financial statements.\nParent Company Funding . Our ability to fund various operating expenses, dividends, and cash acquisitions is\ngenerally dependent solely on our own earnings (without giving effect to our subsidiaries), cash reserves and funds\nderived from our subsidiary banks. These funds historically have been produced by intercompany dividends and\nmanagement fees that are limited to reimbursement of actual expenses. We anticipate that our recurring cash\nsources will continue to include dividends and management fees from our subsidiary banks. At December 31, 2002,\napproximately $20.7 million was available for the payment of intercompany dividends by the subsidiary banks\nwithout the prior approval of regulatory agencies. Our subsidiary banks paid aggregate dividends of $26.6 million\nin 2002 and $25.5 million in 2001. Also at December 31, 2002, we had $25.0 million available under a line of credit\nwith an unaffiliated financial institution.\nDividends . Our long-term dividend policy is to pay cash dividends to our shareholders of between 40% and\n50% of net earnings while maintaining adequate capital to support growth. The cash dividend payout ratios have", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in\nthe private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of\n$12.50, expiring in each case on the one year anniversary date of the subscription agreement. \nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s\nw e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and\nRegulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was\n$6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million. \nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between\n8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the\nConsolidated Financial Statements - Leases.) \nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company\nintends to continue to promote its outsourcing capabilities and re-deploy under - p e rf o rming ATMs currently operating in the network. This\nstrategy should reduce the Company’s reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and\ncapital lease payments for 2001 are expected to be approximately $6.2 million in the Company’s existing markets, notably We s t e rn and Central\nE u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company’s strategy may re q u i re additional\ncapital expenditures. \nBased on the Company’s current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash\nused in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its A T M\nnetwork will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its\nATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t\noperating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m\ncommenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The\nCompany believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it\nachieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements. \nBA L A N C ESH E E TIT E M S\nCash and Cash Equivalents The decrease of cash and cash equivalents to $7.2 million at December 31, 2000 from $15.0 million at December\n31, 1999 is due primarily to the net effects of working capital movements, foreign exchange gains and losses, the settlement of a forw a rd fore i g n\nexchange contract, private placement of common shares, capital expenditures and capital lease payments, and operating losses for the year ended\nDecember 31, 2000. (See Note 21 to the Consolidated Financial Statements – Reconciliation of net loss to net cash used in operating activities and\nthe Consolidated Statements of Cash Flows.) \nRestricted Cash Restricted cash decreased to $2.1 million at December 31, 2000 from $10.9 million at December 31, 1999. The majority of", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What is the most restricive Creative Common licence ?", - "target_page": 1, - "target_passage": "CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and GlennOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple openand public domain works. View full licensing and attribution information about all works included in thevideo on Flickr.\nCreative CommonsPO Box 1866 Mountain View CA 94042 USA+1 415 429 6753info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "6. Cross-cutting design questions \nThe workshops brie fly touched on several cross-cutting design questions. While most \nrelevant for approaches that depend on limitations and exceptions, considerations of these \nquestions may be relevant across both tracks. \nWould authors, publishers, and other relevant rightsholders \nand creators have any ability to exclude their works? \nOne of the greatest sources of controversy in this area is the extent to which rightsholders of \ncopyrighted works, as well as the original creators of such works (e.g., book authors in this \ncontext), should be able to prevent use of their works for AI training. \nWhile a system that required a ffirmative “opt-in” consent would limit utility signi ficantly (as \ndiscussed above in the context of directly licensing works), a system that allowed some \nforms of “opt-out” could still be quite useful to some types of AI development. In the context \nof use cases like development of LLMs, the performance impact may not be so signi ficant. \nSince most in-copyright books are not actively managed, the majority of books would remain \nin the corpus by default. The performance of LLMs can still be improved across various \ndimensions without including, for example, the most famous writers or those who continue \nto commercially exploit their works and may choose to exercise an opt-out. Perhaps the \npotential for licensing relationships (and revenue) may induce some rightsholders to come \nforward and begin actively managing their works. In such a case, uses that do require a \nlicense may once again become more feasible once the rightsholder can be reached. \nWorkshop participants discussed different types of opt-outs that could be built. For example, \nopt-outs could be thought of not in blanket terms, but only as applied to certain uses, for \nexample to commercial uses of the corpus, but not research uses. This could build on or \nmirror the approach that the EU has taken in its text and data mining exceptions to \ncopyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38\nuses or other categories of users, given that rights holders have many different sets of \npreferences. \nAnother question is about who can opt-out particular works from the dataset. This could \nsolely be an option for copyright holders, although authors might be allowed to exercise an \nopt-out for their books even if they don’t hold the copyrights. This might create challenges if \nthe author and rightsholder disagree about whether to opt a particular book out of the \ncorpus. Another related issue is that individual books, such as anthologies, may comprise \nworks created (and rights held) by many different entities. The images in a book may have \ncome from third-party sources, for instance, or a compendium of poetry might involve many \n In fact, as noted above, to the extent an AI model developer intends for their model to abide by the 38\nEU’s legal regime, they will have to abide by such opt-outs, at least if they are engaged in text and data \nmining for commercial uses and/or are users outside of the covered set of research and heritage \ninstitutions. A books data commons may incorporate opt-outs in particular to serve such EU-focused AI \ndevelopers.\nTowards a Books Data Commons for AI Training 17", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "\"The great growling engine of change - technology.Alvin Toffler\" by katerha is licensed under CC BY 2.0.\nOur legal and technology staffcontinued to make keyinfrastructure updates andmanage daily maintenance toensure these Licenses work foreveryone. \nIn 2023, welaunched the OpenInfrastructure Circle(OIC) to ensureconsistent fundingfor this work. \nWe’re grateful to the earlysupporters of the OIC,including the William + FloraHewlett Foundation, Bill &Melinda Gates Foundation,Filecoin Foundation for theDecentralized Web, RobertWood Johnson Foundation,Chan Zuckerberg Initiative,Endless, Siegel FamilyEndowment, Flickr, Microsoft,and Paul and Iris Brest. \nLicenses and Public Domain Tools\nThe first CC License was created in 2002. Today, we boast six CC Licenses andtwo public domain tools, setting a global standard for sharing. \nWe’ve estimated that over 2.5 billion pieces of contentwere CC Licensed by the end of 2023.", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6 \nISSN: 1756-3666 \n \n© Crown copyright 2016 \nThis publication is licensed under the terms of the Open Government Licence v3.0 \nexcept where otherwise stated. To view this licence, visit \nnationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the \nInformation Policy Team, The National Archives, Kew, London TW9 4DU, or email: \npsi@nationalarchives.gsi.gov.uk. \nWhere we have identified any third party copyright information you will need to obtain \npermission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 34 of 57 \n \n \n3.2.6 How to view licensing information \nLicensing info rmation is available for all data sets associated with common licenc es, w hich are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \nBy clicking on the licence name (here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "In which case CC licence can't be used ?", - "target_page": 1, - "target_passage": "fair use, fair dealing, or some other limitation and exception to copyright applies the the work.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "to conditions on the maintenance of these licences. These licencing\nconditions may be modified at any time by the regulators. The\nregulators may decide not to renew a licence when it expires, and any\nfailure by us to comply with the conditions on the maintenance of a\nlicence could result in a revocation or forfeiture of any of our licences or\nthe imposition of fines.\nThe licences include conditions requiring us to comply with Canadian\nownership restrictions of the applicable legislation. We are currently in\ncompliance with all of these Canadian ownership and control\nrequirements. However, if these requirements are violated, we would\nbe subject to various penalties, possibly including, in the extreme case,\nthe loss of a licence.\nThe Wireless Code\nThe CRTC’s decision to implement its wireless consumer code of\nconduct, among other things, effectively requires Canadian wireless\ncarriers to move away from offering three-year service contracts and\ninstead offer two-year contracts, and this could change our customer\nacquisition and retention costs and subscriber churn. The Wireless Code\nalso sets billing caps on data roaming and domestic data overage\ncharges, creates a prohibition on requiring customers to provide 30-\ndays’ notice of cancellation, and requires the payment of interest on\nsecurity deposits, which could also reduce our results of operations.\nOur wireless business could be materially adversely affected if laws,\nregulation or customer behaviour makes it difficult for us to impose\nterm commitments or early cancellation fees on customers or receive\nthe service revenues we anticipate from the term commitments.\nSpectrum\nRadio spectrum is one of the fundamental assets required to carry on\nthe wireless business. Our ability to continue to offer and improve\ncurrent services and to offer new services depends on, among other\nfactors, continued access to and deployment of adequate spectrum,\nincluding both the ability to renew current spectrum licenses and\nacquire new spectrum licenses.\nIf we cannot acquire and retain needed spectrum, we may not be able\nto continue to offer and improve our current services and deploy new\nservices on a timely basis including providing competitive data speeds\nthat customers want. As a result, our ability to attract and retain\ncustomers could be materially adversely affected. In addition, an\ninability to acquire and retain needed spectrum could affect network\nquality and result in higher capital expenditures, as a consequence of\nnetwork densification and other related network upgrades.\nSpectrum Fees\nChanges to government spectrum fees could significantly increase our\npayments and therefore materially reduce our operating profit.\nSpectrum licences are an indefinite life intangible asset and we do not\namortize them, however, any potential increases in spectrum licence\nfees may affect our current accounting policies.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 75", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 34 of 57 \n \n \n3.2.6 How to view licensing information \nLicensing info rmation is available for all data sets associated with common licenc es, w hich are \nsupported by the Licence Assistant. When available a link to the assistant is provided on left side of a \ndataset page. \nBy clicking on the licence name (here: cc-by), the Licence Assistant tool is opened in a new window, \ndisplaying relevant information for this particular licence.", - "page_start": 33, - "page_end": 33, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most \nare not actively managed by their rightsholders. There is no o fficial registry of copyrighted \nworks and their owners, and existing datasets can be incomplete or erroneous. 16\nAs a result, there may be no way to license the vast majority of in-copyright books, especially \nthose that have or have had limited commercial value. Put differently, the barrier to using 17\nmost books is not simply to pay publishers; even if one had signi ficant financial resources, \nlicensing would not enable access to most works. \nPermissively licensed works \nThere are books that have been permissively licensed in an easily identi fiable way, such as \nworks placed under Creative Commons (CC) licenses. Such works explicitly allow particular \nuses of works subject to various responsibilities (e.g., requiring attribution by the user in their \nfollow-on use). \nWhile such works could be candidates for inclusion in a books data commons, their inclusion \ndepends on whether the license’s terms can be complied with in the context of AI training. \nFor instance, in the context of CC licensed works, there are requirements for proper \nattribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public \nDomain Mark (PDM) are not licenses and do not require attribution). 18\n See e.g. Heald, Paul J. “How Copyright Makes Books and Music Disappear (and How Secondary 16\nLiability Rules Help Resurrect Old Songs).” Illinois Program in Law, Behavior and Social Science Paper \nNo. LBSS14-07 Illinois Public Law Research Paper No. 13-54 https://doi.org/10.2139/ssrn.2290181. \nAccessed 4 Jan. 2020, at https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2290181; Rosen, \nRebecca J. “Why Are so Few Books from the 20th Century Available as Ebooks?” The Atlantic, 18 Mar. \n2014, www.theatlantic.com/business/archive/2014/03/why-are-so-few-books-from-the-20th-century-\navailable-as-ebooks/284486/. See also “Google Book Search Settlement and Access to Out of Print \nBooks.” Google Public Policy Blog, publicpolicy.googleblog.com/2009/06/google-book-search-\nsettlement-and.html. Accessed 20 Mar. 2024 (discussing this issue in the context of the failed class-\naction settlement between Google, the Authors Guild, and the Association of American Publishers). \nGoogle’s final brief in the settlement proceedings notes the “prohibitive transaction costs of identifying \nand locating individual Rightsholders of these largely older, out-of-print books” — see this brief at https://\nweb.archive.org/web/20130112060651/http://thepublicindex.org/docs/amended_settlement/\ngoogle_final_approval_support.pdf. The Authors Guild and Association of American Publishers also \njustified the settlement’s terms in light of the fact that “the transaction costs involved in finding \ncopyright owners and clearing the rights are too high”; while they argued that most works are not truly \n“orphans,” they note that total transaction costs as a whole (including, for example, determining whether \nthe author or publisher holds the rights and then negotiating rates) are so high as to block uses of out-\nof-print works anyway — see this brief at https://web.archive.org/web/20130112060213/http://\nthepublicindex.org/docs/amended_settlement/Supplemental_memorandum_of_law.pdf. \n In the EU, the 2019 Copyright Directive introduced specific provisions on the \"use of out-of-commerce 17\nworks and other subject matter by cultural heritage institutions\" (Articles 8-11 CDSMD). These \nprovisions allow cultural heritage institutions to \"make available, for non-commercial purposes, out-of-\ncommerce works or other subject matter permanently in their collections\". The limitation to non-\ncommercial purposes means that works made available under these provisions would be of limited use \nin building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Reliance on Copyright Limitations and Exceptions \nEven if a book is in copyright, it’s possible that copying books for AI training may be covered \nby existing limitations and exceptions to copyright law in particular jurisdictions. For \nexample: \n• In the United States, many argue using existing works to train generative AI is “fair \nuse,” consistent with existing law and legal precedents. This is the subject of a 19\nnumber of currently active court cases, and different actors and tools may yield \ndifferent results, as fair use is applied case-by-case using a flexible balancing test. \n• In the European Union, there are explicit exceptions in the law for “text and data \nmining” uses of in-copyright works, both for non-commercial research and for \ncommercial purposes. However, for commercial uses and for users outside of \nresearch and heritage institutions, they must respect the rights of rightsholders who \nchoose to “reserve their rights” (i.e., opt-out of allowing text and data mining) via \nmachine readable mechanisms. The exception also requires that users have “lawful 20\naccess” to the works. \n• Finally, Japan provides a speci fic text and data mining exception, without any \ncomparable opt-out requirement for commercial uses as is embedded in EU law. 21\n \nWhile exceptions that allow AI training exist in several other countries, such as Singapore and \nIsrael, most countries do not provide exceptions that appear to permit AI training. Even where \npotentially available, as in the United States, legal uncertainty and risk create a hurdle for \nanyone building a books commons. 22\n See e.g. Comments from Sprigman, Samuelson, Sag to Copyright Office, October 2023, at https://19\nwww.regulations.gov/comment/COLC-2023-0006-10299 as well as many other submissions to the US \ncopyright office; see also Advocacy, Katherine Klosek, Director of Information Policy and Federal \nRelations, Association of Research Libraries (ARL), and Marjory S. Blumenthal, Senior Policy Fellow, \nAmerican Library Association (ALA) Office of Public Policy and. “Training Generative AI Models on \nCopyrighted Works Is Fair Use.” Association of Research Libraries, 23 Jan. 2024, www.arl.org/blog/\ntraining-generative-ai-models-on-copyrighted-works-is-fair-use/.\n See Articles 3 and 4 of the EU’s Directive on Copyright and Related Rights in the Digital Single Market 20\n— https://eur-lex.europa.eu/eli/dir/2019/790/oj.\n Japan clarified its laws in 2018 to make clear that this type of use is permitted — see discussion in 21\nTestimony of Matthew Sag, July 2023, https://www.judiciary.senate.gov/imo/media/doc/\n2023-07-12_pm_-_testimony_-_sag.pdf, see also Fiil-Flynn, S. et al. (2022) Legal reform to enhance global \ntext and Data Mining Research, Science. Available at: https://www.science.org/doi/10.1126/\nscience.add6124 (Accessed: 28 Sept. 2023). \n See supra note 22. See also Jonathan Band, Copyright Implications of the Relationship between 22\nGenerative Artificial Intelligence and Text and Data Mining | Infojustice. infojustice.org/archives/45509. In \naddition, for an in-depth look at the cross-border legal challenges involved see: Wrapping up Our NEH-\nFunded Project to Help Text and Data Mining Researchers Navigate Cross-Border Legal and Ethical \nIssues. 2 Oct. 2023, buildinglltdm.org/2023/10/02/wrapping-up-our-neh-funded-project-to-help-text-and-\ndata-mining-researchers-navigate-cross-border-legal-and-ethical-issues/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 10", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "It is also important to note two other issues that can affect the application of limitations and \nexceptions, in particular, their application to e-books. \nThe first important limitation is that almost every digital book published today comes with a \nset of contractual terms that restrict what users can do with it. In many cases, those terms \nwill explicitly restrict text data mining or AI uses of the content, meaning that even where \ncopyright law allows for reuse (for example, under fair use), publishers by contract can \nimpose restrictions anyway. In the United States, those contract terms are generally thought \nto override the applicability of fair use or other limitations and exceptions. O t h e r 23\njurisdictions, such as those in the EU, provide that certain limitations and exceptions cannot \nbe contractually overridden, though experience to date varies with how those anti-contractual \noverride protections work in practice. 24\nThe second limitation is the widespread adoption of “anti-circumvention” rules in copyright \nlaws and the interplay of these with a choice to rely on copyright limitations and exceptions. \nDigital books sold by major publishers are generally encumbered with “digital rights \nmanagement” (DRM) that limits how someone can use the digital file. For instance, DRM can \nlimit the ability to make a copy of the book, or even screenshot or excerpt from it, among \nother things. Anti-circumvention laws restrict someone's ability to evade these technical \nrestrictions, even if it is for an ultimately lawful use. \nWhat this means for our purposes is that even if one acquires a digital book from, for \nexample, Amazon, and it is lawful under copyright law to use that book in AI training, it can \nstill generally be unlawful to circumvent the DRM to do so, outside narrow exceptions. 25\nThus, the ability to use in-copyright books encumbered by DRM — that is, most all books sold \nby major publishers — is generally limited. 26\nPractically, using in-copyright books to build a books commons for AI training — while relying \non copyright’s limitations and exceptions — requires turning a physical book into digital form, \nor otherwise engaging in the laborious process of manually re-creating a book’s text (i.e., re-\ntyping the full text of the book) without circumventing the technical restrictions themselves. \n See Hansen, Dave. “Fair Use Week 2023: How to Evade Fair Use in Two Easy Steps.” Authors Alliance, 23\n23 Feb. 2023, www.authorsalliance.org/2023/02/23/fair-use-week-2023-how-to-evade-fair-use-in-two-\neasy-steps/. Accessed 20 Mar. 2024.\n See Band, Jonathan. “Protecting User Rights against Contract Override.” Joint PIJIP/TLS Research 24\nPaper Series, 1 May 2023, digitalcommons.wcl.american.edu/research/97/. Accessed 20 Mar. 2024.\n In the U.S. the Copyright Office has recognized the importance of allowing particular exceptions for 25\nresearchers engaged in text and data mining. See their rulemaking in 2021 https://\nwww.federalregister.gov/documents/2021/10/28/2021-23311/exemption-to-prohibition-on-\ncircumvention-of-copyright-protection-systems-for-access-control. These rules are reviewed triennially \nand are currently under review, with submissions suggesting both contraction and expansion; see the \nAuthors’ Alliance comments in January 2024 https://www.authorsalliance.org/2024/01/29/authors-\nalliance-submits-long-form-comment-to-copyright-office-in-support-of-petition-to-expand-existing-text-\nand-data-mining-exemption/. It is possible that one could argue for these exceptions to be expanded, \nand then work to renew that exception every three years. The EU’s text and data mining exception may \nalso limit use of DRM to impede data mining, but only for particular covered research and heritage \ninstitutions; commercial and other users are not covered, however.\n Note that CC licenses forbid use of DRM — but that doesn’t address most all books sold by publishers.26\nTowards a Books Data Commons for AI Training 11", - "page_start": 11, - "page_end": 11, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "616 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nProblems with automatic license activation\nIf connections problems occur with the automatic license activation procedure, the system \ntimes out after 3 minutes with an error. \nCheck whether the personal computer that is used to connect to the Storwize V7000 GUI and \nactivate the license can access the internet. If you cannot complete the automatic activation \nprocedure, use the manual activation procedure that is described in 12.3.5, “Activate the \nlicense manually” on page 617. \nAlthough authorization codes and encryption license keys use the same format (four groups \nof four hexadecimal digits), you can only use each of them in the appropriate activation \nprocess. If you use a license key when the system expects an authorization code, the system \ndisplays an error message, as shown in Figure 12-16.\nFigure 12-16 Authorization code failure", - "page_start": 637, - "page_end": 637, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "In how many regions the Republic Services operations are organized ?", - "target_page": 9, - "target_passage": "As of December 31, 2004, our operations were organized into five regions whose boundaries may change from time to time: Eastern, Central, Southern, Southwestern and Western.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nDepreciation,\nAmortization,\nGross Intercompany Net Depletion and Operating Capital Total\n2003 Revenue Revenue(b) Revenue Accretion(c) Income Expenditures(d) Assets\nEastern Region ÏÏÏÏÏÏÏÏÏ $ 600.2 $ (93.0) $ 507.2 $ 36.4 $ 71.3 $ 40.7 $ 826.9\nCentral Region ÏÏÏÏÏÏÏÏÏ 671.7 (151.6) 520.1 74.0 106.6 75.7 960.5\nSouthern RegionÏÏÏÏÏÏÏÏ 680.3 (76.9) 603.4 62.8 107.5 69.9 865.6\nSouthwestern Region ÏÏÏÏ 332.6 (31.2) 301.4 28.7 50.2 28.9 409.4\nWestern Region ÏÏÏÏÏÏÏÏ 729.4 (143.9) 585.5 46.2 148.8 51.4 813.2\nCorporate Entities(a)ÏÏÏÏ .2 Ì .2 3.7 (71.7) 6.6 678.5\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 $(496.6) $2,517.8 $251.8 $412.7 $273.2 $4,554.1\nDepreciation,\nAmortization, Other\nGross Intercompany Net and Charges Operating Capital Total\n2002 Revenue Revenue(b) Revenue Depletion(c) (Income) Income Expenditures(d) Assets\nEastern Region ÏÏÏÏÏÏÏÏ $ 564.1 $ (79.7) $ 484.4 $ 32.0 $(4.1) $ 87.0 $ 39.2 $ 822.2\nCentral Region ÏÏÏÏÏÏÏÏ 589.6 (120.2) 469.4 53.6 (1.5) 105.3 77.1 950.9\nSouthern RegionÏÏÏÏÏÏÏ 643.1 (65.5) 577.6 52.7 Ì 118.3 58.0 830.7\nSouthwestern Region ÏÏÏ 311.8 (29.1) 282.7 22.8 Ì 41.9 30.6 374.6\nWestern Region ÏÏÏÏÏÏÏ 690.0 (139.1) 550.9 41.3 Ì 145.5 47.3 826.7\nCorporate Entities(a)ÏÏÏ .2 (.1) .1 (2.8) Ì (38.5) 6.4 404.0\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,798.8 $(433.7) $2,365.1 $199.6 $(5.6) $459.5 $258.6 $4,209.1\n(a) Corporate functions include legal, tax, treasury, information technology, risk management, human\nresources, national accounts and other typical administrative functions. The increase in operating income\nfor Corporate Entities from 2003 to 2004 is due primarily to higher self-insurance expense recorded\nduring 2003.\n(b) Intercompany operating revenue reÖects transactions within and between segments and are generally\nmade on a basis intended to reÖect the market value of such services.\n(c) EÅective January 1, 2003, the Company adopted SFAS 143. (See Note 1, Basis of Presentation, for\nfurther information.)\n(d) Capital expenditures for 2002 exclude $72.6 million used to purchase equipment consisting primarily of\nrevenue-producing vehicles originally placed into service pursuant to an operating lease.\nGoodwill is the cost of acquired businesses in excess of the fair value of net assets acquired. The activity\nin goodwill, net of accumulated amortization, during 2004 and 2003 is as follows:\nBalance as of Balance as of\nDecember 31, December 31,\n2003 Acquisitions Transfers 2004\nEastern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 435.9 $ 2.6 $(2.1) $ 436.4\nCentral Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 350.5 10.7 (3.6) 357.6\nSouthern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 325.8 2.0 (1.3) 326.5\nSouthwestern Region ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 135.0 .2 (1.6) 133.6\nWestern RegionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 310.9 (2.3) Ì 308.6\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,558.1 $13.2 $(8.6) $1,562.7\n81", - "page_start": 88, - "page_end": 88, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nCumulative EÅect\nBalance as of of Changes in Balance as of\nDecember 31, Accounting December 31,\n2002 Acquisitions Divestitures Principles 2003\nEastern Region ÏÏÏÏÏÏÏÏ $ 429.0 $ 7.2 $(.3) $ Ì $ 435.9\nCentral Region ÏÏÏÏÏÏÏÏ 343.0 7.5 Ì Ì 350.5\nSouthern Region ÏÏÏÏÏÏÏ 323.2 2.6 Ì Ì 325.8\nSouthwestern Region ÏÏÏ 134.7 .3 Ì Ì 135.0\nWestern RegionÏÏÏÏÏÏÏÏ 314.3 3.6 Ì (7.0) 310.9\nTotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $1,544.2 $21.2 $(.3) $(7.0) $1,558.1\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as\nfollows:\nYears Ended December 31,\n2004 2003 2002\nCollection:\nResidential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $ 655.2 $ 601.2 $ 530.7\nCommercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 737.9 706.0 696.7\nIndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 558.1 523.0 501.6\nOtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 62.2 50.9 50.8\nTotal collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 2,013.4 1,881.1 1,779.8\nTransfer and disposalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 1,031.0 967.5 854.1\nLess: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ (519.8) (493.7) (428.5)\nTransfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 511.2 473.8 425.6\nOtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 183.5 162.9 159.7\nRevenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $2,708.1 $2,517.8 $2,365.1\n11. FUEL HEDGE\nDuring June 2001, the Company entered into option agreements for approximately 14.3 million gallons of\nheating oil. Under SFAS 133, the options qualiÑed for and were designated as eÅective hedges of changes in\nthe prices of forecasted diesel fuel purchases. These option agreements settled each month in equal notional\namounts through December 2002. The option agreements were structured as zero-cost collars indexed to the\nprice of heating oil. These option agreements expired in December 2002. In accordance with SFAS 133,\n$1.6 million representing the eÅective portion of the change in fair value for the year ended December 31,\n2002, net of tax, has been recorded in stockholders' equity as a component of accumulated other comprehen-\nsive income. The ineÅective portion of the change in fair value was a gain of approximately $.1 million for the\nyear ended December 31, 2002, and has been included in other income (expense), net in the accompanying\nConsolidated Statements of Income. Realized losses of $.8 million related to these option agreements are\nincluded in cost of operations in the Company's Consolidated Statements of Income for the year ended\nDecember 31, 2002.\n82", - "page_start": 89, - "page_end": 89, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\nON INTERNAL CONTROL OVER FINANCIAL REPORTING\nThe Board of Directors and Stockholders of Republic Services, Inc.:\nWe have audited management's assessment, included in the accompanying Report of Management on\nRepublic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and\nsubsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on\ncriteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring\nOrganizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is\nresponsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the\neÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on\nmanagement's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial\nreporting based on our audit.\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable\nassurance about whether eÅective internal control over Ñnancial reporting was maintained in all material\nrespects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating\nmanagement's assessment, testing and evaluating the design and operating eÅectiveness of internal control,\nand performing such other procedures as we considered necessary in the circumstances. We believe that our\naudits provide a reasonable basis for our opinion.\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable\nassurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external\npurposes in accordance with generally accepted accounting principles. A company's internal control over\nÑnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that,\nin reasonable detail, accurately and fairly re��ect the transactions and dispositions of the assets of the company;\n(2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial\nstatements in accordance with generally accepted accounting principles, and that receipts and expenditures of\nthe company are being made only in accordance with authorizations of management and directors of the\ncompany; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized\nacquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial\nstatements.\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect\nmisstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that\ncontrols may become inadequate because of changes in conditions, or that the degree of compliance with the\npolicies and procedures may deteriorate.\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal\ncontrol over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the\nCOSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal\ncontrol over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States), the consolidated balance sheets as of Republic Services, Inc. as of December 31, 2004\nand 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for each of\nthe three years in the period ended December 31, 2004 of the Company and our report dated February 24,", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\nON THE FINANCIAL STATEMENTS\nThe Board of Directors and Stockholders of Republic Services, Inc.:\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and\nsubsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income,\nstockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits\nalso included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements\nand schedule are the responsibility of the Company's management. Our responsibility is to express an opinion\non these Ñnancial statements and schedule based on our audits.\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States). Those standards require that we plan and perform the audit to obtain reasonable\nassurance about whether the Ñnancial statements are free of material misstatement. An audit includes\nexamining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An\naudit also includes assessing the accounting principles used and signiÑcant estimates made by management, as\nwell as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable\nbasis for our opinion.\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the\nconsolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and\nthe consolidated results of their operations and their cash Öows for each of the three years in the period ended\nDecember 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the\nrelated Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a\nwhole, presents fairly in all material respects the information set forth therein.\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of\naccounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas\ncollection systems.\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight\nBoard (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting\nas of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by\nthe Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24,\n2005, expressed an unqualiÑed opinion thereon.\n/s/ E RNST & YOUNG LLP\nCertiÑed Public Accountants\nFort Lauderdale, Florida\nFebruary 24, 2005\n51", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Dear Fellow Shareholders:\nI am pleased to report that 2004 was a very good year for\nRepublic Services, Inc. Our team met and exceeded the\nimportant financial and management goals we told you\nabout here a year ago, and we plan to work just as hard and\naccomplish just as much in the coming year.\nRepublic is strengthening its competitive position among\nthe leading waste services providers every day. As always,\nwe are doing so by offering our customers cost-effective\nand safe waste collection, reliable recycling, and\nenvironmentally protective disposal options.\nI am proud of our team and what they accomplished. The\nresults tell you just how well they did.\nRevenue in 2004 grew 7.6 percent to $2.7 billion, a record. The increases came largely from new\nmunicipal contracts and improved pricing. At the same time, we benefited from our presence in high-\ngrowth markets, especially those in the rapidly expanding Sunbelt states. \nWe met last year’s guidance. Net income per diluted share rose 15 percent to $1.53. Our revenue\nenhancement and cost reduction efforts produced results. We generated a record level of free cash\nflow - $388 million to be exact. Republic continues to generate strong and predictable levels of cash\nflow. As in the past year, we will concentrate on free cash flow and use it for acquisitions,\nreinvestment, repurchases of our stock and regular quarterly cash dividends. \nAs I thought about these achievements, I realized they result from the environment that we work to\ncreate for both our customers and our people. We care about our customers and the communities we\nserve. About our people. About the environment. And, of course, we care about you -- our\nshareholders. Every year we adopt a theme that captures our Company and our values. Our theme\nfor 2005 is “Republic Services…A Company that cares”. \nOur 13,400 dedicated people worked hard last year to create real value. We improved the way we\ndeliver our services, increasing our efficiency in routing our collection trucks. We improved the way\nwe construct disposal cells at numerous landfills, lowering costs. We worked with our vendors to\ncontrol prices. And, we communicated to our customers the value of the services we offer. This year\nwill be no different. We will continue to concentrate on these fundamentals. \nRepublic’s future is bright. We are mindful of our mission. We know our business exists to ease the\nburden of managing society’s waste. It’s not a glamorous business, but it is an essential one, and we\ntake this responsibility very seriously. \nAt the end of the year, Republic had 140 collection companies, 58 landfills, 96 transfer stations and 35\nrecycling facilities in 22 states. These resources give us many opportunities to listen to our customers,\nanticipate their needs and quickly respond to them. Each customer faces challenges unique to his or\nher business and community. Our goal is to remain flexible and to tailor our services to each\ncustomer.\nOur decentralized structure is an advantage. It gives us flexibility and speed in reacting to local\nconditions. Our division leaders are well-positioned to respond immediately to the needs, changes\nand developments among their customers. We in the corporate office set the goals, establish the\ndiscipline, provide financial resources, management and operational support, but it is in our local\ndivisions where customer relationships are established and the work is done. Our community-based\nfocus forges strong local relationships and ensures that, at the customer level, the highest expectations\nare exceeded.\nUltimately, all the things we do as a Company are aimed at increasing value for our shareholders. We\nknow the importance of strong and predictable cash flow in meeting our shareholders’ expectations.\nOver time, our cash flow has proven to be a strong indicator of the quality of our earnings. Last year’s", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC.\nVALUATION AND QUALIFYING ACCOUNTS AND RESERVES\nSCHEDULE II\n(in millions)\nBalance at Additions Accounts Balance at\nBeginning Charged to Written End\nof Year Income OÅ Other(1) of Year\nCLASSIFICATIONS\nAllowance for doubtful accounts:\n2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $19.0 $ 8.0 $ (9.0) $ Ì $18.0\n2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 19.0 10.4 (10.4) Ì 19.0\n2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 19.0 11.2 (11.4) .2 19.0\n(1) Allowance of acquired and divested businesses, net.\n94", - "page_start": 101, - "page_end": 101, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Serverless Developer Guide\nAmazon has many regions all across the globe. Inside each region, there are one or more \nAvailability Zones located tens of miles apart. The distance is near enough for low latency — \nthe gap between requesting and receiving a response, and far enough to reduce the chance that \nmultiple zones are affected if a disaster happens.\nEach region is identified by a code, such as \"us-west-1\", \"us-east-1\" or \"eu-west-2\". Within each \nregion, the multiple isolated locations known as Availability Zones or AZs are identified with the \nregion code followed by a letter identifier. For example, us-east-1a. AWS handles deploying to \nmultiple availability zones within a region for resilience.\nAmazon Resource Name (ARN)\nServices are identified with regional endpoints. The general syntax of a regional endpoint is as \nfollows:\nprotocol://..amazonaws.com\nFor example, https://dynamodb.us-west-1.amazonaws.com is the endpoint for the Amazon \nDynamoDB service in the US West (N. California) Region.\nThe region code is also used to identify AWS resources with Amazon Resource Names, also called \n\"ARNs\". Because AWS is deployed all over the world, ARNs function like an addressing system to \nprecisely locate which specific part of AWS we are referring to. ARNs have a hierarchical structure:\nAmazon Resource Name (ARN) 14", - "page_start": 17, - "page_end": 17, - "source_file": "serverless-core.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nincurred. In addition, costs historically accounted for as capital expenditures during the operating life of a\nlandÑll, such as cell development costs, are capitalized when incurred, and charged to expense using life cycle\naccounting and the units-of-consumption method based on the consumption of cubic yards of available\nairspace.\nThe Company deÑnes Ñnal capping as activities required to permanently cover a portion of a landÑll that\nhas been completely Ñlled with waste. Final capping occurs in phases throughout the life of a landÑll as\nspeciÑc areas are Ñlled to capacity and the Ñnal elevation for that speciÑc area is reached in accordance with\nthe provisions of the operating permit. The Company considers Ñnal capping events to be discrete activities\nthat are recognized as asset retirement obligations separately from other closure and post-closure obligations.\nThese capping events occur generally during the operating life of a landÑll and can be associated with waste\nactually placed under an area to be capped. As a result, the Company uses a separate rate per ton for\nrecognizing the principal amount of the liability and related asset associated with each capping event. The\nCompany amortizes the asset recorded pursuant to this approach as waste volume equivalent to the capacity\ncovered by the capping event is placed into the landÑll based upon the consumption of cubic yards of available\nairspace covered by the capping event.\nThe Company recognizes asset retirement obligations and the related amortization expense for closure\nand post-closure (excluding obligations for Ñnal capping) using the units-of-consumption method over the\ntotal remaining capacity of the landÑll. The total remaining capacity includes probable expansion airspace.\nIn general, the Company engages third parties to perform most of its Ñnal capping, closure and post-\nclosure activities. Accordingly, the fair market value of these obligations is based upon quoted and actual\nprices paid for similar work. The Company does intend to perform some of its Ñnal capping, closure and post-\nclosure obligations using internal resources. Where internal resources are expected to be used to fulÑll an asset\nretirement obligation, the Company has added a proÑt margin onto the estimated cost of such services to\nbetter reÖect their fair market value as required by SFAS 143. These services primarily relate to managing\nconstruction activities during Ñnal capping, and maintenance activities during closure and post-closure. If the\nCompany does perform these services internally, the added proÑt margin would be recognized as a component\nof operating income in the period the obligation is settled.\nSFAC 7 states that an estimate of fair value should include the price that marketplace participants are\nable to receive for bearing the uncertainties in cash Öows. However, when utilizing discounted cash Öow\ntechniques, reliable estimates of market premiums may not be obtainable. In this situation, SFAC 7 indicates\nthat it is not necessary to consider a market risk premium in the determination of expected cash Öows. While\nthe cost of asset retirement obligations associated with Ñnal capping, closure and post-closure can be\nquantiÑed and estimated, there is not an active market that can be utilized to determine the fair value of these\nactivities. In the case of the waste industry, no market exists for selling the responsibility for Ñnal capping,\nclosure and post-closure independent of selling the landÑll in its entirety. Accordingly, the Company believes\nthat it is not possible to develop a methodology to reliably estimate a market risk premium and has excluded a\nmarket risk premium from its determination of expected cash Öow for landÑll asset retirement obligations in\naccordance with SFAC 7.", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "What was one of the seminal moment of 2004 for MGM MIRAGE ?", - "target_page": 12, - "target_passage": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The announcement of\nthe merger between\nMGM MIRAGE and\nMandalay Resort Group\nwas one of the seminal\nmoments of 2004.\nUSING OUR STRENGTH . . .", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "DEFINING MOMENTS OF MGM MIRAGEPOINTS IN TIME\n96\n19\nTHE NEW YORK-NEW YORK SKYLINE BECOMES \nA TOWERING PRESENCE IN THE PORTFOLIO. \nWe acquired Primadonna Resorts to gain full \nownership of the spectacular New York-New York \nas well as three hotel-casinos on the Nevada state \nline and two championship golf courses.\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, \nthe largest hotel-casino in the world, opened to \ngreat fanfare. “The City of Entertainment” \nredefined the urban resort and provided the \nfoundation for our company’s momentous growth.\n93\n19", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "ACHIEVING MOMENTOUS RESULTS\no some, momentum is intangible – a product of fortune, a power that cannot be harnessed, and typically \na short-lived sensation. Others wonder how they lost their momentum. At MGM MIRAGE, we are con-\nstantly thinking of better ways to maximize it. We believe momentum is a product of effort and excellence,\na force which can be observed and measured, and something that can be a lasting and defining quality of a great\ncompany. Our 2004 results are a clear reminder of the power of moving forward. Our financial policies have long\nbeen designed to create and maintain momentum. By investing in our best assets and thinking of new ways to add\nvalue to our shareholders, we are able to redefine our Company’s place in history every year – and 2004 was a defin-\ning time even by our exacting standards.\nSo how did we get here? Last year, we discussed the importance of focus, and the laser-like precision with which\nwe operated our resorts in 2004 affirms the power of our single-minded dedication to excellence. The hard work of\nour 40,000 employees resulted in a record year in almost every regard. Net revenues increased 10% over 2003 to a\nrecord $4.2 billion, with 12% REVPAR growth at our Las Vegas resorts; property-level EBITDA was an all-time\nrecord, nearly $1.5 billion, and 23% higher than the prior year. We exceeded the expectations of every market\nobserver, and significantly beat our forecasts. And 2004 will not be a zenith year for your company – rather, we\nexpect to continue our excellent operating performance, re-invest the resulting cash flow to stimulate future growth\nand move forward to new defining moments. \nHow do we re-define a company that is already at the top of its industry? First, we continue to execute on our\nvision for our existing resorts – to continually evolve and increase the “Wow!” factor for our guests. This strategy\nrequires investment, and we will ensure that our resorts are not only world-class, but best-in-class. Examples include\nthe beautiful Spa T ower at Bellagio and KÀ , the latest spectacular creation in collaboration with Cirque du Soleil.\nGAMAL AZIZ President, MGM Grand \nJAMES J. MURREN President, CFO & Treasurer\nGLENN BONNER Senior VP & CIO,\nMGM MIRAGE Information Systems\nGEORGE R. BOYER III President, \nMGM Grand Detroit\nJOSEPH BRUNINI President, \nMGM Grand Resorts National Marketing\nJEFF DAHL President, Beau Rivage\nT\nFINANCIAL OVERVIEW\n14", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Defining Momentum for Our Industry\nThe gaming industry in America is maturing, and \ninternational expansion, while exciting in select markets,\nremains challenging. As a result, your company has \npursued a growth strategy that calls for maximizing the\nassets we currently own and seeking prudent development\nopportunities and strategic acquisitions.\nUpon completion of our merger with Mandalay,\nMGM MIRAGE will be the world’s leading gaming and\nleisure company. The combination will result in a well-\ncapitalized company uniquely situated to invest in its \ncurrent portfolio in addition to creating new projects \nin the United States and around the world.\nWe believe this is an outstanding \ntransaction for the shareholders of\nboth companies. With this\nacquisition, we will own, \noperate and have investments\nin 28 properties throughout Nevada, Mississippi, \nIllinois, Michigan, and New Jersey. \nThe combined company will have an asset portfolio\nwhich includes some of the most widely recognized brand\nnames in the world. These properties cater to a broad \ncustomer base, ranging from value-oriented to the ultra-\nhigh end. Each resort provides a unique customer experience\nthrough its specific personality and combination of amenities.\nWe also will have at Mandalay Bay the fifth largest\nconvention center in the United States, providing the com-\npany with a great resource to further develop the business\ntravel and convention market. \nBut the bricks and mortar tell only part of the story \nof this transaction. At the heart of Mandalay is its people.\nMandalay employees at all levels are energetic and talented \nand will be a tremendous asset to us. T ogether, we will become\na family in excess of 70,000 people committed to delivering \nthe best possible experiences for our guests. The transaction \nalso will create unparalleled opportunities for our entire family\nof employees. \nIn short, this groundbreaking transaction creates\nunstoppable momentum for all stakeholders in the \nMGM MIRAGE family. \nDefining Momentum in our Properties\nIn 2004, your company invested over $690 million of\ncapital in the creation of new restaurants, clubs, shows and\nnightspots as well as the development of strategic enhance-\nments to existing amenities. These investments generated\nexceptional returns in a time when competition for the\nentertainment dollar has never been higher. \nEARNIN G S PER SHARE\n2002\n2003\n2004\n$3.00\n$1.83\n$1.61\n$2.85\n$2.50\n$2.00\n$1.50\n$1.00\n$0.50\n$0.00\nFIX BELLAGIO Classic\nAmerican fare using the\nfreshest fish, meat, and\npoultry cooked to order on \na wood-burning grill. Costa\nRican Padouk wood inspires\na warm environment in a\nunique, vibrant design. \n03\nMystère\n®\nby Cirque du Soleil\n®", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "wide array of community needs. From homeless shelters to\nafter-school programs, MGM MIRAGE employees have\ngenerously donated more than $8 million since 2001.\nYour company also sets aside a portion of its profits\neach year to be given to important programs intended to\nbuild stronger communities. Since 2001, your company has\ngiven more than $18 million to support such programs. \nDefining Momentum in Our Family\nOur momentum is driven from within by acknowledging\nthe contributions of each and every one of our employees,\nbusiness partners and customers. Our commitment to\ndiversity is recognition of the fact that in today’s ever-\nchanging marketplace, we must reflect that which we see \nin the world around us. \nThis commitment should be seen as a common-\nsense business decision. That said, we are proud of \nthe recognition our Diversity program has received,\nincluding accolades from prestigious media such as \nFortuneand DiversityInc. magazines.\nSince formalizing our program only four years ago,\nwe’ve made enormous strides. There is still progress to\nbe made and your company has the momentum to\nremain at the forefront on diversity initiatives, provid-\ning yet another advantage for sustaining performance in\nthe long term.\nDefining Momentum in the Future\nYour company achieved many business goals in 2004\nand set in motion plans for future growth. These initiatives\nwill provide unmatched returns. We have also created unri-\nvaled opportunities for our employees and will continue\nour rich history of strengthening the communities in which\nwe do business. \nAs exciting as 2004 was, our momentum will carry us\nto even greater achievements in 2005 and beyond.\nJ. TERRENCE LANNI\nChairman of the Board & Chief Executive Officer\nMarch 31, 2005\nSENSI BELLAGIO An\neclectic menu features\ndiverse cuisines in an\nearthy arena replete with\nwaterfalls and chrome. A\nbold wine list complements\nChef Martin Heierling’s\nsumptuous work. \nJEAN-PHILIPPE PATISSERIE\nBELLAGIOA mesmerizing \nfountain of cascading liquid\nchocolate showcases a splen-\ndid selection of chocolates,\ncakes, crêpes, salads and\nsandwiches.\nISLA TI Designed by\nJeffrey Beers, Isla bright-\nens all the senses. Chef\nRichard Sandoval gives\nan innovative and modern\ninterpretation of traditional\nMexican cuisine.\n(from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development;JOHN T. REDMONDPresident & CEO, MGM Grand Resorts, LLC;\nJ. TERRENCE LANNIChairman & CEO, MGM MIRAGE;ROBERT H. BALDWINPresident & CEO, Mirage Resorts, Incorporated & President, Project CityCenter;\nGARY N. JACOBSExecutive Vice President, General Counsel & Secretary, MGM MIRAGE;JAMES J. MURRENPresident, CFO & Treasurer, MGM MIRAGE\n05", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "EXPANDING WITH EXCELLENCETO OUR SHAREHOLDERS\nThese investments in your company’s future paid \ndividends even before the year was out. We established a \nnew record for net revenues posting $4.2 billion, a 10%\nincrease over 2003. \nYour company’s resorts produced record EBITDA of\n$1.46 billion, an increase of 23% over 2003, while operating\nincome was $951 million, an increase of 36%, with record\nresults at Bellagio, MGM Grand Las Vegas and Beau Rivage.\nDefining Momentum in the Community\nI’ve spent 27 years in this profession and the \nincredible generosity of our employees never\nceases to amaze me. Shortly after the merger\nwith Mirage Resorts in 2000, we established\nthe Voice Foundation. This allows employees to\nexpress themselves in the communities we serve by \nproviding them a mechanism to raise monies for\nworthy causes. It’s their money and they decide\nwhere it goes. Your company provides the marketing\nand administrative support. \nIn each year since we established the program,\nemployees have given record amounts to support a\nBELLAGIO underwent a significant expansion during 2004 result-\ning in the opening of the Spa Tower and several important new\namenities at this AAA Five Diamond property. Bellagio remains\nLas Vegas’ first and only hotel-casino to receive this prestigious\nrecognition. These new additions add dimension and depth to the\nworld-famous experience awaiting guests at Bellagio.\nMGM GRAND LAS VEGAS completed a transformation, begun\nin 2003, of its food and beverage and entertainment offerings.\nMGM Grand is one of the must-see attractions of \nLas Vegas, with Cirque du Soleil’s newest pro-\nduction, KA`TM\n, and several of the Strip’s\nfinest restaurants and hottest nightspots.\nTI’s transformation was no less extensive,\nas the property’s management team \nconceived and implemented a program to\nenliven the property with new restaurants \nand nightlife.\nTHE MIRAGE was the site of a revolution in\nLas Vegas’ history as the venerable buffet was given\nnew life as a top dining establishment, Cravings.\nOthers may follow this lead, but The Mirage was\nthe first property to breathe new life into what\nremained of the last bastion of “old” Las Vegas.\n47 .6%\n14.9%\n18.0%\n19.5%\n47 .6%\n14.9%\n18.0%\n19.5%\n2004 Revenue Mix\nCasino\nRooms\nFood & Beverage\nEntertainment, Retail,\n& Other\nSKYLOFTS MGM Grand\nA private sanctuary of sleek,\nelegant two-story accommo-\ndations, offering discerning\nguests the quintessential loft\nenvironment - harmonizing\ndesign, décor, ambiance and\nunparalleled vistas. \nBELLAGIO SPA Unique\ndesign elements, combined\nwith an international array of\ninnovative treatments and\nspecially trained therapists,\nprovide the ultimate indul-\ngent experience.\nTEATRO MGM Grand A new\ngenre of Las Vegas nightlife\nwhere European club influ-\nences permeate. DJs spin jazz/\nhouse throughout the evening,\ngiving way to an energetic\nafter-hours vibe with live cat-\nwalk entertainment.\nKÀ The most spectacular production ever, by a troupe renowned for its\npageantry. Cirque du Soleil’s KÀ debuted at a new theatre at MGM Grand\nin the fourth quarter of 2004.\nWhat exactly is a defining\nmoment? T ry a multi-billion\ndollar project centered in the\nheart of Las Vegas.\n04", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "MGM MIRAGE DEFINES MOMENTUM\nBELLAGIO SPA TOWER \nThe quintessential luxury\nhotel is now even more\nopulent. This expansion\nincludes 928 rooms and\nsuites, 80,000 square feet\nof convention space, retail\noutlets, and restaurants. \nTO OUR SHAREHOLDERS\nrom its roots some 35 years ago with the opening\nof the International Hotel, we have played a \nleading role in continuously redefining the Las\nVegas experience.\nWe announced two significant initiatives in 2004 that,\ntaken together, give your company unrivaled momentum \nto set industry standards for creativity, performance and\nresponsibility for decades to come. \nDefining Momentum for Las Vegas\nOur merger agreement with Mandalay Resort Group\nand our plans to develop Project CityCenter on the Las\nVegas Strip are among the most significant announcements\nin Las Vegas history. As this fabled city begins its second\nhundred years, MGM MIRAGE is positioned like no other\ncompany to take advantage of unsurpassed growth oppor-\ntunities in the most dynamic gaming and entertainment\nmarket in the world.\nProject CityCenter will uniquely re-position Las Vegas\nlike no other project before it. Far more than simply\nanother casino-hotel, Project CityCenter encompasses a\nmyriad of elements that will propel Las Vegas into a new\ngeneration of urban sophistication.\nWhile additional details of this extraordinary develop-\nment will come in the months ahead, I am pleased to tell\nyou that we have secured the services of the internationally\nacclaimed architect Cesar Pelli to design our anchor resort\nat the heart of Project CityCenter.\nCesar Pelli & Associates has worked with corporate,\ngovernment and private clients to design major public\nspaces, museums, airports, research centers, performing arts\ncenters, academic buildings, hotels, office and residential\ntowers and mixed-use projects.\nThe work of Cesar Pelli is not constrained by a personal\nstyle or a signature that would limit his architecture; instead,\nit celebrates the unique characteristics of each project. Using\nthis approach, he has designed several exceptional buildings\nin the United States and abroad. \nWe are very excited about our partnership with Mr.\nPelli and his colleagues and believe they will deliver for\nMGM MIRAGE and the residents of Southern Nevada \na building of iconic stature around the world.\nF\n“Your company has undergone several defining moments throughout its history.”\nJ. TERRENCE LANNI Chairman & Chief Executive Officer\nSHIBUYA MGM GRAND\nDesigned by superstar team\nYabu Pushelberg, Shibuya \nfeatures stellar sushi and the\nwidest sake selection this\nside of the Pacific, all served\nin a sleek, airy ambiance.\nCRAVINGS THE MIRAGE\nThe zenith of all-you-can-eat.\nDesigned by Adam Tihany, Cravings\nboasts 11 cooking stations, a\nstreet of unique restaurants, \nand an array of temptations in\nwhat’s unquestionably the ultimate\nbuffet dining experience. \n02", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements46\nNOTE 1 — ORGANIZATION\nMGM MIRAGE (the “Company”), formerly MGM Grand, Inc., is a Delaware \ncorporation, incorporated on January 29, 1986. As of December 31, 2004 \napproximately 58% of the outstanding shares of the Company's common stock\nwere owned by T racinda Corporation, a Nevada corporation wholly owned by Kirk\nKerkorian. MGM MIRAGE acts largely as a holding company and, through \nwholly-owned subsidiaries, owns and/or operates casino resorts. \nThe Company owns and operates the following casino resorts on the Las Vegas\nStrip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, T reasure\nIsland (“TI”), New York-New York and the Boardwalk Hotel and Casino. The\nCompany owns a 50% interest in the joint venture that owns and operates the\nMonte Carlo Resort & Casino, also located on the Las Vegas Strip.\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state\nline – Whiskey Pete’s, Buffalo Bill’s and the Primm Valley Resort – as well as two\nchampionship golf courses located near the r esorts. The Company also owns\nShadow Creek, an exclusive world-class golf course located approximately ten miles\nnorth of its Las Vegas Strip resorts. \nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc.,\nand its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino\nand entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC \noperates a casino in an interim facility in downtown Detroit. See Note 10 for \ndiscussion of the revised development agreement with the City of Detroit and \nplans for a permanent casino resort.\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi,\nMississippi. The Company also owns a 50% interest in a limited liability company\nthat owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of\nBorgata and also operates the resort. Borgata opened in July 2003. The Company\nowns approximately 95 developable acres adjacent to Borgata, a portion of which\nconsists of common roads, landscaping and master plan improvements which the\nCompany designed and developed as required under the agreement with Boyd.\nUntil July 2004, the Company owned and operated MGM Grand Australia and\nuntil January 2004, the Company owned and operated the Golden Nugget Las\nVegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin,\nNevada (the “Golden Nugget Subsidiaries”). Until June 2003, the Company \noperated PLAYMGMMIRAGE.com, the Company’s online gaming website based\nin the Isle of Man. See Note 3 for further information regarding these discontinued\noperations. In the second quarter of 2002, the Company received proceeds of $11\nmillion upon termination of management agreements covering four casinos in the\nRepublic of South Africa. Prior to the termination, the Company managed three\npermanent casinos and one interim casino and received management fees from its\npartner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as\npart of other revenues in the accompanying consolidated statements of income.\nThe Company is actively seeking future development opportunities in the United\nKingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos\nLimited, a United Kingdom gaming company which operates a casino in B ristol.\nSee Note 10 for discussion of other potential developments in the United Kingdom. \nIn June 2004, the Company entered into a joint venture agreement to develop,\nbuild and operate a hotel-casino resort in Macau S.A.R. The agreement is subject\nto, among other things, the approval of the government of Macau S.A.R., and other\nregulatory approvals, as well as the entry into a subconcession agreement with the\nholder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "he Mandalay merger will create a powerful \ncombination of assets and people positioned \nto compete far more strongly than either \ncompany individually.\nWith ever-increasing competition from tribal \ngaming in California as well as the continuing growth \nof gaming across the country and abroad, we are \npositioned to grow through improved performance at\nexisting properties and development of strategic real\nestate obtained in the merger.\nMGM MIRAGE and Mandalay combined will\ncreate an unmatched collection of the world’s most\nfamous resorts in the gaming, entertainment and travel\nmarkets. Customers will benefit from choices in all\nmarket segments. Lastly, of significance in determin-\ning the value of this transaction for shareholders, the\nmerger with Mandalay will be immediately accretive.\nExtraordinary choices for our customers, unrivaled\nopportunities for our employees and outstanding returns\nfor our shareholders all add up to make the merger with\nMandalay a defining moment in company history.\nT\nWISELY", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "SETTING THE FUTURE IN MOTION\nhile the international opportunities for growth remain to be fully defined,\nin 2004 MGM MIRAGE entered into a joint venture agreement with\nPansy Ho Chiu-king to develop, build and operate a major hotel-casino\nresort in Macau S.A.R. No other international market has shown its ability to sustain\nimproved growth even as the government takes important steps to modernize its regu-\nlatory structure. We have methodically moved through the regulatory process and look\nforward to initiating construction in 2005 and opening in 2007.\nWe continue to monitor and pursue opportunities as they arise in the United\nKingdom. The bill modernizing British gaming law has moved steadily through the\nlegislative process throughout the year. Several key issues are yet to be resolved, but we\nremain hopeful that Great Britain will become one of the world’s leading jurisdictions\nwith significant growth opportunities for decades to come.\nWe are also excited about the emergence of possible new jurisdictions in the Far\nEast. We plan to pursue additional development opportunities as they become avail-\nable, as we believe that the Far East holds considerable promise as a growing gaming market. \nDomestically, we are selectively expanding our presence as well, moving into mar-\nkets and business lines where our superior brands and assets can provide the best\nreturns. In Las Vegas we will maximize the use of our vast land holdings, beginning\nwith The Residences at MGM Grand. This unique venture is a breakthrough combina-\ntion of a hotel and condominiums – the first of its kind in Las Vegas. In Atlantic City, we\nown an exceptional site for future development. The already successful Borgata is pre-\npared to grow bigger and better. Expansion plans include more casino space, a new hotel\ntower, more restaurants, retail outlets and an expanded spa.\nW\nTHE RESIDENCES \nAT MGM GRAND Our joint \nventure with Turnberry Associates\nto build luxury condo/hotels ignited\na flurry of development in Las Vegas.\nMGM GRAND MACAU Our joint venture has secured \na prime location to develop and construct an exciting\naddition to this dynamic gaming destination.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": " What are the most significant piece of undeveloped land remaining on the Las Vegas Strip ?", - "target_page": 21, - "target_passage": "W RESIDENTIAL In lofts, brown stones and high-rise buildings, residential options abound to populate the new city and ener gize the surrounding areas. e have been working for some time on con ceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "NY/NY\nSpring Mountain\nTI\nBELLAGIO\nMONTE\nCARLO\nTHE RESIDENCES \nAT MGM GRAND\nPROJECT CITYCENTER\nN\nFlamingo\nInterstate 15\nLas Vegas Blvd.\nTropicana\nMGM GRAND\nTHE \nMIRAGE\nRESIDENTIAL In lofts, brown-\nstones and high-rise buildings,\nresidential options abound to\npopulate the new city and ener-\ngize the surrounding areas.\nENTERTAINMENT\nFrom street performers\nto Broadway shows,\nour entertainment will\nevoke the best of New\nYork or London.\nTHE SITE Located in the heart of the Las Vegas Strip, Project\nCityCenter will dwarf every development that preceded it. Its 66 acres\nwill include a 4,000-room hotel-casino and three boutique hotels. \ne have been working for some time on con-\nceiving the best use of the 66 acres between\nMonte Carlo and Bellagio, the most signifi-\ncant piece of undeveloped land remaining on the Las\nVegas Strip. We certainly could have come up with a\nspectacular casino-hotel. But, the truth is, Las Vegas is\nready for so much more.\nAs the city eclipses two million residents on its way\nto passing three million by the end of the decade, and\nwith land prices on the Strip soaring, it has become\nclear that there is a much better and higher use \nfor this location. As Las Vegas marks its Centennial,\nProject CityCenter stands as a defining moment for\ndevelopment in this fabled city. \nProject CityCenter represents a new era of the\nurban complex, one that encompasses tourism, \nentertainment, gaming, retail and residential elements.\nOnly MGM MIRAGE has the momentum – financially,\nintellectually and professionally – to effectively develop\nsuch a project.\nThe signature building within Project CityCenter\nis the 4,000-room hotel-casino. The internationally\nacclaimed architect Cesar Pelli has been commissioned\nto design this iconic structure. Pelli’s initial concept\ndrawing defines a new generation of urban landscape for\nthe Las Vegas Strip, one which includes gaming at its\neconomic center but not as an emotional centerpiece. \nProject CityCenter will provide the momentum\nfor the next era of amazing growth for your company\nand Las Vegas.\nW", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "SOON, A SPECTACULAR NEW CITY WILL RISE. \nProject CityCenter – an ambitious multi-dimensional \nurban plan – will contribute to the remarkable \ntransformation of Las Vegas as an emerging city \nof global significance.\nMANDALAY RESORT GROUP \nAND MGM MIRAGE ANNOUNCE \nMERGER. Mandalay Resort \nGroup will add iconic resorts and \ngreat people to our family. We \nwill own 832 acres in the heart \nof Las Vegas, the fastest growing \ncity in the United States.\n04\n20\n09\n20\n03\n20\n00\n20\nBORGATA CHANGES THE FACE OF ATLANTIC CITY. \nBorgata is launched in Atlantic City with our joint-venture \npartner Boyd Gaming. Borgata has been a tremendous success, \nraising the bar for casino entertainment in that market. \nBELLAGIO ADDS A JEWEL TO THE \nFAMILY CROWN. The Mirage Resorts \nmerger provided outstanding resorts, \npeople and land, and has propelled our \nearnings and provided an unparalleled \nplatform for future growth.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations 25\npreviously laid off or terminated employees, management determined in 2002 that\na portion of the remaining accrual was no longer necessary. This resulted in a\nrestructuring credit of $10 million in 2002.\nProperty transactions, net consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nGain on sale of North Las Vegas land . . . . . . . . . . . $ — $ (36,776) $ —\nSiegfried & Roy theatre write-down – The Mirage . . . — 1,408 —\nStorm damage – Beau Rivage . . . . . . . . . . . . . . . . . — — 7,824\nWrite-off of Detroit development costs . . . . . . . . . . . — — 4,754\nImpairment of assets to be disposed of . . . . . . . . . . 473 5,764 2,134\nDemolition costs . . . . . . . . . . . . . . . . . . . . . . . . . . . 7,057 6,614 —\nOther net losses on asset sales or disposals . . . . . . . 1,135 4,049 —\n$ 8,665 $ (18,941) $ 14,712\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315\nacres of land in North Las Vegas, Nevada near Shadow Creek for approximately \n$55 million, resulting in the $37 million gain reflected above. Prior to 2003, we \nclassified gains and losses on routine assets sales or disposals as a non-operating item at\nsome resorts and as an operating item at other resorts. We believe the preferable pres-\nentation of these items is as an element of operating income. Prior period statements\nhave not been reclassified as such transactions were not material in periods prior to\n2003. Until 2003, demolition costs were typically capitalized as part of new construc-\ntion. We began expensing demolition costs on major construction projects as incurred\non January 1, 2003, and are accounting for this change in policy prospectively.\nDemolition costs were not material in periods prior to 2003. Demolition costs in\n2004 and 2003 related primarily to preparation for the Bellagio standard room\nremodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments\nof assets to be disposed of in 2003 consisted primarily of assets related to the former\nEFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\nIn 2002, T ropical Storm Isidore caused property damage at Beau Rivage totaling \n$8 million, including clean-up costs. The amount of the write-down for damaged assets\nwas determined based on the net book value of the assets and engineering estimates. In\nconnection with the revised development agreement in Detroit, we wrote off $5 million,\nwhich was the net book value of previously incurred development costs associated with\nthe riverfront permanent casino site ($9 million), offset by previously accrued obliga-\ntions no longer required under the revised development agreement ($4 million).\nNon-operating Results\nThe following table summarizes information related to interest on our long-term debt:\nYear Ended December 31 (In thousands) 2004 2003 2002\nInterest cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 401,391 $ 352,820 $ 345,448\nLess: Capitalized interest . . . . . . . . . . . . . . . . . . . . . . (23,005) (15,234) (61,712)\nInterest expense, net . . . . . . . . . . . . . . . . . . . . . . . . . $ 378,386 $ 337,586 $ 283,736\nCash paid for interest, net of amounts capitalized . . . $ 321,008 $ 308,198 $ 266,071\nAverage total debt balance . . . . . . . . . . . . . . . . . . . . $ 5.5 billion $ 5.2 billion $ 5.2 billion\nWeighted average interest rate . . . . . . . . . . . . . . . . . 7.2% 6.9% 6.8%\nInterest cost was higher in 2004 as we had a higher average borrowing rate due to\nincreases in variable interest rates and the issuance of significant fix ed rate debt in\nthe second half of 2004 in anticipation of the M andalay merger.\nCapitalized interest increased in 2004 due to the ongoing Bellagio expansion and\nKÀ theatre projects. Capitalized interest in 2005 will include interest capitalized on", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "DEFINING MOMENTS OF MGM MIRAGEPOINTS IN TIME\n96\n19\nTHE NEW YORK-NEW YORK SKYLINE BECOMES \nA TOWERING PRESENCE IN THE PORTFOLIO. \nWe acquired Primadonna Resorts to gain full \nownership of the spectacular New York-New York \nas well as three hotel-casinos on the Nevada state \nline and two championship golf courses.\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, \nthe largest hotel-casino in the world, opened to \ngreat fanfare. “The City of Entertainment” \nredefined the urban resort and provided the \nfoundation for our company’s momentous growth.\n93\n19", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "CYNTHIA KISER MURPHEY Senior\nVP, MGM MIRAGE Human Resources \nPUNAM MATHUR Senior VP, \nMGM MIRAGE Diversity/Community\nRelations \nWILLIAM MCBEATH President,\nThe Mirage \nROBERT V. MOON Chairman,\nMGM MIRAGE Marketing \nFELIX D. RAPPAPORT President,\nNew York-New York\nSCOTT SIBELLA President, TI\ncombination of Mandalay’s assets with our financial strength\nand industry-leading financial discipline will yield significant\nreturns for all of our stakeholders.\nWe are currently planning the integration of the two\ncompanies, and over time, we expect to realize the full poten-\ntial of cost and revenue synergies. We will report on our\nprogress throughout the coming year.\nThe Next Moment – A City is Born\nWhat makes a great city? Las Vegas has long been \nrecognized as the leisure capital of the world. The resorts in\nour valley have been the innovative leaders in the hospitality\nindustry and have driven the tremendous growth in visitor\nvolume, high occupancy rates and surging food, beverage,\nentertainment and gaming volumes. But there is another\nLas Vegas – a community of two million residents on its\nway to three million by the end of the decade. Las Vegas is\nleading the U.S. migration to the Southwest. Our newcom-\ners are attracted by the lifestyle, weather, cost of living and\neconomic opportunity. Many have come from cities in the\nEast, West and Midwest and take elements of established\ncommunities for granted, such as medical, educational and\ncultural excellence and diversity.\nThe people of Las Vegas today have great aspirations and\nexpect and demand more of our community. We are a city\nwithout a proper city, and that is about to change. Ambitious\nplans are underway to revitalize Downtown Las Vegas, centered\naround a beautiful performing arts center and an academic\nmedical center; UNLV is in the midst of a major capital cam-\npaign to enhance the Midtown section of Las Vegas; and your\ncompany has embarked on the most comprehensive project to\ndate – Project CityCenter, at the heart of the Las Vegas Strip.\nThe Las Vegas Strip has no sense of city now – but we\nbelieve it can. The future of Las Vegas is centered around our\ngreat resorts and our future development. There are many\nreasons we believe Project CityCenter is the right project for\nour Las Vegas Strip development. We believe there is a social\nimperative that Las Vegas mature as a city, not just a con-\nglomeration of suburbs. A city deserves a center – a center\nfor living, working and playing. We want to be an integral\npart in defining the Las Vegas of the future.\nAnd there is a business motivation. Companies in the\ngaming industry have historically not been valued on par with\nother hospitality companies and mixed-use real estate compa-\nnies. We plan to break out of the gaming mold, and define a\ncompany based on extensive holdings in multiple businesses.\nProject CityCenter will include major residential, retail and\nentertainment components. We will partner with boutique\n(from left to right) ROBERT C. SELWOOD Senior Vice President—\nAccounting; JAMES J. MURREN President, CFO & Treasurer;\nBRYAN L. WRIGHT Senior Vice President — Assistant General\nCounsel & Assistant Secretary; DANIEL J. D'ARRIGO Senior Vice\nPresident—Finance\nNo company is better\npositioned to help shape\nthe future of Las Vegas\nthan MGM MIRAGE.\n16", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "ATLANTIC CITY LAND/BORGATA EXPANSION Our prime real\nestate in Atlantic City, in a location we defined as Renaissance\nPointe, holds spectacular promise to expand MGM MIRAGE’s market\npresence on the East Coast.\nOur growth strategy calls\nfor prudent and strategic\ndevelopment of our real\nestate assets to maximize\nshareholder value.\nKÀ\nTM\nby Cirque du Soleil\n®", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements 65\nNOTE 14 — PROPERTY TRANSACTIONS, NET\nProperty transactions, net consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nGain on sale of North Las Vegas land . . . . . . . . . . . . . $ — $ (36,776) $ —\nSiegfried & Roy theatre write-down – The Mirage . . . . — 1,408 —\nStorm damage – Beau Rivage . . . . . . . . . . . . . . . . . . — — 7,824\nWrite-off of Detroit development costs. . . . . . . . . . . . . — — 4,754\nImpairment of assets to be disposed of. . . . . . . . . . . . 473 5,764 2,134\nDemolition costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7,057 6,614 —\nOther net losses on asset sales or disposals . . . . . . . . 1,135 4,049 —\n$ 8,665 $ (18,941) $ 14,712\nIn 2004, there were no material unusual property transactions. In 2003 the\nCompany sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek\nfor approximately $55 million, which resulted in a pretax gain of approximately\n$37 million. Also in 2003, the Company r ecorded write-downs and impairments of\nassets abandoned or replaced with new construction, primarily at MGM Grand Las\nVegas in preparation for new restaurants and the new theatre. Prior to 2003, the\nCompany classified gains and losses on routine asset sales or disposals as a \nnon-operating item at some resorts and as an operating item at other resorts.\nManagement believes the preferable presentation of these items is as an element of\noperating income. Prior period statements have not been reclassified as such\ntransactions were not material in the prior periods. Until 2003, demolition costs\nwere typically capitalized as part of new construction. The Company began \nexpensing demolition costs on major construction projects as incurred on January 1,\n2003, and is accounting for this change in policy prospectively. Demolition costs\nwere not material in prior periods. Demolition costs in 2004 and 2003 relate \nprimarily to preparation for the Bellagio standard room remodel, Bellagio expansion\nand new theatre at MGM Grand Las Vegas.\nIn 2002, T ropical Storm Isidore caused property damage at Beau Rivage totaling $8\nmillion, including clean-up costs. The amount of the write-down for damaged assets\nwas determined based on the net book value of the assets and engineering estimates.\nIn connection with the revised development agreement in Detroit, the Company\nwrote off $5 million, which was the net book value of previously incurred develop-\nment costs associated with the riverfront permanent casino site ($9 million), offset by\npreviously accrued obligations no longer required under the revised development\nagreement ($4 million). Also in 2002, the Company recorded write-downs and\nimpairments of assets abandoned or replaced with new construction.\nNOTE 15 — RELATED PARTY TRANSACTIONS\nThe Company’s related party transactions consisted of the following revenues (expenses):\nYear Ended December 31 (In thousands) 2004 2003 2002\nHotel and other revenue from related parties . . . . . . . $ 416 $ 871 $ 764\nLicense fees to entities under common ownership . . . (1,000) (1,000) (1,000)\nProfessional fees to directors or firms \naffiliated with directors. . . . . . . . . . . . . . . . . . . . . . (4,084) (1,551) (1,815)\nOther related party expenses . . . . . . . . . . . . . . . . . . . (62) (468) (224)\n$ (4,730) $ (2,148) $ (2,275)\nAt December 31, 2004, the Company owed $2 million for legal fees to a firm \naffiliated with one of the Company’s directors. The Company also engaged in \ntransactions with its unconsolidated affiliates. In each of 2004 and 2003, the\nCompany paid Monte Carlo $4 million as a result of closing the tram between\nBellagio and Monte Carlo in preparation for the Bellagio expansion. The Company\nleases two acres of land to Borgata and received $1 million in each of 2004, 2003\nand 2002 under this lease. Borgata is r equired to pay for a por tion of the master-\nplan improvements at Renaissance Pointe, and the Company is responsible for", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "and schedule of the permanent facility are not finalized, and the ultimate timing, cost\nand scope of the facility are subject to risks attendant to large-scale projects.\nThe ability to construct the permanent casino facility is currently subject to resolu-\ntion of the Lac Vieux litigation. The 6th Circuit Court of Appeals has issued an\ninjunction prohibiting the City and the developers from commencing construction\npending further action of the 6th Circuit Court. Therefore, we do not know when\nwe will be able to commence constr uction of, or complete, the permanent facility.", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations20\nRESULTS OF OPERATIONS\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts\nand 50% investments in two other casino resorts, including:\nLas Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, TI, New York-\nNew York, Boardwalk, and Monte Carlo (50% owned).\nOther: The Primm Valley Resorts (Buffalo Bill’s, Primm Valley\nResort and Whiskey Pete’s) in Primm, Nevada; Beau Rivage\nin Biloxi, Mississippi; MGM Grand Detroit; Borgata (50%\nowned) in Atlantic City, New Jersey.\nWe operate in one segment, the operation of casino r esorts, which includes offering\ngaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over\nhalf of our net revenues are derived from gaming activities, a lower percentage than\nmany of our competitors, as our operating philosophy is to provide a complete\nresort experience for our guests, including non-gaming amenities which command\npremium prices based on their quality.\nWe generate a majority of our net revenues and operating income from our Las\nVegas Strip resorts. In 2004, over 75% of our net revenues and operating income\nwas generated by wholly-owned Las Vegas Strip resorts. We believe that we own the\npremier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to\ncontinually reinvest in these resorts to maintain that competitive advantage. Our\nconcentration on the Las Vegas Strip exposes us to certain risks outside of our \ncontrol, such as competition from other Las Vegas Strip resorts as well as new or\nexpanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005,\nand the impact from potential expansion of gaming in California. This concentra-\ntion also exposes us to risks related to tourism and the general economy, including\nnational and global economic conditions and terrorist attacks or other global events.\nKey Performance Indicators\nAs a resort-based company, our operating results are highly dependent on the \nvolume of customers at our resorts, which in turn impacts the price we can charge\nfor our hotel rooms and other amenities. We also generate a significant portion of\nour operating income from the high-end gaming segment, which can cause \nvariability in our results. Key performance indicators related to revenue are:\n• Gaming revenue indicators – table games drop and slot handle (volume \nindicators); “win” or “hold” percentage, which is not fully controllable by us. Our\nnormal table games win percentage is in the range of 18% to 22% of table games\ndrop and our normal slot win percentage is in the range of 6% to 7% of slot\nhandle; \n• Hotel revenue indicators – hotel occupancy (volume indicator); average daily rate\n(“ADR”, price indicator); revenue per available room (“REVPAR”), a summary\nmeasure of hotel results, combining ADR and occupancy rate.\nMost of our revenue is essentially cash-based, through customers wagering with cash\nor paying for non-gaming services with cash or credit cards. Our resorts, like many\nin the industry, generate significant operating cash flow. Our industry is capital\nintensive and we rely heavily on the ability of our resorts to generate \noperating cash flow to repay debt financing, fund maintenance capital \nexpenditures and provide excess cash for future development.\nOur results of operations do not tend to be seasonal in natur e, though a variety of\nfactors can affect the results of any interim period, including the timing of major\nLas Vegas conventions, the amount and timing of marketing and special events for\nour high-end customers, and the level of play during major holidays, including New\nYear and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations 21\nOverall Outlook\nWe have invested heavily in our existing operations in 2003 and 2004, and expect\nto continue to do so on a targeted basis in 2005. Our Las Vegas Strip resorts require\nongoing capital investment to maintain their competitive advantages. We believe\nthe investments in additional non-gaming amenities we made in 2003 and 2004\nhave enhanced our ability to generate increased visitor volume and allowed us to\ncharge premium prices for our amenities.\nThe most likely significant factors affecting operating results at our existing resorts\nin 2005 will be the expected continued strength of the leisure and convention travel\nsegments, the expansion of Bellagio and the opening of KÀ and other amenities at\nMGM Grand Las Vegas, and new competition from Wynn Las Vegas on the Las\nVegas Strip. Various lodging market observers, such as PricewaterhouseCoopers \nand Smith T ravel Research, are forecasting mid-single digit percentage growth in\nREVPAR in 2005, with greater REVPAR gains in full service hotels. Our REVPAR\ngrowth, and REVPAR growth in Las Vegas in general, has outpaced that of the\nnational market, and we expect that trend to continue. \nThe Bellagio expansion opened in late 2004 and added o ver 30% to the resort’s\nroom base. In addition, we added new meeting, retail and dining space and signifi-\ncantly expanded the spa and salon. KÀ opened in late November 2004 at MGM\nGrand Las Vegas, which had been without a featured production show for almost\ntwo years. Along with the numerous restaurant and other entertainment additions\nat MGM Grand Las Vegas, KÀ will enhance our ability to generate visitor traffic\nand capture a greater share of our guests’ spending. \nWynn Las Vegas will add room capacity to the Las Vegas market, with its 2,700\nrooms representing a 2% increase in Las Vegas room supply. Wynn Las Vegas will\nalso feature numerous upscale restaurants and generally target customers who might\notherwise choose Bellagio, MGM Grand Las Vegas or The Mirage. We believe there\nwill be some impact on these resorts from Wynn Las Vegas, but also believe that the\nbreadth of amenities in our portfolio of resorts and our loyalty and other marketing\nprograms will help minimize these competitive pressures. The proximity of Wynn\nLas Vegas to TI and The Mirage, along with pedestrian bridges linking TI with the\nFashion Show Mall and Venetian, will also benefit these resorts.\nMandalay Merger\nOn June 16, 2004, we announced that we had entered into a definitive merger\nagreement with Mandalay Resort Group (“Mandalay”), a publicly traded company,\nunder which we will acquire Mandalay for $71.00 in cash for each shar e of \ncommon stock of Mandalay. Mandalay owns and operates eleven properties in\nNevada, including Mandalay Bay, Luxor, Excalibur, Circus Circus, and Slots-A-Fun\nin Las Vegas, Circus Circus-Reno in Reno, Colorado Belle and Edgewater in\nLaughlin, Gold Strike and Nevada Landing in Jean, and Railroad Pass in\nHenderson. Mandalay also owns and operates Gold Strike, a hotel/casino in T unica\nCounty, Mississippi. In addition, Mandalay owns a 50% interest in Silver Legacy in\nReno, a 50% interest in Monte Carlo in Las Vegas, a 50% interest in Grand\nVictoria, a riverboat in Elgin, Illinois, and a 53.5% interest in MotorCity in\nDetroit, Michigan. The total consideration is approximately $8.1 billion, including\nequity value of approximately $4.8 billion, convertible debentures with a redemp-\ntion value of approximately $574 million, the assumption or r epayment of other\noutstanding Mandalay debt with a fair value of approximately $2.6 billion as of\nDecember 31, 2004, and $100 million of estimated transaction costs. The transac-\ntion is structured as a merger of one of our wholly-owned subsidiaries with and into\nMandalay. The transaction will be accounted for as a purchase and is anticipated to\nclose during the first quarter of 2005.", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "Which events negatively impacted leisure travel and MCM Mirage high-end gaming business in late 2002 and early 2003 ?", - "target_page": 32, - "target_passage": "The war with Iraq and the outbreak of SARS in Asia, both of which negatively impacted leisure travel and our high-end gaming business in late 2002 and early 2003", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "Management���s Discussion and Analysis of Financial Condition and Results of Operations24\nSlot revenues increased substantially in both 2003 and 2004. Improvements were\nthe result of strong customer visitation, enhanced marketing programs, the impact\nof our Players Club rewards program, and the implementation of cashless gaming\ntechnology in 2003. Slot win percentages were consistent among all three periods.\nNon-casino revenue increased in 2004 primarily due to the enhanced amenities at\nour resorts. In addition, we were able to increase the pricing for our rooms and\nother non-gaming amenities. Our hotel results began to improve notably in the \nlatter half of 2003, particularly at our Las Vegas Strip resorts. For the year ended\nDecember 31, 2004 REVPAR at our Las Vegas Strip resorts was $141 compared to\n$126 in 2003, an increase of 12%. Company-wide REVPAR was $121, an increase\nof 10% over 2003. This increase was largely rate driven, as occupancy increased\nfrom 91% to 92% and ADR increased from $121 to $132. In 2003, company-wide\nREVPAR increased 6% from $104 to $110, with most of the gains coming in the\nsecond half of the year.\nOperating Results – Details of Certain Charges\nPre-opening and start-up expenses consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nBellagio expansion . . . . . . . . . . . . . . . . . . . . . . . . . $ 3,805 $ — $ —\nKÀ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3,655 — —\nBorgata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . — 19,326 7,757\nNew York-New York (Zumanity, Nine Fine Irishmen) — 4,310 —\nPlayers Club . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . — 3,051 5,117\nOther . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2,816 2,579 1,267\n$ 10,276 $ 29,266 $ 14,141\nPre-opening and start-up expenses related to Borgata represent our share of the \noperating results of Borgata prior to its July 2003 opening. \nRestructuring costs (credit) consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nContract termination costs . . . . . . . . . . . . . . . . . . . . $ 3,693 $ 4,049 $ 3,257\nReversal of certain September 11 charges . . . . . . . . — — (10,421)\nSiegfried & Roy show closure – The Mirage . . . . . . . — 1,623 —\nReversal of 2000 contract termination costs . . . . . . — — (9,857)\nOther . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1,932 925 —\n$ 5,625 $ 6,597 $ (17,021)\nIn 2004, restructuring costs include $3 million for contract termination costs \nrelated to the Aqua restaurant at Bellagio and $2 million of workforce reduction\ncosts at MGM Grand Detroit as a result of our efforts to minimize the impact of a\ngaming tax increase in Michigan.\nIn 2003, our primary restructuring activities included closing two marketing offices\nand terminating the related leases, terminating a lease agreement with a restaurant\ntenant at MGM Grand Las Vegas, and closing the Siegfried & Roy show, which\nresulted in a charge for employee severance costs.\nIn December 2002, we recorded a restructuring credit of $10 million related to a\nlease contract termination accrual originally recorded in June 2000 as we deter-\nmined that payment under this obligation was not probable. We recorded \n$3 million of restructuring charges in December 2002 related to contract termina-\ntion costs for a restaurant lease and the EFX! show at MGM Grand Las Vegas. In\n2001, management responded to a decline in business v olumes caused by the\nSeptember 11 attacks by implementing cost containment strategies which included\na significant reduction in payroll and a refocusing of several of our marketing \nprograms. This resulted in a $22 million charge against earnings. As a result of\nimproving business levels and our success at re-hiring a substantial number of", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations 23\n• The ongoing capital investments in upscale amenities at our resorts, which we\nbelieve is allowing us to market more effectively to visitors, capture a greater share\nof these visitors’increased travel budgets, and generate premium pricing for our\nresorts’ rooms and other amenities.\nAs a result of the above trends, our net revenues increased 10% in 2004, while\nincreasing only 3% in 2003. Net revenues at MGM Grand Las Vegas increased\n14% in 2004, due to the addition of several new restaurants, bars and other \namenities, and in spite of fewer rooms in service due to room remodel activity. \nNet revenues at New York-New York increased 26% as the resort continues to \nbenefit from Zumanity and Nine Fine Irishmen, both of which opened in summer\n2003. Net revenues at The Mirage decreased 2% as the resort was without the\nSiegfried & Roy show and the buffet was closed for a portion of the year while\nCravings was constructed.\nOur operating income in 2004 increased 36%, due primarily to the strong revenue\ntrends and a full year of Borgata’s results. The increase in income from unconsoli-\ndated affiliates is responsible for approximately one-third of the increase in \noperating income, while improvements at our operating resorts, particularly\nBellagio, MGM Grand Las Vegas and New York-New York, make up the rest of the\nincrease. Operating income at MGM Grand Detroit was essentially flat year-over-\nyear, despite an increase in the gaming tax rate fr om 18% to 24% effective\nSeptember 2004. Several other factors largely offset: Higher corporate expense due\nto increased development costs; lower bad debt expense due to improved collec-\ntions; lower preopening expenses due to Borgata preopening expenses in 2003; and\nhigher property transactions, net due to a $37 million gain on sale of land in 2003.\nIn 2003, our operating income decreased by 6%. While revenues grew especially in\nthe second half of 2003, expense growth, particularly in payroll, outpaced revenues.\nOperating Results – Detailed Revenue Information\nThe following table presents details of our net revenues:\n(In thousands)\nYear Ended December 31 2004 % Change 2003 % Change 2002\nCasino revenues, net:\nTable games . . . . . . . . . . $ 943,343 9% $ 866,096 (3%) $ 893,836\nSlots . . . . . . . . . . . . . . . . 1,218,589 9% 1,115,029 5% 1,064,491\nOther . . . . . . . . . . . . . . . . 62,033 10% 56,389 3% 54,513\nCasino revenues, net . . 2,223,965 9% 2,037,514 1% 2,012,840\nNon-casino revenue:\nRooms . . . . . . . . . . . . . . 911,259 9% 833,272 5% 796,861\nFood and beverage . . . . . 841,147 11% 757,278 7% 706,153\nEntertainment, retail \nand other . . . . . . . . . . 696,117 7% 647,702 2% 637,625\nNon-casino revenues . . . . 2,448,523 9% 2,238,252 5% 2,140,639\n4,672,488 9% 4,275,766 3% 4,153,479\nLess: Promotional allowances . (434,384) 5% (413,023) 4% (396,551)\n$ 4,238,104 10% $ 3,862,743 3% $ 3,756,928\nTable games revenues increased as a result of the improvements in the U.S. econo-\nmy and the general economy worldwide, as well as increased attendance at targeted\nmarketing events, including the New Years period. T otal table games volume for the\nyear was up 9%, with particular strength in baccarat volume, up 18%. These are the\nmost significant increases in table games volumes since 2000. Table games revenues\ndecreased in 2003, as a slightly lower hold percentage and the impact of the Iraq\nwar and SARS outbreak in early 2003 were not fully offset by strong volume levels\nover the latter half of 2003. Table games win percentages were within our normal\nrange for all periods presented.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations20\nRESULTS OF OPERATIONS\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts\nand 50% investments in two other casino resorts, including:\nLas Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, TI, New York-\nNew York, Boardwalk, and Monte Carlo (50% owned).\nOther: The Primm Valley Resorts (Buffalo Bill’s, Primm Valley\nResort and Whiskey Pete’s) in Primm, Nevada; Beau Rivage\nin Biloxi, Mississippi; MGM Grand Detroit; Borgata (50%\nowned) in Atlantic City, New Jersey.\nWe operate in one segment, the operation of casino r esorts, which includes offering\ngaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over\nhalf of our net revenues are derived from gaming activities, a lower percentage than\nmany of our competitors, as our operating philosophy is to provide a complete\nresort experience for our guests, including non-gaming amenities which command\npremium prices based on their quality.\nWe generate a majority of our net revenues and operating income from our Las\nVegas Strip resorts. In 2004, over 75% of our net revenues and operating income\nwas generated by wholly-owned Las Vegas Strip resorts. We believe that we own the\npremier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to\ncontinually reinvest in these resorts to maintain that competitive advantage. Our\nconcentration on the Las Vegas Strip exposes us to certain risks outside of our \ncontrol, such as competition from other Las Vegas Strip resorts as well as new or\nexpanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005,\nand the impact from potential expansion of gaming in California. This concentra-\ntion also exposes us to risks related to tourism and the general economy, including\nnational and global economic conditions and terrorist attacks or other global events.\nKey Performance Indicators\nAs a resort-based company, our operating results are highly dependent on the \nvolume of customers at our resorts, which in turn impacts the price we can charge\nfor our hotel rooms and other amenities. We also generate a significant portion of\nour operating income from the high-end gaming segment, which can cause \nvariability in our results. Key performance indicators related to revenue are:\n• Gaming revenue indicators – table games drop and slot handle (volume \nindicators); “win” or “hold” percentage, which is not fully controllable by us. Our\nnormal table games win percentage is in the range of 18% to 22% of table games\ndrop and our normal slot win percentage is in the range of 6% to 7% of slot\nhandle; \n• Hotel revenue indicators – hotel occupancy (volume indicator); average daily rate\n(“ADR”, price indicator); revenue per available room (“REVPAR”), a summary\nmeasure of hotel results, combining ADR and occupancy rate.\nMost of our revenue is essentially cash-based, through customers wagering with cash\nor paying for non-gaming services with cash or credit cards. Our resorts, like many\nin the industry, generate significant operating cash flow. Our industry is capital\nintensive and we rely heavily on the ability of our resorts to generate \noperating cash flow to repay debt financing, fund maintenance capital \nexpenditures and provide excess cash for future development.\nOur results of operations do not tend to be seasonal in natur e, though a variety of\nfactors can affect the results of any interim period, including the timing of major\nLas Vegas conventions, the amount and timing of marketing and special events for\nour high-end customers, and the level of play during major holidays, including New\nYear and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Defining Momentum for Our Industry\nThe gaming industry in America is maturing, and \ninternational expansion, while exciting in select markets,\nremains challenging. As a result, your company has \npursued a growth strategy that calls for maximizing the\nassets we currently own and seeking prudent development\nopportunities and strategic acquisitions.\nUpon completion of our merger with Mandalay,\nMGM MIRAGE will be the world’s leading gaming and\nleisure company. The combination will result in a well-\ncapitalized company uniquely situated to invest in its \ncurrent portfolio in addition to creating new projects \nin the United States and around the world.\nWe believe this is an outstanding \ntransaction for the shareholders of\nboth companies. With this\nacquisition, we will own, \noperate and have investments\nin 28 properties throughout Nevada, Mississippi, \nIllinois, Michigan, and New Jersey. \nThe combined company will have an asset portfolio\nwhich includes some of the most widely recognized brand\nnames in the world. These properties cater to a broad \ncustomer base, ranging from value-oriented to the ultra-\nhigh end. Each resort provides a unique customer experience\nthrough its specific personality and combination of amenities.\nWe also will have at Mandalay Bay the fifth largest\nconvention center in the United States, providing the com-\npany with a great resource to further develop the business\ntravel and convention market. \nBut the bricks and mortar tell only part of the story \nof this transaction. At the heart of Mandalay is its people.\nMandalay employees at all levels are energetic and talented \nand will be a tremendous asset to us. T ogether, we will become\na family in excess of 70,000 people committed to delivering \nthe best possible experiences for our guests. The transaction \nalso will create unparalleled opportunities for our entire family\nof employees. \nIn short, this groundbreaking transaction creates\nunstoppable momentum for all stakeholders in the \nMGM MIRAGE family. \nDefining Momentum in our Properties\nIn 2004, your company invested over $690 million of\ncapital in the creation of new restaurants, clubs, shows and\nnightspots as well as the development of strategic enhance-\nments to existing amenities. These investments generated\nexceptional returns in a time when competition for the\nentertainment dollar has never been higher. \nEARNIN G S PER SHARE\n2002\n2003\n2004\n$3.00\n$1.83\n$1.61\n$2.85\n$2.50\n$2.00\n$1.50\n$1.00\n$0.50\n$0.00\nFIX BELLAGIO Classic\nAmerican fare using the\nfreshest fish, meat, and\npoultry cooked to order on \na wood-burning grill. Costa\nRican Padouk wood inspires\na warm environment in a\nunique, vibrant design. \n03\nMystère\n®\nby Cirque du Soleil\n®", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations 25\npreviously laid off or terminated employees, management determined in 2002 that\na portion of the remaining accrual was no longer necessary. This resulted in a\nrestructuring credit of $10 million in 2002.\nProperty transactions, net consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nGain on sale of North Las Vegas land . . . . . . . . . . . $ — $ (36,776) $ —\nSiegfried & Roy theatre write-down – The Mirage . . . — 1,408 —\nStorm damage – Beau Rivage . . . . . . . . . . . . . . . . . — — 7,824\nWrite-off of Detroit development costs . . . . . . . . . . . — — 4,754\nImpairment of assets to be disposed of . . . . . . . . . . 473 5,764 2,134\nDemolition costs . . . . . . . . . . . . . . . . . . . . . . . . . . . 7,057 6,614 —\nOther net losses on asset sales or disposals . . . . . . . 1,135 4,049 —\n$ 8,665 $ (18,941) $ 14,712\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315\nacres of land in North Las Vegas, Nevada near Shadow Creek for approximately \n$55 million, resulting in the $37 million gain reflected above. Prior to 2003, we \nclassified gains and losses on routine assets sales or disposals as a non-operating item at\nsome resorts and as an operating item at other resorts. We believe the preferable pres-\nentation of these items is as an element of operating income. Prior period statements\nhave not been reclassified as such transactions were not material in periods prior to\n2003. Until 2003, demolition costs were typically capitalized as part of new construc-\ntion. We began expensing demolition costs on major construction projects as incurred\non January 1, 2003, and are accounting for this change in policy prospectively.\nDemolition costs were not material in periods prior to 2003. Demolition costs in\n2004 and 2003 related primarily to preparation for the Bellagio standard room\nremodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments\nof assets to be disposed of in 2003 consisted primarily of assets related to the former\nEFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\nIn 2002, T ropical Storm Isidore caused property damage at Beau Rivage totaling \n$8 million, including clean-up costs. The amount of the write-down for damaged assets\nwas determined based on the net book value of the assets and engineering estimates. In\nconnection with the revised development agreement in Detroit, we wrote off $5 million,\nwhich was the net book value of previously incurred development costs associated with\nthe riverfront permanent casino site ($9 million), offset by previously accrued obliga-\ntions no longer required under the revised development agreement ($4 million).\nNon-operating Results\nThe following table summarizes information related to interest on our long-term debt:\nYear Ended December 31 (In thousands) 2004 2003 2002\nInterest cost . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 401,391 $ 352,820 $ 345,448\nLess: Capitalized interest . . . . . . . . . . . . . . . . . . . . . . (23,005) (15,234) (61,712)\nInterest expense, net . . . . . . . . . . . . . . . . . . . . . . . . . $ 378,386 $ 337,586 $ 283,736\nCash paid for interest, net of amounts capitalized . . . $ 321,008 $ 308,198 $ 266,071\nAverage total debt balance . . . . . . . . . . . . . . . . . . . . $ 5.5 billion $ 5.2 billion $ 5.2 billion\nWeighted average interest rate . . . . . . . . . . . . . . . . . 7.2% 6.9% 6.8%\nInterest cost was higher in 2004 as we had a higher average borrowing rate due to\nincreases in variable interest rates and the issuance of significant fix ed rate debt in\nthe second half of 2004 in anticipation of the M andalay merger.\nCapitalized interest increased in 2004 due to the ongoing Bellagio expansion and\nKÀ theatre projects. Capitalized interest in 2005 will include interest capitalized on", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "The announcement of\nthe merger between\nMGM MIRAGE and\nMandalay Resort Group\nwas one of the seminal\nmoments of 2004.\nUSING OUR STRENGTH . . .", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements46\nNOTE 1 — ORGANIZATION\nMGM MIRAGE (the “Company”), formerly MGM Grand, Inc., is a Delaware \ncorporation, incorporated on January 29, 1986. As of December 31, 2004 \napproximately 58% of the outstanding shares of the Company's common stock\nwere owned by T racinda Corporation, a Nevada corporation wholly owned by Kirk\nKerkorian. MGM MIRAGE acts largely as a holding company and, through \nwholly-owned subsidiaries, owns and/or operates casino resorts. \nThe Company owns and operates the following casino resorts on the Las Vegas\nStrip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, T reasure\nIsland (“TI”), New York-New York and the Boardwalk Hotel and Casino. The\nCompany owns a 50% interest in the joint venture that owns and operates the\nMonte Carlo Resort & Casino, also located on the Las Vegas Strip.\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state\nline – Whiskey Pete’s, Buffalo Bill’s and the Primm Valley Resort – as well as two\nchampionship golf courses located near the r esorts. The Company also owns\nShadow Creek, an exclusive world-class golf course located approximately ten miles\nnorth of its Las Vegas Strip resorts. \nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc.,\nand its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino\nand entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC \noperates a casino in an interim facility in downtown Detroit. See Note 10 for \ndiscussion of the revised development agreement with the City of Detroit and \nplans for a permanent casino resort.\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi,\nMississippi. The Company also owns a 50% interest in a limited liability company\nthat owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of\nBorgata and also operates the resort. Borgata opened in July 2003. The Company\nowns approximately 95 developable acres adjacent to Borgata, a portion of which\nconsists of common roads, landscaping and master plan improvements which the\nCompany designed and developed as required under the agreement with Boyd.\nUntil July 2004, the Company owned and operated MGM Grand Australia and\nuntil January 2004, the Company owned and operated the Golden Nugget Las\nVegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin,\nNevada (the “Golden Nugget Subsidiaries”). Until June 2003, the Company \noperated PLAYMGMMIRAGE.com, the Company’s online gaming website based\nin the Isle of Man. See Note 3 for further information regarding these discontinued\noperations. In the second quarter of 2002, the Company received proceeds of $11\nmillion upon termination of management agreements covering four casinos in the\nRepublic of South Africa. Prior to the termination, the Company managed three\npermanent casinos and one interim casino and received management fees from its\npartner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as\npart of other revenues in the accompanying consolidated statements of income.\nThe Company is actively seeking future development opportunities in the United\nKingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos\nLimited, a United Kingdom gaming company which operates a casino in B ristol.\nSee Note 10 for discussion of other potential developments in the United Kingdom. \nIn June 2004, the Company entered into a joint venture agreement to develop,\nbuild and operate a hotel-casino resort in Macau S.A.R. The agreement is subject\nto, among other things, the approval of the government of Macau S.A.R., and other\nregulatory approvals, as well as the entry into a subconcession agreement with the\nholder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "DEFINING MOMENTS OF MGM MIRAGEPOINTS IN TIME\n96\n19\nTHE NEW YORK-NEW YORK SKYLINE BECOMES \nA TOWERING PRESENCE IN THE PORTFOLIO. \nWe acquired Primadonna Resorts to gain full \nownership of the spectacular New York-New York \nas well as three hotel-casinos on the Nevada state \nline and two championship golf courses.\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, \nthe largest hotel-casino in the world, opened to \ngreat fanfare. “The City of Entertainment” \nredefined the urban resort and provided the \nfoundation for our company’s momentous growth.\n93\n19", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Notes to Consolidated Financial Statements 65\nNOTE 14 — PROPERTY TRANSACTIONS, NET\nProperty transactions, net consisted of the following:\nYear Ended December 31 (In thousands) 2004 2003 2002\nGain on sale of North Las Vegas land . . . . . . . . . . . . . $ — $ (36,776) $ —\nSiegfried & Roy theatre write-down – The Mirage . . . . — 1,408 —\nStorm damage – Beau Rivage . . . . . . . . . . . . . . . . . . — — 7,824\nWrite-off of Detroit development costs. . . . . . . . . . . . . — — 4,754\nImpairment of assets to be disposed of. . . . . . . . . . . . 473 5,764 2,134\nDemolition costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7,057 6,614 —\nOther net losses on asset sales or disposals . . . . . . . . 1,135 4,049 —\n$ 8,665 $ (18,941) $ 14,712\nIn 2004, there were no material unusual property transactions. In 2003 the\nCompany sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek\nfor approximately $55 million, which resulted in a pretax gain of approximately\n$37 million. Also in 2003, the Company r ecorded write-downs and impairments of\nassets abandoned or replaced with new construction, primarily at MGM Grand Las\nVegas in preparation for new restaurants and the new theatre. Prior to 2003, the\nCompany classified gains and losses on routine asset sales or disposals as a \nnon-operating item at some resorts and as an operating item at other resorts.\nManagement believes the preferable presentation of these items is as an element of\noperating income. Prior period statements have not been reclassified as such\ntransactions were not material in the prior periods. Until 2003, demolition costs\nwere typically capitalized as part of new construction. The Company began \nexpensing demolition costs on major construction projects as incurred on January 1,\n2003, and is accounting for this change in policy prospectively. Demolition costs\nwere not material in prior periods. Demolition costs in 2004 and 2003 relate \nprimarily to preparation for the Bellagio standard room remodel, Bellagio expansion\nand new theatre at MGM Grand Las Vegas.\nIn 2002, T ropical Storm Isidore caused property damage at Beau Rivage totaling $8\nmillion, including clean-up costs. The amount of the write-down for damaged assets\nwas determined based on the net book value of the assets and engineering estimates.\nIn connection with the revised development agreement in Detroit, the Company\nwrote off $5 million, which was the net book value of previously incurred develop-\nment costs associated with the riverfront permanent casino site ($9 million), offset by\npreviously accrued obligations no longer required under the revised development\nagreement ($4 million). Also in 2002, the Company recorded write-downs and\nimpairments of assets abandoned or replaced with new construction.\nNOTE 15 — RELATED PARTY TRANSACTIONS\nThe Company’s related party transactions consisted of the following revenues (expenses):\nYear Ended December 31 (In thousands) 2004 2003 2002\nHotel and other revenue from related parties . . . . . . . $ 416 $ 871 $ 764\nLicense fees to entities under common ownership . . . (1,000) (1,000) (1,000)\nProfessional fees to directors or firms \naffiliated with directors. . . . . . . . . . . . . . . . . . . . . . (4,084) (1,551) (1,815)\nOther related party expenses . . . . . . . . . . . . . . . . . . . (62) (468) (224)\n$ (4,730) $ (2,148) $ (2,275)\nAt December 31, 2004, the Company owed $2 million for legal fees to a firm \naffiliated with one of the Company’s directors. The Company also engaged in \ntransactions with its unconsolidated affiliates. In each of 2004 and 2003, the\nCompany paid Monte Carlo $4 million as a result of closing the tram between\nBellagio and Monte Carlo in preparation for the Bellagio expansion. The Company\nleases two acres of land to Borgata and received $1 million in each of 2004, 2003\nand 2002 under this lease. Borgata is r equired to pay for a por tion of the master-\nplan improvements at Renaissance Pointe, and the Company is responsible for", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis of Financial Condition and Results of Operations22\nrevenue enhancements from this process. We expect to realize efficiencies in \noperations and economies of scale in purchasing, as well as more effectively market\nto a broader base of customers. Our operating cash flow will increase substantially,\nas will our interest and tax charges.\nSummary Financial Results\nThe following table summarizes our results of operations:\n(In thousands, except per share data)\nYear Ended December 31 2004 % Change 2003 %Change 2002\nNet revenues . . . . . . . . . . . $ 4,238,104 10% $ 3,862,743 3% $ 3,756,928\nOperating income . . . . . . . 950,860 36% 699,729 (6%) 746,538\nIncome from \ncontinuing operations . . . 349,856 52% 230,273 (20%) 289,476\nDiluted income from continuing \noperations per share . . . $ 2.42 59% $ 1.52 (16%) $ 1.81\nIncome from continuing operations increased in 2004 due to our str ong top-line\ngrowth and the fact that revenue growth was driven largely by increased prices of\nour rooms and strong casino revenue. Operating margins correspondingly increased\nto 22% in 2004 from 18% in 2003 and 20% in 2002. R esults on a per share basis\nwere positively impacted by a lower weighted average number of shares outstanding\nas the result of share repurchases throughout 2003 and 2004.\nOperating Results\nThe following table includes key information about our operating results:\n(In thousands)\nYear Ended December 31 2004 % Change 2003 % Change 2002\nNet revenues . . . . . . . . . . . $ 4,238,104 10% $ 3,862,743 3% $ 3,756,928\nOperating expenses:\nCasino and hotel operations 2,289,266 6% 2,153,798 5% 2,044,369\nGeneral and administrative 612,615 5% 583,599 4% 560,909\nCorporate expense . . . . . 77,910 27% 61,541 40% 43,856\nPreopening, restructuring and \nproperty transactions, net 24,566 45% 16,922 43% 11,832\nDepreciation and \namortization . . . . . . . . . 402,545 1% 400,766 5% 381,785\n3,406,902 6% 3,216,626 6% 3,042,751\nIncome from \nunconsolidated affiliates . . 119,658 123% 53,612 66% 32,361\nOperating income . . . . . . . . $ 950,860 36% $ 699,729 (6%) $ 746,538\nOn a consolidated basis, the most important factors and trends contributing to our\noperating performance over the last three years have been:\n• The war with Iraq and the outbreak of SARS in Asia, both of which negatively\nimpacted leisure travel and our high-end gaming business in late 2002 and \nearly 2003;\n• The new labor contract covering our Las Vegas Strip employees since mid-2002,\nwhich calls for significant annual wage and benefits increases through 2007;\n• The current economic recovery in the United States, which began to impact our\noperations in the latter half of 2003 and continued to positiv ely affect our results\nin 2004.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What possess all naval aviators ?", - "target_page": 5, - "target_passage": "All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "NA VAIR 00·801·80 \nAERODYNAMICS FOR NAVAL \nAVIATORS \nBY \nH. H. HURT, JR. \nUNIVERSITY OF SOUTHERN CALIFORNIA \nDISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited. \nDESTRUCTION NOTICE - For unclassified, limited documents, destroy by any method that will \nprevent disclosure of contents or reconstruction of the document. \nPUBLISHED BY DIRECTION OF COMMANDER, NAVAL AIR SYSTEMS COMMAND \nREVISED JANUARY 1965 \n\u0013\u001b\u0013\u0013/3\u0014\u0014\u0014\u0017\u0017\u0019\u0015", - "page_start": 0, - "page_end": 0, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-8OT-80 \nAIRPLANE PERFORMANCE \nThe performance of an aircraft is. the most operating limitations and insight to obtain \nimportant feature which defines its suitability the design performance of his aircraft. The \nfor specific missions. The principal items of performance section of the flight handbook \nairplane performance deserve detailed consid- provides the specific information regarding the \neration in order to better understand and capabilities and limitations of each airplane. \nappreciate the capabilities of each airplane. \nKnowledge of the various items of airplane \nEvery Naval Aviator must rely upon these \nhandbook data as the guide to safe and effec- \nperformance will provide the Naval Aviator rive operation of his aircraft. \nwith a more complete appreciation of the \n95", - "page_start": 112, - "page_end": 112, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-801-80 \nPREFACE \nThe majority of aircraft accidents are due to some type of error of \nthe pilot. This fact has been true in the past and, unfortunately, most \nprobably will be true in the future. Each Naval Aviator should strive \nto arm himself with knowledge, training, and exacting, professional \nattitudes and techniques. The fundamentals of aerodynamics as pre- \nsented in this text will provide the knowledge and background for \nsafe and effective flying operations. The flight handbooks for the air- \ncraft will provide the particular techniques, procedures, and operating \ndata which are necessary for each aircraft. Diligent study and continu- \nous training are necessary to develop the professional skills and tech- \nniques for successful flying operations. \nThe author takes this opportunity to express appreciation to those \nwho have assisted in the preparation of the manuscript. In particular, \nthanks are due to Mr. J. E. Fairchild for his assistance with the por- \ntions dealing with helicopter aerodynamics and roll coupling phenom- \nena. Also, thanks are due to Mr. J. F. Detwiler and Mr. E. Dimitruk \nfor their review of the text material. \nHUGH HARRISON HURT, Jr. \nAugust 1959 \nUniversity of Southern California \nLos Angelesj Cnlif. \niv", - "page_start": 5, - "page_end": 5, - "source_file": "00-80T-80.pdf" - }, - { - "text": "PREFACE \nThe purpose of this textbook is to present the elements of applied \naerodynamics and aeronautical engineering which relate directly to \nthe problems of flying operations. All Naval Aviators possess a natural \ninterest in the basic aerodynamic factors which affect the performance \nof all aircraft. Due .to the increasing complexity of modern aircraft, \nthis natural interest must be applied to develop a sound understanding \nof basic engineering principles and an appreciation of some of the more \nadvanced problems of aerodynamics and engineering. The safety and \neffectiveness of flying operations will depend greatly on the under- \nstanding and appreciation of how and why an airplane flies. The \nprinciples of aerodynamics will provide the foundations for developing \nexacting and precise flying techniques and operational procedures. \nThe content of this textbook has been arranged to provide as com- \nplete as possible a reference for all phases of flying in Naval Aviation. \nHence, the text material is applicable to the problems of flight train- \ning, transition training, and general flying operations. The manner \nof presentation throughout the text has been designed to provide the \nelements of both theory and application and will allow either directed \nor unassisted study. As a result, the text material’will be applicable \nto supplement formal class Iectures and briefings and provide reading \nmaterial as a background for training and flying operations. \nMuch of the specialized mathematical detail of aerodynamics has \nbeen omitted wherever it was considered unnecessary in the field of \nflying operations. Also, many of the basic assumptions and limita- \ntions of certain parts of aerodynamic theory have been omitted for the \nsake of simplicity and clarity of presentation. In order to contend with \nthese specific shortcomings, the Naval Aviator should rely on the \nassistance of certain specially qualified individuals within Naval Avia- \ntion. For example, graduate aeronautical engineers, graduates of the \nTest Pilot Training School at the Naval Air Test Center, graduates of \nthe Naval Aviation Safety Officers Course, and technical representatives \nof the manufacturers are qualified to assist in interpreting and applying \nthe more difficult parts of aerodynamics and aeronautical engineering. \nTo be sure, the specialized qualifications of these individuals should \nbe utilized wherever possible. \niii", - "page_start": 4, - "page_end": 4, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-BOT-BO \nBASIC AERODYNAMICS \nChapter 1 \nBASIC AERODYNAMKS \nIn order to understand the characteristics of \nhis aircraft and develop precision flying tech- \nniques, the Naval Aviator must be familiar \nwith the fundamentals of aerodynamics. There \nare certain physical laws which describe the \nbehavior of airflow and define the various \naerodynamic forces and moments acting on a \nsurface. These principles of aerodynamics pro- \nvide the foundations for good, precise flying \ntechniques. \nWING AND AIRFOIL FORCES \nPROPERTIES OF THE ATMOSPHERE \nThe aerodynamic forces and moments acting \non a surface are due in great part to the prop- \nerties of the air mass in which the surface is \noperating.~ The composition, of the earth’s \natmosphere by volume is approximately 78 \npercent. nitrogen, 21 percent oxygen, and 1", - "page_start": 18, - "page_end": 18, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OO-EOT-80 \nINDEX \nproprllcrs lmd \ncharactcrlstics. ........... : ............... 14s \nefficiency .................................. 145 \nopcrarmg limitations. ............ : ......... 148 \npropulsion \netlicicncy .................................. 106 \nprinciples. ............. : _ ................. 104 \nram tempcraturc rise. ......................... 242 \nrange performance. $ .................... ..... 158 \noff-optimum conditions. .................... 172 \npropeller airplanes. ......................... 160 \nturbojet airplanes ........................... 164 \nrate of climb. ................................ 154 \nreciprocating engines \noperating characteristics ..................... 13s \noperating limitations. ....................... 144 \nrefusal speed, ....... .+: .................... :, .... 392 \ntetreating blade stall. ......................... 402 \nreversed command region. ..................... 353 \nReynolds number. ............. :. ............. 54 \nscale effect. .................................. 59 \nseparation, airflow. ............................ 56 \nservice life. ................................ 328 \nshock induced separation. ..................... 218 \nshock wave formation. ....................... 218 \nsideslip angle. ............................... 284 \nslipstream rotation. .......................... 294 \nsonic booms. ................................. 396 \nspanwise lift distribution. ..................... 74 \nspecificendurance ............................. 170 \nspecific fuel consumption \nreciprocating engine. ....................... 141 \nturbojet cngi.ne. ......................... 117 \nspecificrange ................................. 158 \nspeed, maximum and minimum. ............... 150 \nspin,spinrecovery..........................291, 307 \nSrability and Control, Chapter IV. ............. 243 \nstability \ndirectional. ................................ 284 \ndynamic ................................... 245 \nhelicopter .................................. 319 \nlateral ..................................... 294 \nlongitudinal. ... : .......................... 250 \nmiscellaneous problems. ..................... 305 \nstatic ............................ ......... 243 \nstallspeeds ................................. 35 \nPage \nseal pattern. ................................ 77 \nstall rec”very. ............................... 39 \nstandard atmosphere. ......................... 4 \nstatic strength. ............................... 326 \nstreamline pattern. ............. ............. 14 \nsupercharging. ............................... 141 \nsupersonic airfoil sections. .................... 223 \nsweepback ................................... 63 \nadvantages .................................. 226 \ndisadvantages. ............................. 231 \ntakeoff ...................................... 365 \ntakeoff performance. .......................... 184 \nfactors affecting performance. ................ 187 \ntaper, taper ratio. ............................ 63 \nthrust augmentation. ......................... 129 \nthrust required. .............................. 96 \ntime limitations, powcrplants. ............... 128, 144 \ntip stall. .................................... 77 \ntip vortex. .................................. 63 \ntorque. ............................... ,;, ........ 137 \ntransition of boundary layer. .................. 52 .. transon1c aIrfoIl scctlo”s. ...................... 220 \ntrue airspeed, TAS. ........................... 14 \nturbojetengines .............................. 107 \noperating characteristics. ................... 116 \noperating limitations. ...................... 124 \nturboprop, gas turbine-propeller combination. ... 132 \nturbulence.................................332, 339 \nturning performance. ......................... 178 \nturn rate, turn radius. ........................ 176 \nunsymmetrical power, see asymmetrical power. \nviscosity. ................................... 4 \nV-n or V-g diagram. ......................... 334", - "page_start": 433, - "page_end": 433, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OD-8OT-80 \nAPPLICATION OF AERODYNAMICS \nTO SPECIFIC PROBLEMS OF FLYING \nChapter 6 \nAPPLICATION OF AERODYNAMICS TO SPECIFBC PROW \nOF FLYING \nWhile the previous chapters have presented \nthe detailed parts of the general field of aero- \ndynamics, there remain various problems of \nflying which require the application of princi- \nples from many parts of aerodynamics. The \napplication of aerodynamics to these various \nproblems of flying will assist the Naval Aviator \nin understanding these problems and develop- \ning good flying techniques. \nPRIMARY CONTROL OF AIRSPEED AND \nALTITUDE \nFor the conditions of steady flight, the air- \nplane must be in equilibrium. Equilibrium \nwill be achieved when there is no unbalance of \nforce’or moment acting on the airplane. If it is \nassumed that the airplane is trimmed so that \nno unbalance of pitching, yawing, or rolling \nmoments exists, the principal concern is for \n349", - "page_start": 366, - "page_end": 366, - "source_file": "00-80T-80.pdf" - }, - { - "text": "PLIGHT AT HIGH LIFT CONDITIONS \nIt is frequently stated that the career Naval \nAviator spends more than half his life “below \na thousand feet and a hundred knots.” Re- \ngardless of the implications of such a state- \nment, the thought does cunnute the relation- \nship of minimum flying speeds and carrier \naviation. Only in Naval Aviation is there \nsuch importance assigned to precision control \nof the aircraft at high lift conditions. Safe \noperation in carrier aviation demands precision \ncontrol of the airplane at high lift conditions. \nThe aerodynamic lift characteristics of an \nairplane are portrayed by the curve of lift \ncoefficient versus angle of attack. Such a \ncurve is illustrated in figure 1.15 for a specific \nairplane in the clean and flap down configura- \ntions. A given aerodynamic configuration ex- \nperiences increases in lift coefficient with in- \ncreases in angle of attack until the maximum \nlift coefficient is obtained. A further increase \nin angIe of attack produces stall and the lift \ncoefficient then decreases. Since the maximum \nlift coefficient corresponds to the minimum \nspeed available in flight, it is an important \npoint of reference. The stall speed of the air- \ncraft in level flight is related by the equation: \nV7.=17.2 J-- c w \n.ln2s \nwhere \nV.-stall speed, knots TAS \nW=gross weight, lbs. \nc Lnoz= airplane maximum lift coefficient \ncsaltitude density ratio \nS= wing area, sq. ft. \nThis equation illustrates the effect on stall \nspeed of weight and wing area (or wing load- \ning, W/S), maximum lift coefficient, and alti- \ntude. If the stall speed is desired in EAS, the \ndensity ratio will be that for sea level (u= \n1.000). \nEFFECT OF WEIGHT. Modern configu- \nrations of airplanes are characterized by a large \npercent. of the maximum gross weight being \nNAVWEPS 00-BOT-RO \nBASIC AERODYNAMICS \nfuel. Hence, the gross weight and stall speed \nof the airplane can vary considerably through- \nout the flight. The effect of only weight on \nstall speed can be expressed by a modified form \nof the stall speed equation where density ratio, \nc r,,,.,, and wing area are held constant. \nV _i_z- K \nJ v.,- K \nwhere \nV*,=stall speed corresponding to some \ngross weight, WI \nV@a= stall speed corresponding to a dif- \nferent gross weight, WP \nAs an illustration of this equation, assume \nthat a particular airplane has a stall speed of \n100 knots at a gross weight of 10,000 lbs. \nThe stall speeds of this Sam: airplane at other \ngross weights would be: \nll,W 100x 4, ‘&~=lO, \n12,ooO 110 \n14,4al 120 \n9mJ 95 \n8,100 90 \nFigure 1.15 illustrates the effect of weight on \nstall speed on a percentage basis and will be \nvalid for any airplane. Many specific condi- \ntions of flight are accomplished at certain fixed \nangles of attack and lift coefficients. The \neffect of weight on a percentage basis on the \nspeeds for any specific lift coefficient and angle \nof attack is identical. Note that at small \nvariations of weight, a rule of thumb may \nexpress the effect of weight on stall speed- \n“a 2 percent change in weight causes a I per- \ncent change in stall speed.” \nEFFECT OF MANEUVERING FLIGHT. \nTurning flight and maneuvers produce an \neffect on stall speed which is similar to the \neffect of weight. Inspection of the chart on \nfigure 1.16 shows the forces acting on an airplane \nin a steady turn. Any steady turn requires \nthat the vertical component of Iift be equal to \n35", - "page_start": 52, - "page_end": 52, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OD-BOT-80 \nSTABILITY AND CONTROL \nTYPICAL GUILD-UP 0F tzci~m~ENTs \nCM ,-WING+ FUSELAGE \nWING ONLY/. \n- - \nCL \n- \nC.G. @ 30% MAC . \nt \nEFFECT OF C.G. WsITION \nCM 50% MAC \n40% MAC (NEUTRAL pOlNn --- \nFigure 4.10. Stability Build-up and Effect of C.G. Positim", - "page_start": 277, - "page_end": 277, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Reproduction for non-military use of the information or illustrations contained in this \npublication is not permitted without specific approval of the issuing service (NA VAIR \nor USAF). The policy for use of Classified Publications is established for the Air Force \nin AFR 205-1 and for the Navy in Navy Regulations, Article 1509 • \n...------------- LIST OF CHANGED PAGES ISSUED \nA \nINSEIf LATEST C_ PAGES. DESTROY SUPERSEDED PAGES. \nNOTE: The portion of the tut .ff'ecr:ecl by the current change ia indicated by • vertical line in the OUter margins \nof the page. \n• The aateritlt indicate. pagel dwtged, added or deleted by the turrent change, \nADDITIONAL COPIES OF THIS PUBLICATION MAY BE OBTAINED AS FOLLOWS, \nUSAF AC'flVITlES-In accordance with Technical Order No. 00-5-1. \nNA VY ACTIVmE~UJe DO FORM U'\" and fllbmit in accordance with the inKruC:JiODi contained in NAVSUP PUB­\nLICATION -4'7-Military Standard Requilitioning and Issue Procedures. \nFot information on othtl' available maurW Ind details of distribution refer to NAVSUP PUBLICATION 2002 \nSECTION VIII, PART c .. d NAVAIR OO·IOOA. ' \nNAVAIR", - "page_start": 1, - "page_end": 1, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the static pressure of the aire at standard sea level ?", - "target_page": 20, - "target_passage": "At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "NAVWEe3 OO-BOT-80 \nBASIC AERODYNAMICS \npercent water vapor, argon, carbon dioxide, \netc. For the majority of all aerodynamic con- \nsiderations air is considered as a uniform \nmixture of these gases. The usual quantities \nused to define the properties of an air mass are \nas follows: \nSTATIC PRESSURE. The absolute static \npressure of the air is a property of primary \nimportance. The static pressure of the air \nat any altitude results from the mass of air \nsupported above that level. At standard sea \nlevel conditions the static pressure of the air \nis 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) \nand at 40,000 feet altitude this static pressure \ndecreases to approximately 19 percent of the \nsea level value. The shorthand notation for \nthe ambient static pressure is “p” and the \nstandard sea level static pressure is given the \nsubscript “a” for zero altitude, pa. A more \nusual reference in aerodynamics and perform- \nance is the proportion of the ambient sta~tic \npressure and the standard sea level static \npressure. This static pressure ratio is assigned \nthe shorthand notation of 8 (delta). \nAltitude pressure ratio \nAmbient static pressure \n=Standard sea level static pressure \n6 = PIP0 \nMany items of gas turbine engine perform- \nance are directly related to some parameter \ninvolving the altitude pressure ratio. \nTEMPERATURE. The absolute tempera- \ncure of the air is another important property. \nThe ordinary temperature measurement by the \nCentigrade scale has a/datum at the freezing \npoint of water but absolute zero temperature \nis obtained at a temperature of -273“ Centi- \ngrade. Thus, the standard sea level tcmpera- \nture of 15” C. is an absolute temperature of \n288”. This scale of absolute temperature using \nthe Centigrade increments is the Kelvin scale, \ne.g., o K. The shorthand notation for the \nambient air temperature is “T” and the stand- \nard sea level air temperature of 288’ K. is \nsignified by Ta. The more usual reference is, \nthe proportion of the ambient air temperature \nand the standard sea level air temperature. \nThis temperature ratio is assigned the short- \nhand notation of 0 (theta). \nTemperature ratio \nAmbient air temperature \n=Standard sea level air temperature \n@=TITtl \n,+273 \n288 \nMany items of compressibility effects and jet \nengine performance involve consideration of \nthe temperature ratio. \nDENSITY. The density of the air is a prop- \nerty of greatest importance in the study of \naerodynamics. The density of air is simply \nthe mass of air per~cubic foot of volume and \nis a direct measure of the quantity of matter \nin each cubic foot of air. Air at standard sea \nlcvcl conditions weighs 0.0765 pounds per cubic \nfoot and has a density of 0.002378 slugs per \ncubic foot. At an altitude of 40,000 feet the \nair density is approximately 25 percent of the \nsea level value. \nThe shorthand notation used for air density \nis p (rho) and the standard sea level air density \nis then pO. In many parts of aerodynamics it \nis very convenient to consider the proportion \nof the ambient air density and standard sea \nlevel air density. This density ratio is assigned \nthe shorthand notation of c (sigma). \ndensity ratio= ambient air density \nstandard sea level air density \na = PIP0 \nA general gas law defines the relationship of \npressure temperature, and density when there \nis no change of state or heat transfer. Simply \nstated this would be “density varies directly \nwith pressure, inversely with temperature.” \nUsing the properties previously defined, \ndensity ratio= Pressure rat’o. \ntemperature rat10 \n2", - "page_start": 19, - "page_end": 19, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OO-ROT-80 \nBASIC AERODYNAMICS \nICAO STANDARD ATMOSPHERE \n*GEOPOTENTIAL OF THE TROPOPAUSE \nFigure 1.7. Standard Altitude Table", - "page_start": 22, - "page_end": 22, - "source_file": "00-80T-80.pdf" - }, - { - "text": "If the potential energy is represented by the \nstatic pressure, p, the sum of the potential and \nkinetic energy is the total pressure of the air- \nstream. \nH=p+% P V’ \nwhere H=total pressure, psf (sometimes re- \nferred to as “head ’ pressure) \np=static pressure, psf. \np=density, siugs per cu. ft. \nV= velocity, ft./set. \nThis equation is the Bernoulli equation for \n‘incompressible flow. It is important to ap- \npreciate that the term >$pV2 has the units of \npressure, psf. This term is one of the most \nimportant in all aerodynamics and appears so \nfrequently t&it is given the name “dynamic \npressure” and the shorthand notation “4”. \nq= dynamic pressure, psf \n= jgpv2 \nWith this definition it could be said that the \nsum of static and dynamic pressure in the flow \ntube remains constant. \nFigure 1.3 illustrates the variation of static, \ndynamic, and total pressure of air flowing \nthrough a closed tube. Note that the total \npressure is con,stant throughout the length \nand any change in dynamic pressure produces \nthe same magnitude change in static pressure. \nThe dynamic pressure of a free airstream is \nthe one ‘common denominator of all aero- \ndynamic forces and moments. Dynamic pres- \nsure represents the kinetic energy of the free \nairstream and is a factor relating the capability \nfor producing changes in static pressure on a \nsurface. As defined, the dynamic, pressure \nvaries directly as the density and the square of \nthe velocity. Typical values of dynamic pres- \nsure, 4, are shown in table l-1 for various true \nairspeeds in the standard atmosphere. Notice \nthat the dynamic pressure at some fixed veloc- \nity varies directly with the density ratio at any \naltitude. Also, appreciate the fact that at an \naltitude of 40,oM) feet (where the density ratio, \nb, is 0.2462) it is necessary to have a true air \nvelocity twice that at sea level in order to \nproduct the same dynamic pressure. \nNAVWEPS 00-801-80 \nBASIC AERODYNAMICS \nTABLE l-l. Effect of Speed and Altitvde on Dwzmnic Prerrure \nTrue air \nspeed \n(fr./scc.) \nm= \n169 \n338 \n507 \n616 \n845 \nI, 013 \n- \n,I I \nc \n_- \nAIRSPEED MEASUREMENT. If a sym- \nmetrically shaped object were placed in a \nmoving airstream, the flow pattern typical of \nfigure 1.4 would result. The airstream at the \nvery nose of the object would stagnate and the \nrelative flow velocity at this point would be \nzero. The airflow ahead of the object pos- \nsesses some certain dynamic pressure and \nambient static pressure. At the very nose of \nthe object the local velocity will drop to zero \nand the airstream dynamic pressure will be \nconverted into an increase in static pressure at \nthe stagnation point. In other words, there \nwill exist a static pressure at the stagnation \npoint which is equal to the airstream total \npressure-ambient static pressure plus dynamic \npressure. \nAround the surface of the object the airflow \nwill divide and the local velocity will increase \nfrom zero at the stagnation point to some \nmaximum on the sides of the object. If fric- \ntion and viscosity effects are neglected, the \n9", - "page_start": 26, - "page_end": 26, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-807-80 \nBASIC AERODYNAMICS \nPITOT-STATIC SYSTEM \nw / :% . I. q \nPITOT WITH SEPARATE \nSTATIC SOURCE \nPRESSURE INDICATED BY GAUGE IS \nDIFFERENCE BETWEEN TOTAL AND \nSTATIC PRESSURE, H-p= q \nFigure. 1.5. Airspeed Measurement \ninstrument and errors due to position or lo- \ncation of the installation. The instrument \nerror must be small by design of the equip- \nment and is usually negligible in equjpment \nwhich is properly maintained and cared for. \nThe position error of the installation must \nbe small in the range of airspeeds involving \ncritical performance conditions. Position \nerrors are most usually confine,d to the static \nsource in that the actual static pressure \nsensed at the static port may be different \nfrom the free airstream static pressure. \nWhen the .,aircraft is operated through a \nlarge range’ of angles of attack, the static \npressure distribution varies ‘quite greatly \nand it becomes quite difficult to’minimize \nthe static source error. In most instances a \ncompensating group of static sources may \nbe combined to reduce the position error. \nIn order to appreciate the magnitude of this \nproblem, at flight speed near 100 knots a \n11 \n0.05 psi position error is an airspeed error \nof 10 knots. A typical variation of air- \nspeed system position error is illustrated in \nfigure 1.6. \n(3) The equivalent airspeed (PAS) is the \nresult of correcting the (CAS) for compressi- \nbility effects. At high flight speeds the \nstagnation pressure recovered in the pitot \ntube is not representative of the airstream \ndynamic pressure due to a magnification \nby compressibility. Compressibility of the \nairflow produces a stagnation pressure in \nthe pitot which is greater than if the flow \nwere incompressible. As a result, the air- \nspeed indication is given an erroneous mag- \nnihcation. The standard airspeed indicator \nis calibrated to read correct when at standard \nsea level conditions and thus has a com- \npressibility correction appropriate for these \nconditions. However, when the aircraft is \noperating above standard sea level altitude, \nRevised January 1965", - "page_start": 28, - "page_end": 28, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OO-EOT-80 \nBASIC AERODYNAMICS \nFORWARD STAGNATION AFT STAGNATION \nPOINT POINT \nAIRSTREAM AHEAD STAGNATION PRESSURE \nHAS AMBIENT STATIC IS AIRSTREAM TOTAL \nPRESSURE AND DYNAMIC PRESSURE \nPRESSURE P+q \nFtgure 1.4. Flow Pattern on a Symmetrical Object \nsurface anflow continues to the aft stagnation \npoint where the local velocity is again zero. \nThe important point of this example of aero- \ndynamic flow is existence of the stagnation \npoint. The change in airflow static pressure \nwhich takes place at the stagnation point IS \nequal to the free stream dynamic pressure, q. \nThe measurement of free stream dynamic \npressure is fundamental to the indication of \nairspeed. In fact, airspeed indicators are sim- \nply pressure gauges which measure dynamic \npressure related to various airspeeds. Typical \nairspeed measuring systems are illustrated in \nfigure 1.5. The pitot head has no internal \nflow velocity and the pressure in the pitot tube \nis equal to the total pressure of the airstream. \nThe purpose of the static-ports is to sense the \ntrue static pressure of the free airstream. The \ntotal pressure and static pressure lines are \nattached to a differential pressure gauge and \nthe net pressure indicated is the dynamic \npressure, q. The pressure gauge is then cali- \nbrated to indicate flight speed in the standard \nsea level air mass. For example, a dynamic \npressure of 305 psf would be realized at a sea \nlevel flight ,speed of 300 knots. \nActually there can be many conditions of \nflight where the airspeed indicator does not \ntruly reflect the actual velocity through the \nair mass. The corrections that must be applied \nare many and lisred in sequence below: \n(1) The indicated airspeed (IAS) is the \nactual instrument indication for some given \nflight condition. Factors such as an altitude \nother than standard sea level, errors of the \ninstrument and errors due to the installation, \ncompressibility, etc. may create great vari- \nance between this instrument indication and \nthe actual flight speed. \n(2) The calibrated airspeed (CM) is the \nresult of correcting IAS for errors of the \n10", - "page_start": 27, - "page_end": 27, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-SOT-80 \nBASIC AERODYNAMICS \nthe inherent compensation is inadequate and \nadditional correction must be applied. The \nsubtractive corrections that must be applied \nto CA$ depend on pressure altitude and CAS \nand are shown on figure 1.6 for the subsonic \nflight range. The equivalent airspeed (EAS) \nis the flight speed in the standard sea level \nair mass which would produce the same free \nstream dynamic pressure as the actual flight \ncondition. \n(4) The true airspeed (TAS) results when \nthe &4X is corrected for density altitude. \nSince the airspeed indicator is calibrated \nfor the dynamic pressures corresponding to \nairspeeds at standard sea level conditions, \nvariations in air density must be accounted \nfor. To relate EAS and TAX requires con- \nsideration that the EAS coupled with stand- \n.ard sea level density produces the same dy- \nnamic pressure as the TAX Soupled with the \n^^_._^ 1 .:.. 2---:... ,.f *L., bl:A.* rnrJ;r;m.. dCLUd, ‘all UcIIJIcy “I L11L “‘6°C C”IIUACI”L‘. \nFrom this reasoning, it can be shown that: \n(TAS)2p=(EAS)2 po \nd \n- \nor, TAS=EAS 62 P \nTAS= EAS 2 \n4 \nwhere TAX= true airspeed \nEAS=equivalent airspeed \np=actual air density \nPO= standard sea level air density \nn=altitude density ratio, p/pa \nThe result shows that the TAX is a function \nof EAS and density altitude. Figure 1.6 shows \na chart of density altitude as a function of \npressure altitude and temperature. Each par- \nticular density altitude fixes the proportion \nbetween TAX and EAS. The use of a naviga- \ntion computer requires setting appropriate \nvalues of pressure altitude and temperature on \nthe scales which then fixes rhe proportion be- \ntween the scales of TAS and EAS (or TAS and \nCAS when compressibiliry corrections are \napplicable). \nRevlted Jmuoy 1965 \n14 \nThus, the airspeed indicator system measures \ndynamic pressure and will relate true flight \nvelocity when instrument, position, compress- \nibility, and density corrections are applied. \nThese corrections are quite necessary for ac- \ncurate determination of true airspeed and \naccurate navigation. \nBernoulli’s principle and the concepts of \nstatic, dynamic, and total pressure are the basis \nof aerodynamic fundamentals. The pressure \ndistribution caused by the variation of local \nstack and dynamic pressures on a surface is \nthe source of the major aerodynamic forces \nand moment. \nDEVELOPMENT OF AERODYNAMIC \nFORCES \nThe typical airflow patterns exemplify the \nrelationship of static pressure and velocity \ndefined by Bernoulli. Any object placed in an \nairstream will have the a& to impact or stag- \nnate at some point near the leading edge. The \npressure at this point of stagnation will be an \nabsolute static pressure equal to the total pres- \nsure of the airstream. In other words, the \nstatic pressure at the stagnation point will be \ngreater than the atmospheric pressure by the \namount of the dynamic pressure of the air- \nstream. As the flow divides and proceeds \naround. the object, the increases in local ve- \nlocity produce decreases in static pressure. \nThis procedure of flow is best illustrated by the \nflow patterns and pressure distributions of \nfigure 1.7. \nSTREAMLINE PATTERN AND PRES- \nSURE DISTRIBUTION. The flow pattern of \nthe cylinder of figure 1.7 is characterized by \nthe streamlines which denote the local flow \ndirection. Velocity distribution is noted by \nthe streamline pattern since the streamlines \neffect a boundary of flow, and the airflow \nbetween the streamlines is similar to flow in a \nclosed tube. When the streamlines contract \nand are close together, high local velocities \nexist; when the streamlines expand and are \nfar apart, low local velocities exist. At the", - "page_start": 31, - "page_end": 31, - "source_file": "00-80T-80.pdf" - }, - { - "text": "existing on the surface. Of course, the ve- \nlocity distribution, and resulting pressure dis- \ntribution, is determmed by the.shape or pro- \nfile of the surface and the angle of a’track. \nThus, any aerodynamic force can be repre- \nsented as the product df three major factors: \nthe surface area of the objects \nthe dynamic pressure of the airstream \nthe coefficient or index of force determined \nby the relative pressure distribution \nThis relationship is expressed by the following \nequation : \nF= C,qS \nwhere \nF = aerodynamic force, lbs. \nC,=coeflicient of aerodynamic force \n,iay;mic pressure, psf \nS=surface area, sq. ft. \nIn order to fully appreciate the importance \nof the aerodynamic force coe&cient, C,, the , \nabove equation is rearranged to alternate \nforms : \nIn this form, the aerodynamic force coefficient \nJs appreciared as the aerodynamic force per \nsurface area and dynamic pressure. In other \nwords, the force coefficient is a dimensionless \nratio between the average aerodynamic pres- \nsure (aerodynamic force.per ‘area) and the air- \nstream dynamic pressure. All the aerodynamic \nforces of lift and drag are studied on this basis- \nthe common denominator in each case being \nsurface area and dynamic pressure. By such a \ndefinition, a “lift coefficient” would .be the \nratio between lift pressure and dynamic pres- \nsure; a “drag coefficient” would be the ratio \nbetween drag pressure and.:d.ynamic pressure. \nThe use of the coefficient form of an aero- \ndynamic force is necessary since the force \ncoellicient is: \n(1) An index 04 the aerodynamic force \nindependent of area, density, and velocity. \nNAVWEPS m-60T-30 \nBASIC AERODYNAMICS \nIt is derived from the relative pressure and \nvelocity distribution. \n(2) Influenced only by the shape of the \nsurface and angle of attack since these factors \ndetermine the pressure distribution. \n(3) An index which allows evaluation of \nthe effects of compressibility and viscosity. \nSince the effects of area, density, and velocity \nare obviated by the coefficient form, com- \npressibility and viscosity effects can be \nseparated for study. \nTHE BASIC LIFT EQUATION. Lift has \nbeen dehned as the net force developed per- \npendicular to the relative wind. The aero- \ndynamic force of lift on an airplane results \nfrom the generation of a pressure distribution \non the wing. This lift force is described by \nthe following equation: \nL=C& \nwhere \nL=lift, lbs. \nC, = lift coefficient. \nq= dy;:mic pressure, psf \n+p \nS= wing surface area, sq. ft. \nThe lift coefhcient used in this equation is the \nratio of the lift pressure and dynamic pressure \nand is a function of the shape of the wing and \nangle of attack. If the lift coefficient of a \nconventional airplane wing planfoi-m were \nplotted versus angle of attack, the result would \nbe typical of the graph of figure 1.11. Since \nthe effects of speed, density, area, weight, alti- \ntude, etc., are eliminated by the coefficient form, \nan indication of the true lift capability is ob- \ntained. Each angle of attack produces a par- \nticular lift coefficient since the angle of attack \nis the controlling factor in the pressure dis- \ntribution. Lift coeflicient increases with angle \nof attack up to the maximum lift coefficient, \nc L,,,~., and, as angle of attack is increased be- \nyond the maximum lift angle, the airflow is \nunable to adhere to the upper surface. The \nairflow then separates from the upper surface \nand stall occurs. \nJNTERPRETATION OF THE LIFT EQUA- \nTION. Several important relationships are \n23", - "page_start": 40, - "page_end": 40, - "source_file": "00-80T-80.pdf" - }, - { - "text": "LOAD \nFACTOR, \nn \n12- \nII- \nIO- \n9- \nB- \n7- \n6- \n5- \n4- \n3 \n2- \nI-. \n-o-. \n-I- \n-2- \n-3- \n-4- \n-5- \nGROSS WEIGHT - 16.000 LBS \nCLEAN CONFIGURATION \nSEA LEVEL ALTITUDE \nSYMMETRICAL LOADING \nI ,.,/,,.~A~~‘~,, FACTOR i \n~/POSlT,VE LlMlT LOAD FACTOR i \nLIMIT LIMIT \nAIRSPEED AIRSPEED \n575 575 KNOTS KNOTS \nINDICATED INDICATED AIRSPEED - KNOTS AIRSPEED - KNOTS \n200 300 300 400 400 500 500 I 600 600 \nNEGATIVE LIMIT LOAO FACTOR \nSTALL \nNEGATIVE ULTIMATE LOAD FACTOR \n\\ \nFigure 5.3. Flight Strength Diagram", - "page_start": 352, - "page_end": 352, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS OO-801-8O \nTABLE OF CONTENTS \nTABLE OF CONTENTS \nPREFACE.. ,., . iii \nCHAPTER I: BASIC AERODYNAMICS \nWING AND AIRFOIL FORCES \nPROPERTIES OF THE ATMOSPHERE. 1 \nStatic pressure \nTemperature \nDensity \nViscosity \nStandard atmosphere \nPressure altitude \nDensity altitude \nBERNOULLI’S PRINCIPLE AND SUBSONIC AIRFLOW.. 4 \nBernoulli’s equation, \nIncompressible tlow \n6 \nVariation of static pressure and velocity \nKinetic and porcntial energy of flow \nStatic and dynamic prcssurc, 4 \nFactors affecting dynamic pressure \nAirspeed measurement.. . . \nStagnation prcssurc \n9 \nMeasurement of dynamic pressure \nPitot and static sources \nIndicated airspeed \nDEVELOPMENT OF AERODYNAMIC FORCES.. \nStreamline pattern and pressure distribution. \nGeneratioaoflift.......................................... \nCirculation \nPressure distribution \n....... 14 \n....... 14 \n....... 16 \nAirfoil terminology. \nAerodynamic force coefficient . . \n‘,: \nBasic lift equation 2 3 \nLift coefficient \nDynamic prcssurc and surface area \n”", - "page_start": 6, - "page_end": 6, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00.401-80 \nBASIC AERODYNAMICS \nThus, a sea level airspeed (or EAS) of 100 \nknots would provide the dynamic pressure \nnecessary at maximum lift to produce 14,250 \nIbs. of lift. If the airplane were operated at a \nhigher weight, a higher dynamic pressure \nwould be required to furnish the greater lift \nand a higher stall speed would result. If the \nairplane were placed in a steep turn, the greater \nlift required in the turn would increase the \nstall speed. If the airplane were flown at a \nhigher density altitude the TAX at stall would \nincrease. However, one factor common to \neach of these conditions is that the angle of \nattack at C,,,, is the same. It is important to \nrealize that stall warning devices must sense \nangle of attack (a) or pressure distribution \n(related to CL). \nAnother important fact related by the basic \nlift equation and lift curve is variation of angle \nof attack and lift coefficient with airspeed. \nSuppose that the example airplane is flown in \nsteady, wing 1eveJ flight at various airspeeds \nwith lift equal to the weight. It is obvious \nthat an increase in airspeed above the stall \nspeed will require a corresponding decrease in \nlift coeflicient and angle of attack to maintain \nsteady, lift-equal-weight flight. The exact \nrelationship of lift coefficient and airspeed is \nevolved from the basic lift equation assuming \nconstant lift (equal to weight) and equivaIent \nairspeeds. \nderived from study of the basic lift equation \nand the typical wing lift curve. One impor- \ntant fact to be appreciated is that the airplane \nshown in figure 1.11 stalls at the same angle \nof attack regardless of weight, dynamic pres- \nsure, bank angle, etc. Of course, the stall \nspeed of the aircraft will be affected by weight, \nbank angle, and other factors since the product \nof dynamic pressure, wing area, and lift co- \nefficient must produce the required lift. A \nrearrangement of the basic lift equation de- \nfines this relationship. \nL = c&Y \nusing q =$ (I’ in knots, TAX) \nsolving for V, - \nV=17.2 & J L,J \nSince the stall speed is the minimum flying \nspeed necessary to sustain flight, the lift co- \nefficient must be the maximum (CL,,,,). \nSuppose that the airplane shown in’ figure \n1.11 has the following properties: \nWeight = 14,250 lbs \nWing area=280 sq. ft. \nC &=1.5 \nIf the airplane is flown in steady, level flight at \nsea level with lift equal to weight the stall \nspeed would be: \n,- \nV.= 17.24&$ \nwhere \nV.= stall speed, knots TAS \nW= weight, lbs. (lift = weight) \nva= 17.2 J (I.&4E;280) \n= 100 knots \nC‘ v, p -= - C %n.* 0 V \nThe example airplane was specified to have: \nWeight = 14,250 lbs. \nC L,,,=lS \nV,= 100 knots EAS \nThe following table depicts the lift coefficients \nand angles of attack at various airspeeds in \nsteady flight. \n25", - "page_start": 42, - "page_end": 42, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the phenomenon associated with the production of lift by an airfoil ?", - "target_page": 34, - "target_passage": "An important phenomenon associated with the production of lift by an airfoil is the “circulation” parted to the airstream. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "NAVWEPS 00-801-80 \nBASIC AERODYNAMICS \nrotation will be quite a “curve ball artist” \nthe golfer that cannot control the lateral mo- \ntion of the club face striking the golf ball will \nimpart an uncontrollable spin and have trouble \nwith a “hook” or “slice.” \nWhile a rotating cylinder can produce a net \nlift from the circulatory flow, the method is \nrelatively inefficient and only serves to point \nout the relationship between lift and circula-, \ntion. An airfoil is capable of producing lift \nwith relatively high efficiency and the process \nis illustrated in figure 1.8. If a symmetrical \nairfoil is placed at zero angle of attack to the \nairstream, the streamline pattern and pressure \ndistribution give evidence of zero lift. HOW- \never, if the airfoil is given a positive angle of \nattack, changes occur in the streamline pattern \nand pressure distribution similar to changes \ncaused by the addition of circulation to the \ncylinder. The positive angle of attack causes \nincreased velocity on the upper surface with \nan increase in upper surface suction while the \ndecreased velocity on the lower surface causes \na decrease in lower surface suction. Also, \nupwash is generated ahead of the airfoil, the \nforward stagnation point moves under the \nleading edge, and a downwash is evident aft \nof the airfoil. The pressure distribution 0” \nthe airfoil now provides a net force perpendicu- \nlar to the airstream-lift. \nThe generation of lift by an airfoil is depend- \nent upon the airfoil being able to create circu- \nlation in the airstream and develop the lifting, \npressure distribution on the surface. In all \ncases, the generated lift will be the net force \ncaused by the distribution of pressure over the \nupper and lower surfaces of the airfoil. At \nlow angles of attack, suction pressures usually \nwill exist on both upper and lower surfaces. \nbut the upper surface suction must be greater \nfor positive lift. At high angles of attack \nnear that for maximum lift, a positive pressure \nwill exist on the lower surface but this will \naccount for approximately one-third the net \nlift. \nThe effect of free stream density and velocity \nis a necessary consideration when studying the \ndevelopment of the various aerodynamic forces. \nSuppose that a particular shape of airfoil is \nfixed at a particular angle to the airstream. \nThe relative velocity and pressure distribution \nwill be determined by the shape of the airfoil \nand the angle to the airstream. The effect of \nvarying the airfoil size, air density and air- \nspeed is shown in figure 1.9. If the same air- \nfoil shape is placed at the same angle to an \nairstream with twice as great a dynamic pres- \nsure the magnitude of the pressure distribution \nwill be twice as great but the r&rive shape of \nthe pressure distribution will be the same. \nWith twice as great a pressure existing over \nthe surface, all aerodynamic forces and mo- \nments will ~double. If a half-size airfoil ib \nplaced at the same angle to the original air- \nstream, the magnitude of the pressure distri- \nbution is the same as the origina! airfoi! and \nagain the relative shape of the pressure dis- \ntribution is identical. The same pressure act- \ning on the half-size surface would reduce all \naerodynamic forces to one-half that of the \noriginal. This similarity of flow patterns \nmeans that the stagnation point occurs at the \nsame place, the peak suction pressure occurs \nat the same place, and the actual magnitude of \nthe aerodynamic forces and moments depends \nupon the airstream dynamic pressure and the \nsurface area. This concept is extremely im- \nportant when attempting to separate and ana- \nlyze the most important factors affecting the \ndevelopment of aerodynamic forces. \nAIRFOIL TERMINOLOGY. Since the \nshape of an airfoil and the inclination to the \nairstream are so important in determining the \npressure distribution, it is necessary to properly \ndefine the airfoil terminology. Figure 1.10 \nshows a typical airfoil and illustrates the", - "page_start": 37, - "page_end": 37, - "source_file": "00-80T-80.pdf" - }, - { - "text": "the lift change occurs. Since the moment \nabout the aerodynamic center is the product \nof a force (lift at the c.P.) and a lever arm \n(distance from c.9. to a.~.), an increase in lift \nmoves the center of pressure toward the aero- \ndynamic center. \nIt should be noted that the symmetrical air- \nfoil at zero lift has no pitching moment about \nthe aerodynamic center because the upper and \n47", - "page_start": 64, - "page_end": 64, - "source_file": "00-80T-80.pdf" - }, - { - "text": "and high power, the dynamic pressure in the \nshaded area can be much greater than the free \nstream and this causes considerably greater \nlift than at zero thrust. At high power con- \nditions the induced flow also causes an effect \nsimilar to boundary layer control and increases \nthe maximum lift angle of attack. The typical \nfour-engine propeller driven airplane may have \n60 to 80 percent of the wing area affected by \nthe induced flow and power effects on stall \nspeeds may be considerable. Also, the lift of \nthe airplane at a given angle of attack and air- \nspeed will be greatly affected. Suppose the \nairplane shown is in the process of landing \nflare from a power-on approach. If there is \na sharp, sudden reduction of power, the air- \nplane may drop suddenly because of the reduced \nlift. \nThe typical jet aircraft does not experience \nthe induced flow velocities encountered in \npropeller driven airplanes, thus the only sig- \nnificant factor is the vertical component of \nthrust. Since this vertical component con- \ntributes to supporting the airplane, less aero- \ndynamic lift is required to hold the airplane \nin flight. If the thrust is small and the thrust \ninclination is slight at maximum lift angle, \nonly negligible changes in stall speed will re- \nsult. On the other hand, if the thrust is very \ngreat and is given a large inclination at maxi- \nmum lift angle, the effect on stall speed can \nbe very large. One important relationship \nremains-since there is very little induced flow \nfrom the jet, the angle of attack at stall is \nessentially the same power-on or power-off. \nDEVELOPMENT OF AERODYNAMIC \nPITCHING MOMENTS \nThe distribution of pressure over a surface \nis the ,source of the aerodynamic moments as \nwell as the aerodynamic forces. A typical \nexample of this fact is the pressure distribution \nacting on the cambered airfoil of figure 1.21. \nThe upper surface has pressures distributed \nwhich produce the upper surface lift; the lower \nsurface has pressures distributed which pro- \nduce the lower surface lift. Of course, the \nNAVWEPS 00-801~0 \nBASIC AERODYNAMICS \nnet lift produced by the airfoil is difference \nbetween the lifts on the upper and lower sur- \nfaces. The point along the chord where the \ndistributed lift is effectively concentrated is \ntermed the “center of pressure, c.p.“ The \ncenter of pressure is essentially the “center of \ngravity” of the distributed lift pressure and \nthe location of the c.p. is a function of camber \nand section lift coe&cient \nAnother aerodynamic reference point is the \n“aerodynamic center, d.e.” The aerodynamic \ncenter is defmed as the point along the chord \nwhere all changes in lift effectively take place. \nTo visualize the existence of such a point, \nnotice the change in pressure distribution with \nangle of attack for the symmetrical airfoil \nof figure 1.21. When at zero lift, the upper \nand lower surface lifts are equal and located \nat the same point. With an increase in angle \nof attack, the upper surface lift increases while \nthe lower surface lift decreases. The change \n,of lift has taken place with no change in the \ncenter of pressure-a characteristic of sym- \nmetrical airfoils. \nNext, consider the cambered airfoil of \nfigure 1.21 at zero lift. To produce zero lift, \nthe upper and lower surface lifts must be equal. \nOne difference noted from the symmetrical air- \nfoil is that the upper and lower surface lifts are \nnot opposite one another. While no net lift \nexists on the airfoil, the couple produced by \nthe upper and lower surface lifts creates a nose \ndown moment. As the angle of attack is in- \ncreased, the upper surface lift increases while \nthe lower surface lift decreases. While a \nchange in lift has taken place, no change in \nmoment takes place about the point where \nthe lift change occurs. Since the moment \nabout the aerodynamic center is the product \nof a force (lift at the c.P.) and a lever arm \n(distance from c.9. to a.~.), an increase in lift", - "page_start": 64, - "page_end": 64, - "source_file": "00-80T-80.pdf" - }, - { - "text": "anticipated. With increasing Reynolds Num- \nber, it may be expected that the section maxi- \nmum lift coefficient will increase (from the \nhigher energy turbulent boundary layer) and \nthat the section drag coefficient will decrease \n(similar to that of the smooth plate). These \neffects are illustrated by the graphs of figure \n1.27. \nThe characteristics depicted in figure 1.27 \nare for the NACA 4412 airfoil (4 percent \n59", - "page_start": 76, - "page_end": 76, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-8OT-80 \nBASIC AERODYNAMICS \nvortex filaments which consist of the tip or \ntrailing vortices coupled with the bound or \nline vortex. The tip vortices are coupled with \nthe bound vortex when circulation is induced \nwith lift. The effect of this vortex system is \nto create certain vertical velocity components \nin the vicinity of the wing. The illustration \nof these vertical velocities shows that ahead \nof the wing the bound vortex induces an up- \nwash. Behind the wing, the coupled action \nof the bound vortex and the tip vortices in- \nduces a downwash. With the action of tip \nand bound vortices coupled, a final vertical \nvelocity (220) is imparted to the airstream by \nthe wing producing lift. This result is an \ninevitable consequence of a finite wing pro- \nducing lift. The wing Producing lift applies \nthe equal and opposite force to the airstream \nand deflects it downward. One of the impor- \ntant factors in this system is that a downward \nvelocity is created at the aerodynamic center \n(w) which is one half the final downward \nvelocity imparted to the airstream (2~). \nThe effect of the vertical velocities in the \nvicinity of the wing is best appreciated when \nthey are added vectorially to the airstream \nvelocity. The remote free stream well ahead \nof the wing is unaffected and its direction is \nopposite the flight path of the airplane. ‘Aft \nof the wing, the vertical velocity (2~) adds to \nthe airstream velocity to produce the down- \nwash angle e (epsilon). At the aerodynamic \ncenter of the wing, the vertical,velocity (w) \nadds to the airstream velocity to produce a \ndownward deflection of the airstream one-half \nthat of the downwash angle. In other words, \nthe wing producing lift by the deflection of an \nairstream incurs a downward slant co the wind \nin the immediate vicinity of the wing. Hence, \nthe JeCtionJ of the wing operate in an average rela- \ntive wind which is inclined downward one-half the \nfinal dowraw& angle. This is one important \nfeature which distinguishes the aerodynamic \nproperties of a wing from the aerodynamic \nproperties of an airfoil section. \nThe induced velocities existing at the aero- \ndynamic center of a finite wing create an aver- \nage relative wind which is different from the \nremote free stream wind. Since the aerody- \nnamic forces created by the airfoil sections of a \nwing depend upon the immediate airstream in \nwhich they operate, consideration must be \ngiven to the effect of the inclined average rela- \ntive wind. \nTo create a certain lift coefficient with the \nairfoil section, a certain angle must exist be- \ntween the airfoil chord line and the avcragc \nrelative wind. This angle of attack is a,,, the \nsection angle of attack. However, as this lift \nis developed on the wing, downwash is in- \ncurred and the average relative wind is in- \nclined. Thus, the wing must be given some \nangle attack greater than the required section \nangle of attack to account for the inclination of \nthe average relative wind. Since the wing \nmust be given this additional angle of attack \nbecause of the induced flow, the angle between \nthe average reiative wind arid tlie remote fiCC \nstream is termed the induced angle of attack, \nai. From this influence, the wing angle of \nattack is the sum of the section and induced \nangles of attack. \na=ul)+a; \nwhere a= wing angle of attack \nOLD= section angle of attack \nOI;= induced angle of attack \nINDUCED DRAG \nAnother important influence of the induced \nflow is the orientation of the actual lift on a \nwing. Figure 1.30 illustrates the fact that the \nlift produced by the wing sections is perpen- \ndicular to the average relative wind. Since \nthe average relative wind is inclined down- \nward, the section lift is inclined aft, by the \nsame amount-the induced angle of attack, \nai. The lift and drag of a wing must continue \nto be referred perpendicular and parallel to the \nremote free stream ahead of the wing. In this \nrespect, the lift on the wing has a component", - "page_start": 83, - "page_end": 83, - "source_file": "00-80T-80.pdf" - }, - { - "text": "NAVWEPS 00-8OT-80 \nBASIC AERODYNAMICS \nCYLINDER WITHOUT CIRCULATION \nINCREASED LOCAL \nVELOCITY \nUPWASH mSWNWASH \n---- \n\\ \nLDECREASED LOCAL \nVELOCITY \nCYLINDER WITH CIRCULATION \nMAGNUS EFFECT BY \nROTATING CYLINDER \nAIRFOIL LIFT \n-ZERO LIFT \nI \nUPWASH \n7 INCREASED LOCAL \nI ,-VELOCITY \nPOSITIVE LIFT \nDECREASED LOCAL \nVELOCITY \nFigure 1.8. Generation of Lift (sheet 1 of 2) \n17", - "page_start": 34, - "page_end": 34, - "source_file": "00-80T-80.pdf" - }, - { - "text": "distribution produces an inclined lift with \ndrag due to lift which is in addition to the \nwave drag at zero lift. Part (g) of figure 3.8 \nshows the wave pattern for a circular arc air- \nfoil. After the airflow traverses the oblique \nshock wave at the leading edge, the airflow \nundergoes a gradual but continual expansion \nuntil the trailing edge shock wave is en- \ncountered. Part (h) of figure 3.8 illustrates \nthe wave pattern on a conventional blunt nose \nairfoil in supersonic flow. When the nose is \nblunt the wave must detach and become a \nnormal shock wave immediately ahead of the \nleading edge. Of course, this wave form \nproduces an area of subsonic airflow at the \nleading edge with very high pressure and \ndensity behind the detached wave. \nThe drawings of figure 3.8 illustrate the \ntypical patterns of supersonic flow and point \nout these facts concerning aerodynamic surfaces \nin two dimensional supersonic flow: \n(1) All changes in velocity, pressure, \ndensity and flow direction will take place \nquite suddenly through the various. wave \nforms. The shape of the object and the \nrequired flow ,direction change dictate the \ntype and strength of the wave formed. \n(2) As always, lift results from the distri- \nbution of pressure on a surface and is the net \nforce perpendicular to the free stream direc- \ntion. Any component of the lift in a direc- \ntion parallel to the windstream will be \ndrag due to lift. \n(3) In supersonic flight, the zero lift drag \nof an airfoil of some finite thickness will \ninclude a “wave drag.” The thickness of \nthe airfoil will have an extremely powerful \neffect on this wave drag since the wave drag \nvaries as the square of the thickness ratio- \nif the thickness is reduced 50 percent, the \nwave drag is reduced 73 percent. The lead- \ning edges of supersonic shapes must be sharp \nor the wave formed at the leading edge will \nbe a strong detached shock wave. \n(4) Once the flow on the airfoil is super- \nsonic, the aerodynamic center of the surface \nNAWEPS 00-80T-80 \nHIGH SPEED AERODYNAMICS \nwill be located approximately at the SO per- \ncent chord position. As this contrasts with \nthe subsonic location for the aerodynamic \ncenter of the 23 percent chord position, sig- \nnificant changes in aerodynamic trim and \nstability may be encountered in transonic \nflight. \nCONFIGURATION EFFECTS \nTRANSONIC AND SUPERSONIC PLIGHT \nAny object in subsonic flight which has some \nfinite thickness or is producing lift will have \nlocal velocities on the surface which are \ngreater than the free stream velocity. Hence, \ncompressibility effects can be expected to \noccur at flight speeds less than the speed of \nsound. The transonic regime of flight pro- \nvides the opportunity for mixed subsonic and \nsupersonic flow and. accounts for the first 1 \nsignificant effects of compressibility. \nConsider a conventional airfoil shape as \nshown in figure 3.9. If this airfoil is at a \nflight Mach number of 0.50 and a slight posi- \ntive angle of attack, the maximum local \nvelocity on the surface will be greater than \nthe flight speed but most likely less than \nsonic speed. Assume that an increase in \nflight Mach number to 0.72 would produce \nlfrst cvidmc of local son@ flow. This condition \nof flight would be the highest flight speed \npossible without supersonic flow and would \nbe termed the “critical Mach number.” Thus, \ncritical Mach number is the bouodary between \nsubsonic and transonic flight and is an im- \nportant ~point of reference for all compressi- 1 \nbility effects encountered in transonic flight. \nBy delinition, critical Mach number is the \n“free stream Mach number which produces \n6rst evidence of local sonic flow.” Therefore, \nshock waves, buffet, airflow separation, etc., \ntake place above critical Mach number. \nAs critical Mach number is exceeded an \narea of ~uprrronic airflow is created and a normal \n215 \nRevised January 1965", - "page_start": 232, - "page_end": 232, - "source_file": "00-80T-80.pdf" - }, - { - "text": "lower surface lifts act along the same vertical \nline. An increase in.lift on the symmetrical \nairfoil produces no change in this situation and \nthe center of pressure remains fixed at the aero- \ndynamic center. \nThe location of the aerodynamic center of an \nairfoil is not affected by camber, thickness, and \nangle of attack. In fact, two-dimensional in- \ncompressible airfoil theory will predict the \naerodynamic center at the 25 percent chord point \nfor any airfoil regardless of camber, thickness, \nand angle of attack. Actual airfoils, which \nare subject to real fluid flow, may not have the \nlift due to angle of .attack concentrated at the \nexact 25 percent chord point. However, the \nactual location of the aerodynamic center for \nvarious sections is rarely forward of 23 percent \nor aft of 27 percent chord point. \nThe moment about the aerodynamic center \nhas its source in the relative pressure distribu- \ntion and requires application of the coefficient \nform of expression for proper evaluation. The \nmoment about the aerodynamic center is ex- \npressed by the following equation : \nwhere \nA&, = moment about the aerodynamic center, \na.c., ft.-lbs. \nCMa.c,=coefbcient of moment about the a.c. \nq= dynamic pressure, psf \nS=wing area, sq ft. \nc=chord, ft. \nThe moment coefficient used in this equation is \nthe dimensionless ratio of the moment pressure \nto dynamic pressure moment and is a function \nc ML3.C. \n%.c. = p- \nof. the shape of the airfoil mean camber line. \nFigure 1.22 shows the moment coefficient, \nNAVWEPS O&601-80 \nBASIC AERODYNAMICS \nC%C. versus lift coefficient for several repre-. \nsentative sections. The sign convention ap- \nplied to moment coefficients is that the nose-up \nmoment is positive. \nThe NACA Ooog airfoil is a symmettical sec- \ntion of 9 percent maximum thickness. Since \nthe mean line of this airfoil has no camber, \nthe coefhcient of moment about the aerody- \nnamic center is zero, i.e., the c.p. is at the ac. \nThe departure from zero cno.+ occurs only as the \nairfoil approaches maximum lift and the stall \nproduces a moment change in the negative \n(nose-down) direction. The NACA 4412 and \n63,-412 sections have noticeable positive cam- \nber which cause relatively large moments about \nthe aerodynamic center. Notice that for each \nsectionshowninfrgure 1.22, the c,,,.... isconstant \nfor all lift coefficients less than cl,-. \nThe NACA 23012 airfoil is a very efficient \nconventional section which has been used on \nmany airplanes. One of the features of the \n~section is a relatively high c& with only a \nsmall c,,,,,,; The pitching moment coefficients 1 \nfor this section are shown on figure 1.22 along \nwith the effect of various type flaps added to \nthe basic section. Large amounts of camber \napplied well aft on the chord cause large nega- \ntive moment coefficients. This fact is illus- \ntrated by the large negative moment coefli- \ncients produced by the 30” deflection of a 25 \npercent chord flap. \nme kc. is a quantity determined by the \nshape of the mean-camber line. Symmetrical \nairfoils have zero c,,,,. and the c.p. remains at \nthe a.~. in unstalled flight. The airfoil with \npositive camber will have a negative c,,,~,~, \nwhich means the c.p. is behind the a.~. Since \nthe c5.c. is constant in unstalled flight a certain \nrelationship between lift coefficient and center \nof pressure can be evolved. An example of \nthis relationship is shown in figure 1.22 for the \nNACA 63i-412 airfoil by a plot of c.p. versus \nc,. Note that at low lift coefficients the center \nof pressure is well aft-even past the trailing \nedge-and an increase in C~ moves the c.p, for- \nward toward the a.~. The c.9. approaches the \n49 \nRevised Jmuoy 1965", - "page_start": 66, - "page_end": 66, - "source_file": "00-80T-80.pdf" - }, - { - "text": "existing on the surface. Of course, the ve- \nlocity distribution, and resulting pressure dis- \ntribution, is determmed by the.shape or pro- \nfile of the surface and the angle of a’track. \nThus, any aerodynamic force can be repre- \nsented as the product df three major factors: \nthe surface area of the objects \nthe dynamic pressure of the airstream \nthe coefficient or index of force determined \nby the relative pressure distribution \nThis relationship is expressed by the following \nequation : \nF= C,qS \nwhere \nF = aerodynamic force, lbs. \nC,=coeflicient of aerodynamic force \n,iay;mic pressure, psf \nS=surface area, sq. ft. \nIn order to fully appreciate the importance \nof the aerodynamic force coe&cient, C,, the , \nabove equation is rearranged to alternate \nforms : \nIn this form, the aerodynamic force coefficient \nJs appreciared as the aerodynamic force per \nsurface area and dynamic pressure. In other \nwords, the force coefficient is a dimensionless \nratio between the average aerodynamic pres- \nsure (aerodynamic force.per ‘area) and the air- \nstream dynamic pressure. All the aerodynamic \nforces of lift and drag are studied on this basis- \nthe common denominator in each case being \nsurface area and dynamic pressure. By such a \ndefinition, a “lift coefficient” would .be the \nratio between lift pressure and dynamic pres- \nsure; a “drag coefficient” would be the ratio \nbetween drag pressure and.:d.ynamic pressure. \nThe use of the coefficient form of an aero- \ndynamic force is necessary since the force \ncoellicient is: \n(1) An index 04 the aerodynamic force \nindependent of area, density, and velocity. \nNAVWEPS m-60T-30 \nBASIC AERODYNAMICS \nIt is derived from the relative pressure and \nvelocity distribution. \n(2) Influenced only by the shape of the \nsurface and angle of attack since these factors \ndetermine the pressure distribution. \n(3) An index which allows evaluation of \nthe effects of compressibility and viscosity. \nSince the effects of area, density, and velocity \nare obviated by the coefficient form, com- \npressibility and viscosity effects can be \nseparated for study. \nTHE BASIC LIFT EQUATION. Lift has \nbeen dehned as the net force developed per- \npendicular to the relative wind. The aero- \ndynamic force of lift on an airplane results \nfrom the generation of a pressure distribution \non the wing. This lift force is described by \nthe following equation: \nL=C& \nwhere \nL=lift, lbs. \nC, = lift coefficient. \nq= dy;:mic pressure, psf \n+p \nS= wing surface area, sq. ft. \nThe lift coefhcient used in this equation is the \nratio of the lift pressure and dynamic pressure \nand is a function of the shape of the wing and \nangle of attack. If the lift coefficient of a \nconventional airplane wing planfoi-m were \nplotted versus angle of attack, the result would \nbe typical of the graph of figure 1.11. Since \nthe effects of speed, density, area, weight, alti- \ntude, etc., are eliminated by the coefficient form, \nan indication of the true lift capability is ob- \ntained. Each angle of attack produces a par- \nticular lift coefficient since the angle of attack \nis the controlling factor in the pressure dis- \ntribution. Lift coeflicient increases with angle \nof attack up to the maximum lift coefficient, \nc L,,,~., and, as angle of attack is increased be- \nyond the maximum lift angle, the airflow is \nunable to adhere to the upper surface. The \nairflow then separates from the upper surface \nand stall occurs. \nJNTERPRETATION OF THE LIFT EQUA- \nTION. Several important relationships are \n23", - "page_start": 40, - "page_end": 40, - "source_file": "00-80T-80.pdf" - }, - { - "text": "exceed the critical angle of attack or the in- \ncrease in induced drag may be quite large. For \nthis reason, any clearing turns made immedi- \nately after takeoff or deck launch must be slight \nand well within the capabilities of the air- \nplane. \n366", - "page_start": 383, - "page_end": 383, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What are the recyclable waste ?", - "target_page": 3, - "target_passage": "All types of paper and cardboard, Metal packaging, even the smallest ones, Plastic bottles and flasks, All other packaging", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "/ /50% green materials : all fruit and vegetable \npeelings, leftover meat, egg shells, tea and \ncoffee…\n/ /50% brown materials : dead leaves, twigs, \nkitchen rolls, shavings, possibly paper, \nnewspaper and cardboard …\nRECYCLABLE WASTE\nORGANIC WASTE\nINSTRUCTIONS \nin the Pays de Lauzun district\nPlastic bottles and flasks\nAll types of paper \nand cardboard\nMetal packaging, \neven the smallest ones\nAll other packaging\nNEW\nSORTING ERROR IN YELLOW BIN = YELLOW BIN NOT COLLECTED\nGOOD SORTING HABITS: EMPTY THEM WELL, NO NEED WASH THEM, PUT IN THE \nCONTAINER SEPARATE FROM EACH OTHER AND WITHOUT BAG\nRECYCLING CENTRE\nWood\nReusable objects Ink cartridges Light bulbs Textiles Drain oils Batteries Rubbles\nMetals Dangerous waste Plants Buried waste Furniture Cardboard Electrical devices\nBocaux et bouteilles\n/ /Sans les couvercles !\nALL GLASS BOTTLES\nHOUSEHOLD GARBAGE\nMasks, nappies, Broken dishes, \ntoothbrush, Disposable wipes, \nVacuum bags...\nYELLOW BIN OR \nYELLOW COLUMN\nCOMPOSTER\nBLACK BIN OR \nBLACK COLUMN", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "Compost Questions and Answers \nWhat\tis\tcompost?\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \nWhat\tmaterials\t(“feedstocks”)\tare\tused\tto\tmake\tcompost?\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost.\nHow\tdo\tI\tknow\tI’m\tgetting\tsafe,\tquality\tcompost?\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \nWhat\tabout\tweed\tseeds,\tplant\tdiseases\tor\tpesticide\tresidues?\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process.\nCompost Beginnings\nThe yard debris or food scraps* that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds.\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips:\nl\tThe products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \nl\tPlease keep yard debris free of :\n\t x\tGarbage\n\t x\tPlastic of any sort\n - Plastic plant pots\n - Plastic plant tabs\n - Plastic bags (if you want to bag \n your yard debris, use paper\n garden bags - available at most\n garden centers)\n\t\tx\tRock, brick, or masonry\n\t\tx\tGlass or metal\n\t\tx\tPet waste.\n* Many localities now collect food scraps and \nfood-soiled paper along with yard debris for \ncomposting. Call your local collection service \nto find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "gathering information.gathering information.\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare \nearth product per expired card.earth product per expired card.\nRare earths are special metals, unobtainable Rare earths are special metals, unobtainable \nin Japan, which are essential to in Japan, which are essential to PCs and s and \ncellphones, electric vehicles and solar power cellphones, electric vehicles and solar power \ngenerators. Given that Japan is dependent on generators. Given that Japan is dependent on \nimports for nearly its entire supply, we believe imports for nearly its entire supply, we believe \nrecycling rare earths is a worthwhile endeavor recycling rare earths is a worthwhile endeavor \nin terms of national energy policy.in terms of national energy policy.\nCard microcircuits that have become unusable Card microcircuits that have become unusable \ndue to changes in card design are collected due to changes in card design are collected \nfrom cards with IC chips, which are separated from cards with IC chips, which are separated \nfrom cards without IC chips. Both types are from cards without IC chips. Both types are \npulverized at the companypulverized at the company’s Shimura Center s Shimura Center \nin Tokyo and sealed separately in recycling in Tokyo and sealed separately in recycling \nbags, under supervision of a company official. bags, under supervision of a company official. \nThe bags are then sent off for processing by The bags are then sent off for processing by \nan outside company, which analyzes and an outside company, which analyzes and \npurifies the contents and then extracts the purifies the contents and then extracts the \nrare earths.rare earths.\nExpired \ncredit cards \nwith IC chips\nRecovery\nAnalysis \nand \npurification\nRare earth \nproduct\nBase metals, alloys,\nchemical products, etc.( )\nRecycling and reuse of old equipment and machinery\nEnvironment-friendly model branchesEnvironmental business matching\nEco-Products is one of Japan’s largest comprehensive environmental exhibitions\nload through measures such as “carbon load through measures such as “carbon \nneutral leases” (with carbon credits allocated neutral leases” (with carbon credits allocated \nin proportion to emission volumes of leased in proportion to emission volumes of leased \nassets) and leasing of environment-friendly assets) and leasing of environment-friendly \nand energy-saving equipment.and energy-saving equipment.\nLikewise, by trading used machinery and Likewise, by trading used machinery and \nsemiconductor- manufacturing equipment, semiconductor- manufacturing equipment, \nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is \nsupporting more efficient capital investment supporting more efficient capital investment \nby its customers, while itself evolving into a by its customers, while itself evolving into a \nrecycling-oriented, environment-friendly recycling-oriented, environment-friendly \ncompany.company.\nFor further details, please see our website.Sumitomo Mitsui Financial Group CSR Report \nA new venue for confabs: \nSMFG Environmental \nBusiness Forum \nat Eco-Products\nThe eco japan cup: \n“A Contest for Unearthing \nand Growing Seeds of \nNew Businesses”\nSumitomo Mitsui \nFinance & Leasing: \nPromoting recycling \nand reuse\nRecycling of rare earths \nused in smart cards\nEnvironmental \nActivities\nCommitted to supporting environmental businesses, a CSR priority, \nthrough our core businesses\n\u0013\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0013", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Resources\nCompost Organizations\nWashington Organic Recycling Council \nFind a compost producer in your area \nwww.compostwashington.org \nUS Composting Council\nSeal of Testing Assurance (STA) program \nwww.compostingcouncil.org/programs/sta/\nRestoring the Soil to Protect our Waterways \nwww.soilsforsalmon.org \nCompost amendment and erosion control \nduring construction: information for builders \nwww.buildingsoil.org \nNatural Lawn & Garden Care, Soils, and Home \nComposting\nCity of Seattle\nwww.seattle.gov/util/services/yard\nKing County\nwww.kingcounty.gov/soils\nWashington State University\nwww.puyallup.wsu.edu/soilmgmt/ \nThe Beauty of Your Lawn and Garden \nBlossoms from the Soil\nThank you for your interest in compost.\nCompost is a versatile product with many benefits. It enhances \nsoil quality, helps save water, and supports your community’s \nefforts to recycle organic debris. All this helps to conserve our \nnatural resources and reduces the amount of material sent to the \nlandfill.\nCompost-amended soil also helps break down pollutants and \nabsorb stormwater runoff. By making nutrients slowly available \nto plants and enhancing plant health, compost can reduce the \nneed for chemical fertilizers and pesticides. All these benefits \nhelp protect our lakes, rivers, and marine waters from pollution \nand excessive runoff.\nCompost is a natural amendment for your lawn or garden, and \ncan be used regularly to enrich your soil. This guide is designed \nto help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Transfer and Disposal Services. We own or operate 96 transfer stations. We deposit waste at these\nstations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport\nto disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had\napproximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of\napproximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based\non engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully.\nSome of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated\nsoils. See \"\"Ì Properties.''\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently\npermitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and\nevaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices,\nmarket needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand,\nwe are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be\nmade that all future expansions will be permitted as designed.\nOther Services. We have 35 materials recovery facilities and other recycling operations, which are\ngenerally required to fulÑll our obligations under long-term municipal contracts for residential collection\nservices. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable\nmaterials are internally collected by our residential collection operations. In some areas, we receive\ncommercial and industrial solid waste that is sorted at our facilities into recyclable materials and non-\nrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the non-\nrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our\nexposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby\nminimizing our recycling investment.\nWe provide remediation and other heavy construction services primarily through our subsidiary located in\nMissouri.\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is\nprocessed, packaged and sold as various products.\nSales and Marketing\nWe seek to provide quality services that will enable our company to maintain high levels of customer\nsatisfaction. We derive our business from a broad customer base which we believe will enable our company to\nexperience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing\ncustomers, as well as attracting new customers.\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to\nprovide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our\ncustomers at competitive prices. We target potential customers of all sizes, from small quantity generators to\nlarge \"\"Fortune 500'' companies and municipalities.\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts\nprogram in response to our customers' needs.\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not\noperate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the\nacquired companies' local tradenames as used in each geographic market in which we operate.\nCustomers\nWe provide services to commercial, industrial, municipal and residential customers. No one customer has\nindividually accounted for more than 10% of our consolidated revenue or of our reportable segment revenue in", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with \nsupport from the Washington State Department of Ecology’s \nPublic Participation Grant program.\nThis product was partly funded through a grant from the \nWashington Department of Ecology. While these materials \nwere reviewed for grant consistency, this does not necessarily \nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003 \nwas created by the Washington County, Oregon Solid Waste and \nRecycling Program in cooperation with the Washington Organic \nRecycling Council and the Composting Council of Oregon.\nTips to Remember:\n•\t Don’t\t put\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t \t\n\t \t compost\t thoroughly\tinto\texisting\tsoil\tbefore\t\t \t\n\t \t planting.\n•\t When\t transplanting,\tit’s\tbetter\tto\tamend\tthe\t\t \t\n\t \t whole\t bed,\tnot\tjust\tplanting\tholes,\tto\tpromote\t\t \t\n\t \t root\t growth.\n•\t Ask\t your\tcompost\tsupplier\twhich\tcompost\t\t\t\t\t\t\t\t\t\t\n\t \t product\t is\tbest\tfor\tyour\tintended\tuse.\n•\t Use\t compost\tat\tthe\trecommended\tapplication\t\t \t\n\t \t rate.\n•\t To\t maintain\thealthy\tsoil,\treapply\tcompost\tor\t\t \t\n\t \t mulch\t every\t1-2\tyears.\n•\t Many\t composts\tare\trich\tin\tplant\tnutrients,\tso\t\t \t\n\t \t you\t may\tbe\table\tto\treduce\tfertilizer\tuse\tafter\t\t \t\n\t \t applying\t compost.\n•\t Compost \tcan\talso\treduce\tyour\tlawn\tand\tgarden’s\t\t\n\t \t summer\t irrigation\tneeds.\n•\t Compost-amended\t soil\tand\tmulching\tslow\trun\t \t\n\t \t off,\t reduce\terosion,\tand\tbreak\tdown\tpollutants.\t\t\t\n\t \t When\t you\tuse\tcompost,\tyou’re\thelping\tto\t\t\t\t\t\t\t\t\t \t\n\t \t protect\t our\tprecious\tstreams,\trivers,\tlakes,\tand\t\t\t\n\t \t marine\t waters.\noriginal artwork provided by:\nwww.compostwashington.org www.ecy.wa.gov www.soilsforsalmon.org", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "In the pays de Lauzun district, \nBETTER SORTING, LESS THROWING !\nYOUR COLLECTION \nCALENDAR 2024\nLet’s reduce our household \ngarbage!\nLet’s sort \nbetter and let’s \ncompost! \nConception : Adékoi - www.adekoi.com - 11.2023 Crédits photo : AdobeStock - Freepik", - "page_start": 0, - "page_end": 0, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "Nissan Annual Report 2004 c3\nThis annual report is printed on recycled paper.", - "page_start": 112, - "page_end": 112, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Competition\nWe operate in a highly competitive industry. Entry into our business and the ability to operate proÑtably\nin the industry requires substantial amounts of capital and managerial experience.\nCompetition in the non-hazardous solid waste industry comes from a few large, national publicly-owned\ncompanies, including Waste Management and Allied Waste Industries, several regional publicly- and\nprivately-owned solid waste companies, and thousands of small privately-owned companies. Some of our\ncompetitors have signiÑcantly larger operations, and may have signiÑcantly greater Ñnancial resources, than\nwe do. In addition to national and regional Ñrms and numerous local companies, we compete with\nmunicipalities that maintain waste collection or disposal operations. These municipalities may have Ñnancial\nadvantages due to the availability of tax revenues and tax-exempt Ñnancing.\nWe compete for collection accounts primarily on the basis of price and the quality of our services. From\ntime to time, our competitors may reduce the price of their services in an eÅort to expand market share or to\nwin a competitively bid municipal contract. This may have an impact on our future revenue and proÑtability.\nIn each market in which we own or operate a landÑll, we compete for landÑll business on the basis of\ndisposal costs, geographical location and quality of operations. Our ability to obtain landÑll business may be\nlimited by the fact that some major collection companies also own or operate landÑlls to which they send their\nwaste. There also has been an increasing trend at the state and local levels to mandate waste reduction at the\nsource and to prohibit the disposal of certain types of waste, such as yard waste, at landÑlls. This may result in\nthe volume of waste going to landÑlls being reduced in certain areas, which may aÅect our ability to operate\nour landÑlls at their full capacity and/or aÅect the prices that we can charge for landÑll disposal services. In\naddition, most of the states in which we operate landÑlls have adopted plans or requirements that set goals for\nspeciÑed percentages of certain solid waste items to be recycled.\nRegulation\nOur facilities and operations are subject to a variety of federal, state and local requirements that regulate\nthe environment, public health, safety, zoning and land use. Operating and other permits, licenses and other\napprovals are generally required for landÑlls and transfer stations, certain solid waste collection vehicles, fuel\nstorage tanks and other facilities that we own or operate, and these permits are subject to revocation,\nmodiÑcation and renewal in certain circumstances. Federal, state and local laws and regulations vary, but\ngenerally govern wastewater or stormwater discharges, air emissions, the handling, transportation, treatment,\nstorage and disposal of hazardous and non-hazardous waste, and the remediation of contamination associated\nwith the release or threatened release of hazardous substances. These laws and regulations provide\ngovernmental authorities with strict powers of enforcement, which include the ability to obtain injunctions\nand/or impose Ñnes or penalties in the case of violations, including criminal penalties. The\nU.S. Environmental Protection Agency and various other federal, state and local environmental, public and\noccupational health and safety agencies and authorities administer these regulations, including the Occupa-\ntional Safety and Health Administration of the U.S. Department of Labor.\nWe strive to conduct our operations in compliance with applicable laws and regulations. However, in the\nexisting climate of heightened environmental concerns, from time to time, we have been issued citations or\nnotices from governmental authorities that have resulted in the need to expend funds for remedial work and\nrelated activities at various landÑlls and other facilities. There is no assurance that citations and notices will", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 29,203 8,904 4,621\n(1) Operated but not owned by us.\n(2) Total acreage includes permitted acreage, probable expansion acreage, other acreage available for future disposal that has not been permitted,\nbuÅer land and other contiguous land owned by our company.\n(3) Permitted acreage consists of all acreage at the landÑll encompassed by an active permit to dispose of waste.\n(4) Unused permitted acreage consists of all acreage at the landÑll encompassed by an active permit on which disposal operations have not\ncommenced.\n18", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What is the day of the black container in Lachapelle ?", - "target_page": 4, - "target_passage": "LACHAPELLE MONDAY green weeks", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Town Black container Yellow container\nAGNAC TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nALLEMANS-DU-DROPT MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nARMILLAC TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nBOURGOUGNAGUE WEDNESDAY \ngreen weeks\nFRIDAY \nwhite weeks\nCAMBES MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nLACHAPELLE MONDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nLAPERCHE TUESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nLA-SAUVETAT-DU-DROPT TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nLAUZUN MONDAY \ngreen weeks\nFRIDAY \nwhite weeks\nLAVERGNE TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nMIRAMONT-DE-GUYENNE TUESDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nMONTIGNAC-DE-LAUZUN WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nMONTIGNAC-TOUPINERIE TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nMOUSTIER WEDNESDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nPEYRIÈRE MONDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nPUYSSERAMPION MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nROUMAGNE MONDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nSAINT-COLOMB-DE-LAUZUN WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nSAINT-PARDOUX-ISAAC MONDAY \nwhite weeks\nFRIDAY \ngreen weeks\nSEGALAS WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nConception : Adékoi - www.adekoi.com - 11.2023 Crédits photo : AdobeStock - Freepik\nHOW DOES IT WORK?\n When to put my garbage container \noutside? \nThe evening before the waste \ncollection day.\nWho is responsible for the \nmaintenance of the containers? \nYou will have to keep them in a clean \nworking state (periodical washing).\nContainer stolen: What to do? \nIn case of theft, your container will \nbe replaced on presentation of a \ntheft report effected at your local \npolice station.\nOut container = full container \nPut your rubbish container out only \nwhen full.\nAttention ! Black garbage bags left \non the ground will no longer be \ncollected.\nPlease be respectful with the \nagents.\nMORE QUESTIONS ? \nWebsite: www.ccpl47.fr \n/ Section En Pratique > Environnement > Gestion des déchets\nEnvironnement Service: \n12 rue du Renfort 47410 LAUZUN \n05 53 94 11 23 / secretariat.environnement@ccpl47.fr \nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\nEverything you need \nto know about sorting\nBuy your own compost kit and get \ntips for good composting practice.\nOnly during opening hours every \nwednesday from 2 pm to 4 pm at \nthe old recycling centre impasse \nElie Teyssier-Miramont. (In case of \nunavailability, please contact the \nenvironment department).\n30 minute workshops/awareness- \nraising sessions are regularly \norganised (starting at 4pm). It is \npossible to leave with a composter \nduring these workshops**. \nRegistration and information with \nthe service. \n*Only payment by cheque made payable to the \n‘Tresor Public‘ are accepted \n**Specific condition of acquisition apply accor-\nding to your municipality of residence\n HOW TO GET A COMPOST KIT?\nCompost kit Plastic Wood\n300 L 20 € 30 €\n400 L 25 € 35 €\nOn the CCPL \nwebsite", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "MY BLACK GARBAGE COLLECTION’S DAY MY YELLOW GARBAGE COLLECTION’S DAY\nCollection on public holidays will take place, except May 1st and December 25th.\nThe collection for Wednesday May 1st will be brought forward to Tuesday April 30th and \nthe collection for Wednesday December 25th will be brought forward to Tuesday December 24th.\nThe collection for Wednesday January 1st 2025 will be brought forward to Tuesday December 31st.\nJANUARY \nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nW\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nW\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nT\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nW\nT\nM\nT\nF\nS\nS\nW\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nF\nW\nT\nM\nT\nF\nS\nS\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nS\nW\nT\nT\nF\nW\nT\nM\nT\nS\nS\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nS\nS\nW\nT\nT\nF\nW\nT\nM\nT\nS\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nS\nS\nW\nT\nT\nF\nW\nT\nM\nT\nM\nT\nF\nS\nS\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nW\nT\nT\nF\nS\nS\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nF\nS\nS\nW\nT\nT\nM\nW\nT\nT\nJULY AUGUST SEPTEMBER OCTOBER NOVEMBER DECEMBER\nFEBRUARY MARCH APRIL MAY JUNE\nF\nS\nS\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nF\nS\nS\nW\nT\nT\nM\nW\nT\nT\nS\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nW\nT\nT\nM\nF\nS\nS\nF\nS\nS\nW\nT\nT\nM\nM\nW\nT\nT\n2024\nOUT BLACK CONTAINER \n= \nCONTAINER COUNTED\nFULL CONTAINER OR \nHALF FILLED CONTAINER \nIT’S THE SAME PRICE!\nI PUT MY RUBBISH \nCONTAINER OUT \nONLY WHEN FULL", - "page_start": 1, - "page_end": 1, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "ml) from the original on 26 September 2024. Retrieved 7 August 2024.\n158. LLEMMA. (https://blog.eleuther.ai/llemma/) eleuther.ai. Retrieved 2024-08-07.\n159. AI Math. (https://julius.ai/home/ai-math) Archived (https://web.archive.org/web/20241005165\n649/https://julius.ai/home/ai-math) 5 October 2024 at the Wayback Machine Caesars Labs,\n2024. Retrieved 2024-08-07.", - "page_start": 37, - "page_end": 37, - "source_file": "wikipedia3.pdf" - }, - { - "text": "In the pays de Lauzun district, \nBETTER SORTING, LESS THROWING !\nYOUR COLLECTION \nCALENDAR 2024\nLet’s reduce our household \ngarbage!\nLet’s sort \nbetter and let’s \ncompost! \nConception : Adékoi - www.adekoi.com - 11.2023 Crédits photo : AdobeStock - Freepik", - "page_start": 0, - "page_end": 0, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "Who Celebrates National\nSchool Choice Week?\nNo Arms, No Legs, No Worries\nScent-imental: Holiday Smells\nEvoke Happy Memories\nTechnology Breakthroughs\nDrive Clean Energy Success\nSafety App Empowers\nStudents, Offers Peace of Mind\nMOST POPULAR\n08 Jul 21\n22 Jan 18\n13 Dec 18\n30 Oct 18\n01 Oct 18\n07 Aug 18\nFashion Business Infographic\nEnvironment Health Money\nFood Travel Bridal Recreation\nTechnology Home Education\nArts & Entertainment Auto Children\nFitness Holiday Insurance\nLawn & Garden Listicle Nutrition\nParenting Pets Seasonal Seniors\nSpanish Tips and How To\nEntertainment Career Community\nFamily Tips Internet\nHuman_Interest Beauty Arts\nRealEstate Safety Medicine\nBook_Review Recipe\nAfrican_Americans How_To\nBylined_Column Charity Sports\nHome_Improvement Tech Wellness\nArts and Entertainment Food & Drink\nReal_Estate Veterans Outdoors\nReal Estate Human Interest\nMoney & Finance Fashion & Beauty\nMoney and Finance\nBooks & Entertainment Books\nArts & Entertainment  \nTAGS\nNEWSUSA\nContact Us Work From HomePrivacy PolicyTerms of Use\n© Copyright NewsUSA 2025. All Rights Reserved.\nRELATED ARTICLES\n01 \n02 \n03 \n04 \n05 \n06 \nHOME CATEGORIES  ", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "6rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n0–0.2 0.2 0.4 0.6\nvulnerability to food insecurity\n0.8 1.0 1.2 1.4\nFigure1. HungerandClimateVulnerabilityIndexfor1981–2010climate(ensemblemeanacrossthebias-correctedHadGEM3\nensemble).\nTable2. ProxiesforfloodanddroughteventsusedintheHCVI.\nextremeweatherevent descriptionofproxy\naveragelengthoffloodevents numberofdaysinwhichthecumulativedailyrainfallexcessispositive,\ncomparedwiththe95thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\naveragelengthofdroughtevents numberofdaysinwhichthecumulativedailyrainfalldeficitispositive,\ncomparedwiththe20thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\nUN Food and Agriculture Organization, UN Development Programme and UN Population\nFund [ 22]. The exposure component comprised proxies for the average length of flood and\ndrought events calculated with daily precipitation data [ 23]( table 2). These proxies were chosen\nabove other possible metrics as they were required to replace self-reported instances of flood\nand drought events used in the original HCVI, which correlate with undernutrition data at the\ncountry-level [23]. The proxies were therefore masked to only include data where a significant\nproportion of people live and grow crops before aggregating to country level and combining to\ncomprise a measure of exposure [ 23]; nevertheless, it is recognized that precipitation data alone\nmay not always be adequate for representing flood and drought events, so the current method is\nregarded as preliminary.\nThe impacts of projected climate change, therefore, act through changes in these quantities. In\nthe current version of the HCVI, climate-change impacts on other quantities such as crop yield\nare not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at\npresent-day conditions.\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected\nHadGEM3 ensemble is shown in figure 1 . The spatial pattern is compatible with HCVI values\ncalculated using reanalysis data at the CMIP5 grid-scale resolution [ 23]; the most vulnerable\nregions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables\ninclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "From Eq. (19), one can see that σ(p)\nSI ∝ (sin 2θ/v′)2 for a given DM mass mN . Fig. 3 shows\nthe spin-independent cross section of RH neutrino with a proton. T he resultant cross section\nis found to be far below the current limits reported by XENON10 [24] and CDMSII [25]:\nσSI ≲ 4 × 10−8 − 2 × 10−7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such\nas XENON1T [26] can reach the cross section predicted in our model.\n10 -10\n10 -9\n10 -8\n 60 80 100 120 140 160 180 200\nσ p [pb]\nm N [GeV]\nFIG. 3: The spin independent scattering cross section with aproton. All parameters are same as\nthose used in the previous section. The upper and lower linescorrespond to sinθ = 0. 7 and 0. 3,\nrespectively.\nIV. SUMMARY\nWe have proposed a scenario of the RH neutrino dark matter in the c ontext of the minimal\ngauged U(1)B−L model. We have introduced a discrete Z2 parity in the model, so that one\nRH neutrino assigned as Z2-odd can be stable and, hence, the DM candidate, while the other\ntwo RH neutrinos account for neutrino masses and mixings through the seesaw mechanism.\nNo additional degrees of freedom are necessary to be added. We h ave evaluated the relic\ndensity of the dark matter particle. The dominant annihilation modes are via the Higgs\nboson exchange processes in the s-channel and thus, our model can be called Higgs portal\nDM model. It has been found that the relic density consistent with th e current observation\n8", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "sculpture, theatre, dance, music, and the almanacs that diffused royal propaganda to the population at large.\nOver his lifetime, Louis commissioned numerous works of art to portray himself, among them over 300 formal portraits. The\nearliest portrayals of Louis already followed the pictorial conventions of the day in depicting the child king as the majestically\nroyal incarnation of France. This idealisation of the monarch continued in later works, which avoided depictions of the effect of\nsmallpox that Louis contracted in 1647. In the 1660s, Louis began to be shown as a Roman emperor, the god Apollo, or Alexander\nthe Great, as can be seen in many works of Charles Le Brun, such as sculpture, paintings, and the decor of major monuments.\nImage and depiction\nEvolution of royal portraiture", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia5.pdf" - }, - { - "text": "5\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s40/s98/s41/s32/s77/s110/s32/s84/s69/s89\n/s32\n/s45/s48/s46/s50\n/s45/s48/s46/s49\n/s48/s46/s48\n/s48/s46/s49\n/s48/s46/s50\n/s32\n/s40/s97/s41/s32/s70/s101/s32/s84/s69/s89\n/s32\n/s88/s77/s67/s68/s32/s97/s115/s121/s109/s109/s101/s116/s114/s121\n/s45/s50/s53/s48 /s48 /s50/s53/s48 /s53/s48/s48 /s55/s53/s48 /s49/s48/s48/s48\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s70/s105/s101/s108/s100/s32/s32/s40/s79/s101/s41\n/s40/s99/s41/s32/s77/s110/s32/s70/s89\n/s32\n/s32\nFIG. 2. (color online) XMCD asymmetry versus applied field\nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As\n(10 nm) film. (a) FeL3, total electron yield; (b) Mn L3,\ntotal electron yield; (c) Mn L3, fluorescent yield. Black and\nred points are data for increasing and decreasing fields resp ec-\ntively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We als o calculate the scattering\ncross section between the DM particle and nucleon and discuss the im plication for the direct\nDM search experiments. We summarize our results in the section IV. Our notations and the\nformulas used in our analysis are listed in Appendix.\nII. THE MINIMAL GAUGEDU(1)B−L MODEL WITH Z2 PARITY\nThe model is based on the gauge group SU(3)C ×SU(2)L ×U(1)Y ×U(1)B−L. Additional\nfields besides the standard model fields are a gauge field Z′\nµ of the U(1)B−L, a SM singlet\nB − L Higgs boson Ψ with two U(1)B−L charge, and three RH neutrinos Ni which are\nnecessary for the gauge and gravitational anomaly cancellations. In describing the RH\nneutrinos, we use the four component representation of RH neut rino constructed from the\nWeyl spinor νRi ,\nNi ≡\n\nνRi\nǫν∗\nRi\n\n, (1)\nFor the two RH neutrinos, N1 and N2, we assign Z2 parity even, while odd for N3, so that\nthe RH neutrino N3 is stable and, hence, the DM candidate.\nDue to the additional gauge symmetry U(1)B−L, the covariant derivative for each fields\nis given by\nDµ = D(SM )\nµ − iqB−LgB−LZ′\nµ , (2)\nwhere D(SM )\nµ is the covariant derivative in the SM, and qB−L is the charge of each fields\nunder the U(1)B−L with its gauge coupling gB−L.\nYukawa interactions relevant for the neutrino masses are given by\nLint =\n3∑\nα =1\n2∑\ni=1\nyαi ¯Lα ˜Φ Ni − 1\n2\n3∑\ni=1\nλRi\n¯NiΨ PRNi + h.c., (3)\nwhere ˜Φ = −iτ2Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we hav e\nworked out in the basis where the second term in the right-hand-sid e is in flavor diagonal\nfor RH neutrinos. Because of the Z2 parity, the DM candidate N3 has no Yukawa couplings\nwith the left-handed lepton doublets.\nThe general Higgs potential for the SU(2)L doublet Φ and a singlet B− L Higgs Ψ is\ngenerally given by\nV(Φ ,Ψ) = m2\n1|Φ |2 + m2\n2|Ψ |2 + λ1|Φ |4 + λ2|Ψ |4 + λ3|Φ |2|Ψ |2. (4)\n3", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What to do if my container is stolen ?", - "target_page": 4, - "target_passage": "Container stolen: What to do? In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Town Black container Yellow container\nAGNAC TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nALLEMANS-DU-DROPT MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nARMILLAC TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nBOURGOUGNAGUE WEDNESDAY \ngreen weeks\nFRIDAY \nwhite weeks\nCAMBES MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nLACHAPELLE MONDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nLAPERCHE TUESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nLA-SAUVETAT-DU-DROPT TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nLAUZUN MONDAY \ngreen weeks\nFRIDAY \nwhite weeks\nLAVERGNE TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nMIRAMONT-DE-GUYENNE TUESDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nMONTIGNAC-DE-LAUZUN WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nMONTIGNAC-TOUPINERIE TUESDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nMOUSTIER WEDNESDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nPEYRIÈRE MONDAY \ngreen weeks\nTHURSDAY \nwhite weeks\nPUYSSERAMPION MONDAY \ngreen weeks\nWEDNESDAY \nwhite weeks\nROUMAGNE MONDAY \nwhite weeks\nTHURSDAY \ngreen weeks\nSAINT-COLOMB-DE-LAUZUN WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nSAINT-PARDOUX-ISAAC MONDAY \nwhite weeks\nFRIDAY \ngreen weeks\nSEGALAS WEDNESDAY \nwhite weeks\nWEDNESDAY \ngreen weeks\nConception : Adékoi - www.adekoi.com - 11.2023 Crédits photo : AdobeStock - Freepik\nHOW DOES IT WORK?\n When to put my garbage container \noutside? \nThe evening before the waste \ncollection day.\nWho is responsible for the \nmaintenance of the containers? \nYou will have to keep them in a clean \nworking state (periodical washing).\nContainer stolen: What to do? \nIn case of theft, your container will \nbe replaced on presentation of a \ntheft report effected at your local \npolice station.\nOut container = full container \nPut your rubbish container out only \nwhen full.\nAttention ! Black garbage bags left \non the ground will no longer be \ncollected.\nPlease be respectful with the \nagents.\nMORE QUESTIONS ? \nWebsite: www.ccpl47.fr \n/ Section En Pratique > Environnement > Gestion des déchets\nEnvironnement Service: \n12 rue du Renfort 47410 LAUZUN \n05 53 94 11 23 / secretariat.environnement@ccpl47.fr \nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\nEverything you need \nto know about sorting\nBuy your own compost kit and get \ntips for good composting practice.\nOnly during opening hours every \nwednesday from 2 pm to 4 pm at \nthe old recycling centre impasse \nElie Teyssier-Miramont. (In case of \nunavailability, please contact the \nenvironment department).\n30 minute workshops/awareness- \nraising sessions are regularly \norganised (starting at 4pm). It is \npossible to leave with a composter \nduring these workshops**. \nRegistration and information with \nthe service. \n*Only payment by cheque made payable to the \n‘Tresor Public‘ are accepted \n**Specific condition of acquisition apply accor-\nding to your municipality of residence\n HOW TO GET A COMPOST KIT?\nCompost kit Plastic Wood\n300 L 20 € 30 €\n400 L 25 € 35 €\nOn the CCPL \nwebsite", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "656 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n12.7 Recovering from a provider loss\nIf both encryption key providers are enabled, and you lose one of them (by losing all copies of \nthe encryption key kept on the USB flash drives or by losing all SKLM servers), you can \nrecover from this situation by disabling the provider to which you lost the access. To disable \nthe unavailable provider, you must have access to a valid master access key on the remaining \nprovider.\nIf you have lost access to the encryption key server provider, issue the following command:\nchencryption -keyserver disable\nIf you have lost access to the USB flash drives provider, issue the following command:\nchencryption -usb disable\nIf you want to restore the configuration with both encryption key providers, follow the \ninstructions that are described in 12.5, “Configuring more providers” on page 647.\n12.8 Using encryption\nThe design for encryption is based on the concept that a system is fully encrypted or not \nencrypted. Encryption implementation is intended to encourage solutions that contain only \nencrypted volumes or only unencrypted volumes. For example, after encryption is enabled on \nthe system, all new objects (for example, pools) are by default created as encrypted. \nSome unsupported configurations are actively policed in code. For example, no support exists \nfor creating unencrypted child pools from encrypted parent pools. However, exceptions exist:\n/SM590000During the migration of volumes from unencrypted to encrypted volumes, a system might \nreport both encrypted and unencrypted volumes.\n/SM590000It is possible to create unencrypted arrays from CLI by manually overriding the default \nencryption setting.\nNote: If you lose access to all encryption key providers that are defined in the system, no \nmethod is available to recover access to the data protected by the master access key.\nNotes: Encryption support for Distributed RAID is available in IBM Spectrum Virtualize \ncode V7.7 and later.\nYou must decide whether to encrypt or not encrypt an object when it is created. You cannot \nchange this setting later. To change the encryption state of stored data, you must migrate \nfrom an encrypted object (for example, pool) to an unencrypted one, or vice versa. Volume \nmigration is the only way to encrypt any volumes that were created before enabling \nencryption on the system.", - "page_start": 677, - "page_end": 677, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 12. Encryption 669\n2. Verify that all USB drives plugged into the system are detected and show as Validated, as \nshown in Figure 12-87. Click Rekey. You need at least three USB flash drives, with at least \none reported as Validated to process with rekey.\nFigure 12-87 Start rekey on USB flash drives provider\n3. If the system detects a validated USB flash drive and at least three available USB flash \ndrives, new encryption keys are automatically copied on the USB flash drives, as shown in \nFigure 12-88 on page 670. Click Commit to finalize the rekey operation.", - "page_start": 690, - "page_end": 690, - "source_file": "sg247938.pdf" - }, - { - "text": "234 IBM Content Manager OnDemand Guide\nManaging Tivoli Storage Manager storage\nFor each automated library, Tivoli Storage Manager tracks in its volume inventory for the \nlibrary whether a volume has scratch or private status:\n/SM590000A scratch volume is a labeled volume that is empty or contains no valid data, and it can be \nused to satisfy any request to mount a scratch volume. To support Content Manager \nOnDemand, you define scratch volumes to Tivoli Storage Manager. Tivoli Storage \nManager uses scratch volumes as needed, and returns the volumes to scratch when they \nbecome empty (for example, when all data on the volume expires).\n/SM590000A private volume is a volume that is in use or owned by an application, and it might contain \nvalid data. Volumes that you define to Tivoli Storage Manager are private volumes. A \nprivate volume is used to satisfy only a request to mount that volume by name. When \nTivoli Storage Manager uses a scratch volume, it changes the volume’s status to private. \nTivoli Storage Manager tracks whether defined volumes were originally scratch volumes. \nVolumes that were originally scratch volumes return to scratch status when they become \nempty.\nSecondary storage of storage volumes\nFor instructions that describe how to handle physical storage volumes and remove them from \nthe library, see the documentation that is provided by the library manufacturer.\nFor instructions about documentation that you might need to complete when you remove \nstorage volumes from a library and where to store them for safekeeping, see your \norganization’s media storage guide.\nProtecting data with data retention protection \nTo avoid the accidental erasure or overwriting of critical data, Content Manager OnDemand \nsupports the Tivoli Storage Manager APIs that relate to data retention. Data retention \nprotection prohibits the explicit deletion of documents until their specified retention criterion is \nmet. Although documents can no longer be explicitly deleted, they can still expire.\nTivoli Storage Manager supports two retention policies:\n/SM590000In creation-based retention, the policy becomes active when the data is stored (created) \non the Tivoli Storage Manager server. This policy is the default retention policy method \nand it is used with normal backup/archive clients.\n/SM590000In event-based retention, the policy becomes active when the client sends a retention \nevent to the Tivoli Storage Manager server. The retention event can be sent to the server \nany time after the data is stored on the server. Until the retention event is received, the \ndata is indefinitely stored on the Tivoli Storage Manager server. For Content Manager \nOnDemand, the retention event is the call to delete the data. A load, unload, application \ngroup delete, or expiration of data triggers the retention event. \nIf you decide to use these policies in Tivoli Storage Manager, the Content Manager \nOnDemand scenarios that are described in the rest of this section are supported.\nImportant notes: \n/SM590000Data retention protection is permanent. After it is turned on, it cannot be turned off.\n/SM590000Content Manager OnDemand does not support deletion on hold data. This feature \nprevents held data from being deleted until the hold is released.", - "page_start": 257, - "page_end": 257, - "source_file": "sg246915.pdf" - }, - { - "text": "Appendix A. Sample lab: Deployment and Pod management 213\n2. Verify the Pod restart policy of the deployment, as shown in Figure A-15, to determine how \nOpenShift responds when containers in that pod exit. A pod restart policy of Always \nattempts to restart a successfully exited container.\nFigure A-15 Verifying the Pod restart policy\n3. To simulate a pod failure, stop the pod. In the Actions drop-down menu, select Delete, as \nshown in Figure A-16.\nFigure A-16 Simulating a pod failure", - "page_start": 228, - "page_end": 228, - "source_file": "sg248459.pdf" - }, - { - "text": "Chapter 5. Graphical user interface 189\n3. After the enclosure is logically removed from the system (set to unmanaged state), the IBM \nStorwize V7000 reminds you about steps necessary for physical removal, such as power \noff, uncabling, dismantling from the rack, and secure handling (see Figure 5-93).\nFigure 5-93 Enclosure removed\nAs part of the enclosure removal process, consult your company security policies about how \nto handle sensitive data on removed storage devices before they leave the secure data \ncenter. Most companies require data to be encrypted or logically shredded.\n5.11.3 Restarting the GUI Service\nThe service that runs that GUI operates from the configuration node. Occasionally, you might \nneed to restart this service if the GUI is not performing to your expectation (or you cannot \nconnect). To do this, you log on to the service assistant and identify the configuration node, as \nshown in Figure 5-94.\nFigure 5-94 Identifying the configuration node on the service assistant\nshows that this is the\nconfiguration node", - "page_start": 210, - "page_end": 210, - "source_file": "sg247938.pdf" - }, - { - "text": "210 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nFigure 6-26 Actions on internal storage\nThe actions available depend on the status of the drive or drives selected. Some actions can \nbe run only on a set of them, and some are possible only for individual drives.\nAction: Fix error\nThis action is only available if the drive selected has an error event that is associated with it. \nSelect Fix Error to start the Directed Maintenance Procedure (DMP) for the selected drive. \nFor more information about DMPs, see Chapter 13, “RAS, monitoring, and troubleshooting” \non page 673.\nAction: Take offline\nSelect Take Offline to take a drive offline. You must confirm the action, as shown in \nFigure 6-27.\nFigure 6-27 Taking a drive offline\nIf a spare drive is available and the drive is taken offline, the MDisk of which the failed drive is \na member remains Online. The spare is automatically reassigned. If no spare drive is \navailable and the drive is taken offline, the status of the array of which the failed drive is a \nmember becomes Degraded. Therefore, the status of the storage pool to which the MDisk \nbelongs becomes Degraded as well.\nThe system prevents you from taking the drive offline if one of the following conditions is true:\n/SM590000The first option was selected and no suitable spares are available.\n/SM590000Losing another drive in the array results in data loss. \nA drive that is taken offline is considered Failed, as shown in Figure 6-28 on page 211.", - "page_start": 231, - "page_end": 231, - "source_file": "sg247938.pdf" - }, - { - "text": "3~PWbWtlOdWd 3NVldUlV \n08-108-00 SdSMAVN", - "page_start": 149, - "page_end": 149, - "source_file": "00-80T-80.pdf" - }, - { - "text": "382 IBM Content Manager OnDemand Guide\nFigure 18-3 Output of db2 list tablespace 3 command\nd. Check whether any of the containers that were listed previously belong to the file \nsystem that is full:\n If any of the containers that were listed previously belong to the full file system, \nclose the opened application group data table by using the following command:\narstblsp -a 1 -g AppGrpName\nThe following message indicates that the table closed successfully:\nClosed table successfully: ApplGroup(AppGrpName) Agid(5016) Table(CAA1)\n If none of the containers that were listed previously belong to the full file system, \ncontinue to find the next application group.\nWhen the application group data table is closed, Content Manager OnDemand creates a \ntable on a file system as defined in ARS.DBFS when data is next loaded. Content Manager \nOnDemand also searches for a file system with more free space to create the new table.\n/SM590000Problem: The arsmaint program fails to complete.\nReason or resolution: The problem that is most commonly encountered is that the cache \nfile system is full or a link is broken. \nFor a full cache file system, check to determine which file system is full, and expand the \nfile system, if possible. \nFor a broken link problem, the system log displays errors that relate to arsmaint. \nIf neither situation is the case, check to see whether arsload is running at the same time. \nIf arsload is running at the same time that you run the arsmaint -r command, arsmaint \nmight fail. \nTablespace Containers for Tablespace 3\n Container ID = 0\n Name = /arsdb/db1/SMS/ARCHIVE/root/CAA1.0.0\n Type = Path\n Container ID = 1\n Name = /arsdb/db1/SMS/ARCHIVE/root/CAA1.1.0\n Type = Path\n Container ID = 2\n Name = /arsdb/db1/SMS/ARCHIVE/root/CAA1.2.0\n Type = Path\n Container ID = 3\n Name = /arsdb/db1/SMS/ARCHIVE/root/CAA1.3.0\n Type = Path", - "page_start": 405, - "page_end": 405, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 4. Initial configuration 125\n/SM590000Unmounting all file systems that were created on IBM Spectrum Virtualize volumes (for file \nsystems created directly on IBM Spectrum Virtualize volumes) or bringing offline all logical \nvolume groups by using volumes that are presented by the IBM Spectrum Virtualize \nsystem.\n/SM590000Accepting loss of access to storage for volumes that are mirrored at the operating system \nlevel.\nFor volumes that are mirrored at the operating system level, loss of one of the data copies \ntriggers errors in the operating system and causes a loss of redundancy because the data \ncopies go out of sync.\nBefore shutting down the system, ensure that you stopped all FlashCopy mappings, remote \ncopy relationships, data migration operations, and forced deletions.\nStorwize V7000 control enclosures contain batteries that provide backup power to the system \nto protect against unforeseen loss of power. When AC power to the enclosure is interrupted \nfor more than approximately 10 seconds, the system starts system state dump procedure, \nwhich includes saving cached data to an internal drive. \nWhen the process to save critical data starts, the system stops handling I/O requests from the \nhost applications, and Metro Mirror and Global Mirror relationships go offline. The system \npowers off when the saving of the critical data completes. If AC power is restored after the \nsystem state dump starts, the dump continues to completion. The system then restarts.\nIn a fully redundant system with two batteries and two canisters, there is enough charge in the \nbatteries to support saving critical data from both canisters to a local drive twice. In a system \nwith a failed battery, there is enough charge in the remaining battery to support saving critical \ndata from both canisters to a local drive once.\nIf both node canisters shut down without writing the cache and state data to the local drive, \nthe system is unable to restart without an extended service action. The system configuration \nmust be restored. If any cache write data is lost, volumes must be restored from a backup. \nTherefore, it is important not to remove the canisters or the power supply units from the \ncontrol enclosures unless directed to do so by the service procedures. Removing either of \nthese components might prevent the node canister from writing its cache and state data to \nthe local drive.\nIn case of an imminent power loss, strive to shut down the system cleanly, without triggering \nthe data dump procedure. This process preserves battery charges for actual emergencies. \nWhen the AC power is restored after a power outage that causes both canisters to save their \ncritical data, the system restarts only when the batteries have sufficient charge to power both \ncanisters for the duration of saving the critical data again. \nNote: Some applications (for example, databases), can use a volume that is not mounted \nas a file system. Make sure that no volumes that are presented by the IBM Spectrum \nVirtualize are in use on a host if you want to shut down the storage system but not the host.\nNote: Storwize V7000 expansion canisters do not cache volume data or store state \ninformation in volatile memory. Therefore, they do not require battery power. If AC power to \nboth power supplies in an expansion enclosure fails, the enclosure powers off. When AC \npower is restored to at least one of the power supplies, the controller restarts without \noperator intervention.", - "page_start": 146, - "page_end": 146, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "How many people include the Dyspnea study ?", - "target_page": 1, - "target_passage": "This population-based study included 2,857 adults who were experiencing respiratory symptoms.", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "Dyspnea refers to a subjective sensation of breathing\ndiscomfort.1 In a study involving a community-based\npopulation aged > 70 years, the prevalence of dyspnea\nwas found to be 32%.2 Dyspnea can lead to limitations in\ndaily activities, reduced exercise tolerance, and\nheightened mortality risks.3\nDyspnea not only affects individuals with diagnosed\nrespiratory conditions but also poses a significant\nburden on those with undiagnosed conditions. In a\nsystematic review by Müller et al,4 the combined\nprevalence of dyspnea in the adult general population\nacross 11 studies was estimated to be 10%. Dyspnea can\narise from a broad spectrum of underlying factors,\nincluding both respiratory and nonrespiratory\nconditions. Studies have revealed that dyspnea is not\nsolely attributable to respiratory conditions but is also\nheavily influenced by cardiovascular deconditioning and\nby nonrespiratory factors, including psychosocial, social,\nand environmental determinants.5,6\nDyspnea is a prevalent symptom with consequences that\nextend beyond its physiologic implications. A study in\nEuropean patients with COPD explored the burden of\ndyspnea and identified potential correlates. The study\nrevealed that higher dyspnea impact correlated with\nlower health-related quality of life, increased work\nimpairment, and a higher frequency of emergency\ndepartment visits.7\nThe three objectives of our study were as follows: (1) to\nevaluate the impact of dyspnea in adults from the\ngeneral population who had no prior diagnosis of\nrespiratory disease but who reported having significant\nrespiratory symptoms in the past 6 months; (2) to\nidentify associated risk factors for dyspnea and estimate\ntheir influence on the symptom; and (3) to explore the\nrelationship between dyspnea and health care utilization,\nquality of life, and work productivity in adults with\nundiagnosed respiratory symptoms.\nStudy Design and Methods\nRecruitment of Undiagnosed Cases and Healthy\nControl Patients\nBetween June 2017 and January 2023, adults aged$ 18\nyears were recruited through a two-step process into the\nUndiagnosed COPD and Asthma Population (UCAP)\nstudy, a multicenter casefinding study. Approval for\nthe study was obtained from the research ethics boards\nof the 17 participating study sites across Canada.\nInformed, written consent was provided by all study\nparticipants.\nBoth landlines and cellphones within a 90-minute radius\nof any of the 17 study sites were dialed randomly. A\nTake-home Points\nStudy Question: How profoundly are adults with\nundiagnosed respiratory symptoms affected by\ndyspnea?\nResults: In community-based adults with undiag-\nnosed respiratory symptoms, those identified with\npreserved ratio impaired spirometry experienced the\ngreatest impact of dyspnea, followed by those with\nundiagnosed asthma or COPD. Greater dyspnea\nimpact was associated with increased health care\nutilization, lower quality of life, and reduced work\nproductivity.\nInterpretation: Dyspnea imposes burdens on the\nhealth care system and is associated with impaired\nquality of life and work productivity.\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD =\nbronchodilator; CAT = COPD Assessment Test; PCA = principal\ncomponent analysis; PRISm = preserved ratio impaired spirometry;\nSGRQ = St. George’s Respiratory Questionnaire\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E.\nG., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa,\nOttawa, ON; the Desautels Faculty of Management (G. A. W.), McGill\nUniversity, Montreal, QC; the Department of Medicine (C. B.), The\nUniversity of British Columbia, Vancouver, BC; the Centre de\nrecherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumo-\nlogie de Québec, Université Laval, Quebec, QC; the Cumming School\nof Medicine (S. K. F.), University of Calgary, Calgary, AB; the\nDepartment of Medicine (E. P.), University of Saskatchewan, Regina,\nSK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Approximately 65% of the variability in dyspnea\nremained unexplained by the factors examined in our\nstudy. Most individuals in our study showed normal\nspirometry results but still carried a substantial\nburden of dyspnea, an inconsistency that needs\nexplanation. Several factors not included in our\nanalysis may have contributed to the unexplained\nvariation. Environmental factors (eg, air pollution,\nallergen exposure, seasonal variations in symptoms)\nare potential contributors to this unexplained\nvariability. 22 Genetic predispositions could also play a\nsignificant role, as suggested by a study that revealed\nthat parents with dyspnea were 1.8 times more likely\nto have offspring with dyspnea.23 Additionally, fitness\ncould be a contributing factor, especially in\nindividuals with undiagnosed PRISm, asthma, or\nCOPD who may restrict their activities to avoid\ndyspnea, and hence become deconditioned.6\nThere were significant but modest differences in mean\ndyspnea levels across the 17 study sites (data not\nshown), which are not explained by the risk factors we\naccounted for in our study. Thisfinding is not surprising\nbecause some of the potential contributing factors\npreviously mentioned and other site-specific factors\n(eg, climate, air quality/industrialization, socioeconomic\nstatus) of the catchment population tend to vary across\nstudy sites.\nDyspnea is a complex, subjective symptom that is\nmodified by nonrespiratory factors including\npsychosocial, social, and environmental influences.5\nInterindividual variability in the perception of dyspnea,\ninfluenced by these nonrespiratory factors, may play an\nimportant role. A study conducted by Ziegler et al24\nassessed the perception of dyspnea in 42 healthy\nindividuals using a standardized inspiratory resistive\nloading stimulus. The study used the modified Borg\nscale to measure dyspnea perception levels. Among the\nparticipants subjected to the same inspiratory resistive\nload, 31%, 45%, and 24% of participants classified their\nlevel of dyspnea as low, intermediate, and high,\nrespectively. The study revealed that differences between\nindividuals contribute considerable variability to the\nperception of dyspnea, even among healthy participants.\nThe affective dimension of dyspnea can be captured\nusing additional questionnaires (eg, Multidimensional\nDyspnea Profile, Dyspnea-12). Studies have explored the\nuse of the Multidimensional Dyspnea Profile in\nTABLE 6] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\nDisease Group Reversibility of FEV 1, % Post-BD FEV 1/FVC Ratio Post-BD FEV 1 % predicted Overall P Value\nControl /C0 0.163 (P ¼ .47) /C0 0.274 (P [ .05) /C0 0.090 (P ¼ .17) .096\nNormal spirometry 0.186 ( P ¼ .16) 0.240 (P [ .005) /C0 0.131 (P < .001) < .001\nAsthma 0.545 (P [ .01) 0.107 (P ¼ .58) /C0 0.158 (P ¼ .08) .009\nCOPD 0.392 (P [ .002) /C0 0.307 (P [ .05) /C0 0.075 (P ¼ .37) < .001\nPRISm /C0 0.290 (P ¼ .39) 0.854 (P [ .002) /C0 0.650 (P [ .004) < .001\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-specific factors and spirometry\ndisease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical significance. BD ¼ bronchodilator; PRISm ¼ preserved ratio\nimpaired spirometry.\nTABLE 7] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)\nMeasure\nUnadjusted Adjusted\nDyspnea Coefficient (95% CI) P Value Dyspnea Coef ficient (95% CI) P Value\nPhysical functioning /C0 0.693 (/C0 0.718 to/C0 0.668) < .001 /C0 0.655 (/C0 0.680 to/C0 0.630) < .001\nPhysical health limitations /C0 0.634 (/C0 0.666 to/C0 0.603) < .001 /C0 0.628 (/C0 0.661 to/C0 0.595) < .001\nEmotional problems /C0 0.403 (/C0 0.438 to/C0 0.369) < .001 /C0 0.407 (/C0 0.443 to/C0 0.370) < .001\nEnergy/fatigue /C0 0.454 (/C0 0.479 to/C0 0.428) < .001 /C0 0.452 (/C0 0.479 to/C0 0.425) < .001\nEmotional well-being /C0 0.230 (/C0 0.256 to/C0 0.204) < .001 /C0 0.239 (/C0 0.266 to/C0 0.213) < .001", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "exposure in an array of risky occupations. These risk\nfactors, taken as a whole, accounted for 21% of the\nvariability in dyspnea.\nAfter adjustment for patient-specific risk factors in the\nfirst stage analysis, we adjusted for spirometry-defined\ndisease (PRISm, asthma, COPD, or normal\nspirometry) in Table 5. Adjustment for disease\nclassification accounted for 12% of the total variability\nof dyspnea.\nTable 6 presents the contribution of lung function\nmeasures of physiologic impairment after accounting for\npatient-related risk factors and disease classification. For\nthe PRISm disease group, a higher post-BD FEV1/FVC\nratio and a lower post-BD FEV1 % predicted value were\nassociated with greater dyspnea impact. For the COPD\ndisease group, a lower post-BD FEV1/FVC ratio was\nassociated with greater dyspnea impact. Reversibility of\nFEV1 was associated with higher dyspnea impact only in\npatients with asthma or COPD. Lung function measures\nof disease severity accounted for 2% of the variability in\ndyspnea.\nAfter adjusting for age, sex, and BMI, dyspnea was\nnegatively associated with all domains of quality of life,\nincluding physical functioning (coefficient, /C0 0.655;\nP < .001), role limitations due to physical health\n(coefficient, /C0 0.628; P < .001), general health\n(coefficient, /C0 0.382; P < .001), and total score\n(coefficient, /C0 0.473; P < .001) (Table 7).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with an increased likelihood of annual visits\nto health care providers for respiratory complaints (OR,\nTABLE 3] Intergroup Comparisons of Dyspnea Impact\nPairwise Comparison Mean Dyspnea Score (95% CI) Mean Difference (95% CI) P Value\nControl 13.8 (11.8-15.7) /C0 38.0 (/C0 41.1 to/C0 34.9) < .001\nNormal spirometry 51.8 (50.7-52.8)\nControl 13.8 (11.8-15.7) /C0 43.7 (/C0 47.6 to/C0 39.8) < .001\nCOPD 57.5 (55.1-59.9)\nControl 13.8 (11.8-15.7) /C0 42.8 (/C0 46.9 to/C0 38.7) < .001\nAsthma 56.6 (53.9-59.3)\nControl 13.8 (11.8-15.7) /C0 49.2 (/C0 53.7 to/C0 44.6) < .001\nPRISm 63.0 (59.5-66.4)\nNormal spirometry 51.8 (50.7-52.8) 5.7 (3.0 to 8.4) < .001\nCOPD 57.5 (55.1-59.9)\nNormal spirometry 51.8 (50.7-52.8) 4.8 (1.8, 7.8) .002\nAsthma 56.6 (53.9-59.3)\nNormal spirometry 51.8 (50.7-52.8) 11.2 (7.5 to 14.8) < .001\nPRISm 63.0 (59.5-66.4)\nPRISm 63.0 (59.5-66.4) 5.5 (1.1 to 9.8) .014\nCOPD 57.5 (55.1-59.9)\nPRISm 63.0 (59.5-66.4) 6.4 (1.9 to 10.9) .005\nAsthma 56.6 (53.9-59.3)\nAsthma 56.6 (53.9-59.3) 0.9 (/C0 2.8 to 4.7) .63\nCOPD 57.5 (55.1-59.9)\nPRISm ¼ preserved ratio impaired spirometry.\nDyspnea assessment \n100\n80\n60\n40\n20\nNormal\nspirometry\nAsthma COPD PRISm Healthy\ncontrol\nparticipants\n0\nFigure 2 – Box plot demonstrating dyspnea impact according to\nspirometry disease classification. The center line marks the median. The\nboxes span the interquartile range (IQR). The outer fences are set at\ndistances 1.5 /C2 IQR from the box. Outliers appear as plotted dots.\nchestjournal.org 1303", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "1.011; P < .001 for general practitioner visits; OR, 1.015;\nP < .001 for emergency department visits; and OR,\n1.023, P ¼ .005 for hospitalization for respiratory illness)\n(Table 8).\nAfter adjusting for age, sex, and BMI, dyspnea was\nassociated with a reduced likelihood of current\nemployment (OR, 0.993;P < .001), increased\nabsenteeism (coefficient, 0.066; P < .001), increased\npresenteeism (coefficient, 0.349; P < .001), higher work\nproductivity loss (coefficient, 0.383; P < .001), and\ngreater activity impairment (coefficient, 0.501;P < .001),\nas measured by the Work Productivity and Activity\nImpairment questionnaire21 (Table 9).\nDiscussion\nOur study explored dyspnea in community-based adults\nwith undiagnosed respiratory symptoms identified via\ncase finding. Surprisingly, we found that the dyspnea\nexperienced by those with PRISm had a greater impact\non their activities and health status than those with\nnewly diagnosed COPD or asthma.\nThe prevalence of individuals who were obese and\nmorbidly obese in the PRISm group partially explains\nthe between-group difference in dyspnea. The excess\ndyspnea seen in the PRISm group when compared with\nthe normal spirometry group is partly explained by\npatient-specific risk factors, including BMI, which\nshrink the mean dyspnea differential between the groups\nfrom 11.2 to 5.5 points (Tables 3-6). The remaining 5.5-\npoint difference indicates that PRISm patients have\nexcess dyspnea relative to symptomatic individuals with\nnormal spirometry for additional reasons other than\nobesity.\nTABLE 4] Sequential Regression Analyses of Risk Factors Contributing to Variability in Dyspnea: Dyspnea\nRegressed on Patient-Specific Risk Factors (20.6% of Variability Explained)\nRisk Factor Regression Coef ficient P Value\nAge /C0 0.0909 .005\nFemale 8.217 < .001\nBMI 0.899 < .001\nHousehold income< CAD $30,000 1.420 .40\nHousehold income$ CAD $30,000 /C0 2.149 .07\nSmoking history, pack-y 0.144 < .001\nSmoking exposure 5.123 < .001\nOccupational exposure 0.00975 < .001\nCongestive heart failure 10.119 .004\nCoronary artery disease 4.813 .001\nDepression/anxiety 6.892 < .001\nDiabetes mellitus 1.627 .22\nHypertension 3.433 < .001\nAnemia 1.738 .15\nCancer 0.952 .49\nGERD 4.663 < .001\nLiver disease 1.081 .61\nRenal disease 2.073 .32\nStroke 8.463 < .001\nBoldface indicates statitistical significance. GERD¼ gastroesophageal reflux disease.\nTABLE 5] Dyspnea Regressed on Spirometry Disease\nGroup\nDisease Group Regression Coef ficient P Value\nControl /C0 31.2 < .001\nNormal spirometrya NA NA\nAsthma 4.6 .001\nCOPD 3.8 .003\nPRISm 5.5 .001\nConstant 51.9 NA\nDyspnea regressed on spirometry disease group, after removing contri-\nbutions from subject-speci fic factors in Table 4 (12.4% of variability\nexplained). Boldface indicates statitistical significance. NA ¼ not appli-\ncable; PRISm ¼ preserved ratio impaired spirometry.\naNormal spirometry group is the reference category.\n1304 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Research Council breathlessness scale.20 Fifteen questions\nwere taken from the CAT and SGRQ questionnaires that\nreferred to individuals’ experiences with dyspnea, and a\ncomposite measure of dyspnea impact using a weighted\nsum of the responses to the 15 questions was constructed.\nQuestions were coded so that larger values indicate more\nimpactful dyspnea. Weights used for question responses\nin calculating the dyspnea impact assessment measure\nwere those of thefirst component of a principal compo-\nnent analysis (PCA) based on the covariance matrix of\nquestion responses. Questions with multiple responses\nand ordinal structure are individually more informative\nand thus were accorded higher weight than individual\ntrue-false questions. No additional PCA component was\nanticipated a priori to be material for our investigation,\nand an eigenvalue analysis of the PCA was conducted to\nverify this assumption.\nThe composite dyspnea impact measure was scaled so its\nminimum value was 0 if the response to each of the 15\nquestions was 0, and the maximum value was scaled to\n100 if the individual responses for all 15 questions rep-\nresented the most severe dyspnea response.\n1298 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "However, 1,415 either did not attend or were unable to\ncomplete adequate spirometry. Ultimately, 2,857 (67%)\nof those eligible underwent both pre- and post-BD\nspirometry.\nOf these 2,857 participants, 2,090 (73.2%) had normal\nspirometry, 265 (9.3%) had undiagnosed asthma, 330\n(11.5%) had undiagnosed COPD, and 172 (6.0%) had\nPRISm based on post-BD spirometry. Of the 595\nindividuals with spirometric evidence of asthma or\nCOPD, 253 were independently assessed by a\npulmonologist. In 245 of these 253 cases (97%), the\nindependent physician diagnosis agreed with the study\ndiagnosis of asthma or COPD.\nIndividuals in the COPD group were generally older\na n dm o r el i k e l yt ob em a l ec o m p a r e dw i t ha l lo t h e r\nstudy groups (Table 1). All groups, including healthy\ncontrol participants, had mean BMIs in the overweight\no ro b e s er a n g e s .T h eP R I S mg r o u pw a sh e a v i e s tw i t ha n\naverage BMI of 34.7, and 22% of PRISm patients met\nBMI criteria for morbid obesity. Compared with all\nother groups, those with COPD were the most likely to\nhave active or previous tobacco use, with the highest\naverage total pack-years of 32.7. The control group had\nthe lowest number of people with active or previous\ntobacco use.\nTable 2 shows mean responses to the 15 dyspnea\nquestions for each disease classification and presents\nquestion weights (PCA scoring coefficients) used for\ncalculating the dyspnea impact assessment.\nIndividuals with PRISm reported the highest dyspnea\nimpact, with a significantly greater mean score (63.0;\n95% CI, 59.5-66.4) than those with undiagnosed\nasthma or COPD (Table 3). Those with undiagnosed\nasthma or COPD had similar mean scores (56.6;\n95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9,\nrespectively), followed by those with normal\nspirometry (51.8; 95% CI, 50.7-52.8). All four groups\nreported significantly more impactful dyspnea than\nthe control group (mean score, 13.8; 95% CI, 11.8-\n15.7). Table 3 shows between-group differences in\nmean dyspnea impact assessments for each pair of\ndisease outcomes. Figure 2 compares box plots of the\ndyspnea impact assessment values across disease\nclassifications.\nTable 4 presents the association of dyspnea with\npatient-speci fic risk factors. Dyspnea impact increased\nwith younger age, being female, higher BMI, higher\nsmoking and smoke exposure history, and total work\nTABLE 2] (Continued)\nQuestions About Dyspnea From CAT and SGRQ\nControl Group\n(n ¼ 231)\nNormal Spirometry\nGroup (n ¼ 2,090)\nAsthma Group\n(n ¼ 265)\nCOPD Group\n(n ¼ 330)\nPRISm Group\n(n ¼ 172)\nQ13 (weight¼ 0.132) My breathing makes it dif ficult to do things such as\nclimbing up hills, carrying things up stairs, light\ngardening such as weeding, dancing, bowling, orgolfing, %\n85 45 9 6 9 7 4\nQ14 (weight¼ 0.123) My breathing makes it dif ficult to do things such as\ncarrying heavy loads, digging the garden or shoveling\nsnow, jogging, or walking at 5 km/h, playing tennis orswimming, %\n13 65 71 78 81\nQ15 (weight¼ 0.108) My breathing makes it dif ficult to do things such as very\nheavy manual work, running, cycling, swimming fast,\nor playing competitive sports, %\n17 74 79 85 88\nData are presented as mean (SD) for Q1, Q2, and Q3 (total), and Q3 to Q15 were presented to participants as yes or no questions, where percentages of participants who answered yes are shown. Question weights\n(principal component analysis scoring coefficients) used for calculating the dyspnea assessment are shown below individual questions. CAT¼ COPD Assessment Test; PRISm¼ preserved ratio impaired spirometry;\nQ ¼ question; SGRQ ¼ St. George’s Respiratory Questionnaire.\n1302 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Impact of Dyspnea on Adults With\nRespiratory Symptoms Without a Defined\nDiagnosis\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD;\nLouis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD;\nCatherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD;\nM. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD;\nGonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health\ncare utilization, quality of life, and work productivity in adults with undiagnosed respiratory\nsymptoms.\nRESEARCH QUESTION:What is the impact of dyspnea in adults with undiagnosed respiratory\nsymptoms?\nSTUDY DESIGN AND METHODS:This population-based study included 2,857 adults who were\nexperiencing respiratory symptoms. These individuals had not been previously diagnosed\nwith any lung conditions and were recruited from 17 Canadian centers using random digit\ndialing. Each participant underwent spirometry testing both before and after using a bron-\nchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved\nratio impaired spirometry (PRISm), or if their spirometry results were normal. An age-\nmatched control group (n ¼ 231) was similarly recruited using random digit dialing. A\ndyspnea impact assessment score from 0 to 100 was produced using questions from the\nCOPD Assessment Test and St. George’s Respiratory questionnaire.\nRESULTS: Individuals with PRISm (n¼ 172) reported more impactful dyspnea (mean score,\n63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n¼ 265; mean score, 56.6;\n95% CI, 53.9-59.3) or undiagnosed COPD (n¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All\ngroups reported significantly more impactful dyspnea than the control group (mean score,\n13.8; 95% CI, 11.8-15.7). Patient-specific risk factors including age, sex, BMI, smoking, and\ncomorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the\nvariation was explained by disease classification and another 1.7% by the severity of lung\nfunction impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater\ndyspnea impact was associated with increased health care utilization, lower quality of life, and\nreduced work productivity.\nINTERPRETATION: Our findings showed that in community-based adults with undiagnosed\nrespiratory symptoms, those identified with PRISm experienced the greatest impact of dys-\npnea. Dyspnea imposes burdens on the health care system and is associated with impaired\nquality of life and work productivity. CHEST 2024; 166(6):1296-1308\nKEY WORDS:asthma; case finding; COPD; dyspnea\nFOR EDITORIAL COMMENT, SEE PAGE 1259\n[ Asthma Original Research ]\n1296 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "outpatients with cardiorespiratory disease25 and the\nDyspnea-12 in patients with asthma26 and found that\nthe affective aspect of dyspnea can significantly influence\nthe impact of dyspnea on health status, irrespective of\nthe intensity of breathlessness.\nIn those with PRISm, there was a strong, positive\nassociation between higher values for the FEV1/FVC\nratio and dyspnea. For the PRISm group, a higher\nFEV1/FVC ratio may reflect diminished lung\ncompliance due to interstitial lung disease and/or\nrespiratory system restriction due to obesity, which\ncould contribute to worse dyspnea. Conversely, the\nassociation of dyspnea with the FEV1/FVC ratio was in\nthe opposite direction for those with asthma or COPD,\nand a lower FEV1/FVC ratio correlated with worse\ndyspnea, as expected.\nOur study complements the literature by focusing on\nadults with undiagnosed respiratory symptoms who\nwere randomly selected and recruited through active\ncase finding in the community. This increases the\ngeneralizability of our results to a broader population.\nOur dyspnea questions were derived from widely used\nand validated respiratory health questionnaires, and\nour dyspnea assessment measure is a weighted average\nof responses to these validated questions.\nConsequently, the measure has an immediate\ninterpretation in terms of the lived day-to-day\nexperience of individuals.\nOur study has limitations. We did not undertake\nreliability/reproducibility testing of our questionnaire.\nThe dyspnea impact assessment score was statistically\nassociated with increased health care utilization, lower\nquality of life, and reduced work productivity; therefore,\nby virtue of this analysis, our questionnaire has\nconstruct validity. However, further attempts at external\nvalidation of the questionnaire using an independent\ndata set would be important. Health care utilization\nduring the preceding 12 months was assessed on entry\ninto the study, and there is potential for impaired recall\nof events. Our study may have missed asthma in some\nparticipants because bronchial challenge testing was not\nconducted on those who tested negative for airflow\nobstruction or BD responsiveness. A previous study\nshowed that an additional diagnostic step incorporating\nTABLE 8] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nIn the past 12 mo, did you visit your general\npractitioner or a nurse practitioner or another\nphysician at a walk-in clinic for any breathing\nproblems?\n1.011 (1.007-1.014) < .001 1.011 (1.007-1.014) < .001\nIn the past 12 mo, did you visit an emergency\ndepartment for any breathing problems?\n1.015 (1.009-1.021) < .001 1.015 (1.009-1.022) < .001\nIn the past 12 mo, were you hospitalized for any\nbreathing problems or respiratory illness?\n1.021 (1.006-1.037) .006 1.023 (1.007-1.039) .005\nData are presented as OR (95% CI) withP values. Adjusted values are adjusted for age, sex, and BMI.\nTABLE 9] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI)\nMeasure\nUnadjusted Adjusted\nDyspnea OR (95% CI) P Value Dyspnea OR (95% CI) P Value\nAre you currently employed\n(working for pay)?\n0.995 (0.992-0.998) .002 0.993 (0.990-0.997) < .001\nMeasurea\nDyspnea Coefficient\n(95% CI) P Value\nDyspnea Coefficient\n(95% CI) P Value\nAbsenteeism 0.061 (0.040-0.083) <.001 0.066 (0.044-0.089) < .001\nPresenteeism 0.334 (0.293-0.375) <.001 0.349 (0.306-0.392) < .001\nWork productivity loss 0.368 (0.323-0.413) <.001 0.383 (0.336-0.430) < .001\nActivity impairment 0.503 (0.463-0.544) <.001 0.501 (0.458-0.544) < .001\nORs and regression coefficients are presented with 95% CIs andP values. Adjusted coefficients are adjusted for age, sex, and BMI. WPAI¼ Work Pro-\nductivity and Activity Impairment questionnaire.\naMeasures calculated from WPAI questions.21\n1306 Original Research [ 166#6 CHEST DECEMBER 2024 ]", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a casefinding strategy\nidentified asthma in 26% of symptomatic individuals\nwho had normal spirometry and no response to BD.27\nIndividuals with undiagnosed respiratory symptoms,\ndetermined to have asthma or COPD through\nspirometry, experience poor health status.28 Therefore,\nthe implementation of known treatment approaches for\nasthma or COPD is important to improve their\nconditions.29 In contrast, those with normal spirometry\nor PRISm face unclear treatment approaches. Long-\nacting BD therapy in symptomatic individuals with\ntobacco exposure with normal spirometry is not\neffective.30 Weight management programs may be useful\nfor individuals who are obese with PRISm-related\ndyspnea; however, this awaits definitive clinical trials.31\nDyspnea was severe and prevalent within our study\ngroup; however, it remained undiagnosed. A study\nconducted by Stefan et al32 revealed that physicians\nunderestimated their patients’ dyspnea 37.9% of the\ntime, whereas nurses underestimated it 3.5% of the time.\nMoreover, many patients limit their physical activities,\nwhich lead them to downplay the extent of their\ndyspnea.19 Patient underreporting of symptoms, coupled\nwith inadequate physician-led investigations of\nsymptoms, may explain why dyspnea often goes\nundiagnosed in the population.33\nIn conclusion, our study measured dyspnea impact in\nindividuals with no preexisting diagnosis of lung disease\nwho reported respiratory symptoms as part of a\npurposeful casefinding strategy. Individuals with PRISm\nexhibited the greatest impact of dyspnea, even higher\nthan those newly diagnosed with asthma or COPD.\nAfter adjusting for patient factors, comorbidities,\npulmonary diseases, and severity of lung physiologic\nimpairment, most of the variability in dyspnea remained\nunexplained. We also showed that dyspnea was\nassociated with increased health care utilization,\nimpaired quality of life, and work productivity.\nFunding/Support\nThis study is supported by the Canadian Institutes of\nHealth Research [FDN Grant 154322].\nFinancial/Nonfinancial Disclosures\nNone declared.\nAcknowledgments\nAuthor contributions:S. D. A. and G. A. W.\ncontributed to conception and design. J. B., E.\nG., G. A. W., K. L. V., and S. D. A.\ncontributed to analysis and interpretation. J.\nB., E. G., G. A. W., K. L. V., S. D. A., C. B., C.\nL., L.-P. B., A. C., E. P., S. K. F., S. G., R. A.\nM., I. M., M. B., P. H., M. D. L., M. A., C. J. L.,\nT. A., N. E., G. G. A., and S. M. contributed to\ndrafting the manuscript for important\nintellectual content. All authors had access to\nand participated in the interpretation of the\ndata and provided input into the preparation\nand submission of the manuscript. The\nauthors vouch for the accuracy and\ncompleteness of the data.\nRole of sponsors:The sponsor had no role in\nthe design of the study, the collection and\nanalysis of the data, or the preparation of the\nmanuscript.\nOther contributions: We thank the\nfollowing individuals from the Canadian\nstudy sites: Ottawa Hospital Research\nInstitute, Ottawa, Ontario: Taylor Poulin;\nSusan Deveau, RRT; Victoria Thompson;\nMeredith McCleery; Angelina Tohme; Vicky\nPanteleakos, RRT; Geneviève Longtin, RRT;\nJoanne Cassidy, RRT; Amanda Bergeron,\nMSc; Jennifer Biggs, RN; Jessica Bergeron;\nand Elisabet White; Vancouver General\nHospital, Vancouver, British Columbia:\nShelley Abercromby, BSc; Jana Caine; David\nSavage; Natasha Verzosa; Ravneet Mahal; and\nMary Justine Angeles; Queen Elizabeth II\nHealth Sciences Centre, Halifax, NS: Scott\nFulton, RRT; Hôpital du Sacré Coeur de\nMontréal, Montréal, QC: Simone Chaboillez,\nMT; and Meliza Benabdallah; St. Joseph’s\nHamilton, Hamilton, ON: Liz Johnson; St.\nBoniface Hospital, Winnipeg, MB: Cheryl\nNoble, RN; Institut Universitaire de\nCardiologie et de Pneumologie de Québec-\nUniversité Laval, Québec, QC: Johane\nLepage, BSc; Joanne Milot, RN; and\nChristiane Balizet, RN; University of Calgary,\nCalgary, AB: Lisette Machado, MD; and\nCurtis Dumonceaux, BSc; University of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Risk Factors Associated With Dyspnea\nPatient-related risk factors were consideredfirst, and re-\nsults of spirometry considered afterward. The spirom-\netry risk factors chosen for the second stage analysis\nincluded the spirometry-based diagnosis of the patient\n(asthma, COPD, PRISm, or normal) and lung function\nresults indicative of the severity of physiologic impair-\nment. Severity was gauged by assessing three principal\nlung function measures: (1) post-BD FEV1 % predicted,\n(2) post-BD FEV 1/FVC ratio, and (3) percentage\nreversal of FEV1 with BD.\nDyspnea Impact and Health Care Use, Quality of\nLife, and Work Productivity\nThe impact of dyspnea and its associations with health\ncare use, quality of life, and work productivity were exam-\nined. Health care utilization was assessed through self-\nreported data. Quality of life was assessed using the 36-\nItem Short Form Health Survey questionnaire, where\nhigher scores indicate better health status. Work produc-\ntivity was assessed using the Work Productivity and Activ-\nity Impairment questionnaire, where higher scores\nindicate greater impairment in work productivity and\ndaily activities.\nStatistical Analysis\nBox plots were used to compare distribution patterns of\ndyspnea impact assessments among the disease groups.\nPairwise comparison tests were conducted to evaluate\nmean dyspnea differences between groups. Multiple\nlinear regression analysis was used to measure contribu-\ntions to variability of dyspnea by selected patient-specific\nrisk factors, spirometry disease classification, and key\nlung function measures. The selected sets of risk factors\nwere evaluated using successive regression analyses.\nAnalysis of variance sums of squares from the successive\nregression analyses provided the cumulative percentage\ncontributions to variability of dyspnea. Simple, multiple,\nand logistic regression analyses were used to study asso-\nciations between dyspnea and health care utilization,\nquality of life, and work productivity outcomes. All sta-\ntistical analyses were done using STATA 16 statistical\nsoftware (StataCorp).\nResults\nFigure 1 illustrates the results of the casefinding\napproach, including the enrollment of the control group.\nAmong 5,631 potentially eligible participants, 1,359\nparticipants (24%) did not meet the threshold of$ 6\npoints on the ASQ or$ 20 points on the COPD-\nDiagnostic Questionnaire and were thus excluded,\nleaving 4,272 individuals deemed eligible for spirometry.\n38,353 individuals indicated that they had respiratory\nsymptoms and were phoned back by study personnel\n 26,905 were symptomatic\n 11,448 had no respiratory symptoms\n5,631 potentially eligible for the\ncase finding study\n1,359 did not score ≥ 6\npoints on ASQ or ≥ 20\npoints on the COPD-DQ\n2,090 (73.2%) had normal\nspirometry\n265 (9.3%) had\nundiagnosed asthma\n330 (11.5%) had\nundiagnosed COPD 172 (6.0%) had PRISM\n21,274 excluded\n8,273 Previous diagnosis of asthma\n5,363 Previous diagnosis of COPD\n190 Age < 18 years\n1,763 Previous diagnosis of CF, bronchiectasis, pulmonary\nfibrosis, or lung cancer\n1,331 History of MI, heart problems, stroke, aortic or cerebral\naneurysm, eye surgery, or detached retina in past 3 mos.\n19 Pregnant, in the third trimester\n3,715 Under care of respirologist or using an inhaled respiratory\n1,415 did not complete spirometry\n 1,337 refused to travel to study site\n 67 participants unable to complete acceptable\n spirometry\n 11 participants deemed ineligible after consent\n4,272 potentially eligible for the\ncase finding study\n2,857 completed pre and post\nbronchodilator spirometry and\ncould be evaluated for a\ndiagnosis of asthma or COPD\n231 healthy controls with\nno respiratory symptoms\nwho scored 0 points on the\nASQ were selected and\ncompleted pre and post\nbronchodilator spirometry\nFigure 1– Study flow diagram demonstrating the casefinding and control group recruitment and allocation. ASQ¼ Asthma Screening Questionnaire;", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Can I put my plants directly on my compost ?", - "target_page": 2, - "target_passage": "Don’t\tput\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t\t compost\tthoroughly\tinto\texisting\tsoil\tbefore\t\t\t planting.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "A project of the Washington Organic Recycling Council, with \nsupport from the Washington State Department of Ecology’s \nPublic Participation Grant program.\nThis product was partly funded through a grant from the \nWashington Department of Ecology. While these materials \nwere reviewed for grant consistency, this does not necessarily \nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003 \nwas created by the Washington County, Oregon Solid Waste and \nRecycling Program in cooperation with the Washington Organic \nRecycling Council and the Composting Council of Oregon.\nTips to Remember:\n•\t Don’t\t put\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t \t\n\t \t compost\t thoroughly\tinto\texisting\tsoil\tbefore\t\t \t\n\t \t planting.\n•\t When\t transplanting,\tit’s\tbetter\tto\tamend\tthe\t\t \t\n\t \t whole\t bed,\tnot\tjust\tplanting\tholes,\tto\tpromote\t\t \t\n\t \t root\t growth.\n•\t Ask\t your\tcompost\tsupplier\twhich\tcompost\t\t\t\t\t\t\t\t\t\t\n\t \t product\t is\tbest\tfor\tyour\tintended\tuse.\n•\t Use\t compost\tat\tthe\trecommended\tapplication\t\t \t\n\t \t rate.\n•\t To\t maintain\thealthy\tsoil,\treapply\tcompost\tor\t\t \t\n\t \t mulch\t every\t1-2\tyears.\n•\t Many\t composts\tare\trich\tin\tplant\tnutrients,\tso\t\t \t\n\t \t you\t may\tbe\table\tto\treduce\tfertilizer\tuse\tafter\t\t \t\n\t \t applying\t compost.\n•\t Compost \tcan\talso\treduce\tyour\tlawn\tand\tgarden’s\t\t\n\t \t summer\t irrigation\tneeds.\n•\t Compost-amended\t soil\tand\tmulching\tslow\trun\t \t\n\t \t off,\t reduce\terosion,\tand\tbreak\tdown\tpollutants.\t\t\t\n\t \t When\t you\tuse\tcompost,\tyou’re\thelping\tto\t\t\t\t\t\t\t\t\t \t\n\t \t protect\t our\tprecious\tstreams,\trivers,\tlakes,\tand\t\t\t\n\t \t marine\t waters.\noriginal artwork provided by:\nwww.compostwashington.org www.ecy.wa.gov www.soilsforsalmon.org", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Building Rich and Healthy Soil \nWith Compost\nTo grow healthy plants you need healthy soil.\nHealthy Soil:\nl Is teeming with life! Healthy soil is a miniature ecosystem. \n A teaspoon of healthy soil will have upwards of four billion \n tiny organisms which recycle nutrients, suppress disease, and \n discourage pests.\nl\tRetains moisture but allows drainage. Healthy soil has \n structure that allows water to drain through, retains moisture, \n and promotes strong root growth.\nl\tIs full of organic nutrients. Plants depend on the micro- \n organisms found in healthy organic-rich soil to provide \n nutrients to their roots, and help them thrive.\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides.\nSoil\tis\ta\tplanting\tmedium.\t\tCompost\tis\ta\tsoil\tamendment.\nDo\tnot\tplace\tplants\tdirectly\tinto\t100%\tcompost.\nAsk\tyour\tsupplier\tor\tsee\tnext\tpage\tfor\tmixes\tfor\tdifferent\tuses.\nWashington State Encourages the Use of Compost, \nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils \non construction sites be restored with compost before planting, and also \nencourages the use of compost for construction site erosion control, to reduce \nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean. \nLearn more at www.SoilsforSalmon.org\tor\twww.BuildingSoil.org.\nSelecting Quality Compost\nCompost is available in many product types and blends that may be \nused for different gardening applications. The type of feedstock, \nthe composting process, and any supplementary additives determine \nthe end product.\nMany facilities offer a variety of blends based on compost, such as \ngarden mix, potting soil, planting mix, mulches, turf top-dressing \nand soil blends.\nWhat to Look for in Compost\nFor most compost applications you will want a finished product that \nhas matured and stabilized. Look for material\n\tl\twith a dark, crumbly texture\n\tl\twith a mild odor \nFor most compost applications you will not want compost that is \nextremely dry or wet, or extremely hot. (Note that it is okay for \ncompost to be warm and to give off some steam and mild odor.)\nQuality Testing at Composting Facilities\nFeel free to ask your compost provider if they have a quality control \nprogram, and ask for test results. Compost facilities in Washington \nare permitted by the Department of Ecology and must meet \nstandards for both the composting process and contaminants, \nensuring a quality product. Some facilities also participate in the \n“Seal of Testing Assurance” (STA) testing program. See \n“Resources” on page 11 to learn more.\nRemember: \nYour\tcompost\tprovider\tcan\thelp\tyou\tpick\tthe\tbest\tcompost\tmix\t\nfor\tyour\tneeds.", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Compost: A Natural Cycle \nComposting is a natural process in which micro-\norganisms and macro-organisms break down organic \nmaterial (leaves, twigs, grass, etc.) into a dark crum -\nbly soil amendment. Modern compost facilities use \nthe same natural biological composting process. \nTheir controlled-temperature process works faster, \nbreaks down pesticide residues, and also kills weed \nseeds and plant diseases.\nCompost improves soil structure and plant \ngrowth by\n• Replenishing soil organic matter, and storing \n nutrients in plant-available forms\n• Supporting beneficial soil life\n• Reducing erosion and water run-off\n• Loosening clay soils for better root \n development (increasing soil pore space)\n• Retaining moisture in sandy soils so \n plants need less watering.\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a \ncomparison:\nCompost is stable, decomposed organic matter, excellent for \nimproving soil structure, fertility, moisture holding capacity, and \nplant growth.\nMulch is any material applied to the soil surface. Woody mulches \n(high in carbon, low in nitrogen) like wood chips, bark and woody \ncomposts are great for woody plants. Annual plants should be \nmulched with nutrient-balanced mulches like compost, grass \nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It \nprovides soil porosity, but not the nutrients or biological diversity for \nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small \namounts to supplement natural soil fertility. \nTopsoil that is sold is usually not native topsoil. Quality \nmanufactured topsoils are a blend of native sandy sub-soils with \ncomposted organic matter to support soil life.\nAsk Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local \n vendor, here are some good questions to ask:\n\t •\t What\t ingredients\tgo\tinto\tyour\tcompost?\n\t •\t What\t compost\tproducts\tor\tblends\tdo\tyou\tsell?\n\t •\t Are\t there\tquality\tcontrol\tor\ttesting\tresults\tavailable\tfor\tthese\t\t \t\n\t \t products?\t (These\tmay\tbe\ton\tthe\tmanufacturer’s\twebsite.)\n\t •\t Which\t product\tis\tbest\tfor\tmy\tintended\tuse?\n\t •\t What\t application\trate\tdo\tyou\trecommend?\t\n\t \t\t\t•\t How\tmuch\tdo\tI\tneed\tfor\tmy\tarea?\t\t(Or\tsee\tpages\t4-6.)", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Compost Questions and Answers \nWhat\tis\tcompost?\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \nWhat\tmaterials\t(“feedstocks”)\tare\tused\tto\tmake\tcompost?\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost.\nHow\tdo\tI\tknow\tI’m\tgetting\tsafe,\tquality\tcompost?\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \nWhat\tabout\tweed\tseeds,\tplant\tdiseases\tor\tpesticide\tresidues?\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process.\nCompost Beginnings\nThe yard debris or food scraps* that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds.\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips:\nl\tThe products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \nl\tPlease keep yard debris free of :\n\t x\tGarbage\n\t x\tPlastic of any sort\n - Plastic plant pots\n - Plastic plant tabs\n - Plastic bags (if you want to bag \n your yard debris, use paper\n garden bags - available at most\n garden centers)\n\t\tx\tRock, brick, or masonry\n\t\tx\tGlass or metal\n\t\tx\tPet waste.\n* Many localities now collect food scraps and \nfood-soiled paper along with yard debris for \ncomposting. Call your local collection service \nto find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "The Composting Process \nEven though there are a variety of composting methods, most \ncomposting follows a similar process: \n1. Grinding Organic Materials: \nDepending on the facility, the feedstock (material) available, and \nthe desired compost product, different combinations of materials \nare added together and ground into small pieces:\n • Nitrogen-rich materials (such as grass, fresh plant \n cuttings, biosolids, and manures)\n • Carbon-rich materials (such as dried leaves, woody \n materials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from \nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a \nspecified time period in order to destroy weed seeds and patho -\ngens. The compost is turned or aerated, allowing the composting \nmicrobes to breathe. After a period of time, the nitrogen-rich \nmaterial is depleted, the biological process slows, and the hot \ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to \nensure maturity and stability. The cooling compost is aged, which \nallows the decomposition process to slow down and the finished \ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a \ncombination of compost blended with uncomposted additives \n(such as peat, bark, minerals, or soil).\nApplications for Compost \nPlanting\tNew\tGarden\tBeds\tor\tLawns\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds.\nMulch\t(surface\tapplications\ton\tlandscape\tbeds)\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems.\nTop\tDressing\tfor\tLawns\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns.\nBlended\t(Manufactured)\tTopsoils\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens.\nWhen to Use Compost?\n • Any time you’re preparing soil for planting\n • Mulching beds and gardens in spring, summer, or fall\n • Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A USER'S GUIDE TO\nCOM POST\nThe Beauty of Your Lawn & Garden\nBlossoms from the Soil\nCompost adds organic material and nutrients to the soil,\nincreases water-holding capacity and biological activity,\nand improves plant growth and health.\nRevised 2009", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "How Much Compost to Use\n \tl\tEstimate the planting area (Math Hint: Square feet = length x width)\n \tl\tDecide upon the appropriate application depth of the compost (page 4) \n \tl\tUse the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n \tl\tConversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n Plot Size # of Sq Feet 1/2” Deep - Mulching 2” Deep - Amending new\n or Top-dressing lawns or gardens \n \n 5' x 10' plot 50 sq ft 2.08 cu ft of compost 8.33 cu ft of compost (0.31 cu yd)\n 10' x 10' plot 100 sq ft 4.17 cu ft of compost 16.66 cu ft of compost (0.62 cu yd)\n 20 x 50' plot 1000 sq ft 41.7 cu ft of compost 166.7 cu ft of compost (6.2 cu yd)\n 1 acre 43,600 sq ft 1,815 cu ft of compost (67 cu yd) 7,257 cu ft of compost (268 cu yd)\n \nQuestion: I have a plot about this big, how much compost do I buy?\n Compost Quantity 1/2” Deep - Mulching 2” Deep - Amending new\n or Top-dressing lawns or gardens \n \n 1 cu ft bag of compost 24 sq foot area 6 sq foot area \n 1.5 cu ft bag of compost 36 sq foot area 9 sq foot area \n 2.2 cu ft bag of compost 53 sq foot area 13 sq foot area \n 2.5 cu ft bag of compost 60 sq foot area 15 sq foot area \n 1 cubic yard of compost 648 sq foot area 162 sq foot area \nCompost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology, \ndemonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding \ncapacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at \nwww.compostwashington.org.\nQuestion: If I buy this much compost, how many square feet will it cover?", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Resources\nCompost Organizations\nWashington Organic Recycling Council \nFind a compost producer in your area \nwww.compostwashington.org \nUS Composting Council\nSeal of Testing Assurance (STA) program \nwww.compostingcouncil.org/programs/sta/\nRestoring the Soil to Protect our Waterways \nwww.soilsforsalmon.org \nCompost amendment and erosion control \nduring construction: information for builders \nwww.buildingsoil.org \nNatural Lawn & Garden Care, Soils, and Home \nComposting\nCity of Seattle\nwww.seattle.gov/util/services/yard\nKing County\nwww.kingcounty.gov/soils\nWashington State University\nwww.puyallup.wsu.edu/soilmgmt/ \nThe Beauty of Your Lawn and Garden \nBlossoms from the Soil\nThank you for your interest in compost.\nCompost is a versatile product with many benefits. It enhances \nsoil quality, helps save water, and supports your community’s \nefforts to recycle organic debris. All this helps to conserve our \nnatural resources and reduces the amount of material sent to the \nlandfill.\nCompost-amended soil also helps break down pollutants and \nabsorb stormwater runoff. By making nutrients slowly available \nto plants and enhancing plant health, compost can reduce the \nneed for chemical fertilizers and pesticides. All these benefits \nhelp protect our lakes, rivers, and marine waters from pollution \nand excessive runoff.\nCompost is a natural amendment for your lawn or garden, and \ncan be used regularly to enrich your soil. This guide is designed \nto help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "/ /50% green materials : all fruit and vegetable \npeelings, leftover meat, egg shells, tea and \ncoffee…\n/ /50% brown materials : dead leaves, twigs, \nkitchen rolls, shavings, possibly paper, \nnewspaper and cardboard …\nRECYCLABLE WASTE\nORGANIC WASTE\nINSTRUCTIONS \nin the Pays de Lauzun district\nPlastic bottles and flasks\nAll types of paper \nand cardboard\nMetal packaging, \neven the smallest ones\nAll other packaging\nNEW\nSORTING ERROR IN YELLOW BIN = YELLOW BIN NOT COLLECTED\nGOOD SORTING HABITS: EMPTY THEM WELL, NO NEED WASH THEM, PUT IN THE \nCONTAINER SEPARATE FROM EACH OTHER AND WITHOUT BAG\nRECYCLING CENTRE\nWood\nReusable objects Ink cartridges Light bulbs Textiles Drain oils Batteries Rubbles\nMetals Dangerous waste Plants Buried waste Furniture Cardboard Electrical devices\nBocaux et bouteilles\n/ /Sans les couvercles !\nALL GLASS BOTTLES\nHOUSEHOLD GARBAGE\nMasks, nappies, Broken dishes, \ntoothbrush, Disposable wipes, \nVacuum bags...\nYELLOW BIN OR \nYELLOW COLUMN\nCOMPOSTER\nBLACK BIN OR \nBLACK COLUMN", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "OPERATIONS REVIEW\n21\nMangroves, a tropical evergreen shrub, which forms dense thickets along\ncoastlines, are a key element of the life cycle of a large number of marine species in the areas in\nwhich Mermaid principally operates. \nThe potential exposure to accidental damage, pollution or destruction of mangroves represents\na significant environmental issue in the region.\nAs part of its plans to expand the Dampier Base, Mermaid volunteered a replanting program to\nencourage the growth of mangroves in previously denuded areas, immediately adjacent to the\nexpanded Base.\nAs at the date of the report, five hundred (500) juvenile mangroves have been transplanted with\n90% success. A further 174 mangrove seedlings have been planted and are showing very good\ngrowth rates. Attempts to transplant adult mangrove trees, have proved to be more difficult, but\nthe success with young plants now appears to guarantee a more than satisfactory outcome.\nENVIRONMENTAL ISSUES", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "What are fertilizers ?", - "target_page": 4, - "target_passage": " Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "A USER'S GUIDE TO\nCOM POST\nThe Beauty of Your Lawn & Garden\nBlossoms from the Soil\nCompost adds organic material and nutrients to the soil,\nincreases water-holding capacity and biological activity,\nand improves plant growth and health.\nRevised 2009", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Compost: A Natural Cycle \nComposting is a natural process in which micro-\norganisms and macro-organisms break down organic \nmaterial (leaves, twigs, grass, etc.) into a dark crum -\nbly soil amendment. Modern compost facilities use \nthe same natural biological composting process. \nTheir controlled-temperature process works faster, \nbreaks down pesticide residues, and also kills weed \nseeds and plant diseases.\nCompost improves soil structure and plant \ngrowth by\n• Replenishing soil organic matter, and storing \n nutrients in plant-available forms\n• Supporting beneficial soil life\n• Reducing erosion and water run-off\n• Loosening clay soils for better root \n development (increasing soil pore space)\n• Retaining moisture in sandy soils so \n plants need less watering.\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a \ncomparison:\nCompost is stable, decomposed organic matter, excellent for \nimproving soil structure, fertility, moisture holding capacity, and \nplant growth.\nMulch is any material applied to the soil surface. Woody mulches \n(high in carbon, low in nitrogen) like wood chips, bark and woody \ncomposts are great for woody plants. Annual plants should be \nmulched with nutrient-balanced mulches like compost, grass \nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It \nprovides soil porosity, but not the nutrients or biological diversity for \nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small \namounts to supplement natural soil fertility. \nTopsoil that is sold is usually not native topsoil. Quality \nmanufactured topsoils are a blend of native sandy sub-soils with \ncomposted organic matter to support soil life.\nAsk Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local \n vendor, here are some good questions to ask:\n\t •\t What\t ingredients\tgo\tinto\tyour\tcompost?\n\t •\t What\t compost\tproducts\tor\tblends\tdo\tyou\tsell?\n\t •\t Are\t there\tquality\tcontrol\tor\ttesting\tresults\tavailable\tfor\tthese\t\t \t\n\t \t products?\t (These\tmay\tbe\ton\tthe\tmanufacturer’s\twebsite.)\n\t •\t Which\t product\tis\tbest\tfor\tmy\tintended\tuse?\n\t •\t What\t application\trate\tdo\tyou\trecommend?\t\n\t \t\t\t•\t How\tmuch\tdo\tI\tneed\tfor\tmy\tarea?\t\t(Or\tsee\tpages\t4-6.)", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Compost Questions and Answers \nWhat\tis\tcompost?\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \nWhat\tmaterials\t(“feedstocks”)\tare\tused\tto\tmake\tcompost?\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost.\nHow\tdo\tI\tknow\tI’m\tgetting\tsafe,\tquality\tcompost?\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \nWhat\tabout\tweed\tseeds,\tplant\tdiseases\tor\tpesticide\tresidues?\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process.\nCompost Beginnings\nThe yard debris or food scraps* that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds.\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips:\nl\tThe products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \nl\tPlease keep yard debris free of :\n\t x\tGarbage\n\t x\tPlastic of any sort\n - Plastic plant pots\n - Plastic plant tabs\n - Plastic bags (if you want to bag \n your yard debris, use paper\n garden bags - available at most\n garden centers)\n\t\tx\tRock, brick, or masonry\n\t\tx\tGlass or metal\n\t\tx\tPet waste.\n* Many localities now collect food scraps and \nfood-soiled paper along with yard debris for \ncomposting. Call your local collection service \nto find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Resources\nCompost Organizations\nWashington Organic Recycling Council \nFind a compost producer in your area \nwww.compostwashington.org \nUS Composting Council\nSeal of Testing Assurance (STA) program \nwww.compostingcouncil.org/programs/sta/\nRestoring the Soil to Protect our Waterways \nwww.soilsforsalmon.org \nCompost amendment and erosion control \nduring construction: information for builders \nwww.buildingsoil.org \nNatural Lawn & Garden Care, Soils, and Home \nComposting\nCity of Seattle\nwww.seattle.gov/util/services/yard\nKing County\nwww.kingcounty.gov/soils\nWashington State University\nwww.puyallup.wsu.edu/soilmgmt/ \nThe Beauty of Your Lawn and Garden \nBlossoms from the Soil\nThank you for your interest in compost.\nCompost is a versatile product with many benefits. It enhances \nsoil quality, helps save water, and supports your community’s \nefforts to recycle organic debris. All this helps to conserve our \nnatural resources and reduces the amount of material sent to the \nlandfill.\nCompost-amended soil also helps break down pollutants and \nabsorb stormwater runoff. By making nutrients slowly available \nto plants and enhancing plant health, compost can reduce the \nneed for chemical fertilizers and pesticides. All these benefits \nhelp protect our lakes, rivers, and marine waters from pollution \nand excessive runoff.\nCompost is a natural amendment for your lawn or garden, and \ncan be used regularly to enrich your soil. This guide is designed \nto help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "The Composting Process \nEven though there are a variety of composting methods, most \ncomposting follows a similar process: \n1. Grinding Organic Materials: \nDepending on the facility, the feedstock (material) available, and \nthe desired compost product, different combinations of materials \nare added together and ground into small pieces:\n • Nitrogen-rich materials (such as grass, fresh plant \n cuttings, biosolids, and manures)\n • Carbon-rich materials (such as dried leaves, woody \n materials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from \nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a \nspecified time period in order to destroy weed seeds and patho -\ngens. The compost is turned or aerated, allowing the composting \nmicrobes to breathe. After a period of time, the nitrogen-rich \nmaterial is depleted, the biological process slows, and the hot \ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to \nensure maturity and stability. The cooling compost is aged, which \nallows the decomposition process to slow down and the finished \ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a \ncombination of compost blended with uncomposted additives \n(such as peat, bark, minerals, or soil).\nApplications for Compost \nPlanting\tNew\tGarden\tBeds\tor\tLawns\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds.\nMulch\t(surface\tapplications\ton\tlandscape\tbeds)\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems.\nTop\tDressing\tfor\tLawns\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns.\nBlended\t(Manufactured)\tTopsoils\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens.\nWhen to Use Compost?\n • Any time you’re preparing soil for planting\n • Mulching beds and gardens in spring, summer, or fall\n • Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Building Rich and Healthy Soil \nWith Compost\nTo grow healthy plants you need healthy soil.\nHealthy Soil:\nl Is teeming with life! Healthy soil is a miniature ecosystem. \n A teaspoon of healthy soil will have upwards of four billion \n tiny organisms which recycle nutrients, suppress disease, and \n discourage pests.\nl\tRetains moisture but allows drainage. Healthy soil has \n structure that allows water to drain through, retains moisture, \n and promotes strong root growth.\nl\tIs full of organic nutrients. Plants depend on the micro- \n organisms found in healthy organic-rich soil to provide \n nutrients to their roots, and help them thrive.\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides.\nSoil\tis\ta\tplanting\tmedium.\t\tCompost\tis\ta\tsoil\tamendment.\nDo\tnot\tplace\tplants\tdirectly\tinto\t100%\tcompost.\nAsk\tyour\tsupplier\tor\tsee\tnext\tpage\tfor\tmixes\tfor\tdifferent\tuses.\nWashington State Encourages the Use of Compost, \nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils \non construction sites be restored with compost before planting, and also \nencourages the use of compost for construction site erosion control, to reduce \nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean. \nLearn more at www.SoilsforSalmon.org\tor\twww.BuildingSoil.org.\nSelecting Quality Compost\nCompost is available in many product types and blends that may be \nused for different gardening applications. The type of feedstock, \nthe composting process, and any supplementary additives determine \nthe end product.\nMany facilities offer a variety of blends based on compost, such as \ngarden mix, potting soil, planting mix, mulches, turf top-dressing \nand soil blends.\nWhat to Look for in Compost\nFor most compost applications you will want a finished product that \nhas matured and stabilized. Look for material\n\tl\twith a dark, crumbly texture\n\tl\twith a mild odor \nFor most compost applications you will not want compost that is \nextremely dry or wet, or extremely hot. (Note that it is okay for \ncompost to be warm and to give off some steam and mild odor.)\nQuality Testing at Composting Facilities\nFeel free to ask your compost provider if they have a quality control \nprogram, and ask for test results. Compost facilities in Washington \nare permitted by the Department of Ecology and must meet \nstandards for both the composting process and contaminants, \nensuring a quality product. Some facilities also participate in the \n“Seal of Testing Assurance” (STA) testing program. See \n“Resources” on page 11 to learn more.\nRemember: \nYour\tcompost\tprovider\tcan\thelp\tyou\tpick\tthe\tbest\tcompost\tmix\t\nfor\tyour\tneeds.", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with \nsupport from the Washington State Department of Ecology’s \nPublic Participation Grant program.\nThis product was partly funded through a grant from the \nWashington Department of Ecology. While these materials \nwere reviewed for grant consistency, this does not necessarily \nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003 \nwas created by the Washington County, Oregon Solid Waste and \nRecycling Program in cooperation with the Washington Organic \nRecycling Council and the Composting Council of Oregon.\nTips to Remember:\n•\t Don’t\t put\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t \t\n\t \t compost\t thoroughly\tinto\texisting\tsoil\tbefore\t\t \t\n\t \t planting.\n•\t When\t transplanting,\tit’s\tbetter\tto\tamend\tthe\t\t \t\n\t \t whole\t bed,\tnot\tjust\tplanting\tholes,\tto\tpromote\t\t \t\n\t \t root\t growth.\n•\t Ask\t your\tcompost\tsupplier\twhich\tcompost\t\t\t\t\t\t\t\t\t\t\n\t \t product\t is\tbest\tfor\tyour\tintended\tuse.\n•\t Use\t compost\tat\tthe\trecommended\tapplication\t\t \t\n\t \t rate.\n•\t To\t maintain\thealthy\tsoil,\treapply\tcompost\tor\t\t \t\n\t \t mulch\t every\t1-2\tyears.\n•\t Many\t composts\tare\trich\tin\tplant\tnutrients,\tso\t\t \t\n\t \t you\t may\tbe\table\tto\treduce\tfertilizer\tuse\tafter\t\t \t\n\t \t applying\t compost.\n•\t Compost \tcan\talso\treduce\tyour\tlawn\tand\tgarden’s\t\t\n\t \t summer\t irrigation\tneeds.\n•\t Compost-amended\t soil\tand\tmulching\tslow\trun\t \t\n\t \t off,\t reduce\terosion,\tand\tbreak\tdown\tpollutants.\t\t\t\n\t \t When\t you\tuse\tcompost,\tyou’re\thelping\tto\t\t\t\t\t\t\t\t\t \t\n\t \t protect\t our\tprecious\tstreams,\trivers,\tlakes,\tand\t\t\t\n\t \t marine\t waters.\noriginal artwork provided by:\nwww.compostwashington.org www.ecy.wa.gov www.soilsforsalmon.org", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "49. Hoogenboom, G., et al. Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6 (DSSAT Foundation, 2015). \nhttp:// dssat. net (2015).\n 50. Sacks, W . J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. Glob. Ecol. Biogeogr. 19, \n607–620 (2010).\n 51. Batjes, H.N. A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Profiles (Version \n1.0). Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "How Much Compost to Use\n \tl\tEstimate the planting area (Math Hint: Square feet = length x width)\n \tl\tDecide upon the appropriate application depth of the compost (page 4) \n \tl\tUse the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n \tl\tConversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n Plot Size # of Sq Feet 1/2” Deep - Mulching 2” Deep - Amending new\n or Top-dressing lawns or gardens \n \n 5' x 10' plot 50 sq ft 2.08 cu ft of compost 8.33 cu ft of compost (0.31 cu yd)\n 10' x 10' plot 100 sq ft 4.17 cu ft of compost 16.66 cu ft of compost (0.62 cu yd)\n 20 x 50' plot 1000 sq ft 41.7 cu ft of compost 166.7 cu ft of compost (6.2 cu yd)\n 1 acre 43,600 sq ft 1,815 cu ft of compost (67 cu yd) 7,257 cu ft of compost (268 cu yd)\n \nQuestion: I have a plot about this big, how much compost do I buy?\n Compost Quantity 1/2” Deep - Mulching 2” Deep - Amending new\n or Top-dressing lawns or gardens \n \n 1 cu ft bag of compost 24 sq foot area 6 sq foot area \n 1.5 cu ft bag of compost 36 sq foot area 9 sq foot area \n 2.2 cu ft bag of compost 53 sq foot area 13 sq foot area \n 2.5 cu ft bag of compost 60 sq foot area 15 sq foot area \n 1 cubic yard of compost 648 sq foot area 162 sq foot area \nCompost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology, \ndemonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding \ncapacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at \nwww.compostwashington.org.\nQuestion: If I buy this much compost, how many square feet will it cover?", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 44 10/02/2013 \nGlossary\tof\tterms\tand\tabbreviations\t\n \nAD – Activity Data \nAWMS – Animal Waste Management System \nBOD – Biochemical Oxygen Demand \nC – Carbon \nC2F6 – Hexafluoroethane \nCF4 – Tetrafluoromethane \nCH4 – Methane \nCO – Carbon Monoxide \nCO2 – Carbon dioxide \nCOD – Chemical Oxygen Demand \ndm – dry matter \nGg – Gigagram \nha – hectare \nHFC – Hydrofluorocarbon \nhl – hectolitre \nk – kilo \nkg – kilogram \nkha – kilo hectare \nkt – kilotonne \nLTO – Landing/Take Off \nLUCF – Land-Use Change and Forestry \nLULUCF – Land Use, Land-Use Change and Forestry \nm3 – cubic meter \nMCF – Methane Correction Factor \nMg – Megagram \nMha – Megahectare \nMSW – Municipal Solid Waste \nN – Nitrogen \nN2O – Nitrous Oxide \nNFP – National Focal Point \nNH3 – Ammonia \nNMVOC – Non-Methane Volatile Organic Compound \nNOX – Nitrogen Dioxide \nPFC – Perfluorocarbon \nRA - Reference Approach \nSE – Sectoral Expert \nSF6 – Sulphur Hexafluoride \nSO2 – Sulphur Dioxide \nSWDS – Solid Waste Disposal Site \nt – tonne \nTg – Teragram \nTJ – Terajoules \nXML – Extensible Markup Language \nyear t – inventory year", - "page_start": 43, - "page_end": 43, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Explain to me what is peat moss ?", - "target_page": 4, - "target_passage": "Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Compost: A Natural Cycle \nComposting is a natural process in which micro-\norganisms and macro-organisms break down organic \nmaterial (leaves, twigs, grass, etc.) into a dark crum -\nbly soil amendment. Modern compost facilities use \nthe same natural biological composting process. \nTheir controlled-temperature process works faster, \nbreaks down pesticide residues, and also kills weed \nseeds and plant diseases.\nCompost improves soil structure and plant \ngrowth by\n• Replenishing soil organic matter, and storing \n nutrients in plant-available forms\n• Supporting beneficial soil life\n• Reducing erosion and water run-off\n• Loosening clay soils for better root \n development (increasing soil pore space)\n• Retaining moisture in sandy soils so \n plants need less watering.\nComparing Landscape Products\nA variety of soil and landscape products are sold. Here’s a \ncomparison:\nCompost is stable, decomposed organic matter, excellent for \nimproving soil structure, fertility, moisture holding capacity, and \nplant growth.\nMulch is any material applied to the soil surface. Woody mulches \n(high in carbon, low in nitrogen) like wood chips, bark and woody \ncomposts are great for woody plants. Annual plants should be \nmulched with nutrient-balanced mulches like compost, grass \nclippings, or leaves.\nPeat Moss is partially decayed sphagnum moss from peat bogs. It \nprovides soil porosity, but not the nutrients or biological diversity for \nhealthy soil that compost provides.\nFertilizers are concentrated sources of plant nutrients, used in small \namounts to supplement natural soil fertility. \nTopsoil that is sold is usually not native topsoil. Quality \nmanufactured topsoils are a blend of native sandy sub-soils with \ncomposted organic matter to support soil life.\nAsk Your Compost Supplier\nWhether you’re buying direct from the composting facility, or from a local \n vendor, here are some good questions to ask:\n\t •\t What\t ingredients\tgo\tinto\tyour\tcompost?\n\t •\t What\t compost\tproducts\tor\tblends\tdo\tyou\tsell?\n\t •\t Are\t there\tquality\tcontrol\tor\ttesting\tresults\tavailable\tfor\tthese\t\t \t\n\t \t products?\t (These\tmay\tbe\ton\tthe\tmanufacturer’s\twebsite.)\n\t •\t Which\t product\tis\tbest\tfor\tmy\tintended\tuse?\n\t •\t What\t application\trate\tdo\tyou\trecommend?\t\n\t \t\t\t•\t How\tmuch\tdo\tI\tneed\tfor\tmy\tarea?\t\t(Or\tsee\tpages\t4-6.)", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Compost Questions and Answers \nWhat\tis\tcompost?\nCompost is a natural humus-like soil amendment that results from \nthe controlled aerobic (with oxygen) decomposition of organic \nmaterials. Compost is not soil – it should be mixed with soil. It is \nnot fertilizer, although it contains many slowly released nutrients. \nWhat\tmaterials\t(“feedstocks”)\tare\tused\tto\tmake\tcompost?\nCompost facilities in Washington recycle a variety of organic \nmaterials, including yard debris, food scraps, manure, biosolids, \nforest residuals like sawdust and bark, construction wood, and \nagricultural residues. All of these materials can be used to produce \nhigh quality compost. Your supplier can tell you which materials \nthey compost.\nHow\tdo\tI\tknow\tI’m\tgetting\tsafe,\tquality\tcompost?\nFortunately, in Washington we have strict permitting and production \nstandards for compost facilities, that include both time and \ntemperature requirements and contaminant limits. \nWhat\tabout\tweed\tseeds,\tplant\tdiseases\tor\tpesticide\tresidues?\nThe controlled time, aeration, and temperature process required in \nWashington has been shown to kill weed seeds and plant diseases. \nThat same process breaks down most pesticide residues. There are \na few agricultural pesticides that are not easily broken down, and \npermitted Washington compost manufacturers carefully watch their \nfeedstocks to keep those materials out of the composting process.\nCompost Beginnings\nThe yard debris or food scraps* that you \nplace into your home compost bin, take to \na drop-off site, or set out for curbside \ncollection could become the compost that \nyou later use on your garden, lawn, and \nflowerbeds.\nIt is essential to place only quality organic \nmaterial into the composting process. Here \nare some tips:\nl\tThe products you use or spray in your \nyard can end up in the compost process. \nCarefully read the labels of pesticide and \nherbicide products you use. (See page 9.) \nl\tPlease keep yard debris free of :\n\t x\tGarbage\n\t x\tPlastic of any sort\n - Plastic plant pots\n - Plastic plant tabs\n - Plastic bags (if you want to bag \n your yard debris, use paper\n garden bags - available at most\n garden centers)\n\t\tx\tRock, brick, or masonry\n\t\tx\tGlass or metal\n\t\tx\tPet waste.\n* Many localities now collect food scraps and \nfood-soiled paper along with yard debris for \ncomposting. Call your local collection service \nto find out what is collected in your area.", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Building Rich and Healthy Soil \nWith Compost\nTo grow healthy plants you need healthy soil.\nHealthy Soil:\nl Is teeming with life! Healthy soil is a miniature ecosystem. \n A teaspoon of healthy soil will have upwards of four billion \n tiny organisms which recycle nutrients, suppress disease, and \n discourage pests.\nl\tRetains moisture but allows drainage. Healthy soil has \n structure that allows water to drain through, retains moisture, \n and promotes strong root growth.\nl\tIs full of organic nutrients. Plants depend on the micro- \n organisms found in healthy organic-rich soil to provide \n nutrients to their roots, and help them thrive.\nA healthy garden and landscape is naturally resistant to pests, \ndrought, weeds, and diseases. Maintaining healthy soil may allow \nyou to reduce use of chemical fertilizers and pesticides.\nSoil\tis\ta\tplanting\tmedium.\t\tCompost\tis\ta\tsoil\tamendment.\nDo\tnot\tplace\tplants\tdirectly\tinto\t100%\tcompost.\nAsk\tyour\tsupplier\tor\tsee\tnext\tpage\tfor\tmixes\tfor\tdifferent\tuses.\nWashington State Encourages the Use of Compost, \nto Protect Our Water Quality\nThe Washington State Department of Ecology recommends that soils \non construction sites be restored with compost before planting, and also \nencourages the use of compost for construction site erosion control, to reduce \nstormwater runoff and help keep our rivers, lakes, and Puget Sound clean. \nLearn more at www.SoilsforSalmon.org\tor\twww.BuildingSoil.org.\nSelecting Quality Compost\nCompost is available in many product types and blends that may be \nused for different gardening applications. The type of feedstock, \nthe composting process, and any supplementary additives determine \nthe end product.\nMany facilities offer a variety of blends based on compost, such as \ngarden mix, potting soil, planting mix, mulches, turf top-dressing \nand soil blends.\nWhat to Look for in Compost\nFor most compost applications you will want a finished product that \nhas matured and stabilized. Look for material\n\tl\twith a dark, crumbly texture\n\tl\twith a mild odor \nFor most compost applications you will not want compost that is \nextremely dry or wet, or extremely hot. (Note that it is okay for \ncompost to be warm and to give off some steam and mild odor.)\nQuality Testing at Composting Facilities\nFeel free to ask your compost provider if they have a quality control \nprogram, and ask for test results. Compost facilities in Washington \nare permitted by the Department of Ecology and must meet \nstandards for both the composting process and contaminants, \nensuring a quality product. Some facilities also participate in the \n“Seal of Testing Assurance” (STA) testing program. See \n“Resources” on page 11 to learn more.\nRemember: \nYour\tcompost\tprovider\tcan\thelp\tyou\tpick\tthe\tbest\tcompost\tmix\t\nfor\tyour\tneeds.", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "68 \n \nTo understand what is going on you first need to understand that each SPARQL query consists of two \nparts. The first part at the beginning consists of several namespace prefixes. These statements consist of \nthe prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that \nthese concepts were described in chapter 7. You may be wondering where all these prefixes came from \nsince you didn’t add them to your ontology. The answer is that every OWL ontology comes with a set of \nnamespaces and prefixes that are required to define the ontology. \nAlso, to understand SPARQL you need to “peak under the hood” of OWL. So far, we have been \ndiscussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any \nlanguage or database there is a lower level that describes how the concepts are mapped to actual data. In a \nrelational database the fundamental construct to represent data is a table. In OWL the fundamental \nconstruct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF \n(Resource Description Framework) is a language to describe graphs (in the mathematical sense of the \nterm). I.e., to describe nodes and links. \nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in \nwhat is called an undirected or network graph because objects can be subjects and vice versa. Whenever \nyou define a property in OWL you are defining a predicate. An individual can be a subject or an object \n(or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1. In this example \nCustomer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object. \nHowever, classes and properties themselves are also represented as triples. So for example, when you \ncreate the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to \nthe ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class. Similarly when you add \nNamedPizza as a subclass of Pizza, Protégé adds the triple: NamedPizza rdfs:subClassOf \nPizza. \nHopefully, now you can make some sense of this initial query. The query is looking for all the entities \nthat are the subjects of triples where the predicate is rdfs:subClassOf and the object is any other \nentity. The ? before a name indicates that the name is a wildcard that can match anything that fits with the \nrest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate \nor even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this \ncase our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the \nname of a class while in others it is a class expression with an orange circle in front of it. This is because \nwhen defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL \naxioms. \nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query \ndetermines what to match in the query. If you want to display everything matched in the WHERE clause \nyou can just use a * for the SELECT clause. The initial default query in this tab is set up with no \nknowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes \nregardless of the ontology. To get information about Pizzas the first thing we need to do is to add \nanother prefix to the beginning of the query. In our case the Pizza ontology has been set up with a \nmapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab \ndiscussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement: \nPREFIX pizza: ", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "To be specific, although “ipcc”, “cop”, and “un” were mentioned in both discourses (yellow\nin Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly di fferent\nmeanings. As mentioned in the results section, these hashtags were associated with a series of scientific\nhashtags in the climate change discourse, appealing to global efforts. In the global warming discourse,\nthey were clustered with “hoax” and “frame”, showing lack of belief in climate issue facts and hesitation\nabout global e fforts. More recently, when discussions about temperature, politics, and hesitation\nsignificantly shrank in the global warming discourse, the wo discourses showed more similarities about\nthe importance of scientific concepts according to Figure 5a,b. However, links between global efforts\nand scientific facts were not constructed in the global warming discourse. According to a network\nmodel for cognition, the lack of associations means fewer psychological activations will spread to", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed10.pdf" - }, - { - "text": "The Composting Process \nEven though there are a variety of composting methods, most \ncomposting follows a similar process: \n1. Grinding Organic Materials: \nDepending on the facility, the feedstock (material) available, and \nthe desired compost product, different combinations of materials \nare added together and ground into small pieces:\n • Nitrogen-rich materials (such as grass, fresh plant \n cuttings, biosolids, and manures)\n • Carbon-rich materials (such as dried leaves, woody \n materials, and straw).\n2. Heating Up:\nThe material is placed into piles where it begins to heat up from \nthe biological activity of the compost microbes. Typically, com-\npost temperatures are required to reach at least 131 degrees F in a \nspecified time period in order to destroy weed seeds and patho -\ngens. The compost is turned or aerated, allowing the composting \nmicrobes to breathe. After a period of time, the nitrogen-rich \nmaterial is depleted, the biological process slows, and the hot \ncompost begins to cool.\n3. Finishing:\nTypically “finished” compost has undergone a series of steps to \nensure maturity and stability. The cooling compost is aged, which \nallows the decomposition process to slow down and the finished \ncompost to stabilize.\nThe end products you purchase may be entirely compost, or a \ncombination of compost blended with uncomposted additives \n(such as peat, bark, minerals, or soil).\nApplications for Compost \nPlanting\tNew\tGarden\tBeds\tor\tLawns\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 \ninches of existing soil: use more in sandy soils, and less in heavy clay. \nReapply ½-1 inch annually on garden beds.\nMulch\t(surface\tapplications\ton\tlandscape\tbeds)\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper \nairflow, it is best not to pile mulch around the stems of trees and \nshrubs. Pull mulch 1-2 inches away from stems.\nTop\tDressing\tfor\tLawns\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into \nthe lawn. For best results, plug-aerate the lawn before top-dressing. \nOverseeding at the same time will thicken thin patches in lawns.\nBlended\t(Manufactured)\tTopsoils\nGood quality “topsoil” products usually include 10-40% compost by \nvolume, mixed with a sandy loam soil that allows good drainage. \nThese compost-soil blends help establish healthy lawns and gardens.\nWhen to Use Compost?\n • Any time you’re preparing soil for planting\n • Mulching beds and gardens in spring, summer, or fall\n • Top-dressing lawns in spring or fall.", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of\nthe climate change topic and these three hashtags were tightly bundled might indicate an attempt by\n#climatechange users to address all three communities together [91], consolidating climate change as\na topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags���\nfunction of serving as a hybrid forum [ 68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "[29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring\nstructures in the dorsal root ganglia following peripheral nerve injury in\nrats. J Comp Neurol 2001;439:259–74.\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2875", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - }, - { - "text": "A USER'S GUIDE TO\nCOM POST\nThe Beauty of Your Lawn & Garden\nBlossoms from the Soil\nCompost adds organic material and nutrients to the soil,\nincreases water-holding capacity and biological activity,\nand improves plant growth and health.\nRevised 2009", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "46 \n(2) For the purposes of sub-paragraph (1), “network and information” system has the meaning in \nregulation 1(2) of the Network and Information Systems Regulations 2018(a). \n40. A person who is engaged in urgent or essential work— \n(a) that is necessary for the continued operation of— \n(i) electronic communications networks and services as defined in section 32 of the \nCommunications Act 2003(b), or \n(ii) the BBC’s broadcasting transmission network and services; \n(b) in associated supply chain companies that maintain the confidentiality, integrity, and \navailability of the electronic communications netwo rks and services and the BBC \ntransmission network and services, \nwhere they have travelled to the United Kingdom in the course of their work. \n41. A person— \n(a) who is engaged in the installation, maintenance or repair of subsea fibre optic \ntelecommunications infrastructure; \n(b) whose role directly supports the installation, main tenance or repair of subsea fibre optic \ntelecommunications infrastructure, \nwhere they have travelled to the United Kingdom in the course of their work. \n42. —(1) A person ordinarily resident in the United Kin gdom and who pursues a work-related \nactivity in another country to which they usually t ravel at least once a week which is certified by \ntheir employer, or in the case of a self-employed person certified by them, as being— \n(a) an activity that cannot be done remotely; and \n(b) critical. \n(2) For the purposes of sub-paragraph (1), an activity is critical if— \n(a) it would be defined as critical, or equivalent terminology, in legislation or guidance in use \nin that country; or \n(b) if the country has no such definition, if a person is pursuing an activity which would fall \nunder one of the other paragraphs in this Schedule if it were carried out in the United \nKingdom. \n43. —(1) A person who has an offer of employment for se asonal work to carry out specified \nactivities in edible horticulture on a specified farm. \n(2) For the purposes of sub-paragraph (1)— \n(a) “seasonal work” is employment which fluctuates or i s restricted due to the season or time \nof the year; \n(b) “edible horticulture” means growing— \n(i) protected vegetables grown in glasshouse systems, \n(ii) field vegetables grown outdoors, including vegetabl es, herbs, leafy salads and \npotatoes, \n(iii) soft fruit grown outdoors or under cover, \n(iv) trees that bear fruit, \n(v) vines and bines, \n(vi) mushrooms; \n(c) “specified farm” means the farm named in that perso n’s passenger information; \n \n(a) S.I. 2018/506. \n(b) 2003 c. 21. The definition of “electronic communi cations network” was amended by S.I. 2011/1210.", - "page_start": 45, - "page_end": 45, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "How encourage temporally adjacent representations to be predictive of each other ?", - "target_page": 2, - "target_passage": "One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. ", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "Revisiting Feature Prediction for Learning Visual\nRepresentations from Video\nAdrien Bardes1,2,3, Quentin Garrido1,4, Jean Ponce3,5,6, Xinlei Chen1, Michael Rabbat1, Yann LeCun1,5,6,\nMahmoud Assran1,†, Nicolas Ballas1,†\n1FAIR at Meta,2Inria, 3École normale supérieure, CNRS, PSL Research University,4Univ. Gustave Eiffel,\nCNRS, LIGM,5Courant Institute, New York University,6Center for Data Science, New York University\n†Joint last author\nThis paper explores feature prediction as a stand-alone objective for unsupervised learning from video and\nintroduces V-JEPA, a collection of vision models trained solely using a feature prediction objective, without\nthe use of pretrained image encoders, text, negative examples, reconstruction, or other sources of supervision.\nThe models are trained on 2 million videos collected from public datasets and are evaluated on downstream\nimage and video tasks. Our results show that learning by predicting video features leads to versatile visual\nrepresentations that perform well on both motion and appearance-based tasks, without adaption of the\nmodel’s parameters; e.g., using a frozen backbone. Our largest model, aViT-H/16 trained only on videos,\nobtains 81.9% on Kinetics-400,72.2% on Something-Something-v2, and77.9% on ImageNet1K.\nDate: April 15, 2024\nCorrespondence: {abardes, massran, ballasn}@meta.com\nCode: https://github.com/facebookresearch/jepa\nBlogpost: Click here\n1 Introduction\nHumans possess the remarkable ability to map low-level\nsignals originating from the retina into a semantic spatio-\ntemporal understanding of the world; synthesizing no-\ntions such as objects and global motion (Spelke et al.,\n1995). A long-standing goal of the machine learning\ncommunity is to identify the principles or objectives that\nmay guide such unsupervised learning in humans (Field,\n1994; Berkes and Wiskott, 2005; Hinton, 1989). One\nrelated hypothesis is based on the predictive feature\nprinciple (Rao and Ballard, 1999), which posits that\nrepresentations of temporally adjacent sensory stimuli\nshould be predictive of each other.\nIn this work, we revisit feature prediction as a stand-\nalone objective for unsupervised learning of visual repre-\nsentations from video. Numerous advances in the field —\nsuch as the standard use of transformer architectures in\nvision (Dosovitskiy et al., 2020), the maturing of masked\nautoencoding frameworks (Xie et al., 2021; Bao et al.,\n2021; He et al., 2021), query-based feature pooling (Chen\net al., 2022), joint-embedding predictive architectures\n(JEPA) (LeCun, 2022; Assran et al., 2023; Baevski et al.,\n2022b), and larger datasets — form a unique arsenal of\ntools, which we integrate in a modern and conceptually\nsimple method, thevideo joint-embedding predictive ar-\nchitecture or V-JEPA, which is based solely on feature\nprediction, without using pretrained image encoders,\ntext, negative examples, human annotations, or pixel-\n70 72 74 76 78 80 82 84 86 88 90 92\n40\n50\n60\n70\nSOTA fine-tuned task-specific\nmodel on SSv 2 (MVD)\nSOTA fine-tuned\ntask-specific model\non K 400 (UniFormer)\nViT-L/16\nV-JEPA\nViT-H/16\nDINOv2\nViT-g/14\nOpenCLIP\nViT-G/14\nI-JEPA\nViT-H/16\nHiera\nHiera-H\nVideoMAE\nViT-H/16\nVideoMAEv2\nViT-g/14\nOmniMAE\nViT-H/16\nKinetics 400\nSomething-Something-v2\nFrozen Evaluation\nVideo Feature Pred.\nVideo Pixel Pred.\nImage Models\nFigure 1 V-JEPA models pretrained on video learn versatile\nvisual representations. It performs well on motion-based\ntasks (Something-Something-v2) and appearance-based tasks\n(Kinetics 400) without adaptation of the model’s parameters,\ni.e., using the same frozen backbone for both tasks.\nlevel reconstruction.\nWe seek to answer the simple question:\nHow effective is feature prediction as a stand-\nalone objective for unsupervised learning from\nvideo with modern tools?\n1\narXiv:2404.08471v1 [cs.CV] 15 Feb 2024", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv3.pdf" - }, - { - "text": "connections [37], or cause and effect [33] between two nodes.\nWhen individuals search their memory for a particular piece of a message in their mind,\nthe targeted node becomes salient and activated in the temporary memory [ 39]. If two messages\nare always activated simultaneously, their connection tends to be more robust and the messages are\nregarded as associated [36]. If a link is recorded between two concepts, activations are likely to spread\nthrough the link from one concept to another with or without conscious awareness [ 40]. Whereas\nassociations of nodes in the mind may not necessarily reflect the actual relationships of objects, in reality,\nseveral factors, including media usage, personal experience, and political stance [34,41,42], may help\nbundle different sets of concepts.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed10.pdf" - }, - { - "text": "and in a multi-layer model where attention is fol-\nlowed by non-linear transformations, the patterns\nin individual heads do not provide a full picture.\nAlso, while many current papers are accompanied\nby attention visualizations, and there is a growing\nnumber of visualization tools (Vig, 2019; Hoover\net al., 2019), the visualization is typically limited\nto qualitative analysis (often with cherry-picked\nexamples) (Belinkov and Glass, 2019), and should\nnot be interpreted as definitive evidence.\n4.2.2 Attention to special tokens\nKovaleva et al. (2019) show that most self-\nattention heads do not directly encode any non-\ntrivial linguistic information, at least when fine-\ntuned on GLUE (Wang et al., 2018), since only less\nthan 50% of heads exhibit the \"heterogeneous\" pat-\ntern. Much of the model produced the vertical pat-\ntern (attention to [CLS], [SEP], and punctuation\ntokens), consistent with the observations by Clark\net al. (2019). This redundancy is likely related to\nthe overparameterization issue (see section 6).", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "tation learning with contrastive predictive coding.arXiv\npreprint arXiv:1807.03748, 2018.\nMaxime Oquab, Timothée Darcet, Théo Moutakanni, Huy\nVo, Marc Szafraniec, Vasil Khalidov, Pierre Fernandez,\nDaniel Haziza, Francisco Massa, Alaaeldin El-Nouby, et al.\nDinov2: Learning robust visual features without supervi-\nsion. arXiv preprint arXiv:2304.07193, 2023.\nNikhil Parthasarathy, SM Eslami, João Carreira, and\nOlivier J Hénaff. Self-supervised video pretraining\nyields strong image representations. arXiv preprint\narXiv:2210.06433, 2022.\nDeepak Pathak, Philipp Krahenbuhl, Jeff Donahue, Trevor\nDarrell, and Alexei A Efros. Context encoders: Feature\nlearning by inpainting. InProceedings of the IEEE con-\nference on computer vision and pattern recognition, pages\n2536–2544, 2016.\nSilvia L Pintea, Jan C van Gemert, and Arnold WM Smeul-\nders. Déja vu: Motion prediction in static images. In\nComputer Vision–ECCV 2014: 13th European Conference,\nZurich, Switzerland, September 6-12, 2014, Proceedings,\nPart III 13, pages 172–187. Springer, 2014.\nAlec Radford, Jong Wook Kim, Chris Hallacy, Aditya\nRamesh, Gabriel Goh, Sandhini Agarwal, Girish Sastry,\nAmanda Askell, Pamela Mishkin, Jack Clark, et al. Learn-\ning transferable visual models from natural language su-\npervision. InInternational conference on machine learning,\npages 8748–8763. PMLR, 2021.\nRajesh PN Rao and Dana H Ballard. Predictive coding\nin the visual cortex: a functional interpretation of some\nextra-classical receptive-field effects.Nature neuroscience,\n2(1):79–87, 1999.\nOlga Russakovsky, Jia Deng, Hao Su, Jonathan Krause, San-\njeev Satheesh, Sean Ma, Zhiheng Huang, Andrej Karpathy,\nAditya Khosla, Michael Bernstein, Alexander C. Berg, and\n12", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv3.pdf" - }, - { - "text": "Feature Prediction versus Pixel Reconstruction.\nApproaches that predict in pixel space must dedicate\nsignificant model capacity and compute to capture all\nthe low-level detail in the visual input. By contrast, ap-\nproaches that predict in latent space have the flexibility\nto eliminate irrelevant or unpredictable pixel-level details\nfrom the target representation (Vondrick et al., 2016).\nPredicting in representation space has been shown to\nlead to versatile representations that perform well across\nmany downstream tasks through linear probing or low-\nshot adaptation (Assran et al., 2023; Oquab et al., 2023;\nAssran et al., 2022), while demonstrating an efficiency\ngain during pretraining compared to pixel level recon-\nstruction (Assran et al., 2023; Baevski et al., 2022b,a).\nThe works of Baevski et al. (2022a,b) additionally show\nthat predicting in representation space results in compet-\nitive end-to-end fine-tuning performance in the image,\naudio and text domains. In this work, we extend these\nfindings to the video modality.\n3 Methodology: Video-JEPA\nx\nx-encoder\npredictorz\ny\ny-encoder\nD(ˆsy, sy)\nˆsy\nsy\nFigure 2 Joint-Embedding Predictive Architectures are\ntrained to predict the representation of an inputy from\nthe representation of another inputx. The additional vari-\nable z provides the predictor with information about the\ntransformation that computesy from x.\nOur goal is to explore the effectiveness of feature pre-\ndiction as a stand-alone objective for learning visual\nrepresentations from video. To that end, we use a\njoint-embedding predictive architecture (JEPA) (LeCun,\n2022); see Figure 2. The main idea behind a JEPA is\nto learn by predicting the representation of an inputy\nfrom the representation of another inputx. The basic\narchitecture is made up of an encoder,Eθ (·), which com-\nputes the representation of the inputs, and a predictor,\nPϕ (·), which predicts the representation ofy from the\nrepresentation ofx, conditioned on a variablez indicat-\ning the transformation (or corruption) betweenx and\ny. Conditioning onz enables the generation of distinct\npredictions for various transformations ofx.\n3.1 Training Objective\nWe train our visual encoderEθ (·) to satisfy the con-\nstraint that representations computed from one part of\nthe video,y, should be predictable from representations\ncomputed from another part of the video,x. The pre-\ndictor networkPϕ (·), which maps the representation of\nx to the representation ofy, is trained simultaneously\nwith the encoder, and is provided specification of the\nspatio-temporal positions ofy through the conditioning\nvariable z ← ∆y .\nNaively implementing the objective using the regression\nminimizeθ,ϕ ∥Pϕ (Eθ (x), ∆y ) − Eθ (y)∥1,\nwould admit a trivial solution, where the encoder out-\nputs a constant representation, regardless of its input.\nIn practice, we use the following modified objective to\nprevent representation collapse,\nminimizeθ,ϕ ∥Pϕ (Eθ (x), ∆y ) − sg(Eθ (y))∥1, (1)\nwhere sg(·) denotes a stop-gradient operation, which\ndoes not backpropagate through its argument, andEθ (·)\nis an exponential moving average of the networkEθ (·).\nThe use of an exponential-moving average feature ex-\ntractor along with a stop-gradient and a predictor has\nbeen used as a collapse prevention strategy for image pre-\ntraining (Grill et al., 2020), and studied empirically (Xie\net al., 2021) and theoretically (Tian et al., 2021). In\nfact, the objective in equation(1) is similar to the loss\nof Assran et al. (2023) used for image pretraining, but\nwe modify it to use anℓ1 regression, which we found to\nbe more stable.\nTheoretical motivation. A theoretical motivation for\nthe effectiveness of this collapse prevention strategy was\nproposed in Grill et al. (2020) for the BYOL method. We\nprovide a simple adaptation of their analysis for ourℓ1\nloss. For ease of exposition, we will disregard the effect of\nthe conditioning variablez and consider one dimensional\nrepresentations. Denote the representation Eθ (y) by", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "To that end, we pretrain a family ofV-JEPA models\non a dataset of 2 million videos collected from pub-\nlicly available datasets by combining a masked modeling\nprediction task with a joint-embedding predictive ar-\nchitecture (see Figure 2). We measure performance on\nseveral downstream image and video tasks, using both\nfrozen evaluation and end-to-end fine-tuning. Our find-\nings suggest that feature prediction can indeed serve as\nan effective stand-alone objective for unsupervised learn-\ning from video, while using significantly shorter training\nschedules than pixel prediction methods. Specifically:\n• Feature prediction leads to versatile visual repre-\nsentations that perform well across downstream\nimage and video tasks without adaption of the\nmodel’s weights; i.e., using a frozen backbone.\nV-JEPA achieves the best performance among\nmethods we consider (+6% accuracy) on the\nSomethingSomething-v2 task, which requires fine-\ngrained temporal understanding. V-JEPA is\nalso competitive on tasks like Kinetics400, where\nappearance-based features are sufficient and hence\nstate-of-the-art image models such as DINOv2 excel\n(Figure 1 and Table 6).\n• Models trained with feature prediction are supe-\nrior to pixel prediction approaches under a frozen\nevaluation protocol (attentive probing) and are com-\npetitive with pixel prediction under full fine-tuning,\nwhile using significantly shorter training schedules\n(Tables 5 and 6).\n• Models trained with feature prediction are more\nlabel-efficient than pixel prediction approaches. De-\ncreasing the available number of labeled examples re-\nsults in an increase in the performance gap between\nV-JEPA and pixel-reconstruction models (Table 7).\n2 Related Works\nSlow Features. One way to encourage temporally\nadjacent representations to be predictive of each other\nis to ensure that they vary slowly over time. Early\nworks targeting predictive features encouraged represen-\ntations of individual video frames to be locally tempo-\nrally invariant, while preventing representation collapse\nby using spectral methods, as in SFA (Wiskott and Se-\njnowski, 2002), SSA (Kayser et al., 2001), and Simulated\nFixations (Zou et al., 2012). More recently, Goroshin\net al. (2015); Wang et al. (2010) train a siamese con-\nvolutional network to map the representations of two\nsubsequent frames to the same point, while encouraging\ndistant frames to have diverse representations via a pair-\nwise margin loss and a triplet loss, respectively. Other\nworks (Oord et al., 2018; Surís et al., 2021; Feichtenhofer\net al., 2021) implement temporal invariance using noise-\ncontrastive estimation (Gutmann and Hyvärinen, 2012).\nOur exploration in this paper goes beyond temporal in-\nvariance and explores feature prediction using masked\nmodeling.\nPredictive Features. Going beyond local invariance,\na family of works trains a predictor network to map the\nrepresentation of a frame or clip at one time-step to a\ndistinct representation at another time-step. Srivastava\net al. (2015); Vondrick et al. (2016); Wang et al. (2023b)\ntrain such a video feature predictor network on top of\na frozen pretrained image or video encoder. Unfreezing\nthe target feature extractor, several methods train the\nvideo encoder and the predictor network simultaneously,\nwhile preventing collapse by using a supervised action\nforecasting loss (Girdhar and Grauman, 2021), or by\nusing the representations of distant clips as negative\nsamples in a contrastive loss (Han et al., 2019, 2020;\nTan et al., 2023), often focusing on small convolutional\nencoders (Han et al., 2019, 2020). The idea of learning a\nrepresentation by predicting missing information in fea-\nture space is also core to the joint-embedding predictive\narchitecture (JEPA) (LeCun, 2022), which combines a\nsiamese encoder with a predictor network. JEPAs have\nbeen successfully instantiated in several modalities, such\nas with audio data (Baevski et al., 2022b) and image\ndata (Zhou et al., 2021; Oquab et al., 2023; Assran et al.,", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv3.pdf" - }, - { - "text": "that this simple schematic is not supposed to recapitulate brain \nanatomy but to illustrate the basic principles of hierarchical gen-\nerative models and predictive coding; (for a discussion of the \nmapping between predictive coding networks and brain anatomy, \nsee Parr et al. 2022). Each network includes cells encoding predic-\ntions (black nodes) and prediction errors (red nodes). These units", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "Modeling and controlling the body in maladaptive ways 5\nFigure 1. A schematic illustration of a hierarchical active inference model. This model links (exteroceptive, interoceptive, and proprioceptive) \nsensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger, at intermediate levels, and finally with \ntemporally extended, integrative models of the embodied self at the higher hierarchical level. In this schematic, following predictive coding (Rao and \nBallard 1999, Friston 2005), black and red circles represent neural units that encode predictions and prediction errors, respectively. The levels are \nreciprocally connected, so predictions are propagated from the top-down (black edges) and prediction errors from the bottom-up (red edges). Finally, \nthe pink triangles indicate a mechanism of precision gating (or gain control) of prediction error units, which determines their relative influence on \nunits encoding predictions. At a neurobiological level, prediction and prediction error units could be mapped to deep and superficial pyramidal cells in \ncortical hierarchies, whereas expected precision could be linked to neuromodulatory input. The elements of the generative model shown do not need \nto map one-to-one to specific brain areas or networks but are plausibly distributed across many of them. However, as a first approximation, the lower \nand intermediate layers of the generative model could be linked to brain networks that process unimodal information (e.g. sensory cortices for \nexteroceptive information) and multimodal association areas, respectively. The highest level of the generative model could be linked to brain networks \nthat process information about the self, such as the insular cortex, the anterior cingulate cortex, and the medial prefrontal cortex. See Parr et al. \n(2022) for details about hierarchical generative models supporting adaptive regulation and allostasis and Barrett and Simmons (2015) for their \nputative neuronal underpinnings. See online article for colored version of this figure.\nare reciprocally linked through top-down connections that convey \npredictions (black edges) and bottom-up connections that convey \nprediction errors (red edges), within and across levels. This predic-\ntive coding architecture permits inferring (in the Bayesian sense) \nthe most likely causes of sensations, across multiple modalities \nand multiple hierarchical levels, by minimizing prediction errors \nat all levels. The rationale is that predictions at all levels are con-\ntinuously adjusted (and synaptic weights adjusted at a slower time \nscale) until they match with incoming multimodal stimuli suf-\nficiently well, and, consequently, the prediction errors across all \nlevels are minimized. This process entails that even if a predictive \ncoding agent starts with an incorrect prediction (e.g. about what \nobject it is looking at) the prediction errors that measure a discrep-\nancy between the predicted sensations and the actual sensations \ncan help revise the initial predictions. See Parr et al. (2022) for a \nmore detailed explanation of how to interpret these schematics.\nAnother critical aspect of Fig. 1 is that it illustrates two path-\nways in which prediction errors at the proprioceptive and inte-\nroceptive levels are used to steer physical actions (reflex arcs) \nand autonomic actions (autonomic reflexes). Endowing predictive \ncoding with these reflexes—hence realizing an “active inference” \narchitecture—permits minimizing prediction errors by changing \nthe state of the world (by physically acting) or the internal milieu \n(by engaging in autonomic actions) rather than only by changing \npredictions, as described later.\nEquipped with a generative model like the one shown in Fig. 1, \nan active inference agent can continuously infer (and act upon) \nthe state of the world and of the body, including the internal \nmilieu, at multiple time scales. Of particular interest, here are", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed1.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health 2020, 17, 1062 19 of 22\n33. Kaplan, S. Cognitive maps in perception and thought. In Image and Environment: Cognitive Mapping and\nSpatial Behavior; Transaction Publishers: Piscataway, NJ, USA, 1973; pp. 63–78.\n34. James, W.; Burkhardt, F.; Bowers, F.; Skrupskelis, I.K.The Principles of Psychology; Macmillan London: London,\nUK, 1890.\n35. Alonso, E.; Mondragón, E. Associative Learning and Behaviour: An Algebraic Search for Psychological\nSymmetries. In Language, Representation and Reasoning: Memorial Volume to Isabel Gómez Txurruka; Universidad\ndel País Vasco: Bilbao, Spain, 2007; p. 35.\n36. Lang, A. The limited capacity model of mediated message processing.J. Commun. 2000, 50, 46–70. [CrossRef]\n37. Tulving, E. Episodic and semantic memory. Organ. Mem. 1972, 1, 381–403.\n38. Rosch, E. Cognitive representations of semantic categories. J. Exp. Psychol. Gen. 1975, 104, 192. [CrossRef]\n39. Klimesch, W. The Structure of Long-Term Memory: A Connectivity Model of Semantic Processing ; Psychology\nPress: London, UK, 2013.\n40. Collins, A.M.; Loftus, E.F. A spreading-activation theory of semantic processing. Psychol. Rev. 1975, 82, 407.\n[CrossRef]\n41. Guo, L.; Vu, H.T.; McCombs, M. An expanded perspective on agenda-setting effects: Exploring the third\nlevel of agenda setting. Rev. De Comun. 2012, 11, 51–68.\n42. Cheng, Y.; Chan, C.M. The third level of agenda setting in contemporary China: Tracking descriptions of\nmoral and national education (MNE) in media coverage and people’s minds.Int. J. Commun. 2015, 9, 18.\n43. Wettler, M.; Rapp, R. Computation of Word Associations Based on Co-occurrences of Words in Large Corpora.\nIn Proceedings of the VLC@ACL 1993, Columbus, OH, USA, 22 June 1993.\n44. Collins, A.M.; Quillian, M.R. How to make a language user. In Organization of Memory; Academic Press:\nNew York, NY, USA, 1972; p. 309.\n45. Danowski, J.A. Inferences from word networks in messages. In The Content Analysis Reader; SAGE: Thousand\nOaks, CA, USA, 2009; pp. 421–429.\n46. Hamed, A.A.; Ayer, A.A.; Clark, E.M.; Irons, E.A.; Taylor, G.T.; Zia, A. Measuring climate change on Twitter\nusing Google’s algorithm: Perception and events. Int. J. Web Inf. Syst. 2015, 11, 527–544. [CrossRef]\n47. Haunschild, R.; Leydesdorff, L.; Bornmann, L.; Hellsten, I.; Marx, W. Does the public discuss other topics on\nclimate change than researchers? A comparison of explorative networks based on author keywords and\nhashtags. J. Inf. 2019, 13, 695–707. [CrossRef]\n48. Veltri, G.A.; Atanasova, D. Climate change on Twitter: Content, media ecology and information sharing\nbehaviour. Public Underst. Sci. 2017, 26, 721–737. [CrossRef]\n49. Abbar, S.; Zanouda, T.; Berti-Equille, L.; Borge-Holthoefer, J. Using twitter to understand public interest in\nclimate change: The case of qatar. In Proceedings of the Tenth International AAAI Conference on Web and\nSocial Media, Cologne, Germany, 17–20 May 2016.\n50. Olteanu, A.; Castillo, C.; Diakopoulos, N.; Aberer, K. Comparing events coverage in online news and social\nmedia: The case of climate change. In Proceedings of the Ninth International AAAI Conference on Web and\nSocial Media, Oxford, UK, 26–29 May 2015.\n51. Hermida, A.; Fletcher, F.; Korell, D.; Logan, D. Share, like, recommend: Decoding the social media news\nconsumer. J. Stud. 2012, 13, 815–824. [CrossRef]\n52. Small, T.A. What the hashtag? A content analysis of Canadian politics on Twitter.Inf. Commun. Soc. 2011, 14,\n872–895. [CrossRef]\n53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol.\nHum. Serv. 2012, 30, 160–185. [CrossRef]\n54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. Media Commun. 2016, 4, 13.\n55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the\n6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjavík, Iceland, 25–27\nAugust 2011.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "Entropy 2025, 27, 62 29 of 33\ning the temporal dynamics of belief changes in experimental participants. Dynamic belief\ntrajectories can then be related to other (for example, physiological) measures, as is usual\nin model-based neuroscience [65]. This method can also, in principle, be used for fitting\nmodels to other types of experimentally observable systems, like animals, organoids [66],\nand simulated or emergent systems [67]. The package can also be used for agent-based\nmodelling in general, for repeating earlier analyses with sampling based model-fitting\nand for comparing POMDP-based AIF models directly to other types of models.\nSince they implement full approximate Bayesian inferences, AIF models are compu-\ntationally more demanding than many approaches traditionally used in cognitive and\nagent-based modelling, in particular when the dimensionality of the generative model is\nlarge. This means that models with highly multidimensional or complex behaviour and\nlarge numbers of agents can be computationally infeasible to implement, especially given\nthe additional computational demands introduced by fitting these models to empirical\ndata. Avenues for addressing this implicit scaling problem were proposed in the context of\nmachine learning applications [68,69], and with the use of simplifying assumptions—the\nuse of which are ubiquitous in computational modelling—AIF has been used to model\nmulti-agent phenomena, such as opinion dynamics [15,70], coordinated foraging [71] and\nfish school movements [12]. It remains to be explored how AIF models can be applied to\nhighly complex natural phenomena, such as a concrete election, which underscores the\nneed for efficient but flexible and accessible software tools in the field.\nThere are many ways in which ActiveInference can be improved. It would be useful\nto extend the set of dynamic belief states to include prediction errors since they are often\nused for model-based neuroscience. This would entail departing from discrete state-space\n(i.e., POMDP) models to consider continuous state-space models apt for Bayesian filtering\nor predictive coding (see below). An alternative would be to generate prediction errors\nfrom belief updating under discrete models, where prediction errors can be read as the\n(KL) divergence between posterior and prior beliefs (i.e., complexity or information gain).\nA simple interface could be added for creating custom parametrisations of the requisite\nparameters that could be parametrised with Boltzmann or Gibbs distributions, as opposed\nto Dirichlet distributions. Parameter learning could be extended to all generative model\nparameters, as well as in parametrised forms (e.g., so that the Boltzmann parameter or\ntemperature of the parameters that are learned); similarly for the precision over expected\nfree energies γ. Preference priors should also be implementable for environmental states,\nin addition to observations, and A can be made action dependent.\nA library of pre-made canonical POMDP models could be created so that users can eas-\nily implement them directly. Alternatives to the fixed-point iteration method for updating\nposteriors over environmental states could be included, like the marginal message passing\nalgorithm. There are various ways in which the package can be made more computationally\nefficient, and it could be compared with other software implementations. There are plenty\nof utility and plotting functions that could be added to the package to make it easier to\nuse and to facilitate integration with the model-fitting packages it relies on; for example,\nto allow for combining the models with linear regressions to compare parameters values\nof different populations in a single model. More complex types of POMDP models can\nalso be added, like hierarchical and temporally deep POMDPs. Model structure learning\ncould be considered, where different model structures are compared and chosen between", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What does mean the JEPA acronym ?", - "target_page": 3, - "target_passage": " joint-embedding predictive architecture (JEPA)", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "B Extended Description of V-JEPA\nIn this section, we provide an in-depth description of our approachV-JEPA that is illustrated in Figure 3.\nInput. Unless stated otherwise, during during pretraining, we always randomly sample a clip of 16 frames from\neach input video with a temporal stride of 4 between sampled frames. An input video clip therefore covers 64 frames\nin total, or roughly 2 seconds of a given video running at 30 frames per second. We then resize the video’s spatial\ndimensions to224 × 224, resulting in an overall shape of16 × 224 × 224 × 3 for the entire clip. Since ViT networks\nprocess a 1D sequence of tokens, we must convert an input video clip into a 1D token sequence. To do so, we apply a\n3D convolution comprisingd filters of size2 × 16 × 16 with a temporal stride of2 and a spatial stride of16, resulting\nin a tensor of shape8 × 14 × 14 × d. Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal\nfeature map and flatten it, resulting in a 1D token sequence of shape1568 × d. This process is demonstrated in\nFigure 7.\n[16 x 224 x 224 x 3]\n3D Conv\n[2 x 16 x 16 x d]\n[8 x 14 x 14 x d]\n3D sin-cos absolute position \nembeddings\n[8 x 14 x 14 x d]\n[1568 x d]\n+16 video frames\nresolution 224 x 224\nflatten\nFigure 7 V-JEPA training operates on a video clip flattened into a sequence of tokens. To convert a video clip of size\n16 ×224 ×224 ×3 into a 1D token sequence, we apply a 3D convolution comprisingd filters of size2 ×16 ×16 with a temporal\nstride of2 and a spatial stride of16, resulting in a tensor of shape8 ×14 ×14 ×d. Next we add absolute 3D sin-cos positional\nembeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape1568 × d.\nV-JEPA. We sample both a video clip, and a video mask in each iteration. We denote a video clip represented as\na 1D token sequence of lengthL = 1568 by xL = (x1, . . . , xL). Similarly, given a mask ofM < Lpatches, leaving\nN = L − M patches unmasked, we denote the indices of masked patches by(i1, . . . , iM ) and its complement (the\nindices of unmasked patches) by(j1, . . . , jN ).\nComputing thex-representations. To compute theV-JEPA loss, we first produce thex-representations by masking\nthe video clip and feeding it into thex-encoder; we denote the masked video byxN = (xj1 , . . . , xjN ). Applying thex-\nencoder Eθ(·) to the masked clip gives a sequence of patch representations, denoted aszN = Eθ(xN ) = (zj1 , . . . , zjN ).\nPredicting the target. Next, the V-JEPA predictor network Pϕ(·, ·) takes as input the tokens produced by the\nx-encoder and predicts the missing regions in the video clip, which are specified by a set of learnable mask tokens.\nSpecifically, the mask tokens are parameterized as the sum of a shared learnable vector and an absolute 3D\nsin-cos positional embedding, denoted bymM = (mi1 , . . . , miM ). The output of the predictor is thus given by,\nˆsM = Pϕ(zN , mM ) = (ˆsi1 , . . . ,ˆsiM ), corresponding to ad-dimensional output for each of theM masked patches.\nComputing the y-representations. Finally to compute the prediction targets, the entire unmasked video clip is\nprocessed by they-encoder to obtain a set of target representations, denoted bysL = Eθ(xL) = (s1, . . . , sL). The\nV-JEPA loss is now computed as\nLoss = 1\nM\nX\nk∈(i1,...,iM)\n∥ˆsk − sk∥1, (2)\nwhich is simply the averageL1 distance between the output of the predictor and they-encoder. We then compute a\ngradient update with respect to the parameters of thex-encoder, θ, and the predictor,ϕ, and subsequently update\nthe parameters of they-encoder as an exponential moving average of the context encoder weights (Polyak average).\n16", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 8 pretraining hyper-parameters for V-JEPA.\nHyper-parameter ViT-L/16 224 ViT-H/16224 ViT-H/16384\ndata\ndatasets VideoMix2M VideoMix2M VideoMix2M\nresolution 224 224 384\nnum_frames 16 16 16\ntemporal_stride 4 4 4\nhorizontal_flip true true true\nrandom_resize_scale (0.3, 1.0) (0.3, 1.0) (0.3, 1.0)\nrandom_resize_aspect_ratio (0.75, 1.35) (0.75, 1.35) (0.75, 1.35)\nmasking\nblock_aspect_ratio (0.75, 1.5) (0.75, 1.5) (0.75, 1.5)\nshortrange_mask_num_blocks 8 8 8\nshortrange_mask_spatial_scale 0.15 0.15 0.15\nlongrange_mask_num_blocks 2 2 2\nlongrange_mask_spatial_scale 0.7 0.7 0.7\noptimization\nbatch_size 3072 3072 2400\ntotal_number_of_iterations 90000 90000 90000\nwarmup_iterations 12000 12000 12000\nlr 6.25e-4 6.25 ×10−4 6.25×10−4\nstart_lr 2 ×10−4 2×10−4 2×10−4\nfinal_lr 1 ×10−6 1×10−6 1×10−6\nstart_momentum 0.998 0.998 0.998\nfinal_momentum 1.0 1.0 1.0\nstart_weight_decay 0.04 0.04 0.04\nfinal_weight_decay 0.4 0.4 0.4\nscheduler_scale_factor 1.25 1.25 1.25\narchitecture\npatch_size 16 16 16\ntubelet_size 2 2 2\npred_depth 12 12 12\npred_embed_dim 384 384 384\nhardware\ndtype bfloat16 bfloat16 bfloat16\naccelerator A100 80G A100 80G A100 80G\nMulti-Mask Prediction. To increase the efficiency ofV-JEPA, we use a multi-masking strategy (Caron et al.,\n2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in\nSection 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward\npropagate thex-encoder and predictor separately for each mask, we only need to compute they-representation once.\nC Pretraining details\nIn section, we reportV-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during\npretraining.\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for thex-encoder and\ny-encoder. We train threeV-JEPA encoders: a ViT-L/16224, a ViT-H/16224 and a ViT-H/16384. All three encoders\ntake as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts,\n224 and 384, indicate the spatial resolution of the video clip.V-JEPA flattens the video clip into a sequence of\nnon-overlapping spatio-temporal patches of size16 × 16 × 2 (see Figure 7). For all three models, the predictor is\ndesigned as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For\nsimplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the\ncontext-encoder/target-encoder. V-JEPA is pretrainedwithout using a[cls] token.\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize thex-encoder and predictor weights.\nThe ViT-L/16224 and ViT-H/16224 models use a batch size of3072 while the ViT-H/16384 uses a batch size of\n2400. Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from2 × 10−4\nto 6.25 × 10−4 during the first12, 000 iterations of pretraining, and decayed to10−6 following a cosine schedule.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "speedup compared to the large pixel prediction models.\nComparison with image models. On tasks that re-\nquire a fine-grained understanding of motion (Something-\nSomething-v2), theV-JEPA models provide a major im-\nprovement (over+21 points) compared to large-scale\nimage baselines, such as DINOv2, OpenCLIP, and I-\nJEPA. Self-supervised pretraining from videos allows to\nmodel dynamic concepts that are not easily learned from\nstatic image datasets. Similarly, we observe that the\nV-JEPA models outperform image-based pretraining on\naction localization.\nOn Kinetics-400, we find image models to perform well;\ne.g., while DINOv2 (Oquab et al., 2023) previously re-\nported 78.4% on K400 with a linear probe, we improve\nthe frozen evaluation of the g/14 model to83.4% by\nusing an attentive probe. In this case, our H/16 model\nachieves 82.0% top-1 accuracy. It is worth noting that\nthe label for many Kinetics videos can be inferred using\nappearance-based cues, without requiring an understand-\ning of motion (Sevilla-Lara et al., 2021).\nThe V-JEPA models narrow the gap with image models\non image classification tasks. In particular, V-JEPA\nachieves a score of 77.4% on ImageNet using a one-\n8", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation.Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and\nSomething-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive\nprobe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random\nsplits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report\nthe mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than\nother models; specifically, decreasing the available number of labeled examples from each class increases the performance gap\nbetween V-JEPA and the baselines.\nFrozen Evaluation\nK400 SSv2\n(16×8×3) (16 ×2×3)\n5% 10% 50% 5% 10% 50%\nMethod Arch. (∼29 samples per class) ( ∼58 samples per class) ( ∼287 samples per class) ( ∼48 samples per class) ( ∼96 samples per class) ( ∼440 samples per class)\nMVD ViT-L/16 62.6 ± 0.2 68.3 ± 0.2 77.2 ± 0.3 42.9 ± 0.8 49.5 ± 0.6 61.0 ± 0.2\nVideoMAE ViT-H/16 62.3 ± 0.3 68.5 ± 0.2 78.2 ± 0.1 41.4 ± 0.8 48.1 ± 0.2 60.5 ± 0.4\nVideoMAEv2 ViT-g/14 37.0 ± 0.3 48.8 ± 0.4 67.8 ± 0.1 28.0 ± 1.0 37.3 ± 0.3 54.0 ± 0.3\nV-JEPA ViT-H/16 67.0 ± 0.2 72.1 ± 0.1 80.2 ± 0.2 51.9 ± 0.3 57.5 ± 0.4 67.3 ± 0.2\nViT-H/16384 68.2 ± 0.2 72.8 ± 0.2 80.6 ± 0.2 54.0 ± 0.2 59.3 ± 0.5 67.9 ± 0.2\nlayer attentive probe, which can be further improved to\n77.9% using a two-layer attentive probe. More generally,\nwe hypothesize that the datasets used to trainV-JEPA\nand other video models are too constrained and lack the\nvisualdiversityoftheinternet-scalepretrainingdataused\nby the images models; as such, there is value in focusing\nfuture work on building diverse publicly available video\ndatasets.\n5.3 Label-efficiency\nWe examine the label-efficiency ofV-JEPA compared to\nother self-supervised video models by measuring the abil-\nity of the pretrained backbones to adapt to downstream\ntasks with few labels. Specifically, we investigate the\nperformance of the frozen models on Kinetics-400 and\nSomething-Something-v2 as we vary the percentage of\nlabeled examples from each dataset available for training\nthe attentive probe. We train the probes in several low-\nshot settings: using either 5% of the train set, 10%, or\n50%, and take 3 random splits in each setting to obtain\nmore robust metrics, resulting in 9 different evaluation\nexperiments for each model. Table 7 reports the mean\nperformances and standard deviation using the K400\nand SSv2 validation sets.\nWe findV-JEPA to be more label-efficient than other\nself-supervised video models: decreasing the available\nnumber of labeled examples for training the attentive\nprobe results in an increase in the performance gap\nbetween V-JEPA and the other models. In particular,\nthe performance of the largestV-JEPA model on K400\ndrops by 12% to 68.2% top-1 when we reduce the number\nof labeled examples by a factor of10× (from roughly\n287 examples per class to 29 examples per class). By\ncontrast, VideoMAEv2 drops by 30% to 37.0% top-1,\nVideoMAE drops by 15.9% to 62.3% top-1, and MVD\ndrops by 14.6% to 62.6% top-1.\nSimilar observations hold on SSv2. The performance\nof the largestV-JEPA model on SSv2 drops by 13.9%\nto 54.0% top-1 when we reduce the number of labeled\nexamples by a factor of10× (from roughly 440 examples\nper class to 48 examples per class). By contrast, Video-\nMAEv2 drops by 26% to 28.0% top-1, VideoMAE drops\nby 19.1% to 41.4% top-1, and MVD drops by 18.1% to\n42.9% top-1.\n6 Evaluating the Predictor\nNext, we seek to qualitatively inspect theV-JEPA mod-\nels. Recall that the predictor network inV-JEPApredicts\nthe representations of a masked spatio-temporal regiony\nfrom a visible regionx, given the positional information\nof the masked regions (see Section 3). To qualitatively in-\nvestigate the grounding of the feature-space predictions,\nwe freeze the pretrained encoder and predictor networks", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 5 of 57 \n \nAcronym Description \nSPARQL Query language for linked data (RDF) \nSSL Secure Socket Layer \nURL Uniform Resource Locator \nXML Extensible Markup Language \nTable 1-2: Abbreviations and Acronyms", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Frozen\nx-encoder\n predictor\n decoder\n(a) Visualization Methodology.We train a conditional diffusion model to decode the V-JEPA feature-space predictions to\ninterpretable pixels; the pretrained V-JEPA encoder and predictor networks are kept frozen in this process. The decoder is\nonly fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions\nof the video.\n(b) Visualizations. First Row:Masked videos used as input to the V-JEPA models (a pretrained ViT-H/16 encoder and its\ncorresponding predictor network).Other rows:Bounding boxes contain various samples from the decoder overlayed on the\noriginal video. V-JEPA is not a generative model and the decoder does not have access to the context (first row), so we do\nnot expect samples to exactly match the input. This experiment qualitatively illustrates what information is encoded and\npredicted by V-JEPA. In particular, characteristics that are common across samples represent information that is encoded in\nthe V-JEPA predictions. V-JEPA generates predictions that are spatially and temporally coherent with unmask region of the\nvideo. The predictions also capture consistent motion through time.\nFigure 6 Qualitative Analysis. Offline visualizations of the V-JEPA feature-space predictions.\n7 Conclusion\nIn this work, we explored the effectiveness of feature\nprediction as a stand-alone objective for unsupervised\nlearning from video and introducedV-JEPA, a collection\nof vision models trained solely using a self-supervised\nfeature prediction objective. TheV-JEPAmodels demon-\nstrate the ability to solve various downstream image and\nvideo tasks without adaption of the model parameters,\nand outperform previous video representation learning\napproaches in frozen evaluation on action recognition,\nspatio-temporal action detection, and image classifica-\ntion tasks. Additionally, we show that pretrainingV-\nJEPA on videos is particularly effective for solving down-\nstream tasks requiring fine-grained motion understand-\ning, while large-scale image models trained on internet\nscale datasets fall short on such tasks. Finally, we em-\npirically observed thatV-JEPA models are label-efficient\nlearners, and exhibit good performance on downstream\ntasks, even when only few labeled examples are available.\nReferences\nHassan Akbari, Liangzhe Yuan, Rui Qian, Wei-Hong Chuang,\nShih-Fu Chang, Yin Cui, and Boqing Gong. Vatt: Trans-\nformers for multimodal self-supervised learning from raw\nvideo, audio and text.Advances in Neural Information\nProcessing Systems, 34:24206–24221, 2021.\n10", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods.We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-\nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using\na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205,\niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning.\nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from\nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream\ntasks, except ImageNet, where the model achieves74.8% compared to75.1% of an OmniMAE model trained directly on\nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on\nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\nFrozen Evaluation w/ Att. Pooling Fine-Tuning\n#Samples K400 SSv2 AVA IN1K Places205 iNat21 K400-ft SSv2-ft\nMethod Arch. Seen Iter. (16×8×3) (16 ×2×3) (16 ×5×3) (16 ×2×3)\nMethods pretrained using pixel prediction\nOmniMAE ViT-L/16 2400M 1170K 65.6 60.6 14.4 75.1 59.8 66.1 84.0 74.2\nVideoMAE ViT-L/16 410M 400K 77.8 65.5 21.6 71.1 59.3 64.6 85.4 74.3\nHiera Hiera-L 770M 1500K 75.5 64.2 15.8 68.9 58.5 56.9 87.3 75.1\nV-JEPA ViT-L/16 270M 90K 80.8 69.5 25.6 74.8 60.3 67.8 85.6 75.1\nTable 6 Comparison with State-of-the-Art Models.We compare V-JEPA with state-of-the-art baselines in frozen evaluation\nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models\nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution512 and\n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views\nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks.\nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on\ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks\nrequiring static appearance-based features.\nVideo Tasks Image Tasks\nK400 SSv2 AVA IN1K Places205 iNat21\nMethod Arch. Params. Data (16×8×3) (16 ×2×3)\nMethods pretrained on Images\nI-JEPA ViT-H/16 512 630M IN22K 79.7 50.0 19.8 84.4 66.5 85.7\nOpenCLIP ViT-G/14 1800M LAION 81.8 34.8 23.2 85.3 70.2 83.6\nDINOv2 ViT-g/14 1100M LVD-142M 83.4 50.6 24.3 86.2 68.4 88.8\nMethods pretrained on Videos\nMVD ViT-L/16 200M IN1K+K400 79.4 66.5 19.7 73.3 59.4 65.7\nOmniMAE ViT-H/16 630M IN1K+SSv2 71.4 65.4 16.0 76.3 60.6 72.4\nVideoMAE ViT-H/16 630M K400 79.8 66.2 20.7 72.3 59.1 65.5\nVideoMAEv2 ViT-g/14 1100M Un.Hybrid 71.2 61.2 12.9 71.4 60.6 68.3\nHiera Hiera-H 670M K400 77.0 64.7 17.5 71.4 59.5 61.7\nV-JEPA\nViT-L/16 200M\nVideoMix2M\n80.8 69.5 25.6 74.8 60.3 67.8\nViT-H/16 630M 82.0 71.4 25.8 75.9 61.7 67.9\nViT-H/16384 630M 81.9 72.2 25.0 77.4 62.8 72.6\n5 Comparison with Prior Work\nIn Section 5.1, we investigate the impact of feature pre-\ndiction by comparing V-JEPA with video approaches\nthat rely on pixel prediction, while using a similar ar-\nchitecture for all baselines. Subsequently, in Section 5.2,\nwe remove the architectural constraint and report the\nbest performance across architectures for self-supervised\nvideo and image pretraining approaches. Finally, we ex-\nplore the label-efficiency ofV-JEPA relative to other self-\nsupervised video pretraining approaches in Section 5.3.\nWe further detail the evaluation setup in Appendix D.\n5.1 Comparison with Pixel Prediction\nTo investigate the effectiveness of feature prediction pre-\ntraining, we first compareV-JEPAto video masked mod-\nelingmodelsrelyingonapixelpredictionloss. Wecontrol", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "102.4 102.6 102.8 103 103.2 103.4\n74\n74.5\n75\nSOTA fine-tuned task-specific\nmodel on SSv 2 (MVD)\nV-JEPA\nViT-L/16\nVideoMAE\nViT-L/16\nHiera\nHiera-L\nOmniMAE\nViT-L/16\nSamples Seen (M)\nSomething-Something-v2 End-to-End Fine-Tuning\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen.We\nreport SSv2 fine-tuning for V-JEPA and pixel-reconstruction\nbaselines using a ViT-L/16 or Hiera-L architecture. V-JEPA\noutperforms all pixel-reconstruction methods using a ViT-\nL/16 and matches the Hiera-L performance while seeing\nsignificantly less samples during pretraining.\nageNet; hence,V-JEPA achieves comparable ImageNet\nperformance despite only pretraining on video.\nUnder the fine-tuning protocol,V-JEPAalso achieves the\nbest performance of any model trained with a ViT-L/16,\nand matches the performance of the Hiera-L on SSv2,\nwhichbenefitsfromahierachicalprior (Ryali etal.,2023).\nThe V-JEPA models achieve this result while processing\nsignificantly fewer samples during pretraining (Figure 4),\ndemonstrating the efficiency of feature prediction as a\nlearning principle.\n5.2 Comparison with State-of-the-Art\nNext, in Table 6, we inspect how theV-JEPA models\npretrained on video stack up next to the largest state-\nof-the-art self-supervised image and video models when\nfreezing the backbone encoder and training an attentive\nprobe on top. Our image pretrained baselines include\nOpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al.,\n2023), and I-JEPA (Assran et al., 2023). The Open-\nCLIP model is trained with a contrastive image-text\nalignment objective, DINOv2 and I-JEPA are trained\nwith self-supervision. These models are known to excel\nin their frozen-evaluation performance (Oquab et al.,\n2023); i.e., their ability to produce visual features that\ncan be applied to many downstream tasks simultane-\nously, without end-to-end fine-tuning, and thus pro-\nvide highly competitive baselines. Our video pretrained\nbaselines include VideoMAE (Tong et al., 2022), Omni-\nMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023),\nVideoMAEv2 (Wang et al., 2023a), and MVD (Wang\net al., 2023b). The OpenCLIP, DINOv2 and Video-\nMAEv2 models are parameterized as Giant/Gigantic\nvision transformer architectures containing over 1B pa-\nrameters trained on large-scale image or video datasets.\nComparison with video models. Compared to\nlarge-scale video baselines, theV-JEPA models outper-\nform all previous models on every downstream video\n50 100 150 200 250 300 350\n60\n65\n70\n75 V-JEPA\nViT-H/16384\nVideoMAE\nViT-H/16\nVideoMAEv2\nViT-g/14\nPretraining Time (Hrs.)\nSomething-Something-v2 Frozen Evaluation\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining\nTime. Wallclock times for all methods are measured on a\nsingle GPU with a batch size of 10 clips, using the official\ncodebases for VideoMAE and VideoMAEv2, and linearly\nextrapolated assuming a global batch size of 2400 samples.\nHowever, note that the SSv2 accuracies of video pixel pre-\ndiction methods are actually obtained with small batch sizes\nand significantly longer training schedules. V-JEPA out-\nperforms pixel-reconstruction methods while training signifi-\ncantly faster.\nand image task with notable margin (see Table 6). Our\nH/16 model outperforms the largest publicly available\nVideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera\nmodels by at least+5 points in motion understanding\n(Something-Something-v2), +2 points in action recogni-\ntion (Kinetics-400),+5 points on action detection (AVA),\n+1 point on object recognition (ImageNet-1K),+2 points\nin scene recognition (Places205), and+0.2 points on fine-\ngrained recognition (iNaturalist). Moreover, when com-\nparing pretraining wallclock time in Figure 5, we see that\nV-JEPA achieves this performance with a roughly2×\nspeedup compared to the large pixel prediction models.\nComparison with image models. On tasks that re-\nquire a fine-grained understanding of motion (Something-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE.We evaluate the effect of linear (Lin.)\nand attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2(16 × 2 × 2) tasks. V-JEPA and\nVideoMAE benefit from using a non-linear attentive probe.\nK400 SSv2\nMethod Arch. Lin. Att. Lin. Att.\nVideoMAE ViT-L/16 52.5 77.8 41.3 61.2\nV-JEPA ViT-L/16 56.7 80.8 50.1 69.5\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP.We evaluate the effect of linear (Lin.)\nand attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing\nstrategy. Results shown ingray are reported from the linear probe evaluation in Oquab et al. (2023).\nK400 SSv2 IN1K Place205 iNat21\nMethod Arch. Lin. Att. Lin. Att. Lin. Att. Lin. Att. Lin. Att.\nDINOv2 ViT-g/14 78.4 83.4 38.3 50.0 86.5 86.2 67.5 68.4 85.7 88.8\nOpenCLIP ViT-G/14 78.3 81.8 35.8 34.8 86.2 85.3 69.8 70.2 76.0 83.6\nOne Clip vs Multiple clips.We examine the impact of changing the temporal coverage of a model during downstream\nevaluation on K400 action classification. In Table 14, we evaluate VideoMAE andV-JEPA models using an attentive\nprobe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature\nmap of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8\nequal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to≈ 2\nseconds of a video on average, while 8 clips correspond to≈ 16 seconds. The video encoders processes each clip\nseparately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe.\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of bothV-JEPA and\nVideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default\nevaluation pipeline.\nE.2 Finetuning\nIn Table 15, we evaluateV-JEPA using finetuning (separately) on K400 and SSv2. We compareV-JEPA with\nVideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16\nor a ViT-H/16 architecture.V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16\narchitecture, V-JEPAoutperforms by1.2% VideoMAE and+0.3% VideoMAEv2 on the SSv2 dataset, while obtaining\ncomparable performance on K400.V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The\nMVD model achieves the best performance across models on the K400 dataset, and is trained using the image\ndataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD\nrequires the processing of significantly more samples during pretraining due to the cost of training the teacher\nencoder networks in a pre-pre-training step.\nE.3 Sample Efficiency of pretraining\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we\nlook at the number of samples (image or video clips) processed by the network during pretraining, which is larger\nthan the size of the pretraining dataset for multi-epoch training. Notably, our results withV-JEPA are obtained\nwhile processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude\nfewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data\ndistribution could lead to substantial gains in downstream image and video tasks.\nE.4 Masking Strategy\nAn important component of theV-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we\ndetail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained\non K400. Figure 8 presents a summary of those results.\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - }, - { - "text": "To that end, we pretrain a family ofV-JEPA models\non a dataset of 2 million videos collected from pub-\nlicly available datasets by combining a masked modeling\nprediction task with a joint-embedding predictive ar-\nchitecture (see Figure 2). We measure performance on\nseveral downstream image and video tasks, using both\nfrozen evaluation and end-to-end fine-tuning. Our find-\nings suggest that feature prediction can indeed serve as\nan effective stand-alone objective for unsupervised learn-\ning from video, while using significantly shorter training\nschedules than pixel prediction methods. Specifically:\n• Feature prediction leads to versatile visual repre-\nsentations that perform well across downstream\nimage and video tasks without adaption of the\nmodel’s weights; i.e., using a frozen backbone.\nV-JEPA achieves the best performance among\nmethods we consider (+6% accuracy) on the\nSomethingSomething-v2 task, which requires fine-\ngrained temporal understanding. V-JEPA is\nalso competitive on tasks like Kinetics400, where\nappearance-based features are sufficient and hence\nstate-of-the-art image models such as DINOv2 excel\n(Figure 1 and Table 6).\n• Models trained with feature prediction are supe-\nrior to pixel prediction approaches under a frozen\nevaluation protocol (attentive probing) and are com-\npetitive with pixel prediction under full fine-tuning,\nwhile using significantly shorter training schedules\n(Tables 5 and 6).\n• Models trained with feature prediction are more\nlabel-efficient than pixel prediction approaches. De-\ncreasing the available number of labeled examples re-\nsults in an increase in the performance gap between\nV-JEPA and pixel-reconstruction models (Table 7).\n2 Related Works\nSlow Features. One way to encourage temporally\nadjacent representations to be predictive of each other\nis to ensure that they vary slowly over time. Early\nworks targeting predictive features encouraged represen-\ntations of individual video frames to be locally tempo-\nrally invariant, while preventing representation collapse\nby using spectral methods, as in SFA (Wiskott and Se-\njnowski, 2002), SSA (Kayser et al., 2001), and Simulated\nFixations (Zou et al., 2012). More recently, Goroshin\net al. (2015); Wang et al. (2010) train a siamese con-\nvolutional network to map the representations of two\nsubsequent frames to the same point, while encouraging\ndistant frames to have diverse representations via a pair-\nwise margin loss and a triplet loss, respectively. Other\nworks (Oord et al., 2018; Surís et al., 2021; Feichtenhofer\net al., 2021) implement temporal invariance using noise-\ncontrastive estimation (Gutmann and Hyvärinen, 2012).\nOur exploration in this paper goes beyond temporal in-\nvariance and explores feature prediction using masked\nmodeling.\nPredictive Features. Going beyond local invariance,\na family of works trains a predictor network to map the\nrepresentation of a frame or clip at one time-step to a\ndistinct representation at another time-step. Srivastava\net al. (2015); Vondrick et al. (2016); Wang et al. (2023b)\ntrain such a video feature predictor network on top of\na frozen pretrained image or video encoder. Unfreezing\nthe target feature extractor, several methods train the\nvideo encoder and the predictor network simultaneously,\nwhile preventing collapse by using a supervised action\nforecasting loss (Girdhar and Grauman, 2021), or by\nusing the representations of distant clips as negative\nsamples in a contrastive loss (Han et al., 2019, 2020;\nTan et al., 2023), often focusing on small convolutional\nencoders (Han et al., 2019, 2020). The idea of learning a\nrepresentation by predicting missing information in fea-\nture space is also core to the joint-embedding predictive\narchitecture (JEPA) (LeCun, 2022), which combines a\nsiamese encoder with a predictor network. JEPAs have\nbeen successfully instantiated in several modalities, such\nas with audio data (Baevski et al., 2022b) and image\ndata (Zhou et al., 2021; Oquab et al., 2023; Assran et al.,", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv3.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What is the average performance of the ViT-L/16 architecture on the K710 dataset with 700k samples ?", - "target_page": 5, - "target_passage": "70.9", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "Table 5 Comparison with Pixel Prediction Methods.We compare V-JEPA with OmniMAE (Girdhar et al., 2023), Video-\nMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using\na ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205,\niNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning.\nAll models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from\nseveral spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream\ntasks, except ImageNet, where the model achieves74.8% compared to75.1% of an OmniMAE model trained directly on\nImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on\nSSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.\nFrozen Evaluation w/ Att. Pooling Fine-Tuning\n#Samples K400 SSv2 AVA IN1K Places205 iNat21 K400-ft SSv2-ft\nMethod Arch. Seen Iter. (16×8×3) (16 ×2×3) (16 ×5×3) (16 ×2×3)\nMethods pretrained using pixel prediction\nOmniMAE ViT-L/16 2400M 1170K 65.6 60.6 14.4 75.1 59.8 66.1 84.0 74.2\nVideoMAE ViT-L/16 410M 400K 77.8 65.5 21.6 71.1 59.3 64.6 85.4 74.3\nHiera Hiera-L 770M 1500K 75.5 64.2 15.8 68.9 58.5 56.9 87.3 75.1\nV-JEPA ViT-L/16 270M 90K 80.8 69.5 25.6 74.8 60.3 67.8 85.6 75.1\nTable 6 Comparison with State-of-the-Art Models.We compare V-JEPA with state-of-the-art baselines in frozen evaluation\nwith an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models\nare evaluated at resolution 224, except I-JEPA512 and V-JEPA384 which are evaluated respectively at resolution512 and\n384. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views\nfrom the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks.\nCompared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on\ntasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks\nrequiring static appearance-based features.\nVideo Tasks Image Tasks\nK400 SSv2 AVA IN1K Places205 iNat21\nMethod Arch. Params. Data (16×8×3) (16 ×2×3)\nMethods pretrained on Images\nI-JEPA ViT-H/16 512 630M IN22K 79.7 50.0 19.8 84.4 66.5 85.7\nOpenCLIP ViT-G/14 1800M LAION 81.8 34.8 23.2 85.3 70.2 83.6\nDINOv2 ViT-g/14 1100M LVD-142M 83.4 50.6 24.3 86.2 68.4 88.8\nMethods pretrained on Videos\nMVD ViT-L/16 200M IN1K+K400 79.4 66.5 19.7 73.3 59.4 65.7\nOmniMAE ViT-H/16 630M IN1K+SSv2 71.4 65.4 16.0 76.3 60.6 72.4\nVideoMAE ViT-H/16 630M K400 79.8 66.2 20.7 72.3 59.1 65.5\nVideoMAEv2 ViT-g/14 1100M Un.Hybrid 71.2 61.2 12.9 71.4 60.6 68.3\nHiera Hiera-H 670M K400 77.0 64.7 17.5 71.4 59.5 61.7\nV-JEPA\nViT-L/16 200M\nVideoMix2M\n80.8 69.5 25.6 74.8 60.3 67.8\nViT-H/16 630M 82.0 71.4 25.8 75.9 61.7 67.9\nViT-H/16384 630M 81.9 72.2 25.0 77.4 62.8 72.6\n5 Comparison with Prior Work\nIn Section 5.1, we investigate the impact of feature pre-\ndiction by comparing V-JEPA with video approaches\nthat rely on pixel prediction, while using a similar ar-\nchitecture for all baselines. Subsequently, in Section 5.2,\nwe remove the architectural constraint and report the\nbest performance across architectures for self-supervised\nvideo and image pretraining approaches. Finally, we ex-\nplore the label-efficiency ofV-JEPA relative to other self-\nsupervised video pretraining approaches in Section 5.3.\nWe further detail the evaluation setup in Appendix D.\n5.1 Comparison with Pixel Prediction\nTo investigate the effectiveness of feature prediction pre-\ntraining, we first compareV-JEPAto video masked mod-\nelingmodelsrelyingonapixelpredictionloss. Wecontrol", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "2019), Kinetics-400/600/700 (K710) (Kay et al., 2017),\nand Something-Something-v2 (SSv2) (Goyal et al., 2017),\nand remove any overlap with the validation sets of\nKinetics-400/600/700 and Something-Something-v2, re-\nsulting in approximately 2 million videos. We train a\nViT-L/16, a ViT-H/16, and a ViT-H/16384 transformer\nmodel on VideoMix2M. We use a batch size of 3072 for\nthe ViT-L/16 and ViT-H/16 models, and a batch size\nof 2400 for the ViT-H/16384 model. Each model takes\nas input a video clip of 16 frames sampled with a frame-\nskip of 4, corresponding to roughly 3 second clips on\naverage. The ViT-L/16 and ViT-H/16 process the video\nat a spatial resolution of 224, while the ViT-H/16384\nuses an input resolution of 384; cf. Appendix C.\n4", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 8 pretraining hyper-parameters for V-JEPA.\nHyper-parameter ViT-L/16 224 ViT-H/16224 ViT-H/16384\ndata\ndatasets VideoMix2M VideoMix2M VideoMix2M\nresolution 224 224 384\nnum_frames 16 16 16\ntemporal_stride 4 4 4\nhorizontal_flip true true true\nrandom_resize_scale (0.3, 1.0) (0.3, 1.0) (0.3, 1.0)\nrandom_resize_aspect_ratio (0.75, 1.35) (0.75, 1.35) (0.75, 1.35)\nmasking\nblock_aspect_ratio (0.75, 1.5) (0.75, 1.5) (0.75, 1.5)\nshortrange_mask_num_blocks 8 8 8\nshortrange_mask_spatial_scale 0.15 0.15 0.15\nlongrange_mask_num_blocks 2 2 2\nlongrange_mask_spatial_scale 0.7 0.7 0.7\noptimization\nbatch_size 3072 3072 2400\ntotal_number_of_iterations 90000 90000 90000\nwarmup_iterations 12000 12000 12000\nlr 6.25e-4 6.25 ×10−4 6.25×10−4\nstart_lr 2 ×10−4 2×10−4 2×10−4\nfinal_lr 1 ×10−6 1×10−6 1×10−6\nstart_momentum 0.998 0.998 0.998\nfinal_momentum 1.0 1.0 1.0\nstart_weight_decay 0.04 0.04 0.04\nfinal_weight_decay 0.4 0.4 0.4\nscheduler_scale_factor 1.25 1.25 1.25\narchitecture\npatch_size 16 16 16\ntubelet_size 2 2 2\npred_depth 12 12 12\npred_embed_dim 384 384 384\nhardware\ndtype bfloat16 bfloat16 bfloat16\naccelerator A100 80G A100 80G A100 80G\nMulti-Mask Prediction. To increase the efficiency ofV-JEPA, we use a multi-masking strategy (Caron et al.,\n2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in\nSection 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward\npropagate thex-encoder and predictor separately for each mask, we only need to compute they-representation once.\nC Pretraining details\nIn section, we reportV-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during\npretraining.\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for thex-encoder and\ny-encoder. We train threeV-JEPA encoders: a ViT-L/16224, a ViT-H/16224 and a ViT-H/16384. All three encoders\ntake as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts,\n224 and 384, indicate the spatial resolution of the video clip.V-JEPA flattens the video clip into a sequence of\nnon-overlapping spatio-temporal patches of size16 × 16 × 2 (see Figure 7). For all three models, the predictor is\ndesigned as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For\nsimplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the\ncontext-encoder/target-encoder. V-JEPA is pretrainedwithout using a[cls] token.\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize thex-encoder and predictor weights.\nThe ViT-L/16224 and ViT-H/16224 models use a batch size of3072 while the ViT-H/16384 uses a batch size of\n2400. Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from2 × 10−4\nto 6.25 × 10−4 during the first12, 000 iterations of pretraining, and decayed to10−6 following a cosine schedule.\n17", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation.Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and\nSomething-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive\nprobe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random\nsplits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report\nthe mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than\nother models; specifically, decreasing the available number of labeled examples from each class increases the performance gap\nbetween V-JEPA and the baselines.\nFrozen Evaluation\nK400 SSv2\n(16×8×3) (16 ×2×3)\n5% 10% 50% 5% 10% 50%\nMethod Arch. (∼29 samples per class) ( ∼58 samples per class) ( ∼287 samples per class) ( ∼48 samples per class) ( ∼96 samples per class) ( ∼440 samples per class)\nMVD ViT-L/16 62.6 ± 0.2 68.3 ± 0.2 77.2 ± 0.3 42.9 ± 0.8 49.5 ± 0.6 61.0 ± 0.2\nVideoMAE ViT-H/16 62.3 ± 0.3 68.5 ± 0.2 78.2 ± 0.1 41.4 ± 0.8 48.1 ± 0.2 60.5 ± 0.4\nVideoMAEv2 ViT-g/14 37.0 ± 0.3 48.8 ± 0.4 67.8 ± 0.1 28.0 ± 1.0 37.3 ± 0.3 54.0 ± 0.3\nV-JEPA ViT-H/16 67.0 ± 0.2 72.1 ± 0.1 80.2 ± 0.2 51.9 ± 0.3 57.5 ± 0.4 67.3 ± 0.2\nViT-H/16384 68.2 ± 0.2 72.8 ± 0.2 80.6 ± 0.2 54.0 ± 0.2 59.3 ± 0.5 67.9 ± 0.2\nlayer attentive probe, which can be further improved to\n77.9% using a two-layer attentive probe. More generally,\nwe hypothesize that the datasets used to trainV-JEPA\nand other video models are too constrained and lack the\nvisualdiversityoftheinternet-scalepretrainingdataused\nby the images models; as such, there is value in focusing\nfuture work on building diverse publicly available video\ndatasets.\n5.3 Label-efficiency\nWe examine the label-efficiency ofV-JEPA compared to\nother self-supervised video models by measuring the abil-\nity of the pretrained backbones to adapt to downstream\ntasks with few labels. Specifically, we investigate the\nperformance of the frozen models on Kinetics-400 and\nSomething-Something-v2 as we vary the percentage of\nlabeled examples from each dataset available for training\nthe attentive probe. We train the probes in several low-\nshot settings: using either 5% of the train set, 10%, or\n50%, and take 3 random splits in each setting to obtain\nmore robust metrics, resulting in 9 different evaluation\nexperiments for each model. Table 7 reports the mean\nperformances and standard deviation using the K400\nand SSv2 validation sets.\nWe findV-JEPA to be more label-efficient than other\nself-supervised video models: decreasing the available\nnumber of labeled examples for training the attentive\nprobe results in an increase in the performance gap\nbetween V-JEPA and the other models. In particular,\nthe performance of the largestV-JEPA model on K400\ndrops by 12% to 68.2% top-1 when we reduce the number\nof labeled examples by a factor of10× (from roughly\n287 examples per class to 29 examples per class). By\ncontrast, VideoMAEv2 drops by 30% to 37.0% top-1,\nVideoMAE drops by 15.9% to 62.3% top-1, and MVD\ndrops by 14.6% to 62.6% top-1.\nSimilar observations hold on SSv2. The performance\nof the largestV-JEPA model on SSv2 drops by 13.9%\nto 54.0% top-1 when we reduce the number of labeled\nexamples by a factor of10× (from roughly 440 examples\nper class to 48 examples per class). By contrast, Video-\nMAEv2 drops by 26% to 28.0% top-1, VideoMAE drops\nby 19.1% to 41.4% top-1, and MVD drops by 18.1% to\n42.9% top-1.\n6 Evaluating the Predictor\nNext, we seek to qualitatively inspect theV-JEPA mod-\nels. Recall that the predictor network inV-JEPApredicts\nthe representations of a masked spatio-temporal regiony\nfrom a visible regionx, given the positional information\nof the masked regions (see Section 3). To qualitatively in-\nvestigate the grounding of the feature-space predictions,\nwe freeze the pretrained encoder and predictor networks", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 14Temporal Coverage on Kinetics-400.We evaluate the effect of temporal coverage on K400. We train an attentive\nprobe on K400 using either 1 clip (≈ 2 seconds of a video) or 8 clips (≈ 16 seconds of a video). To sampleN clips, we first\ndivide a video inN equal-length temporal segments and sample one clip at random per segment. The video encoder processes\neach clip in parallel and all the encoder output tokens are concatenated at the input of the attentive probe. Increasing the\ntemporal coverage from 1 clip per video to 8 clips significantly improves the performance for both our VideoMAE baseline\nand V-JEPA.\nMethod Arch. 1 Clip 8 Clips\nVideoMAE ViT-L/16 69.4 77.8\nV-JEPA ViT-L/16 73.7 80.9\nTable 15 Finetuning results.We evaluate a V-JEPA model with the finetuning protocol on the K400 and SSv2 datasets\nusing 16 frames per clip and multi-view fusion (5×3 or2×3) for inference. The#Samples Seenentry corresponds to the\nnumber of video clips processed during pretraining, which is larger than the size of the pretraining dataset for multi-epoch\ntraining. We compare V-JEPA with different video self-supervised learning approaches. We report the VideoMAEv2 results\nwithout instruction-turning for consistency with the other approaches. V-JEPA obtains competitive performance using the\nfinetuning protocol.\nMethod Arch. Pretraining Data #Samples Seen K400 SSv2\n(16×5×3) (16 ×2×3)\nVideoMAEv1 ViT-L/16 K400 |SSv2 380M |410M 85.4 74.3\nViT-H/16 K400 |SSv2 380M |410M 86.6 74.8\nVideoMAEv2 ViT-H/16 Un.Hybrid 1600M 86.9 76.8\nMVD ViT-L/16 K400+IN1K 2400M 86.4 76.7\nViT-H/16 K400+IN1K 2400M 87.2 77.3\nV-JEPA ViT-L/16 VideoMix2M 270M 85.6 75.1\nViT-H/16 VideoMix2M 270M 86.6 77.0\nexamine our multi-masking strategy and find that sampling two masks for each clip (long-range and short-range) to\nbe more effective than sampling just a single mask for each clip.\nIn Figure 8c, we explore different average spatial and temporal masking ratio, i.e. the spatial/temporal ratio of\nthe area that is covered by a mask on average for a clip. Recall that each mask is constructed by sampling several\n(possibly overlapping) blocks and taking their union. We change the average spatial or temporal masking ratio by\nchanging a block spatial or temporal size, as well as the overall number of blocks. We found that low spatial or\ntemporal coverage results in a trivial prediction task, which degrades downstream performance. Based on those\nresults, we sample masks that remove roughly90% of the frame and extend along the entire temporal dimension of\nthe clip by default.\nIn Figure 8b , we explore different block size given an effective spatial masking ratio of 90% and temporal ratio of\n100%. We keep the masking ratio approximately constant by changing the block size and the number of block at the\nsame time. We find that sampling several blocks to perform better than sampling a single large block. Figure 9\nvisually illustrates the effect of sampling several smaller blocks to construct a mask.\nIn Figure 8a, we explore the effect of sampling various number of masks per samples. We find that sampling two\nmasks for each clip, with different spatial block sizes for each, to be more effective than sampling just a single mask.\nWe hypothesize that this masking strategy induces complementary tasks. In our experiment, we use this as our\ndefault masks sampling.\n22", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 16Sample efficiency.We compare the sample efficiency of pretraining various state-of-the-art image and video models.\nThe #Samples Seenentry corresponds to the number of samples (image or video clips) processed by the network during\npretraining, which is larger than the size of the pretraining dataset for multi-epoch training. The V-JEPA results in this\npaper are obtained while processing an order of magnitude fewer samples than previous methods.\nMethod Arch. Data #Samples Seen\nOpenCLIP ViT-G/14 LAION-2B 39000M\nDINOv2 ViT-g/14 LVD 142M 1900M\nVideoMAEv2 ViT-g/14 UnlabeledHybrid 1600M\nV-JEPA ViT-H/16 384 VideoMix2M 210M\n1 2 3\n50\n51\n52\n53\n54\n55\nNumber of Masks per SamplesKinetics 400\nAblating Number of Masks per Sample\n(a)\n1 2 4 8 16\n47\n48\n49\n50\nNumber of Blocks per Mask\nKinetics 400\nAblating Number of Blocks per Mask (b)\n25 50 75 90\n0\n10\n20\n30\n40\n50\nSpatial Masking Ratio\nKinetics 400\nAblating Masking Ratio\nTemporal Masking Ratio\n100%\n75%\n50% (c)\nFigure 8 Masking Strategy Ablation.Evaluating a linear probe on a ViT-B/16 pretrained with V-JEPA on K400 under\nvarious 3D Multi-Block masking settings. We examine the impact of(a) sampling several masks per video,(b) varying the\nnumber of blocks in a mask, and(c) varying the average spatial and temporal masking ratio. A temporal masking ratio of\n100% extends the spatial mask across all the frames in the clip. We find it important to maintain a high spatial and temporal\nmasking ratio during pretraining.\n(a) Num. Blocks: 8, Spatial Block Size:32 × 32\n(b) Num. Blocks: 4, Spatial Block Size:80 × 80\n(c) Num. Blocks: 2, Spatial Block Size:160 × 160\nFigure 9 Illustration of mask with number of blocks and block size. Each mask is constructed by sampling several (possibly\noverlapping) blocks and taking their union.\n23", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv3.pdf" - }, - { - "text": "102.4 102.6 102.8 103 103.2 103.4\n74\n74.5\n75\nSOTA fine-tuned task-specific\nmodel on SSv 2 (MVD)\nV-JEPA\nViT-L/16\nVideoMAE\nViT-L/16\nHiera\nHiera-L\nOmniMAE\nViT-L/16\nSamples Seen (M)\nSomething-Something-v2 End-to-End Fine-Tuning\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 4 SSv2 fine-tuning performance vs. Samples Seen.We\nreport SSv2 fine-tuning for V-JEPA and pixel-reconstruction\nbaselines using a ViT-L/16 or Hiera-L architecture. V-JEPA\noutperforms all pixel-reconstruction methods using a ViT-\nL/16 and matches the Hiera-L performance while seeing\nsignificantly less samples during pretraining.\nageNet; hence,V-JEPA achieves comparable ImageNet\nperformance despite only pretraining on video.\nUnder the fine-tuning protocol,V-JEPAalso achieves the\nbest performance of any model trained with a ViT-L/16,\nand matches the performance of the Hiera-L on SSv2,\nwhichbenefitsfromahierachicalprior (Ryali etal.,2023).\nThe V-JEPA models achieve this result while processing\nsignificantly fewer samples during pretraining (Figure 4),\ndemonstrating the efficiency of feature prediction as a\nlearning principle.\n5.2 Comparison with State-of-the-Art\nNext, in Table 6, we inspect how theV-JEPA models\npretrained on video stack up next to the largest state-\nof-the-art self-supervised image and video models when\nfreezing the backbone encoder and training an attentive\nprobe on top. Our image pretrained baselines include\nOpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al.,\n2023), and I-JEPA (Assran et al., 2023). The Open-\nCLIP model is trained with a contrastive image-text\nalignment objective, DINOv2 and I-JEPA are trained\nwith self-supervision. These models are known to excel\nin their frozen-evaluation performance (Oquab et al.,\n2023); i.e., their ability to produce visual features that\ncan be applied to many downstream tasks simultane-\nously, without end-to-end fine-tuning, and thus pro-\nvide highly competitive baselines. Our video pretrained\nbaselines include VideoMAE (Tong et al., 2022), Omni-\nMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023),\nVideoMAEv2 (Wang et al., 2023a), and MVD (Wang\net al., 2023b). The OpenCLIP, DINOv2 and Video-\nMAEv2 models are parameterized as Giant/Gigantic\nvision transformer architectures containing over 1B pa-\nrameters trained on large-scale image or video datasets.\nComparison with video models. Compared to\nlarge-scale video baselines, theV-JEPA models outper-\nform all previous models on every downstream video\n50 100 150 200 250 300 350\n60\n65\n70\n75 V-JEPA\nViT-H/16384\nVideoMAE\nViT-H/16\nVideoMAEv2\nViT-g/14\nPretraining Time (Hrs.)\nSomething-Something-v2 Frozen Evaluation\nVideo Feature Pred.\nVideo Pixel Pred.\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining\nTime. Wallclock times for all methods are measured on a\nsingle GPU with a batch size of 10 clips, using the official\ncodebases for VideoMAE and VideoMAEv2, and linearly\nextrapolated assuming a global batch size of 2400 samples.\nHowever, note that the SSv2 accuracies of video pixel pre-\ndiction methods are actually obtained with small batch sizes\nand significantly longer training schedules. V-JEPA out-\nperforms pixel-reconstruction methods while training signifi-\ncantly faster.\nand image task with notable margin (see Table 6). Our\nH/16 model outperforms the largest publicly available\nVideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera\nmodels by at least+5 points in motion understanding\n(Something-Something-v2), +2 points in action recogni-\ntion (Kinetics-400),+5 points on action detection (AVA),\n+1 point on object recognition (ImageNet-1K),+2 points\nin scene recognition (Places205), and+0.2 points on fine-\ngrained recognition (iNaturalist). Moreover, when com-\nparing pretraining wallclock time in Figure 5, we see that\nV-JEPA achieves this performance with a roughly2×\nspeedup compared to the large pixel prediction models.\nComparison with image models. On tasks that re-\nquire a fine-grained understanding of motion (Something-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 11 Finetuning Evaluation hyper-parameters.\nHyper-parameter K400 SSv2\ndata\nnum_segments 1\nnum_frames 16\nsampling_rate 4\nresolution 224\nmodel\nmodel_name ViT-L/16 ViT-H/16 ViT-L/16 ViT-H/16\ndrop_path 0.1 0.2 0.2 0.2\nhead_drop_rate 0. 0. 0.5 0.5\noptimization\nbatch_size 256 1024 256 256\nepochs 35 25 15 15\nopt adamw\nopt_eps 0.00000001\nmomentum 0.9\nweight_decay 0.05\nlr 0.002 0.0005 0.0005 0.0005\nlayer_decay 0.75 0.75 0.75 0.75\nwarmup_lr 1e-6 1e-8 1e-6 1e-6\nmin_lr 1e-6 1e-5 1.5e-4 1.5e-3\nwarmup_epochs 5\naugmentations\ncolor_jitter 0.4\nhorizontal_flip True True False False\nnum_sample 2\naa rand-m7-n4-mstd0.5-inc1\nsmoothing 0.1\ntrain_interpolation bicubic\ntest_num_segment 5 5 2 2\ntest_num_crop 3 3 3 3\nerase\nprob 0.25\nmode pixel\ncount 1\nsplit False\nmixup\nmixup 0.8\ncutmix 1.0\nmixup_prob 1.0\nmixup_switch_prob 0.5\nmixup_mode batch\n20", - "page_start": 19, - "page_end": 19, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets.We ablate the effect of computing the prediction loss in feature space vs pixel space. All\nmodels are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We\nexamine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single\ncenter view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide\na consistent improvement over pixel space prediction.\nFrozen Evaluation Fine-Tuning\nK400 SSv2 IN1K K400-ft\nTarget Arch. (16×1×1) (16 ×1×1) (16 ×5×3)\nPixels ViT-L/16 68.6 66.0 73.3 85.4\nFeatures ViT-L/16 73.7 66.2 74.8 85.6\nTable 2 Pretraining Data Distribution.We pretrain all models for 90K iterations using a batch size of 3072, and evaluate\ndownstream performance of the frozen backbones with an attentive probe using a single center view. Average performance\nacross tasks increases with the pretraining dataset size.\nFrozen Evaluation\nK400 SSv2 IN1K Avg.\nArch. Data #Samples (16×1×1) (16 ×1×1)\nViT-L/16\nK710 700K 75.8 63.2 73.7 70.9\nK710+SSv2 900K 72.9 67.4 72.8 71.0\nK710+HT 1900K 74.5 64.2 74.8 71.1\nVideoMix2M 2000K 73.7 66.2 74.8 71.5\nViT-H/16 K710+SSv2 900K 75.7 66.8 73.7 72.0\nVideoMix2M 2000K 74.0 68.5 75.9 72.8\nEvaluations. Pretrained models are evaluated on\ndownstream video and image tasks. On video tasks,\nwe use a subset of the VideoGLUE benchmark (Yuan\net al., 2023) to test for various capabilities; specif-\nically, we investigate action recognition on Kinetics-\n400 (K400) (Kay et al., 2017), motion classification on\nSomething-Something-v2 (SSv2) (Goyal et al., 2017),\nand action localization on AVA (Gu et al., 2018). Action\nclassification on Kinetics evaluates the appearance-based\nunderstanding of the model, as many action classes in\nthe dataset can be inferred from the presence of specific\nobjects in the video (Sevilla-Lara et al., 2021). Motion\nclassification on Something-Something-v2 evaluates the\ntemporal understanding of the model, as action classes\nin the dataset are decoupled from the appearance/pres-\nence of specific objects in the video (Goyal et al., 2017).\nFinally, action localization on AVA evaluates the ability\nof the model to understand and localize motions in the\nvideo. We follow standard practice and report accu-\nracy on K400 and SSv2 by sampling several spatial and\ntemporal views. For static image tasks, we explore ob-\nject recognition on ImageNet (Russakovsky et al., 2015),\nscene classification on Places205 (Zhou et al., 2014), and\nfine-grained recognition on iNaturalist 2021 (Van Horn\net al., 2018).\n4 What Matters for Learning Represen-\ntations from Video?\nIn this section we isolate the contributions of several de-\nsign choices, including: a) the use of a feature prediction\nversus pixel prediction objective, b) the construction of\nthe pretraining data distribution, c) the feature pooling\nstrategy for leveraging the model’s representations in\ndownstream tasks, and d) the masking strategy, towards\nidentifying: what to predict from what?\n4.1 Predicting Representations versus Pixels\nWe first ablate the effect of computing the prediction\nloss in representation space. We train a pair of ViT-L/16\nmodels using either aV-JEPA feature prediction loss,\nor a mean-squared error loss with the normalized pixel\nvalues, as in masked autoencoders (He et al., 2021), and\nperform a sweep over the learning rate and weight decay\nschedules for both approaches. All models are pretrained\non VideoMix2M for 90K iterations with a batch size of\n3072 using multi-block masking. We examine perfor-\nmance on Kinetics-400 (K400), Something-Something-v2\n(SSv2), and ImageNet-1K (IN1K), using a frozen back-\nbone with an attentive probe, and report top-1 accuracy\nusing a single center view. We also examine end-to-end\nfine-tuning performance of the models on Kinetics-400.\nResults of this comparison are reported in Table 1 and", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE.We evaluate the effect of linear (Lin.)\nand attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2(16 × 2 × 2) tasks. V-JEPA and\nVideoMAE benefit from using a non-linear attentive probe.\nK400 SSv2\nMethod Arch. Lin. Att. Lin. Att.\nVideoMAE ViT-L/16 52.5 77.8 41.3 61.2\nV-JEPA ViT-L/16 56.7 80.8 50.1 69.5\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP.We evaluate the effect of linear (Lin.)\nand attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing\nstrategy. Results shown ingray are reported from the linear probe evaluation in Oquab et al. (2023).\nK400 SSv2 IN1K Place205 iNat21\nMethod Arch. Lin. Att. Lin. Att. Lin. Att. Lin. Att. Lin. Att.\nDINOv2 ViT-g/14 78.4 83.4 38.3 50.0 86.5 86.2 67.5 68.4 85.7 88.8\nOpenCLIP ViT-G/14 78.3 81.8 35.8 34.8 86.2 85.3 69.8 70.2 76.0 83.6\nOne Clip vs Multiple clips.We examine the impact of changing the temporal coverage of a model during downstream\nevaluation on K400 action classification. In Table 14, we evaluate VideoMAE andV-JEPA models using an attentive\nprobe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature\nmap of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8\nequal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to≈ 2\nseconds of a video on average, while 8 clips correspond to≈ 16 seconds. The video encoders processes each clip\nseparately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe.\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of bothV-JEPA and\nVideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default\nevaluation pipeline.\nE.2 Finetuning\nIn Table 15, we evaluateV-JEPA using finetuning (separately) on K400 and SSv2. We compareV-JEPA with\nVideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16\nor a ViT-H/16 architecture.V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16\narchitecture, V-JEPAoutperforms by1.2% VideoMAE and+0.3% VideoMAEv2 on the SSv2 dataset, while obtaining\ncomparable performance on K400.V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The\nMVD model achieves the best performance across models on the K400 dataset, and is trained using the image\ndataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD\nrequires the processing of significantly more samples during pretraining due to the cost of training the teacher\nencoder networks in a pre-pre-training step.\nE.3 Sample Efficiency of pretraining\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we\nlook at the number of samples (image or video clips) processed by the network during pretraining, which is larger\nthan the size of the pretraining dataset for multi-epoch training. Notably, our results withV-JEPA are obtained\nwhile processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude\nfewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data\ndistribution could lead to substantial gains in downstream image and video tasks.\nE.4 Masking Strategy\nAn important component of theV-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we\ndetail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained\non K400. Figure 8 presents a summary of those results.\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What is appropriate authority ?", - "target_page": 1, - "target_passage": "APPROPRIATE AUTHORITY.—The term ‘appropriate authority’ means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "18 \n(b) where the authorised person is a constable, remove P to the place where P is self-\nisolating; \n(c) where the authorised person is a constable and it i s not practicable or appropriate in the \ncircumstances to take the action in sub-paragraph ( a) or (b), remove P to accommodation \nfacilitated by the Secretary of State for the purposes of P’s self-isolation. \n(2) Where an authorised person has reasonable grounds t o believe that P is a Schedule 11 \npassenger, an authorised person may do any of the f ollowing for the purpose of ensuring that P \ncomplies with the requirements in Schedule 11— \n(a) give a direction to P, including a direction— \n(i) that P remain in a particular area of a port to awa it transportation to accommodation \ndesignated for the purposes of Schedule 11, \n(ii) that P move to a particular place to board transpor tation designated for the purposes \nof Schedule 11, \n(iii) that P board transportation designated for the purp oses of Schedule 11 to travel to \naccommodation designated for the purposes of Schedule 11, \n(iv) that P remain in the place where P is self-isolating; \n(b) remove P to accommodation designated for the purposes of Schedule 11. \n(3) Where an authorised person has reasonable grounds t o believe that P is a Schedule 11 \npassenger and that P has committed an offence under regulation 19(1)(a) or (6), the authorised \nperson may— \n(a) require P to produce their passport or travel document for examination; \n(b) detain P for up to three hours; \n(c) search P and any baggage belonging to P or under P’ s control, or any vehicle in which P \nhas travelled, for evidence, other than items subje ct to legal privilege, that relates to the \npossible commission of an offence under regulation 19(6); and \n(d) seize and retain any document or article recovered by a search under sub-paragraph (c). \n(4) Paragraph (3) does not confer a power— \n(a) to detain or search an unaccompanied child; or \n(b) to conduct an intimate search. \n(5) Any search under paragraph (3) must be conducted by an authorised person of the same \ngender as P. \n(6) Paragraphs (1)(b) and (c), (2) and (3) do not apply where P is a person described in \nparagraph 1 of Schedule 4 (diplomats, members of international organisations etc). \n(7) An authorised person exercising the power in paragr aph (1)(b) or (c), (2)(b) or (3) may use \nreasonable force, if necessary, in the exercise of the power. \n(8) Where P is a child, and has left or is outside of, the place where they are self-isolating and is \naccompanied by an individual who has responsibility for them— \n(a) an authorised person may direct that individual to take P to the place where P is self-\nisolating; and \n(b) that individual must, so far as reasonably practica ble, ensure that P complies with any \ndirection given by an authorised person to P. \n(9) Where P is a child, and an authorised person has re asonable grounds to believe that P is \nrepeatedly failing to comply with regulation 9 or S chedule 11, the authorised person may direct \nany individual who has responsibility for P to ensu re, so far as reasonably practicable, that P so \ncomplies. \n(10) An authorised person may only exercise a power in p aragraph (1), (2), (8) or (9) if the \nauthorised person considers that it is a necessary and proportionate means of ensuring compliance \nwith regulation 9 or Schedule 11.", - "page_start": 17, - "page_end": 17, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "66 IBM Content Manager OnDemand Guide\nFigure 3-22 Completion window\n3.2 User and group administration\nWhen you design a Content Manager OnDemand system, you must determine the best way \nto implement the many authority structures that are available for users and administrators of \nyour system. The span of control for the administration of the system must be considered with \nthe level of user access to the data that is stored in the system. How many different \nadministrators are required? Will all administrators have system administrator authority or will \ndifferent administrators have different levels of authority? What is the most effective way to \nrestrict a user’s access to only the data that is necessary to do that user’s job? \nThe answers to these questions depend on the size of the system, the degree of \ncentralization to be exercised over system administration, and the nature of the data and the \nbusiness needs of the users. \nCentralized or decentralized\nIn a system design that exercises centralized control, one or a few administrators are granted \nsystem administrator authority. A centralized system typically is used when the number of \nreports and users to be added to the system is small. Centralized administration is also \nappropriate where resources are limited and only one person might have the skills and \nknowledge to perform the system administration tasks, or where one user group performs all \nof the administration tasks. \nIn a system design with decentralized control, different users are granted different levels of \nadministrative authority. For example, you might have users that have the authority to create \nusers and groups. Other users might have the authority to create application groups and \nfolders, and others might be given full system administration authority.", - "page_start": 89, - "page_end": 89, - "source_file": "sg246915.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nApprove/Approve of\nTo “approve” something is to give consent.\nE.g. The director approved the budget.\nTo “approve of” something is to express a favourable opinion about it.\nE.g. The mother did not approve of the way her daughter was dressed for \nthe school dance.\nBorrow/Lend\nTo “borrow” something is to take it with the intention of giving it back.\nE.g. He borrowed the book from his colleague.\nTo “lend” something is to give it to someone with the expectation\nthat they will give it back.\nE.g. She is lending the car to him so that he can drive to work today.\n \nCompliment/Complement\nYou “compliment” someone when you make a favourable\ncomment about them.\nE.g. He complimented her by telling her that she was a good writer.\nYou “complement” something (or someone) when you add\nsomething else to it that suits or fits it well.\nE.g. That scarf complements her dress.", - "page_start": 16, - "page_end": 16, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "358 IBM Content Manager OnDemand Guide\nFigure 16-4 Configuring application group permissions\n16.2.5 Assigning hold permissions to users\nTo manage holds in Content Manager OnDemand, you must have the appropriate \npermission. Figure 16-5 on page 359 shows you how to define a user type of Hold \nAdministrator and to provide an authority type of Create Holds.", - "page_start": 381, - "page_end": 381, - "source_file": "sg246915.pdf" - }, - { - "text": "23 \n(4) In this regulation— \n“authorised person” means— \n(a) a constable, \n(b) the Civil Aviation Authority, \n(c) the Secretary of State, or \n(d) a person authorised by the Civil Aviation Authority or the Secretary of State under the \nAir Navigation Order 2016(a); \n“operator” has the meaning given in article 4 of th e Air Navigation Order 2016; \n“pilot in command” and “private aircraft” have the meanings given in the Air Navigation \nOrder 2016 (see Schedule 1 to that Order); \n“relevant transport service”, in relation to an operator, means a transport service provided by \nor on behalf of that operator; \n“transport service” means— \n(a) a relevant service, \n(b) a shuttle service, \n(c) a service (other than a relevant service) which— \n(i) is carrying passengers travelling to England from o utside the common travel area \n(whether for payment or valuable consideration or otherwise), and \n(ii) is provided by means of an aircraft (other than a private aircraft), or \n(d) a flight which— \n(i) is carrying passengers travelling to England from o utside the common travel area \n(whether for payment or valuable consideration or otherwise), and \n(ii) is provided by means of a private aircraft. \nPART 5 \nOffences, proceedings and information \nOffences and penalties \n19. —(1) A person (“P”) commits an offence where— \n(a) without reasonable excuse P contravenes a requireme nt in regulation 3 (requirement to \nprovide information); \n(b) without reasonable excuse P contravenes a requireme nt in regulation 4 (requirement to \npossess notification of negative test result); \n(c) without reasonable excuse P contravenes a requireme nt in regulation 6 (requirement to \nbook and undertake tests); \n(d) without reasonable excuse P contravenes a requireme nt in regulation 7 (requirement to \nundertake workforce tests); \n(e) without reasonable excuse P contravenes a requireme nt in regulation 8 (requirement for \noffshore installation workers to take tests); \n(f) P contravenes a requirement in regulation 9 (requirement to self-isolate); \n(g) without reasonable excuse P contravenes a requirement in or imposed under regulation 11 \n(enforcement of requirement to self-isolate) apart from paragraph (2) of that regulation; \n \n(a) S.I. 2016/765.", - "page_start": 22, - "page_end": 22, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Chapter 3. Administration 67\nThe skill level of the users might be a determining factor in the degree of authority that is \ngranted. It takes a more skilled user to define indexes and report parameters than to set up \nusers and groups. A decentralized system is typically used when data from different sources \nis stored on the same Content Manager OnDemand system but must be maintained \nindependently of other data. Decentralization also makes sense when report loading and \nprocessing needs are limited to a specific group of users for security purposes or when \nadministrators that add users and groups must be prevented from accessing report data.\nThe decision about whether to use a centralized or a decentralized administration model is \nbest made before any data is set up in the system. Even though the type of administration that \nis chosen can be changed later, the amount of work that is involved in that change is greater \nthan the amount of work that is necessary to study the requirements of the system and \nimplement the appropriate administration policies from the beginning. \nIn this section, we describe different types of users, followed by a description of a \ndecentralized administrative plan. We also introduce a new administrative tool, Content \nManager OnDemand XML Batch Administration, which is a command-line program that is run \non the Content Manager OnDemand server.\n3.2.1 User types, authorities, and functions\nFour types of users are available in a Content Manager OnDemand system. Each type has a \ndifferent level of access, authority, and responsibility in the system:\n/SM590000User: Logs in and queries the system to retrieve documents and reports for viewing.\n/SM590000User administrator: Adds users or other user administrators to the system.\n/SM590000Report administrator: Defines the application groups, applications, folders, and cabinets to \nbe part of the system. The report administrator is responsible for understanding the report \nand document data and for defining the indexes to be extracted from the data and stored. \nA report administrator is also responsible for designing the user interface to the reports \nthrough the folder definition process and for controlling access authority to the reports that \nthe report administrator designs, indexes, and loads. \n/SM590000System administrator: Has the highest level of authority in a Content Manager OnDemand \nsystem. The system administrator has authority for all system functions and can grant \nother users the authority to perform various tasks. The system administrator is the only \nlevel of authority that can create storage sets and define system printers. \nWhen the administrative tasks and levels of authorities are understood, you must decide the \nspan of control in the system. Is it better to have one user control all access and functions in \nthe Content Manager OnDemand system, or is it better to spread the administrative tasks \namong several users to smooth the workload based on system requirements? The answer to \nthis question depends on whether your environment uses centralized or decentralized \nadministrative control.\nA centralized administrative plan is best suited for a Content Manager OnDemand system \nwith a few users and relatively few reports to define. In the next section, we focus on the \ndecentralized system and describe the different aspects of a decentralized administrative \nplan.", - "page_start": 90, - "page_end": 90, - "source_file": "sg246915.pdf" - }, - { - "text": "19 \n(11) For the purposes of this regulation, “authorised person” means— \n(a) a constable; \n(b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or \n(c) a person designated by the Secretary of State for the purposes of this regulation. \nPower of entry \n12. —(1) A constable may enter premises in order— \n(a) to search for a person who is suspected of committi ng an offence of contravening the \nrequirement in paragraph 10 (duty to self-isolate) of Schedule 11; \n(b) to remove a person of the description in sub-paragr aph (a) to accommodation designated \nby the Secretary of State for the purposes of Schedule 11. \n(2) The power in paragraph (1) is exercisable if the constable— \n(a) has reasonable grounds to believe that a person of the description in paragraph (1)(a) is in \nor on the premises; and \n(b) has a reasonable belief that it is necessary and pr oportionate to enter the premises for the \npurposes specified in paragraph (1)(b). \n(3) A constable exercising the power in paragraph (1)— \n(a) may use reasonable force if necessary; and \n(b) may be accompanied by a police community support officer. \n(4) A constable exercising the power in paragraph (1)— \n(a) if asked by a person on the premises, must show evi dence of the constable’s identity and \noutline the purpose for which the power is being exercised; and \n(b) if the premises are unoccupied or the occupier is t emporarily absent, must leave the \npremises as effectively secured against unauthorise d entry as when the constable found \nthem. \n(5) In this regulation, “premises” includes any buildin g or structure and any land. \nPART 4 \nRequirements on operators \nPassenger information requirement \n13. —(1) Subject to the following provisions of this re gulation, an operator must ensure that a \npassenger who arrives at a port in England on a rel evant service is provided with the information \nrequired by regulation 14 (“the passenger informati on requirement”) and in the manner required \nby that regulation at each of the times specified in paragraph (2). \n(2) The times are— \n(a) where prior to departure a booking was made for the passenger to travel on the relevant \nservice, before the booking was made (“the pre-booking information requirement”); \n(b) where, at least 48 hours prior to the scheduled dep arture time of the relevant service, a \nbooking was made for the passenger to travel on it, between 24 and 48 hours prior to the \nscheduled departure time of that service (“the pre-departure information requirement”); \n(c) where prior to departure the passenger was checked in to travel on the relevant service, at \nthe time of check-in (“the check-in information requirement”); and \n(d) while the passenger was on board the vessel, aircra ft or train (“the on-board information \nrequirement”).", - "page_start": 18, - "page_end": 18, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Copyright Government of Botswana \n (2) Nothing contained in or done under the authority of any law shall be held to be inconsistent with or in contravention of this section to the extent that the law in question makes provision- (a) that is reasonably required in the interests of defence, public safety, public order, public morality, public health, town and country planning, the development and utilization of mineral resources, for the purpose of any census or in order to secure the development or utilization of any property for a purpose beneficial to the community; (b) that is reasonably required for the purpose of protecting the rights or freedoms of other persons; (c) that authorizes an officer or agent of the Government of Botswana, a local government authority or a body corporate established by law for a public purpose to enter on the premises of any person in order to inspect those premises or anything thereon for the purpose of any tax, rate or duty or in order to carry out work connected with any property that is lawfully on those premises and that belongs to that Government, authority or body corporate, as the case may be; or (d) that authorizes, for the purpose of enforcing the judgment or order of a court in any civil proceedings, the search of any person or property by order of a court or entry upon any premises by such order, and except so far as that provision or, as the case may be, anything done under the authority thereof is shown not to be reasonably justifiable in a democratic society. 10. Provisions to secure protection of law (1) If any person is charged with a criminal offence, then, unless the charge is withdrawn, the case shall be afforded a fair hearing within a reasonable time by an independent and impartial court established or recognized by law. (2) Every person who is charged with a criminal offence- (a) shall be presumed to be innocent until he or she is proved or has pleaded guilty; (b) shall be informed as soon as reasonably practicable, in a language that he or she understands and in detail, of the nature of the offence charged; (c) shall be given adequate time and facilities for the preparation of his or her defence; (d) shall be permitted to defend himself or herself before the court in person or, at his or her own expense, by a legal representative of his or her own choice; (e) shall be afforded facilities to examine in person or by his or her legal representative the witnesses called by the prosecution before the court, and to obtain the attendance and carry out the examination of witnesses to testify on his or her behalf before the court on the same conditions as those applying to witnesses called by the prosecution; and (f) shall be permitted to have without payment the assistance of an interpreter if he or she cannot understand the language used at the trial of the charge, and except with his or her own consent the trial shall not take place in his or her absence unless he or she so conducts himself or herself as to render the continuance of the proceedings in his or her presence impracticable and the court has ordered him or her to be removed and the trial to proceed in his or her absence. (3) When a person is tried for any criminal offence, the accused person or any person authorized by him or her in that behalf shall, if he or she so requires and subject to payment of such reasonable fee as may be prescribed by law, be given within a reasonable time after judgment a copy for the use of the accused person of any record of the proceedings made by or on behalf of the court.", - "page_start": 8, - "page_end": 8, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "64 \n(c) they have provided the Department of Health and Soc ial Care with a list of all \norganisations that they work with (whether by sub-c ontract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n(d) in relation to a test which requires laboratory processing— \n(i) the person responsible for the taking of samples me ets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC stan dard 17025 in respect of the \ntaking of samples, and \n(ii) the laboratory used by the test provider for the pr ocessing of samples meets the \nrelevant requirements for accreditation to ISO stan dard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n(f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if \nthey administer the test to P, they do so no earlier than the end of the seventh day after the \nday on which P arrived in England; \n(g) each day, they notify the Secretary of State in writing of— \n(i) the number of tests they sold on that day, and \n(ii) in relation to each test sold on that day— \n(aa) the date of arrival in England of the person in res pect of whom the test was \nsold, and \n(bb) whether the person in respect of whom the test was sold is a category 1 arrival \nor not; \n(h) if they arrange with another person (“X”) for X to carry out any element of the single \nend-to-end testing service on their behalf, the tes t provider ensures that X complies with \nthe following so far as relevant to the carrying out of that element— \n(i) paragraph 3(1)(e) to (i) of Schedule 10 as applied by paragraph (a) of this sub-\nparagraph, \n(ii) paragraph (b) to (g) of this sub-paragraph, \n(iii) paragraph 11(2), (3) and (4). \n(2) For the purposes of sub-paragraph (1)(h), “single e nd-to-end testing service” has the \nmeaning given in paragraph 3(2)(c) of Schedule 10. \n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation t o a standard where the person who is the \noperator of the laboratory complies with the requir ements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n(a) a reference to an applicable test were a reference to a day 8 test; \n(b) a reference to a test provider were a reference to a private provider. \nRequired circumstances for undertaking a day 2 test or a day 8 test \n10. —(1) The circumstances mentioned in regulation 6(12 )(a) and (b) are as follows. \n(2) In relation to— \n(a) a day 2 test, P undertakes the test no later than t he end of the second day after the day on \nwhich P arrived in England; \n(b) a day 8 test, P undertakes the test no earlier than the end of the seventh day after the day \non which P arrived in England. \n(3) Subject to sub-paragraph (4), at the time the test is booked P notifies the test provider that P \nis to undertake the test under these Regulations, and provides the test provider with— \n(a) the information set out in paragraph 4(b)(i) to (v) and (vii) to (xiii) of Schedule 10; and", - "page_start": 63, - "page_end": 63, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "30 \n(c) for a purpose connected with, or otherwise incident al to, a purpose described in sub-\nparagraph (a) or (b). \n(5) A constable or a person responsible for arranging o r providing services (including security \nservices) in respect of accommodation as part of a managed self-isolation package may, where \nnecessary for the purpose of carrying out a functio n under these Regulations, request from B the \nfollowing information— \n(a) confirmation that P possesses a testing package for the purposes of regulation 6 and the \ndetails of that testing package (including the time and date of the tests); \n(b) confirmation that P has undertaken any test in acco rdance with a testing package and, if \nnot, an account of the reasons; \n(c) the result of any test P has undertaken in accordance with a testing package. \n(6) Subject to paragraph (8), disclosure which is authorised by this regulation does not breach— \n(a) an obligation of confidence owed by the person making the disclosure; or \n(b) any other restriction on the disclosure of information (however imposed). \n(7) This regulation does not limit the circumstances in which information may otherwise \nlawfully be disclosed under any other enactment or rule of law. \n(8) Nothing in this regulation authorises the use or di sclosure of personal data where doing so \ncontravenes the data protection legislation. \n(9) For the purposes of this regulation— \n(a) “data protection legislation” and “personal data” h ave the same meanings as in section 3 \nof the Data Protection Act 2018(a); \n(b) “DA information” means information provided in acco rdance with, or as described in, an \nenactment which, in Scotland, Wales or Northern Ire land, has the effect of requiring the \nisolation or quarantine of persons who have been outside the common travel area, for any \nof the purposes described in paragraph (3)(b); \n(c) “managed self-isolation” means self-isolation in ac cordance with Schedule 11. \nSelf-incrimination \n23. —(1) Information provided by a person in accordance with, or as described in, regulation 3 \nmay be used in evidence against the person, subject to paragraphs (2) to (4). \n(2) In criminal proceedings against the person— \n(a) no evidence relating to the information may be addu ced by or on behalf of the \nprosecution; and \n(b) no question relating to the information may be asked by or on behalf of the prosecution. \n(3) Paragraph (2) does not apply if the proceedings are for— \n(a) an offence under these Regulations; \n(b) an offence under section 5 of the Perjury Act 1911 (false statements made otherwise than \non oath)(b); \n(c) an offence under section 1 of the Fraud Act 2006 (fraud)(c). \n(4) Paragraph (2) does not apply if, in the proceedings— \n(a) evidence relating to the information is adduced by or on behalf of the person who \nprovided it; or \n(b) a question relating to the information is asked by or on behalf of that person. \n \n(a) 2018 c. 12; relevant amendments to the definition of “data protection amendment” were made by S.I. 2 019/419. \n(b) 1911 c. 6. Section 5 was amended by section 1(2) of the Criminal Justice Act 1948 (c. 58). \n(c) 2006 c. 35.", - "page_start": 29, - "page_end": 29, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What criteria must a lactation room meet?", - "target_page": 1, - "target_passage": "LACTATION ROOM.—The term ‘lactation room’ means a hygienic place, other than a bathroom, that— ‘‘(A) is shielded from view; ‘‘(B) is free from intrusion; and ‘‘(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "133 STAT. 1032 PUBLIC LAW 116–30—JULY 25, 2019 \nPublic Law 116–30 \n116th Congress \nAn Act \nTo provide a lactation room in public buildings. \nBe it enacted by the Senate and House of Representatives of \nthe United States of America in Congress assembled, \nSECTION 1. SHORT TITLE. \nThis Act may be cited as the ‘‘Fairness For Breastfeeding \nMothers Act of 2019’’. \nSEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS. \n(a) L ACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of \ntitle 40, United States Code, is amended by adding at the end \nthe following new section: \n‘‘§ 3318. Lactation room in public buildings \n‘‘(a) DEFINITIONS.—In this section: \n‘‘(1) APPROPRIATE AUTHORITY .—The term ‘appropriate \nauthority’ means the head of a Federal agency, the Architect \nof the Capitol, or other official authority responsible for the \noperation of a public building. \n‘‘(2) COVERED PUBLIC BUILDING .—The term ‘covered public \nbuilding’ means a public building (as defined in section 3301) \nthat is open to the public and contains a public restroom, \nand includes a building listed in section 6301 or 5101. \n‘‘(3) LACTATION ROOM .—The term ‘lactation room’ means \na hygienic place, other than a bathroom, that— \n‘‘(A) is shielded from view; \n‘‘(B) is free from intrusion; and \n‘‘(C) contains a chair, a working surface, and, if the \npublic building is otherwise supplied with electricity, an \nelectrical outlet. \n‘‘(b) LACTATION ROOM REQUIRED.—Except as provided in sub-\nsection (c), the appropriate authority of a covered public building \nshall ensure that the building contains a lactation room that is \nmade available for use by members of the public to express breast \nmilk. \n‘‘(c) EXCEPTIONS.—A covered public building may be excluded \nfrom the requirement in subsection (b) at the discretion of the \nappropriate authority if— \n‘‘(1) the public building— \n‘‘(A) does not contain a lactation room for employees \nwho work in the building; and \n‘‘(B) does not have a room that could be repurposed \nas a lactation room or a space that could be made private \nusing portable materials, at a reasonable cost; or \n40 USC 3318. \nFairness For \nBreastfeeding \nMothers Act \nof 2019. \n40 USC 101 note. \nJuly 25, 2019 \n[H.R. 866] \nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030dkrause on DSKBC28HB2PROD with PUBLAWS", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "133 STAT. 1033 PUBLIC LAW 116–30—JULY 25, 2019 \nLEGISLATIVE HISTORY—H.R. 866 (S. 528): \nCONGRESSIONAL RECORD, Vol. 165 (2019): \nFeb. 6, considered and passed House. \nJune 26, considered and passed Senate. \nÆ \n‘‘(2) new construction would be required to create a lacta-\ntion room in the public building and the cost of such construc-\ntion is unfeasible. \n‘‘(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall \nbe construed to authorize an individual to enter a public building \nor portion thereof that the individual is not otherwise authorized \nto enter.’’. \n(b) CLERICAL AMENDMENT.—The table of sections at the begin-\nning of chapter 33 of title 40, United States Code, is amended \nby inserting after the item related to section 3316 the following \nnew item: \n‘‘3318. Lactation room in public buildings.’’. \n(c) E FFECTIVE DATE.—The amendments made by this section \nshall take effect 1 year after the date of the enactment of this \nAct. \nApproved July 25, 2019. \n40 USC 3318 \nnote. \n40 USC 3301 \nprec. \nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030dkrause on DSKBC28HB2PROD with PUBLAWS", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "stage. No other blinding was applicable, given the observational study of brain changes in response to advancing gestational week.\nReporting for specific materials, systems and methods\nWe require information from authors about some types of materials, experimental systems and methods used in many studies. Here, indicate whether each material, \nsystem or method listed is relevant to your study. If you are not sure if a list item applies to your research, read the appropriate section before selecting a response.", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed4.pdf" - }, - { - "text": "prerecorded message then inquired whether any house-\nhold member was $ 18 years of age and had experi-\nenced respiratory symptoms (eg, shortness of breath,\nwheezing, increased mucus or sputum, prolonged\ncough) within the past 6 months. Households with affir-\nmative responses were subsequently contacted by the\nlocal study coordinator for a follow-up call. The house-\nhold member reporting respiratory symptoms was\nverbally consented and screened for eligibility to partic-\nipate in the study over the telephone.8,9\nExclusion criteria included the following: (1) a history of\ndiagnosis of lung or airway disease, (2) use of respiratory\ninhalers aside from as-needed salbutamol, (3) contrain-\ndications for spirometry (eg, occurrences of myocardial\ninfarction, stroke, aortic or cerebral aneurysm, eye sur-\ngery, detached retina within the last 3 months), (4)\ninability or refusal to provide informed consent, (5) be-\ning in the third trimester of pregnancy, and (6) being<\n18 years of age.\nEach participant completed the Asthma Screening Ques-\ntionnaire (ASQ)10 via telephone. Individuals aged$ 60\nyears, and those aged< 60 years who scored< 6 points\non the ASQ, also completed the COPD-Diagnostic\nQuestionnaire.11,12 Participants scoring $ 6 points on\nthe ASQ or$ 20 points on the COPD-Diagnostic Ques-\ntionnaire were invited to the study site for pre- and post-\nbronchodilator (BD) spirometry.\nA control group without respiratory symptoms was\nselected randomly using identical random digit dialing\nmethods. Control patients reported no respiratory\nsymptoms in the preceding 6 months and obtained a\nscore of 0 on the ASQ. Participants were recruited as\ncontrol patients if they could be matched with an indi-\nvidual from the undiagnosed group based on age (/C6 5\nyears) and sex. This matching process aimed to have\nsimilar demographic profiles between the control group\nand the newly found cases. This matching was imple-\nmented solely to ensure demographic comparability\nacross the study groups and not for pairing patients\nfor statistical analysis purposes.\nAll participants filled out the COPD Assessment Test\n(CAT) questionnaire. Elevated CAT scores indicate a\ngreater burden of respiratory symptoms impacting\ndaily activities and health status. 13 The St. George ’s\nRespiratory Questionnaire (SGRQ) 14-16 was used to\nassess respiratory disease-related quality of life. Higher\nSGRQ scores indicate poorer health status. Both the\nCAT and SGRQ questionnaires were completed prior\nto spirometry to avoid influencing patients’ perceptions\nof their dyspnea.\nClassification of Undiagnosed Cases\nCertified study personnel administered spirometry tests\nbefore and after BD use. Participants showing an in-\ncrease of at least 12% and 200 mL in their FEV1 after\nreceiving 400mg of salbutamol were classified as having\nspirometry indicative of asthma.17 Those whose post-BD\nratio of FEV1/FVC fell below the lower 95% confidence\nlimit (ie, FEV1/FVC < lower limit of normal) were clas-\nsified as having spirometry indicative of COPD.18 Partic-\nipants meeting the criteria for both conditions were\nlabeled as having COPD. Those with a post-BD\nFEV1 < 80% of the predicted normal and a post-BD\nFEV1/FVC ratio > 0.70 were classi fied as having\nspirometry indicative of preserved ratio impaired\nspirometry (PRISm). PRISm was de fined based on\npost-BD spirometry values for a more specific classifica-\ntion.19 Participants not meeting criteria for asthma,\nCOPD, or PRISm were labeled as having normal\nspirometry.\nAssessment of the Impact of Participants’ Dyspnea\nAlthough neither the CAT nor the SGRQ are dyspnea-\nspecific tools, both are recommended by the Global Initia-\ntive for Chronic Obstructive Lung Disease to evaluate\nsymptoms, including dyspnea,20 and both yield a richer\nassessment of dyspnea than the modi fied Medical\nResearch Council breathlessness scale.20 Fifteen questions\nwere taken from the CAT and SGRQ questionnaires that\nreferred to individuals’ experiences with dyspnea, and a", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "70 \nTest providers \n3. —(1) A test provider complies with this paragraph w here— \n(a) they provide appropriate tests in a single end-to-e nd testing service (whether or not they \narrange with another person (“X”) for X to provide one or more elements of the service \non their behalf); \n(b) they have made a declaration to the Department of H ealth and Social Care that they meet \nthe minimum standards for private sector-provided t esting at https://support-covid-19-\ntesting.dhsc.gov.uk/PrivateSectorSelfDeclaration; \n(c) in relation to a test which requires laboratory processing— \n(i) the person responsible for the taking of samples me ets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC stan dard 17025, in respect of the \ntaking of samples, and \n(ii) the laboratory used by the test provider for the pr ocessing of samples meets the \nrelevant requirements for accreditation to ISO stan dard 15189 or ISO/IEC standard \n17025, in respect of the processing of samples; \n(d) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO standard 15189 and ISO standard 22870( a); \n(e) a registered medical practitioner has oversight and approval of medical practices \nundertaken by the test provider, and responsibility for reporting medical issues; \n(f) they have an effective system of clinical governanc e in place which includes appropriate \nstandard operating procedures in relation to the carrying out of appropriate tests; \n(g) a registered clinical scientist has oversight of cl inical practices undertaken by the test \nprovider, and responsibility for reporting clinical issues; \n(h) they have systems in place to identify any adverse incidents or quality control issues in \nrelation to appropriate tests and be able to report them as soon as reasonably practicable \nto the Secretary of State; \n(i) they administer or provide an appropriate test to P , on or after the fifth day after the day \non which P arrived in England having received the i nformation required by paragraph \n4(b) and (c) (as appropriate); and \n(j) if they arrange with another person (“X”) for X to carry out any element of the single \nend-to-end testing service on their behalf, the tes t provider ensures that X complies with \nany of paragraphs (c) to (i) and 5(2), (3) and (5) as is relevant to the carrying out of that \nelement. \n(2) For the purposes of sub-paragraph (1)— \n(a) “point of care test” means a test processed outside a laboratory environment; \n(b) “registered clinical scientist” means a person regi stered as a clinical scientist with the \nHealth and Care Professions Council pursuant to article 5 of the Health Professions Order \n2001( b); \n(c) “single end-to-end testing service” means a service which comprises accepting the \nbooking from the person to be tested, collecting an d processing the sample to be tested, \ncarrying out genomic sequencing and providing the test result to P. \n(3) For the purposes of sub-paragraph (1)(c) and (d), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation to a standard where that person, or in the case of \na laboratory where the person who is the operator of the laboratory— \n(a) has made a valid application for accreditation to UKAS (“stage one”); and \n \n(a) ISO 22870 Point-of-care testing (POCT) requiremen ts for quality and competence was published in November 2016. \n(b) S.I. 2002/254.", - "page_start": 69, - "page_end": 69, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "64 \n(c) they have provided the Department of Health and Soc ial Care with a list of all \norganisations that they work with (whether by sub-c ontract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing and kept that list updated as appropriate; \n(d) in relation to a test which requires laboratory processing— \n(i) the person responsible for the taking of samples me ets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC stan dard 17025 in respect of the \ntaking of samples, and \n(ii) the laboratory used by the test provider for the pr ocessing of samples meets the \nrelevant requirements for accreditation to ISO stan dard 15189 or ISO/IEC standard \n17025 in respect of the processing of samples; \n(e) in relation to a point of care test, they meet the relevant requirements for accreditation to \nISO Standard 15189 and ISO standard 22870; \n(f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if \nthey administer the test to P, they do so no earlier than the end of the seventh day after the \nday on which P arrived in England; \n(g) each day, they notify the Secretary of State in writing of— \n(i) the number of tests they sold on that day, and \n(ii) in relation to each test sold on that day— \n(aa) the date of arrival in England of the person in res pect of whom the test was \nsold, and \n(bb) whether the person in respect of whom the test was sold is a category 1 arrival \nor not; \n(h) if they arrange with another person (“X”) for X to carry out any element of the single \nend-to-end testing service on their behalf, the tes t provider ensures that X complies with \nthe following so far as relevant to the carrying out of that element— \n(i) paragraph 3(1)(e) to (i) of Schedule 10 as applied by paragraph (a) of this sub-\nparagraph, \n(ii) paragraph (b) to (g) of this sub-paragraph, \n(iii) paragraph 11(2), (3) and (4). \n(2) For the purposes of sub-paragraph (1)(h), “single e nd-to-end testing service” has the \nmeaning given in paragraph 3(2)(c) of Schedule 10. \n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation t o a standard where the person who is the \noperator of the laboratory complies with the requir ements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n(a) a reference to an applicable test were a reference to a day 8 test; \n(b) a reference to a test provider were a reference to a private provider. \nRequired circumstances for undertaking a day 2 test or a day 8 test \n10. —(1) The circumstances mentioned in regulation 6(12 )(a) and (b) are as follows. \n(2) In relation to— \n(a) a day 2 test, P undertakes the test no later than t he end of the second day after the day on \nwhich P arrived in England; \n(b) a day 8 test, P undertakes the test no earlier than the end of the seventh day after the day \non which P arrived in England. \n(3) Subject to sub-paragraph (4), at the time the test is booked P notifies the test provider that P \nis to undertake the test under these Regulations, and provides the test provider with— \n(a) the information set out in paragraph 4(b)(i) to (v) and (vii) to (xiii) of Schedule 10; and", - "page_start": 63, - "page_end": 63, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "to the length of service of all\nmembers of the Board.\nEach Director’s independence is\nassessed by the Board on an\nindividual basis, with reference\nto the above materiality\nguidelines and focussing on an\nassessment of each Director’s\ncapacity to bring independence\nof judgment to Board decisions.\nIn this context, as mentioned\nbelow, Directors are required to\npromptly disclose their interests\nin contracts and other\ndirectorships and offices held.\nThe names and details of the\nexperience, qualifications, special\nresponsibilities, and term of\noffice of each Director of the\nCompany are set out on page 41\nof this Annual Report. Details \nof each Director’s attendance at\nBoard and Committee Meetings\nand their shareholdings are also\nset out on page 47 of this\nAnnual Report.\n2.4 Nomination Committee\nThe role, responsibilities and\nmembership requirements of \nthe Nomination Committee are\ndocumented in the Board\nGuidelines and in a separate\nCharter, approved by the Board. \nUnder the Board Guidelines, \nit is the responsibility of the\nNomination Committee to devise\nthe criteria for, and review\nmembership of, and nominations\nto, the Board. The primary\ncriteria adopted in selection of\nsuitable Board candidates is their\ncapacity to contribute to the\nongoing development of the\nCompany having regard to the\nlocation and nature of the\nCompany’s significant business\ninterests and to the candidates’\nage and experience by reference\nto the attributes of existing\nBoard members.\nWhen a Board vacancy exists or\nwhere it is considered that the\nBoard would benefit from the\nservices of a new Director with\nparticular skills, the Nomination\nCommittee has responsibility for\nproposing candidates for\nconsideration by the Board and,\nwhere appropriate, engages the\nservices of external consultants.\nPrior to appointment, each\nDirector is provided with a letter\nof appointment which encloses a\ncopy of the Company’s\nConstitution and of the relevant\npolicies. Additionally, the\nexpectations of the Board in\nSAN165 WWW Text 30/3/05 12:07 PM Page 30", - "page_start": 31, - "page_end": 31, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "62 \nDay 2 tests: private provider requirements \n7. —(1) For the purposes of paragraph 6(1)(b)(iii), a private provider complies with this \nparagraph where— \n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 2 test; \n(b) if the provider is a laboratory that conducts diagn ostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting; \n(c) they have provided the Department of Health and Soc ial Care with a list of all \norganisations that they work with (whether by sub-c ontract or otherwise) to carry out the \ntesting service or to carry out genomic sequencing, indicating the nature of the service \nthat each organisation is providing, and kept that list updated as appropriate; \n(d) the person responsible for the taking of samples me ets the relevant requirements for \naccreditation to ISO standard 15189 or ISO/IEC stan dard 17025 in respect of the taking \nof samples; \n(e) the laboratory used by the test provider for the pr ocessing of samples meets the relevant \nrequirements for ISO standard 15189 or ISO/IEC stan dard 17025 in respect of the \nevaluation of the established molecular detection m ethod and the genomic sequencing of \nsamples; \n(f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if \nthey administer the test to P, they do so no later than the end of the second day after the \nday on which P arrived in England; \n(g) each day, they notify the Secretary of State in writing of— \n(i) the number of tests they sold on that day, and \n(ii) in relation to each test sold on that day— \n(aa) the date of the arrival in England of the person in respect of whom the test \nwas sold, and \n(bb) whether the person in respect of whom the test was sold is a category 1 arrival \nor not; \n(h) they sequence each sample with a cycle threshold less than 30 (equivalent to ~1,000 viral \ngenome copies per millilitre); \n(i) in respect of the sequencing of samples, they must secure a reference genome coverage \nbreadth of at least 50% and at least 30 times coverage; \n(j) on a request by the Secretary of State or the COVID -19 Genomics UK Consortium, they \nmake samples available for the purpose of dual sequencing; \n(k) they preserve and transport samples in a manner that enables genome sequencing; \n(l) they have in place a process to remove human reads from any data submitted in a \nnotification to Public Health England pursuant to t he Health Protection (Notification) \nRegulations 2010; and \n(m) if they arrange with another person (“X”) for X to carry out any element of the single \nend-to-end testing service on their behalf, the tes t provider ensures that X complies with \nthe following so far as relevant to the carrying out of that element— \n(i) paragraph 3(1)(e) to (h) of Schedule 10 as applied by paragraph (a) of this sub-\nparagraph, \n(ii) paragraph (c) to (l) of this sub-paragraph, \n(iii) paragraph 11(2), (3) and (4). \n(2) For the purposes of sub-paragraph (1)(m), “single e nd-to-end testing service” has the \nmeaning given in paragraph 3(2)(c) of Schedule 10.", - "page_start": 61, - "page_end": 61, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "63 \n(3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) \nmeets the relevant requirements for accreditation t o a standard where the person who is the \noperator of the laboratory complies with the requir ements of regulation 6 of the Health Protection \n(Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if— \n(a) a reference to an applicable test were a reference to a day 2 test; \n(b) a reference to a test provider were a reference to a private provider. \nDay 8 tests: general test requirements \n8. —(1) For the purposes of regulation 6(12)(b), a day 8 test complies with this paragraph \nwhere— \n(a) it is a test provided by a public provider; or \n(b) it is a test provided by a private provider— \n(i) in respect of— \n(aa) a non-Schedule 11 passenger, on or after 1st March 2021; \n(bb) a Schedule 11 passenger, on 1st or 2nd March 2021, \n(ii) where the test complies with sub-paragraph (2), and \n(iii) where the private provider complies with paragraph 9. \n(2) A test complies with this sub-paragraph where— \n(a) it is a semi-quantitative test for the detection of coronavirus which targets a minimum of \ntwo distinguishable SARS-CoV-2 genes other than the S gene and performance reference \ncontrols; \n(b) it is, in relation to a Schedule 11 passenger— \n(i) a test which requires laboratory processing, and \n(ii) a test which can be self-administered; \n(c) the manufacturer of any device used for the purposes of the test states that the device— \n(i) uses an extracted molecular method, \n(ii) has a specificity and a sensitivity greater than 95 % (with a 95% two-sided \nconfidence interval entirely above 90%), and \n(iii) has a limit of detection of less than or equal to 1 000 SARS-CoV-2 copies per \nmillilitre; and \n(d) any device used for the purposes of the test— \n(i) can be put into service in accordance with Part 4 of the Medical Devices Regulations \n2002, other than solely by virtue of regulation 39(2) of those Regulations, and \n(ii) has been validated no more than 18 months before th e test is administered or \nprovided to P. \n(3) For the purposes of sub-paragraph (2) “validated”, in relation to a device, has the meaning \ngiven by paragraph 2(2) of Schedule 10. \nDay 8 tests: private provider requirements \n9. —(1) For the purposes of paragraph 8(1)(b)(iii), a private provider complies with this \nparagraph where— \n(a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if \nany reference in those provisions to an appropriate test were a reference to a day 8 test; \n(b) if the provider is a laboratory that conducts diagn ostic test evaluation for testing in \naccordance with this Schedule, they have made a declaration to the Department of Health \nand Social Care that they meet the minimum standards for private sector-provided testing \nat https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "it was correctly specified with regards 6o 1) the choice of basis dimension (k) and 2) the distribution of the model residuals \n(see mgcv documentation; Wood, 2017). The general pattern of results held after toggling model parameters; however, we \nnote the risk of overinterpreting complex models with small sample sizes (see Sullivan et al., 2015). To address overfitting and \ncross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear \nand polynomial terms for gestation week. We compared the performance of each GLM (i.e., models using only a linear term \nvs. models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently \noutperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for non-linear changes in \nstructural brain variables over time. \n \nGray Matter Volume & Cortical Thickness: \nWe first computed Pearson’s product-moment correlation matrices between the following variables (n = 19 pregnancy \nscans): gestation week, estradiol, progesterone, total GMV, and the 17 network-level average GMV values. We then ran a \nmultivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were \nchanging at a rate different from the global decrease, we then re-ran the analyses to include total GMV as a variable of non-\ninterest in the regression model. A similar statistical approach was taken for T1w-derived subcortical volume estimates. We \nran a multivariate regression analysis predicting GMV changes over gestation in 28 regions-of-interest by gestation week \n(FDR-corrected at q < 0.05). \n \nT2-weighted MTL scans: \nTo evaluate the relationship between gestation week and medial temporal lobe (MTL) subregion volume over pregnancy (n = \n7 bilateral subregions; n = 18 MTL scans), we used a combination of linear and non-linear models based on individual \nsubregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "When take effect the Fairness For Breastfeeding Mothers Act ?", - "target_page": 2, - "target_passage": "The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "133 STAT. 1032 PUBLIC LAW 116–30—JULY 25, 2019 \nPublic Law 116–30 \n116th Congress \nAn Act \nTo provide a lactation room in public buildings. \nBe it enacted by the Senate and House of Representatives of \nthe United States of America in Congress assembled, \nSECTION 1. SHORT TITLE. \nThis Act may be cited as the ‘‘Fairness For Breastfeeding \nMothers Act of 2019’’. \nSEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS. \n(a) L ACTATION ROOM IN PUBLIC BUILDINGS.—Chapter 33 of \ntitle 40, United States Code, is amended by adding at the end \nthe following new section: \n‘‘§ 3318. Lactation room in public buildings \n‘‘(a) DEFINITIONS.—In this section: \n‘‘(1) APPROPRIATE AUTHORITY .—The term ‘appropriate \nauthority’ means the head of a Federal agency, the Architect \nof the Capitol, or other official authority responsible for the \noperation of a public building. \n‘‘(2) COVERED PUBLIC BUILDING .—The term ‘covered public \nbuilding’ means a public building (as defined in section 3301) \nthat is open to the public and contains a public restroom, \nand includes a building listed in section 6301 or 5101. \n‘‘(3) LACTATION ROOM .—The term ‘lactation room’ means \na hygienic place, other than a bathroom, that— \n‘‘(A) is shielded from view; \n‘‘(B) is free from intrusion; and \n‘‘(C) contains a chair, a working surface, and, if the \npublic building is otherwise supplied with electricity, an \nelectrical outlet. \n‘‘(b) LACTATION ROOM REQUIRED.—Except as provided in sub-\nsection (c), the appropriate authority of a covered public building \nshall ensure that the building contains a lactation room that is \nmade available for use by members of the public to express breast \nmilk. \n‘‘(c) EXCEPTIONS.—A covered public building may be excluded \nfrom the requirement in subsection (b) at the discretion of the \nappropriate authority if— \n‘‘(1) the public building— \n‘‘(A) does not contain a lactation room for employees \nwho work in the building; and \n‘‘(B) does not have a room that could be repurposed \nas a lactation room or a space that could be made private \nusing portable materials, at a reasonable cost; or \n40 USC 3318. \nFairness For \nBreastfeeding \nMothers Act \nof 2019. \n40 USC 101 note. \nJuly 25, 2019 \n[H.R. 866] \nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00001 Fmt 6580 Sfmt 6581 E:\\PUBLAW\\PUBL030.116 PUBL030dkrause on DSKBC28HB2PROD with PUBLAWS", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "133 STAT. 1033 PUBLIC LAW 116–30—JULY 25, 2019 \nLEGISLATIVE HISTORY—H.R. 866 (S. 528): \nCONGRESSIONAL RECORD, Vol. 165 (2019): \nFeb. 6, considered and passed House. \nJune 26, considered and passed Senate. \nÆ \n‘‘(2) new construction would be required to create a lacta-\ntion room in the public building and the cost of such construc-\ntion is unfeasible. \n‘‘(d) NO UNAUTHORIZED ENTRY.—Nothing in this section shall \nbe construed to authorize an individual to enter a public building \nor portion thereof that the individual is not otherwise authorized \nto enter.’’. \n(b) CLERICAL AMENDMENT.—The table of sections at the begin-\nning of chapter 33 of title 40, United States Code, is amended \nby inserting after the item related to section 3316 the following \nnew item: \n‘‘3318. Lactation room in public buildings.’’. \n(c) E FFECTIVE DATE.—The amendments made by this section \nshall take effect 1 year after the date of the enactment of this \nAct. \nApproved July 25, 2019. \n40 USC 3318 \nnote. \n40 USC 3301 \nprec. \nVerDate Sep 11 2014 15:46 Aug 08, 2019 Jkt 089139 PO 00030 Frm 00002 Fmt 6580 Sfmt 6580 E:\\PUBLAW\\PUBL030.116 PUBL030dkrause on DSKBC28HB2PROD with PUBLAWS", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90 \nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "10\nConsumer Laws and Regulations\nWe are also subject to certain consumer laws and regulations that are designed to protect consumers in\ntransactions with banks. While the following list is not exhaustive, these laws and regulations include the Truth in\nLending Act, the Truth in Savings Act, the Electronic Funds Transfer Act, the Expedited Funds Availability Act, the\nEqual Credit Opportunity Act, and the Fair Housing Act, among others. These laws and regulations among other\nthings prohibit discrimination on the basis of race, gender or other designated characteristics and mandate various\ndisclosure requirements and regulate the manner in which financial institutions must deal with customers when\ntaking deposits or making loans to such customers. These and other laws also limit finance charges or other fees or\ncharges earned in our activities. We must comply with the applicable provisions of these consumer protection laws\nand regulations as part of our ongoing customer relations.\nTechnology Risk Management and Consumer Privacy\nState and federal banking regulators have issued various policy statements emphasizing the importance of\ntechnology risk management and supervision in evaluating the safety and soundness of depository institutions with\nrespect to banks that contract with outside vendors to provide data processing and core banking functions. The use\nof technology-related products, services, delivery channels and processes expose a bank to various risks, particularly\noperational, privacy, security, strategic, reputation and compliance risk. Banks are generally expected to prudently\nmanage technology-related risks as part of their comprehensive risk management policies by identifying, measuring,\nmonitoring and controlling risks associated with the use of technology.\nUnder Section 501 of the Gramm-Leach-Bliley Act, the federal banking agencies have established appropriate\nstandards for financial institutions regarding the implementation of safeguards to ensure the security and\nconfidentiality of customer records and information, protection against any anticipated threats or hazards to the\nsecurity or integrity of such records and protection against unauthorized access to or use of such records or\ninformation in a way that could result in substantial harm or inconvenience to a customer. Among other matters, the\nrules require each bank to implement a comprehensive written information security program that includes\nadministrative, technical and physical safeguards relating to customer information.\nUnder the Gramm-Leach-Bliley Act, a financial institution must also provide its customers with a notice of\nprivacy policies and practices. Section 502 prohibits a financial institution from disclosing nonpublic personal\ninformation about a consumer to nonaffiliated third parties unless the institution satisfies various notice and opt-out\nrequirements and the customer has not elected to opt out of the disclosure. Under Section 504, the agencies are\nauthorized to issue regulations as necessary to implement notice requirements and restrictions on a financial\ninstitution’s ability to disclose nonpublic personal information about consumers to nonaffiliated third parties.\nUnder the final rule the regulators adopted, all banks must develop initial and annual privacy notices which describe\nin general terms the bank’s information sharing practices. Banks that share nonpublic personal information about\ncustomers with nonaffiliated third parties must also provide customers with an opt-out notice and a reasonable\nperiod of time for the customer to opt out of any such disclosure (with certain exceptions). Limitations are placed on\nthe extent to which a bank can disclose an account number or access code for credit card, deposit, or transaction\naccounts to any nonaffiliated third party for use in marketing.\nMonetary Policy\nBanks are affected by the credit policies of other monetary authorities, including the Federal Reserve Board,", - "page_start": 37, - "page_end": 37, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "closely related or incidental to banking. Bank holding companies were generally prohibited from acquiring control\nof any company which was not a bank and from engaging in any business other than the business of banking or\nmanaging and controlling banks. The Gramm-Leach-Bliley Act, which took effect on March 12, 2000, dismantled\nmany Depression-era restrictions against affiliation between banking, securities and insurance firms by permitting\nbank holding companies to engage in a broader range of financial activities, so long as certain safeguards are\nobserved. Specifically, bank holding companies may elect to become “financial holding companies” that may\naffiliate with securities firms and insurance companies and engage in other activities that are financial in nature or", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Full list of author information is available at the end of the article\n© The Author(s). 2018 Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0\nInternational License ( http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and\nreproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to\nthe Creative Commons license, and indicate if changes were made. The Creative Commons Public Domain Dedication waiver\n(http://creativecommons.org/publicdomain/zero/1.0/) applies to the data made available in this article, unless otherwise stated.\nLentz et al. BMC Health Services Research (2018) 18:648 \nhttps://doi.org/10.1186/s12913-018-3470-6", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "prerecorded message then inquired whether any house-\nhold member was $ 18 years of age and had experi-\nenced respiratory symptoms (eg, shortness of breath,\nwheezing, increased mucus or sputum, prolonged\ncough) within the past 6 months. Households with affir-\nmative responses were subsequently contacted by the\nlocal study coordinator for a follow-up call. The house-\nhold member reporting respiratory symptoms was\nverbally consented and screened for eligibility to partic-\nipate in the study over the telephone.8,9\nExclusion criteria included the following: (1) a history of\ndiagnosis of lung or airway disease, (2) use of respiratory\ninhalers aside from as-needed salbutamol, (3) contrain-\ndications for spirometry (eg, occurrences of myocardial\ninfarction, stroke, aortic or cerebral aneurysm, eye sur-\ngery, detached retina within the last 3 months), (4)\ninability or refusal to provide informed consent, (5) be-\ning in the third trimester of pregnancy, and (6) being<\n18 years of age.\nEach participant completed the Asthma Screening Ques-\ntionnaire (ASQ)10 via telephone. Individuals aged$ 60\nyears, and those aged< 60 years who scored< 6 points\non the ASQ, also completed the COPD-Diagnostic\nQuestionnaire.11,12 Participants scoring $ 6 points on\nthe ASQ or$ 20 points on the COPD-Diagnostic Ques-\ntionnaire were invited to the study site for pre- and post-\nbronchodilator (BD) spirometry.\nA control group without respiratory symptoms was\nselected randomly using identical random digit dialing\nmethods. Control patients reported no respiratory\nsymptoms in the preceding 6 months and obtained a\nscore of 0 on the ASQ. Participants were recruited as\ncontrol patients if they could be matched with an indi-\nvidual from the undiagnosed group based on age (/C6 5\nyears) and sex. This matching process aimed to have\nsimilar demographic profiles between the control group\nand the newly found cases. This matching was imple-\nmented solely to ensure demographic comparability\nacross the study groups and not for pairing patients\nfor statistical analysis purposes.\nAll participants filled out the COPD Assessment Test\n(CAT) questionnaire. Elevated CAT scores indicate a\ngreater burden of respiratory symptoms impacting\ndaily activities and health status. 13 The St. George ’s\nRespiratory Questionnaire (SGRQ) 14-16 was used to\nassess respiratory disease-related quality of life. Higher\nSGRQ scores indicate poorer health status. Both the\nCAT and SGRQ questionnaires were completed prior\nto spirometry to avoid influencing patients’ perceptions\nof their dyspnea.\nClassification of Undiagnosed Cases\nCertified study personnel administered spirometry tests\nbefore and after BD use. Participants showing an in-\ncrease of at least 12% and 200 mL in their FEV1 after\nreceiving 400mg of salbutamol were classified as having\nspirometry indicative of asthma.17 Those whose post-BD\nratio of FEV1/FVC fell below the lower 95% confidence\nlimit (ie, FEV1/FVC < lower limit of normal) were clas-\nsified as having spirometry indicative of COPD.18 Partic-\nipants meeting the criteria for both conditions were\nlabeled as having COPD. Those with a post-BD\nFEV1 < 80% of the predicted normal and a post-BD\nFEV1/FVC ratio > 0.70 were classi fied as having\nspirometry indicative of preserved ratio impaired\nspirometry (PRISm). PRISm was de fined based on\npost-BD spirometry values for a more specific classifica-\ntion.19 Participants not meeting criteria for asthma,\nCOPD, or PRISm were labeled as having normal\nspirometry.\nAssessment of the Impact of Participants’ Dyspnea\nAlthough neither the CAT nor the SGRQ are dyspnea-\nspecific tools, both are recommended by the Global Initia-\ntive for Chronic Obstructive Lung Disease to evaluate\nsymptoms, including dyspnea,20 and both yield a richer\nassessment of dyspnea than the modi fied Medical\nResearch Council breathlessness scale.20 Fifteen questions\nwere taken from the CAT and SGRQ questionnaires that\nreferred to individuals’ experiences with dyspnea, and a", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "regulations or implement responsible business, social, environmental and supply chain practices, we could be subject to damage to our \nreputation, class action lawsuits, legal and settlement costs, civil and criminal liability, increased cost of regulatory compliance, restatements \nof our financial statements, disruption of our business and loss of customers. Any required changes to our employment practices could result \nin the loss of employees, reduced sales, increased employment costs, low employee morale and harm to our business and results of \noperations. In addition, political and economic factors could lead to unfavorable changes in federal, state and foreign tax laws, which may \nincrease our tax liabilities. An increase in our tax liabilities could adversely affect our results of operations. We are also regularly involved in \nvarious litigation matters that arise in the ordinary course of business. Litigation or regulatory developments could adversely affect our \nbusiness and financial condition.\nWe continue to face uncertainties due to financial services industry regulation and supervision that could have an adverse affect \non our operations. \nFederal and state regulation and supervision of the financial industry has increased in recent years due to implementation of consumer \nprotection and financial reform legislation such as the Credit Card Accountability Responsibility and Disclosure Act of 2009 (“CARD Act”) and \nthe Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Financial Reform Act”). The Financial Reform Act significantly \nrestructured regulatory oversight and other aspects of the financial industry, created the Consumer Financial Protection Bureau (“CFPB”) to \nsupervise and enforce consumer lending laws and regulations, and expanded state authority over consumer lending. The CARD Act included \nnew and revised rules and restrictions on credit card pricing, finance charges and fees, customer billing practices and payment application. \nWe anticipate more regulation and interpretations of the new rules to continue, and, depending on the nature and extent of these new \nregulations and interpretations, we may be required to make changes to our credit card practices and systems, which could adversely impact \nthe revenues and profitability of our Credit segment. In addition, we operate in a regulated environment where financial supervisory agencies \nprovide oversight over our activities. Compliance with applicable laws and regulations could limit or restrict our activities and the conduct of \nour business and enforcement actions by those agencies for failure to comply could have an adverse impact on us.", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "collectives.\nBilling and Contracts\nThe Quebec Consumer Protection Act amendments, effective June\n2010, introduced new provisions applicable to wireless, wireline and\nInternet service contracts. These amendments include new rules on the\ncontent of such contracts, the determination of the early cancellation\nfees that can be charged to customers, the use of security deposits and\nthe cancellation and renewal rights of the consumers. The amendments\nalso established new provisions on the sale of prepaid cards and the\ndisclosure of related costs.\nAmendments to the Manitoba Consumer Protection Act took effect in\nSeptember 2012 and parallel the changes to the Quebec Consumer\nProtection Act. Similar legislation also came into effect in September\n2012 in Newfoundland and Labrador and has been tabled in Nova\nScotia. A private member’s bill proposing similar legislation has been\nintroduced in New Brunswick.\nIn April 2012, the Ontario government announced that it would be\nintroducing legislation addressing wireless bills and contracts. The\nlegislation seeks to ensure that contracts are written in plain language\nand spell out which services come with the basic fee and which would\nresult in a higher bill. It requires providers to obtain consent in writing\nbefore they renew or amend a contract. The legislation also seeks a cap\non the cost of cancelling a fixed-term contract that would vary\ndepending on the circumstances of the contract. The proposed\nlegislation, which would affect new contracts, would take effect six\nmonths after being passed and would also cover existing agreements\nthat are amended, renewed or extended after that date. The legislation\nwas passed into law in October 2013.\nSee also “CRTC Wireless Code” section under Wireless Regulation.\nForeign Ownership and Control\nNon-Canadians can own and control directly or indirectly:\n up to 33.3% of the voting shares and the related votes of a holding\ncompany that has a subsidiary operating company licenced under the\nBroadcasting Act, and\nu pt o2 0 % of the voting shares and the related votes of the\noperating licensee company may be owned and controlled directly or\nindirectly by non-Canadians.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 67", - "page_start": 70, - "page_end": 70, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When is it not necessary to review an EHC plan ?", - "target_page": 3, - "target_passage": " It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "3\n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n10. In regulation 13(3) (timescales for EHC plans), for “(d)” substitute “(e)”. \n11. After regulation 18 (circumstances in which a loca l authority must review an EHC plan) \ninsert— \n“ Circumstances in which it is not necessary to review an EHC plan \n18A. —(1) It is not necessary for a local authority to r eview an EHC plan in accordance \nwith section 44(1) of the Act if it is impractical to do so because of a reason relating to the \nincidence or transmission of coronavirus. \n(2) Where paragraph (1) applies, a local authority must instead conduct such reviews as \nsoon as reasonably practicable.”. \n12. In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert— \n“(6) The local authority need not comply with the t ime limit referred to in paragraphs (3) \nand (4) if it is impractical to do so because of a reason relating to the incidence or \ntransmission of coronavirus.”. \n13. In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n14. In regulation 45 (unopposed appeals), after paragraph (7) insert— \n“(8) The local authority need not comply with the t ime limits specified in paragraph (3A) \nif it is impractical to do so because the circumsta nces referred to in regulation 10(4)(e) \napply.”. \nAmendment of the Special Educational Needs (Personal Budgets) Regulations 2014 \n15. The Special Educational Needs (Personal Budgets) R egulations 2014( a) are amended as \nfollows. \n16. In regulation 2 (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n17. After regulation 2 (interpretation) insert— \n“ Relaxation of time period due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, the r equirement for the local authority \nto review the making and use of direct payments within the first three months of them being \nmade in regulation 11(2)(a) (monitoring and review of direct payments) is to be read \ninstead as a requirement for such action to be taken as soon as reasonably practicable. \n \n(a) S.I. 2014/1652, to which there are amendments not relevant to these Regulations.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "2\ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(2) (transfer of EHC plans) (in re lation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n(c) regulation 20(9) and (10) (review where the chi ld or young person attends a school \nor other institution); \n(d) regulation 21(7), (8) and (9) (review of EHC pl an where the child or young person \ndoes not attend a school or other institution); \n(e) regulation 25(1) (notification of decision whet her it is necessary to re-assess \neducational, health care and social care provision); \n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n(g) regulation 33 (requirement to consider mediatio n); \n(h) regulation 34(1) and (2) (where a parent or you ng person does not wish to or fails \nto pursue mediation); \n(i) regulation 35(2), (3) and (4) (mediation – heal th care issues); \n(j) regulation 36(2) (mediation - no health care is sues); \n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n(m) regulation 44(2)(d), (e), (f) and (h) (complian ce with the orders of the First-tier \nTribunal); \n(n) regulation 45(4), (5) and (6A) (unopposed appea ls); \n(o) regulation 47 (disclosure of EHC plans in relat ion to higher education); and \n(p) regulation 56(3) (publication of comments on th e local offer).”. \n6. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n8. In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n9. In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "21. Singleton JM, Sanchez LD, Masser BA, Reich B. Efficiency of electronic signout for ED-to-inpatient admission\nat a non-teaching hospital.Intern Emerg Med. 2018;13(7):1105-1110. doi:10.1007/s11739-018-1816-z\n22. Downing NL, Bates DW, Longhurst CA. Physician burnout in the electronic health record era: are we ignoring\nthe real cause?Ann Intern Med. 2018;169(1):50-51. doi:10.7326/M18-0139\n23. Pivovarov R, Elhadad N. Automated methods for the summarization of electronic health records.JA mM e d\nInform Assoc. 2015;22(5):938-947. doi:10.1093/jamia/ocv032\n24. Hartman VC, Bapat SS, Weiner MG, Navi BB, Sholle ET, Campion TR Jr. A method to automate the discharge\nsummary hospital course for neurology patients.J Am Med Inform Assoc. 2023;30(12):1995-2003. doi:10.1093/\njamia/ocad177\n25. Zhang Y, Merck D, Tsai EB, Manning CD, Langlotz CP. Optimizing the factual correctness of a summary: a study\nof summarizing radiology reports.arXiv. Preprint posted online November 6, 2019. doi:10.48550/arXiv.1911.02541\n26. Mukherjee S, Gamble P, Ausin MS, et al. Polaris: a safety-focused LLM constellation architecture for healthcare.\narXiv. Preprint posted online March 20, 2024. doi:10.48550/arXiv.2403.13313\n27. Hegselmann S, Shen SZ, Gierse F, Agrawal M, Sontag D, Jiang X. A data-centric approach to generate faithful\nand high quality patient summaries with large language models.arXiv. Preprint posted online February 23, 2024.\ndoi:10.48550/arXiv.2402.15422\n28. Krishna K, Khosla S, Bigham JP, Lipton ZC. Generating SOAP Notes from Doctor-Patient Conversations Using\nModular Summarization Techniques. In: Proceedings of the 59th Annual Meeting of the Association for\nComputational Linguistics and the 11th International Joint Conference on Natural Language Processing (Volume 1:\nLong Papers); 2021. Accessed October 23, 2024.https://aclanthology.org/2021.acl-long.0/\n29. Ayers JW, Poliak A, Dredze M, et al. Comparing physician and artificial intelligence chatbot responses to\npatient questions posted to a public social media forum.JAMA Intern Med. 2023;183(6):589-596. doi:10.1001/\njamainternmed.2023.1838\n30. Williams CY, Bains J, Tang T, et al. Evaluating large language models for drafting emergency department\ndischarge summaries.medRxiv. Preprint posted online April 4, 2024. doi:10.1101/2024.04.03.24305088\n31. Cao Z, Wei F, Li W, Li S. Faithful to the original: fact aware neural abstractive summarization. In: Proceedings of\nthe AAAI Conference on Artificial Intelligence April 26, 2018; New Orleans, LA. Accessed October 23, 2024.https://\naaai.org/proceeding/01-thirty-second-aaai-conference-on-artificial-intelligence-2018/\n32. Singhal K, Tu T, Gottweis J, et al. Towards expert-level medical question answering with large language models.\narXiv. Preprint posted online May 16, 2023. doi:10.48550/arXiv.2305.09617\n33. Wang G, Yang G, Du Z, Fan L, Li X. ClinicalGPT: large language models finetuned with diverse medical data and\ncomprehensive evaluation.arXiv. Preprint posted online June 16, 2023. doi:10.48550/arXiv.2306.09968\n34. Shing HC, Shivade C, Pourdamghani N, et al. Towards clinical encounter summarization: learning to compose\ndischarge summaries from prior notes.arXiv. Preprint posted online April 27, 2021. doi:10.48550/arXiv.\n2104.13498\n35. Van Veen D, Van Uden C, Blankemeier L, et al. Adapted large language models can outperform medical experts\nin clinical text summarization.Nat Med. 2024;30(4):1134-1142. doi:10.1038/s41591-024-02855-5\n36. Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization.NPJ Digit\nMed. 2023;6(1):158. doi:10.1038/s41746-023-00896-7\n37. Goswami J, Prajapati KK, Saha A, Saha AK. Parameter-efficient fine-tuning large language model approach for\nhospital discharge paper summarization.Appl Soft Comput. 2024;157:111531. doi:10.1016/j.asoc.2024.111531\n38. Huang KT, Mehta NH, Gupta S, See AP, Arnaout O. Evaluation of the safety, accuracy, and helpfulness of the", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could\nhave on patient safety.38-41\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate\nthe outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care\nrendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP\nhandoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in\nSupplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and\nunstructured EHR data from the ED encounter to summarize the patient’s ED care. We improved the\ncorrectness of model generations and customized the summaries in a structured format designed\nby a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel\npatient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes’\nquality and accuracy and the downstream patient safety implications of any identified inaccuracies.\nTo evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting\nphysician-written EM-to-IP handoff notes as the active control, using both the proposed patient\nsafety-focused clinical evaluation framework and automated benchmark-driven methods. We used\nthe physician-written EM-to-IP handoff notes as the active control and used the scores from both\nevaluation frameworks for the margin of inferiority of the intervention.\nMethods\nData Collection\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was\nconducted at an urban academic 840-bed quaternary-care hospital in New York City, with\napproximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600\nindividual EM patient encounters leading to acute hospital admission were randomly selected from\nvisits occurring between April and September of 2023. We limited our analysis to EM patient\nencounters occurring after April 2023, as the study site had updated the EM-handoff at that time.\nEncounters before this date used an earlier version of the EM-handoff note that would have provided\nsuboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then\ngenerated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants),\nWeill Cornell Medicine IRB approved a waiver of informed consent because the study used\nretrospective data and posed minimal risk to patients. We used Strengthening the Reporting of\nObservational Studies in Epidemiology (STROBE) reporting guidelines.\nEM-to-IP Handoff Note Template\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff\nnote structure used at the study site. The generated EM handoff note consists of components\ngenerated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult\norders, and radiology impressions) and components generated by the trained abstractive\nsummarization model (history of present illness [HPI], differential diagnoses, immediate care plans,\nin-ED events, and disposition). Each summary also included a header with the timestamp of ED triage\nand discharge, patient’s birth date, patient’s unique identifier, patient’s encounter number, and the\ntotal time of patient’s stay in the ED.\nData Curation for Automated ED Note Generation\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rule-\nbased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail\nin eAppendix 1 inSupplement 1. The rule-based framework was designed by the 3 board certified EM\nphysicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes inTable 1:\nEM clinician notes, consultation notes, EM progress note entries, and EM procedure notes. The", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52\n[0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on\npatient safety, the 3 expert clinicians determined none of the identified model performance issues\nwere anticipated to create a level 1 (life-threatening) safety event (see examples of worst case\nscenarios in eTable 2 inSupplement 1). While the incompleteness and faulty logic identified in the\nautomated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively;\n13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create\na level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the\nphysician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4\nand 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no\npatient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%)\ncompared with the physician-written notes (2.0%), although very few hallucinations.\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness,\nand 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness,\ncuration, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\nDiscussion\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned,\npretrained LLM and rule-based approaches within an end user–developed note template. It is\nimportant to note that (largely due to time constraints within the EM care delivery model) the\nperformance of EM-to-IP handoff notes was not the current standard of care in EM. The study site’s\nunique electronic handoff process enabled a comparison between physician-written and\nLLM-generated handoff notes. Traditional automated evaluations of the model output suggested\nTable 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)–Generated and Physician-Written\nCriteria\nLLM-generated Physician-written\nMean score (SD)\nLikert rating 1-5, No. (%)a\nMean score (SD)\nLikert rating 1-5, No. (%)a\n1 23 45 1 2345\nCompleteness 4.00 (0.88) 0 12 (8) 31 (20.7) 69 (46) 38 (25.3) 4.16 (0.84) 0 3 (2) 31 (20.7) 48 (32) 68 (45.3)\nCuration 4.24 (0.58) 0 1 (0.7) 13 (8.7) 85 (56.7) 51 (34) 4.76 (0.48) 0 0 6 (4) 39 (26) 105 (70)\nReadability 4.00 (0.64) 0 8 (5.3) 17 (11.3) 87 (58) 38 (25.3) 4.64 (0.49) 0 0 5 (3.3) 38 (25.3) 107 (71.3)\nCorrectness 4.52 (0.64) 0 0 13 (8.7) 39 (26) 98 (65.3) 4.90 (0.39) 0 0 2 (1.3) 12 (8) 136 (90.7)\nUsefulness 4.04 (0.86) 0 12 (8) 30 (20) 59 (39.3) 49 (32.7) 4.36 (0.71) 0 5 (3.3) 13 (8.7) 53 (35.3) 79 (52.7)\na Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluationresults.\nTable 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)–Generated and Physician-Written\nCriteria\nLLM-generated Physician-written\nMean (SD)\nLikert score 1-5, No. (%)a\nMean (SD)\nLikert score 1-5, No. (%)a\n1 2 3 45 1 2345\nCompleteness 4.20 (0.93) 0 13 (8.7) 19 (12.7) 58 (38.7) 60 (40) 4.50 (0.65) 0 0 17 (11.3) 43 (28.7) 90 (60)\nCuration 4.82 (0.32) 0 1 (0.7) 3 (2) 21 (14) 125 (83.3) 4.90 (0.31) 0 0 3 (2) 8 (5.3) 139 (92.7)\nReadability 4.74 (0.37) 0 1 (0.7) 6 (4) 23 (15.3) 120 (80) 4.94 (0.14) 0 0 0 10 (6.7) 140 (93.3)\nCorrectness:\nhallucination\n4.96 (0.14) 0 0 0 5 (3.3) 145 (96.7) 5.00 0 0 0 0 150 (100)\nCorrectness:\nknowledge gap\n4.88 (0.48) 0 3 (2) 2 (1.3) 6 (4) 139 (92.7) 4.90 (0.42) 0 1 (0.7) 5 (3.3) 3 (2) 141 (94)\nCorrectness:\nfaulty logic\n4.60 (0.75) 0 11 (7.3) 12 (8) 13 (8.7) 114 (76) 4.94 (0.24) 0 0 2 (1.3) 2 (1.3) 146 (97.3)\nCorrectness: bias 5.00 0 0 0 0 150 (100) 5.00 0 0 0 0 150 (100)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However,while the manual clinical evaluation demonstrated the majority of\nthe LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on\naverage, inferior to the clinician-written notes.\nOur novel clinical evaluation’s findings suggest the majority of identified quality limitations and\nincorrectness would have minimal impact on patient safety, even when extrapolated to the worst-\ncase scenario of the LLM-generated summary content not being reviewed and edited by a clinician\nbefore completion. This was designed to address contemporary LLM concerns of user trust, reliance\nand expertise.49 As such, none of the incorrect output text elements reached life-threatening risk.\nHowever,incompleteness and faulty logic identified in the automated summaries were not always\nnegligible, with just under 1 in 10 of these performance gaps determined to have the potential to\ncreate significant patient safety risk compared with the physician-written summaries. These critical\nimplementation safety findings will inform (1) directionality of further model refinement; (2) further\nclinical evaluation of postrefinement model output; and (3) irrespective of downstream model\nperformance, an EHR-implementation plan constrained to a user-interface design that will allow EM\nclinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see\neAppendix 1 inSupplement 1). This physician-in-the-loop process has also been identified as critical\nin other recent work implementing LLMs into clinical workflows.29,53\nWhile the automated methods of SCALE and MPNet-based sentence transformers\ndemonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation\nprovided the nuanced context of the true factuality of our system on a word by word level. When\ncomparing with the source notes, the automatic evaluations rewarded the summaries with more\ndetails, more semantic similarities, and more entailment logics, while physician-written notes tended\nto be more concise with more shortcuts and clinical jargon, which are penalized by automatic\nevaluation metrics. In addition, LLM-generated summaries are completely based on the source\nnotes, while physician-written summaries are often composed with additional knowledge that\ncannot be found from the source notes.\nThe divergence of the automated and clinical evaluation results of an LLM intended for\nintegration into a critical clinical workflow is an important finding. First, this observed finding\nvalidates the importance of clinical evaluations in addition to conventional automated evaluations to\ndetermine accuracy.54 While other LLM clinical evaluation frameworks have been described to\nmeasure conventional model output quality categories (such as incorrectness domains and other\nperformance gaps),30,35 to our knowledge, our novel framework is the first to incorporate\nanticipated patient safety implications for each individual category deficiency.\nLimitations\nThere were several limitations to the study that were primarily driven from constraints of\ninfrastructure, as well as regulations, legal governance, and labor requirements. At the study location,\nthe data were required to remain on premise at all times and the infrastructure that was provided\nhad a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model\navailable during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable\ndifference between our fine-tuned LLM 2 model and third party LLMs32,55 because of the study\nlocation’s restrictions and concerns with the data retention policies. Nevertheless, our study\ndemonstrates the potential capability of integrating state-of-the-art open source LLMs at\norganizations that are less open to integrating third-party LLMs.\nWhile the dataset was smaller, we made significant efforts to reduce model variance and", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "5\n23. In regulation 8(2) (duty to co-operate in a detain ed person’s EHC needs assessment), at the \nend of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n24. In regulation 10(4) (decision not to secure an EHC plan)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n25. In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n26. In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n(a) after paragraph (6) insert— \n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumsta nces referred to in regulation 10(4)(d) \napply.”. \n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d) ”. \n27. In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \nAmendment of the Special Educational Needs and Disa bility (First-tier Tribunal \nRecommendations Power) Regulations 2017 \n28. The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \nRegulations 2017(a) are amended as follows. \n29. In regulation 2 (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n30. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 6(3) and (6) (responding to health c are recommendations); and \n(b) regulation 7(1) and (4) (responding to social c are recommendations).”. \n \n \n Vicky Ford \n Parliamentary Under Secretary of State \n28th April 2020 Department for Education \n \n \n(a) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "records and perform manual comparative evaluations of 50 LLM-generated and 50 clinician-\ngenerated summary notes within the context of complex ED encounters. This approach is unlikely\nscalable, invoking complex postimplementation governance questions that remain unanswered in\nthe medical literature and invoke the need for future research focused on the possibility of AI\nperforming the clinical evaluations.56 Lastly, the relatively infrequent but potentially significant\npatient safety implications of model output incorrectness and incompleteness warrants further\nmodel refinement and repeat clinical evaluation, as described in the eAppendix 1 inSupplement 1\noverview of our rigorous preimplementation model development and testing framework.\nConclusions\nThis study’s results suggest promise for future thoughtful integration of LLM-generated EM-to-IP\nhandoff notes into clinical admission workflows, as well as the associated potential downstream\nquality and efficiency gains. Our novel clinical evaluation framework demonstrates an effective\npreimplementation strategy to measure potential patient safety implications of incorrectness\nidentified in LLM-generated clinical care summaries, which will guide future model refinement and\nimplementation strategies. In the absence of a current written standard of care in EM, this innovation\ncould represent a transformative advancement in the quality of EM-to-IP transitions of care.\nARTICLE INFORMATION\nAccepted for Publication:October 7, 2024.\nPublished: December 3, 2024. doi:10.1001/jamanetworkopen.2024.48723\nOpen Access:This is an open access article distributed under the terms of theCC-BY License. © 2024 Hartman V\net al.JAMA Network Open.\nCorresponding Author:Vince Hartman, MS, Abstractive Health, 333 E 56 St, Apt 7N, New York, NY 10022 (vince\n@abstractivehealth.com).\nAuthor Affiliations:Abstractive Health, New York, New York (Hartman, Zhang, Poddar); Department of\nEmergency Medicine, NewYork-Presbyterian/Weill Cornell Medicine, New York (McCarty, Fortenko, Sharma,\nSteel); Department of Population Health, NewYork-Presbyterian/Weill Cornell Medicine, New York (Sholle,\nCampion); Clinical and Translational Science Center, Weill Cornell Medicine, New York, New York (Campion).\nAuthor Contributions:Mr Hartman and Dr Zhang had full access to all of the data in the study and take\nresponsibility for the integrity of the data and the accuracy of the data analysis.\nConcept and design:Hartman, Zhang, Poddar, McCarty, Fortenko, Campion, Steel.\nAcquisition, analysis, or interpretation of data:All authors.\nDrafting of the manuscript:Hartman, Zhang, Poddar, McCarty, Campion, Steel.\nCritical review of the manuscript for important intellectual content:All authors.\nStatistical analysis:Hartman, Zhang, Poddar, Sholle.\nObtained funding:Hartman, Campion.\nAdministrative, technical, or material support:Hartman, Zhang, Poddar, Sholle, Sharma, Campion, Steel.\nSupervision: Zhang, Poddar, McCarty, Sharma, Campion, Steel.\nConflict of Interest Disclosures:Dr Hartman reported holding equity in Abstractive Health during the conduct of\nthe study and holding a patent for automated summarization of a hospital stay using machine learning issued to\nAbstractive Health. No other disclosures were reported.\nFunding/Support: Our research received support from NewYork-Presbyterian and Weill Cornell Medicine,\nincluding the Joint Clinical Trials Office and Clinical and Translational Science Center (grant No. UL1TR002384).\nRole of the Funder/Sponsor:The funder had no role in the design and conduct of the study; collection,\nmanagement, analysis, and interpretation of the data; preparation, review, or approval of the manuscript; and\ndecision to submit the manuscript for publication.\nData Sharing Statement:See Supplement 2.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 9/12", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed8.pdf" - }, - { - "text": "Additional Contributions:We are grateful for the help we received from Rita Giordana Pulpo, MA (Parsons and\nCornell Tech), for the designs in our manuscript; Caroline Reiner, BA (Yale University) for her contributions in\nhelping design the data pipeline method for emergency medicine handoff note summarization; and Travis Gossey,\nMD (Northwestern), for his contributions with our project sponsorship, facilitating data access, and assisting with\nphysician recruitment. None of them were compensated for their contributions.\nREFERENCES\n1. Cohen MD and Hilligoss PB. The published literature on handoffs in hospitals: deficiencies identified in an\nextensive review.Qual Saf Health Care. 2010;19(6):493-497. doi:10.1136/qshc.2009.033480\n2. Donaldson MS, Corrigan JM, Kohn LT.To err is human: building a safer health system. National Academy Press;\n2000.\n3. Cheung DS, Kelly JJ, Beach C, et al; American College of Emergency Physicians Section of Quality Improvement\nand Patient Safety. Improving Handoffs in the Emergency Department.Ann Emerg Med. 2010;55(2):171-180. doi:10.\n1016/j.annemergmed.2009.07.016\n4. Englander R, Flynn T, Call S. Core entrustable professional activities for entering residency: faculty and learners’\nguide. Association of American Medical Colleges. 2017. Accessed October 23, 2024.https://www.aamc.org/media/\n20196/download\n5. Starmer AJ, Sectish TC, Simon DW, et al. Rates of medical errors and preventable adverse events among\nhospitalized children following implementation of a resident handoff bundle.JAMA. 2013;310(21):2262-2270. doi:\n10.1001/jama.2013.281961\n6. Starmer AJ, Spector ND, Srivastava R, et al; I-PASS Study Group. Changes in medical errors after\nimplementation of a handoff program.N Engl J Med. 2014;371(19):1803-1812. doi:10.1056/NEJMsa1405556\n7. Hilligoss B, Cohen MD. The unappreciated challenges of between-unit handoffs: negotiating and coordinating\nacross boundaries.Ann Emerg Med. 2013;61(2):155-160. doi:10.1016/j.annemergmed.2012.04.009\n8. Interdisciplinary mistrust, communication breakdowns cited in survey of ED handoffs.ED Manag. 2015;27(11):\n128-131.\n9. Chisholm CD, Weaver CS, Whenmouth L, Giles B. A task analysis of emergency physician activities in academic\nand community settings.Ann Emerg Med. 2011;58(2):117-122. doi:10.1016/j.annemergmed.2010.11.026\n10. Hoff TJ. How work context shapes physician approach to safety and error.Qual Manag Health Care. 2008;17\n(2):140-153. doi:10.1097/01.QMH.0000316992.94415.34\n11. Lee S, Jordan J, Hern HG, et al. Transition of care practices from emergency department to inpatient: survey\ndata and development of algorithm.West J Emerg Med. 2017;18(1):86-92. doi:10.5811/westjem.2016.9.31004\n12. Hern HG Jr, Gallahue FE, Burns BD, et al; Representing the Council of Residency Directors, Transitions of Care\nTask Force. Handoff practices in emergency medicine: are we making progress?Acad Emerg Med. 2016;23(2):\n197-201. doi:10.1111/acem.12867\n13. Kessler C, Shakeel F, Hern HG, et al. A survey of handoff practices in emergency medicine.Am J Med Qual.\n2014;29(5):408-414. doi:10.1177/1062860613503364\n14. Sinha M, Shriki J, Salness R, Blackburn PA. Need for standardized sign-out in the emergency department:\na survey of emergency medicine residency and pediatric emergency medicine fellowship program directors.Acad\nEmerg Med. 2007;14(2):192-196.\n15. Horwitz LI, Meredith T, Schuur JD, Shah NR, Kulkarni RG, Jenq GY. Dropping the baton: a qualitative analysis of\nfailures during the transition from emergency department to inpatient care.Ann Emerg Med. 2009;53(6):\n701-10.e4. doi:10.1016/j.annemergmed.2008.05.007\n16. Smith CJ, Britigan DH, Lyden E, Anderson N, Welniak TJ, Wadman MC. Interunit handoffs from emergency\ndepartment to inpatient care: a cross-sectional survey of physicians at a university medical center.JH o s pM e d.\n2015;10(11):711-717. doi:10.1002/jhm.2431\n17. Kessler C, Shakeel F, Hern HG, et al. An algorithm for transition of care in the emergency department.Acad", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed8.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written\nnote and (2) the LLM-generated note.\nOn a Likert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the\ncompleteness, curation, readability, and correctness of the summary as shown in eTable 1 in\nSupplement 1. Physicians rated the usefulness of the summary, defined as the capability of the\nsummary being incorporated into a workflow where a physician would make edits before final\ncompletion, mitigating potential future self-referential learning loops and the downstream adverse\nconsequences.51 Likewise, the raters assessed potential patient safety implications of unmitigated\nmodel errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no\nidentified patient safety risk for completeness, curation, readability, and the 4 subcategories within\ncorrectness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety\nrisk.45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5\nindicated that the LLM-generated summary likely demonstrated baseline acceptability for such a\nworkflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the\nLLM-generated summary as defined as the capability of the summary to fully replace a physician-\nwritten note (unmitigated).\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the\nframework and evaluated 10 separate cases from the test dataset that were not included in the\nclinical evaluation results. Additionally, after independently scoring the summaries, they met to\nensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was\ncalculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for\nconsistency with the Pingouin statistical package version 0.5.4 in Python (Python Software\nFoundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity\nof the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0\nrepresents no agreement.52 Data were analyzed from October 2023 to March 2024.\nResults\nAutomated Tasks\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. InTable 2,\nROUGE and BERTScore compare the summaries with the testing set from our annotations, and\nSCALE score compares the summaries with the source notes. From automatic evaluation results, we\nobserved that LLM-generated summaries had better scores than the physician summaries, such that\nROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456,\nsuggesting the LLM-generated summaries were more similar and more detailed than the physician\nsummaries.\nClinical Evaluation Tasks\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are\nshown inTable 3and Table 4. The mean clinical quality scores of the automated summaries are in a\ncomparable range (4-5) to those of the physician summaries. However, theautomated summaries\nwere observed to be of lower quality compared with the physician-written summaries with regards\nto mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)–Generated and Physician-Written\nSummary type R-1 a R-2a R-La BERT-p BERT-r SCALE\nLLM-generated 0.494 0.322 0.391 0.859 0.876 0.691\nPhysician-written 0.251 0.088 0.154 0.796 0.827 0.456\nAbbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation;\nSCALE, source chunking approach for large-scale inconsistency evaluation.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "Give me some info about the scroll bars in excel", - "target_page": 6, - "target_passage": "Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 2 St. George’s Information Services \n \nNAVIGATING IN A FILE \n \nArrow \nKeys \nMove one cell to the right, left, up or down \nTab Move once cell to the right \nCtrl+Home To beginning file \nCtrl+End To end of typed information \nHome Beginning of a line \nEnd End of a line \nPage Down Down one screen \nPage Up Up one screen \nF5 To a specific page \nScroll bars Appear at the right and on the bottom of the screen. You may click \nthe scroll arrows, drag the scroll box or click the scroll bar to move \nthrough the document.", - "page_start": 5, - "page_end": 5, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 22 St. George’s Information Services \nWRAPPING AND MERGING TEXT \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nMicrosoft Excel will allow long cell entries to spill \nacross to other adjacent cells to the right as long \nas those cells are empty. If those cells contain \ndata the spill-over will be chopped off. If you need \nto place long text entries in a cell you can arrange \nfor Microsoft Excel to wrap the text within the cell \nand also merge that cell with others to \naccommodate the longer text entry. \nTry This Yourself: \nOpen \nFile Before starting this exercise \nyou MUST open the file E723 \nCell Alignment_9.xlsx... \n \nClick in cell A5 \nThis cell contains a long text \nentry that spills across several \ncolumns… \n \nClick on the Expand Formula \nBar\n tool to the right of the \nformula bar to see all of the \ntext \n \nClick on the Wrap Text \ncommand in the \nAlignment group on the \nHome tab to wrap the text in \ncell A5 \nNotice how the row height has \nnow increased… \n \nHold down the key and \nclick in cell E5 to select the \nrange A5:E5 \n \nClick on the drop arrow \nfor Merge & Centre\n in the \nAlignment group and select \nMerge Cells to merge the cells \nin the range \n \nMove the mouse pointer to the \nbottom of the row 5 heading \nborder and drag the row height \nup until you reach 30 points \n \nFor Your Reference… \n To wrap text - click in the cell to merge and \nclick on the Wrap Text\n command in the \nAlignment group on the Home tab \n\n To merge text - click on the drop arrow \nfor Merge & Centre\n in the Alignment \ngroup and select Merge Cells \nHandy to Know… \n In the example above, wrapping forced the \ntext into one cell and Excel expanded the \nrow height so that all of the text was \naccommodated. We then merged the text \nacross several horizontal cells in the exercise \nabove so that we could reduce the row \nheight to a more acceptable level. \n \n1 \n3 \n5", - "page_start": 25, - "page_end": 25, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Excel \nFundamentals", - "page_start": 0, - "page_end": 0, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 12 St. George’s Information Services \nFREEZING ROWS AND COLUMNS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nWhen you lay out your data in rows and columns, \nit is most likely that your headings end up at the \ntop or to the left of your data. If you have a large \namount of data, you may find that when you \nscroll across or down to particular cells, the \nheadings scroll out of view. This problem can be \nresolved by freezing the rows and/or columns that \nhold the headings. \nTry This Yourself: \nSame \nFile Continue using the previous file \nwith this exercise, or open the file \nE1324 Worksheet \nTechniques_11.xlsx... \n \nClick on the Maintenance \nworksheet tab, then spend a few \nmoments examining the worksheet \nDepending on your screen, it is \npossible that you won’t be able to \nsee all of the figures on the screen \nat once... \n \nClick in cell B6 to select the cell \n \nClick on the VIEW tab, click on \nFreeze Panes in the Window \ngroup, then select Freeze Panes \nThin black lines appear above and \nto the left of the selected cell. This \nindicates that the areas above and \nto the left are frozen... \n \nScroll to the right until Yearly \nAverage in column L appears next \nto column A \n \nScroll down until Overheads in row \n25 is below row 5 \n \nPress + to move to cell \nB6 – this is our temporary home \ncell, as the cells above and to the \nleft are frozen \n \nOn the VIEW tab, click on Freeze \nPanes in the Freeze Panes group, \nthen click on Unfreeze Panes to \nunfreeze the rows and columns \n \n3 \n4 \nFor Your Reference… \nTo freeze panes in a worksheet: \n1. Click in the cell below and to the right of the \narea you want to freeze/unfreeze \n2. Click on the VIEW tab \n3. Click on Freeze Panes in the Window \ngroup, then select Freeze Panes \nHandy to Know… \n If you want to freeze only the rows above the \nselected cell (leaving all columns unfrozen), \nselect the cell in column A of that row – e.g. \nto freeze rows 1 to 6, click in cell A7. The \nsame applies to freezing only columns and \nleaving the rows unfrozen: select the cell in \nrow 1. \n5", - "page_start": 15, - "page_end": 15, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 15 St. George’s Information Services \nSELECTING COLUMNS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIf you want to make changes to an entire \ncolumn, such as bolding all of the headings in a \ncolumn or changing the font of all the cell entries, \nyou must first select the column. This is done by \nclicking on the column header directly above the \ncolumn. Remember that any changes you make \nwill apply to every cell in the column all the way \ndown to row 1,048,576! \n \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E705 Ranges_1.xlsx... \n \nPress + to make \ncell A1 the active cell \n \nMove the mouse pointer to the \ncolumn heading for column B \nNotice that the mouse pointer \nchanges to a black arrow \npointing down the column… \n \nClick once to select the column \nThis time the row headers \nchange to orange to indicate \nthat at least one cell (but not \nall) in each row is selected… \n \nClick in cell D6\n and press \n+ \nThis key combination also \nselects an entire column… \n \nClick on the column header for \ncolumn B to select it \n \nHold down and click on the \ncolumn header for column D \nThis time, columns B, C, and D \nare all selected… \n \nClick in the column header for \ncolumn A, then hold down the \nleft mouse button and drag the \nmouse pointer across the \ncolumn headings to column E \n \nFor Your Reference… \nTo select an entire column: \n1. Click on the column heading of the column \nthat you want to select \nOR \n1. Click in any cell in the column and press \n + \nHandy to Know… \n Make sure that you check your worksheet \ncarefully after you’ve made changes to entire \ncolumns. Remember that all of the cells in \nthat column are affected – even those in \nrows below the visible area. \n2 \n3 \n4 \n6", - "page_start": 18, - "page_end": 18, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 14 St. George’s Information Services \nSELECTING ROWS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIf you want to make changes to an entire row, \nsuch as bolding all of the headings in a row or \nchanging the font of all the cell entries, you must \nfirst select the row. This is done by clicking on the \nrow header to the left of the row. Remember that \nany changes you make will apply to every cell in \nthe row all the way across to column XFD, so be \ncareful! \n \nTry This Yourself: \nSame \nFile Continue using the previous file \nwith this exercise, or open the file \nE705 Ranges_1.xlsx... \n \nPress + to make cell A1 \nthe active cell \n \nMove the mouse pointer to the \nrow heading for row 5 \nNotice that the mouse pointer \nchanges to a black arrow that \npoints towards the row… \n \nClick once on row heading 5 to \nselect the entire row \n \nClick in cell B7\nand press + \n \nThis is the key combination for \nselecting an entire row… \n \nClick on the row header for row 7 \nto select this row \n \nHold down and click on the \nrow header for row 10 \nAll rows from 7 to 10 will be \nselected… \n \nClick in the row header for row 5, \nthen hold down the left mouse \nbutton and drag down the row \nheaders to row 10 \nThis is another technique for \nselecting rows, but it does require \na steady hand! \n \nFor Your Reference… \nTo select an entire row: \n1. Click on the row header of the row that you \nwant to select \nOR \n1. Click in any cell in the row and press \n \n+ \nHandy to Know… \n When every cell in a row or column is \nselected, the corresponding row or column \nheader is filled in dark blue. When only some \nof the cells are selected, the row or column \nheader is filled in orange. These indicators \nhelp you locate the active cell(s) on the \nworksheet. \n \n2 \n3 \n4 \n6 \n7", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 1 St. George’s Information Services \n \nUNDERSTANDING WORKBOOKS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIn Microsoft Excel the data you enter, whether it \nconsists of numbers, text, or formulas, is stored \nin a file known as a workbook. Workbooks are \njust like huge electronic books with pages (or \nsheets) that have been ruled into columns and \nrows. Before using Excel it is helpful to know what \nthe various parts and elements that make up a \nworkbook are. \n \nA worksheet (or page) in a workbook contains 16,384 columns that are labelled using letters of \nthe alphabet. The first column in a worksheet is labelled column A, while the last is labelled XFD \n \nA worksheet (or page) in a workbook contains 1,048,576 rows that are labelled using numbers \nfrom 1 to 1,048,576 \n \nWhere a column and row intersect we get what is known as a cell. You enter your data into \nthese cells. Each cell in a worksheet can hold up to 32,767 characters – although it would be \nunrealistic to ever push it this far. Cells are referred to by their column and row labels. For \nexample, in the screen above the cell we are pointing to is C11 – this reference is known as the \ncell address and is most important as it is frequently used in commands and formulas \n \nWhen you start typing something, you want it to appear somewhere in the worksheet. As a \nconsequence when the Status Bar shows Ready mode, at least one cell in the worksheet will be \nhighlighted – this is known as the active cell. In the screen above, the active cell is cell A1 – \nnotice that the column label and the row label also appears coloured to indicate the active cell. \nYou can have more than one active cell – when this occurs you have what is known as a range \n \nA workbook (as you would expect) is made up of pages known as worksheets. You can have as \nmany sheets in a workbook as your computer resources can accommodate. As a default, a new \nblank workbook normally has 3 worksheets labelled Sheet1, Sheet2, and Sheet3. Of course \nthese labels are pretty boring and meaningless and can be changed to something more relevant \n \nThe Insert Worksheet button here will insert another worksheet into the current workbook \nshould you need it \n \n1 \n2 \n5 \n3 \n4 \n6", - "page_start": 4, - "page_end": 4, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 50 St. George’s Information Services \nCHANGING THE CHART LAYOUT \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame \nFile Continue using the \nprevious file with this \nexercise, or open the file \nE1317 Charting_8.xlsx... \n \nClick on the Revenue \nChart worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \nCHART TOOLS: \nDESIGN and CHART \nTOOLS: FORMAT tabs \n \nClick on the CHART \nTOOLS: DESIGN tab, \nthen click on Quick \nLayout in the Chart \nLayouts group to display \na gallery of layout \noptions \n \nClick on Layout 3 to \napply this chart layout to \nthe chart \n \nRepeat steps 2 and 3 to \nselect other chart \nlayouts and see how \nthey appear when \napplied to the chart \n \nClick on Quick Layout in \nthe Chart Layouts group \nand click on Layout 5 \n \nClick on the Chart Data \nworksheet tab to display \nthis worksheet \n \n2 \nExcel has a gallery of chart layouts that can be \napplied to an existing and selected chart that is \neither in its own worksheet or embedded into the \ndata worksheet. Chart layouts are the way \nelements of the chart are placed within the chart. \nDifferent layout options can therefore change the \nappearance of your chart and its readability. \nFor Your Reference… \nTo change the chart layout: \n1. Ensure the chart or chart sheet is selected \n2. Click on the CHART TOOLS: DESIGN tab, \nthen click on Quick Layout in the Chart \nLayouts group \n3. Select the desired layout \nHandy to Know… \n Chart layouts are predefined themes \ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n5", - "page_start": 53, - "page_end": 53, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 42 St. George’s Information Services \nUSING A RECOMMENDED CHART \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nIf you are undecided about the best type of chart \nfor the data you have selected to graph, then you \nmay wish to use Excel’s Recommended Charts \nfeature. This feature analyses your \nselected data and presents you with what it \nconsiders to be the best way to chart that data. \nSeveral alternatives are presented and you simply \nchoose the one you like most. \nTry This Yourself: \nOpen \nFile Before starting this exercise \nyou MUST open the file \nE1317 Charting_1.xlsx… \n \nClick in cell A3, hold down \n, then click in cell G7 to \nselect the range A3:G7 \n \nClick on the INSERT tab, \nthen click on \nRecommended Charts in \nthe Charts group \nThe Insert Chart dialog box \nwill display with a number \nof recommended chart \noptions… \n \nClick on each of the \nalternatives in the left pane \nto see a preview of how the \nchart will appear in the right \npane and spend a few \nmoments reading the \ndescriptions \n \nClick on Line chart (the \nsecond alternative in the \nleft pane), then click on \n[OK] to embed the chart in \nthe worksheet \n \nPoint to the top border of \nthe chart, then click and \ndrag the chart immediately \nbelow the data \n \nClick in cell A1 to deselect \nthe chart \n \n1 \n You can also use the Quick Analysis tool that appears at the \nbottom right corner of a selected range to create a quick chart. \nHowever, this method will not allow you to preview a wide \nvariety of charts. \n2 \nFor Your Reference… \nTo use the Recommended Charts feature: \n1. Select the data to be charted \n2. Click on the INSERT tab, then click on \nRecommended Charts in the Charts group \n3. Click on the desired chart and click on [OK] \nHandy to Know… \n When selecting data for a chart you should \ninclude headings (e.g. names of the month, \nregions, etc.) but not the totals derived from \nthe data. In the example above the names of \nthe months and the cities are selected but \nthe total revenue and the regional totals are \nnot.", - "page_start": 45, - "page_end": 45, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "172 IBM Content Manager OnDemand Guide\nf. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n9. Define a field and an index:\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage.\nb. By using the mouse, draw a box around the text string. Start just outside of the \nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box.\nc. Click the Define a Field icon on the toolbar.\nd. In the Add a Field window, complete the following steps:\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click Help for \nassistance with the options and values that you can specify. \nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click Help for assistance with the other options and values that you can \nspecify.\niii. Click OK to define the field and index. \ne. To verify the locations of the fields, complete the following steps: \ni. Place the report window into display mode. Blue boxes are drawn around the fields. \nii. Click the Select tool.\niii. In the Select window, under Fields, double-click Field 1. The graphical indexer \nhighlights the text string in the current document. Double-click Field 1 again. The \ngraphical indexer moves to the next document and highlights the text string. \niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file.\nf. Place the report window back into add mode.\n10.Click Create Indexer Parameters and Fields Report to create the indexer parameter \nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see IBM Content Manager OnDemand - \nIndexing Reference, SC19-3354.\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow. \nImportant: Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "How to rename a worksheet in Excel ?", - "target_page": 12, - "target_passage": "To rename a worksheet: 1. Double click on the current name on the worksheet tab 2. Type the new name and press ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 8 St. George’s Information Services \nRENAMING A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nBy default, Excel names worksheets as Sheet1, \nSheet2, Sheet3, etc. These names are fine if you \nare not planning to share the workbook, but \nchanging these to something more relevant \nmakes it much easier to understand the purpose of \na worksheet. You can also adjust the horizontal \nscroll bar to make room for longer, more \nmeaningful worksheet names. \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E1324 Worksheet \nTechniques_2.xlsx... \n \nPoint to the vertical dots \nbetween the sheet names and \nthe horizontal scroll bar, as \nshown \nThe pointer will change to a \ndouble-headed arrow... \n \nClick and drag the bar across \nto the right, to the end of \ncolumn L, then release the \nmouse button \n \nDouble-click on Sheet1 (5) to \nselect the worksheet tab name \nThis will also place it into edit \nmode… \n \nType Comms\n, then press \n \nRepeat steps 3 and 4 to \nrename the other worksheets: \nSheet1 (4) Admin \nSheet1 (3) Shop \nSheet1 (2) IT \nSheet1 Maintenance \n \n1 \n3 \n4 \n5 \nFor Your Reference… \nTo rename a worksheet: \n1. Double click on the current name on the \nworksheet tab \n2. Type the new name and press \nHandy to Know… \n You can rename a worksheet by \nright-clicking on the worksheet tab to display \nthe shortcut menu and clicking on Rename. \n A worksheet tab name can contain up to 31 \ncharacters including spaces, but it is better to \nkeep it short and succinct.", - "page_start": 11, - "page_end": 11, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 11 St. George’s Information Services \nGROUPING WORKSHEETS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nWorksheet grouping enables you to make the \nsame change at once to all selected worksheets. \nThis feature is useful in situations where your \nworksheets have identical layouts or text. For \nexample, if you want to format the heading for \nmultiple worksheets, you simply group the \nworksheets, make a change to one worksheet and \nthe other worksheets will reflect the change also. \n1 \nTry This Yourself: \nSame File Continue using the previous \nfile with this exercise, or \nopen the file E1324 \nWorksheet \nTechniques_8.xlsx... \n \nClick on the Admin \nworksheet tab, hold down \n, then click on the Shop \nworksheet tab to select the \nfirst three worksheets \n \nClick in cell A1 to select the \ncell \n \nClick on the HOME tab, then \nclick on Italics in the Font \ngroup \nThis will italicise the text in \ncell A1 on this and all other \nworksheets in the group… \n \nClick on the Maintenance \nworksheet tab, then the \nShop worksheet tab to see \nthat the changes have been \napplied here \n \nClick on the IT worksheet \ntab to see that the changes \nhave not been applied to \nthis worksheet \nSince this was not part of \nthe grouped sheets the \nchanges have not been \napplied here. Notice too that \nclicking on a tab deselects \nthe previous grouping \n \n2 \n3 \n4 \n5 \nFor Your Reference… \nTo group worksheet tabs: \n1. Click on the first worksheet tab \n2. Hold down , then click on the last \nworksheet tab \nHandy to Know… \n To deselect a group, either click on the tab of \na worksheet that is not in the group, or right-\nclick on a tab and select Ungroup Sheets. \n Most formatting and text changes done on a \nworksheet in a group will be applied to other \nsheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 6 St. George’s Information Services \nINSERTING AND DELETING WORKSHEETS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nOnce you’ve decided on a structure for your \nworkbook, you may find that there are some \nworksheets that can be deleted. Alternatively, \nyou may find that you need additional blank \nworksheets inserted. However, remember that \ndeletion of worksheets is permanent and can’t be \nundone using Undo, so always save your \nworkbook before making these changes. \nTry This Yourself: \nOpen \nFile Before starting this exercise \nyou MUST open the file \nE1324 Worksheet \nTechniques_1.xlsx… \n \nExamine the workbook – it \ncurrently contains one \nworksheet named Sheet1 \n \nClick on the New Sheet icon \nat the end of the worksheet \ntabs \nA new worksheet named \nSheet2 will be inserted. You \ncan also use the keyboard \nshortcut... \n \nPress + to insert \nanother new worksheet \nThis sheet is named Sheet3 \nand is inserted before the \ncurrently selected sheet. \nNow let’s delete a sheet... \n \nRight-click on the Sheet3 \nworksheet tab to display the \nshortcut menu \n \nSelect Delete to remove the \nworksheet \nAs the worksheet contains no \ndata, the sheet will be \ndeleted immediately. If a \nworksheet contains data, \nExcel will ask you to confirm \nyour actions... \n \nRepeat steps 4 and 5 to \ndelete Sheet2 \n \n1 \n2 \n3 \n4 \nFor Your Reference… \nTo insert a new worksheet into a workbook: \n Click on the New Sheet icon to the right of \nthe worksheet tabs \nTo delete a worksheet from a workbook: \n Right click on the worksheet tab, then select \nDelete \nHandy to Know… \n To insert a worksheet between existing \nworksheets, right-click on the worksheet tab \nbefore which you want to insert a new sheet, \nthen click on Insert to display the Insert \ndialog box. Select Worksheet and click on \n[OK]. \n5", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 7 St. George’s Information Services \nCOPYING A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nJust as you can copy the contents of cells and \nranges within a worksheet, you can duplicate \nworksheets within a workbook. This technique is \nideal for replicating layouts. For example, if you \nhave a budget workbook that contains data for \nseveral departments, you can create a worksheet \nfor the first department and then copy it to create \nidentical worksheets for other departments. \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E1324 Worksheet \nTechniques_1.xlsx... \n \nRight-click on Sheet1 to \ndisplay the worksheet shortcut \nmenu \n \nSelect Move or Copy to \ndisplay the Move or Copy \ndialog box \n \nClick on Create a copy so it \nappears ticked, then click on \n[OK] \nThe new worksheet is named \nSheet1 (2). Let’s create a \n“template” from this worksheet \nby deleting unwanted data... \n \nSelect the range B7:E9, then \npress to clear it \n \nRepeat step 4 to clear the \nranges B14:E23, G7:J9 and \nG14:J23\n, then press + \n to return to cell A1 \nNow we can copy this \n“template” to create additional \nworksheets... \n \nRepeat steps 1 to 3 three \ntimes to create three copies of \nthe template worksheet – this \ntime without data \nThe final worksheet should be \nnamed Sheet1 (5) \n \n1 \n2 \nFor Your Reference… \nTo copy a worksheet: \n1. Right-click on the worksheet to copy, then \nselect Move or Copy \n2. Click on Create a copy so it appears ticked \n3. Click on [OK] \nHandy to Know… \n You can copy the current worksheet using \nthe HOME tab by clicking on Format in the \nCells group, then clicking on Move or Copy \nSheet. \n The Before sheet options in the Move or \nCopy dialog box allow you to position the \ncopied worksheet where you want. \n3 \n6", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 10 St. George’s Information Services \nCHANGING WORKSHEET TAB COLOURS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTo make it easier for you to distinguish between \nworksheets, Excel enables you to change the \ncolours of worksheet tabs. This allows you, for \nexample, to quickly distinguish between different \nfinancial years, departments or months. The active \nsheet appears as underlined in a gradient version \nof the selected colour, while inactive tabs will \ndisplay a solid colour background. \n2 \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E1324 Worksheet \nTechniques_7.xlsx... \n \nClick on the Admin \nworksheet tab to select the \nworksheet \n \nRight-click on the worksheet \ntab to display the shortcut \nmenu, then point to Tab \ncolour \nThis will display a palette of \ncolour options… \n \nClick on Red under \nStandard colours to apply \nthe colour to the tab \n \nRight-click on the \nMaintenance worksheet tab \nto display the shortcut menu, \nclick on Tab colour, then \nclick on Blue under \nStandard colours \nNotice how the Admin \nworksheet tab colour is now \na solid rather than a \ngradient… \n \nRepeat either technique to \napply the following colours: \nShop Yellow \nIT Green \n \nClick on the Admin \nworksheet tab to view the \nresults \n \n3 \n4 \n5 \n6 \nFor Your Reference… \nTo change the colour of a worksheet tab: \n1. Right-click on the worksheet tab to display \nthe shortcut menu \n2. Point to Tab colour to display a palette of \ncolour options \n3. Click on the desired colour \nHandy to Know… \n To apply the same colour to two or more \nsheets at once, select them first. Hold down \n to select consecutive worksheets or \nhold down to select non-consecutive \nworksheets.", - "page_start": 13, - "page_end": 13, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 9 St. George’s Information Services \nMOVING OR COPYING A SHEET TO ANOTHER WORKBOOK \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nYou can copy worksheets to other workbooks as \nrequired. For example, you might need to keep \nrecords for six different divisions – rather than \nsend each division the entire set of records, you \ncan copy their worksheet to another workbook and \nsend them their data only. If worksheets exist in the \nother workbook, you will need to determine the \norder in which to place the copied worksheet. \nTry This Yourself: \nSame File Continue using the \nprevious file with this \nexercise, or open the file \nE1324 Worksheet \nTechniques_6.xlsx... \n \nClick on the Maintenance \nworksheet tab \nWe’ll copy this completed \ndata to another workbook... \n \nRight-click on the \nworksheet tab to display \nthe shortcut menu, then \nclick on Move or Copy to \ndisplay the Move or Copy \ndialog box \n \nClick on the drop arrow for \nTo book, then select (new \nbook) \n \nClick on Create a copy so \nit appears ticked \nThis will create a new \nworkbook as well as \nmaking a copy of the \nworksheet... \n \nClick on [OK] \nA new workbook will be \ncreated and Maintenance \nwill be the only worksheet \nin the workbook… \n \nSave the new workbook as \nMaintenance.xlsx, then \nclose it \n \n1 \n2 \n 4 \nFor Your Reference… \nTo copy a sheet to another workbook: \n1. Right click on the worksheet tab, then click \non Move or Copy \n2. Select either (new book) or the name of \nanother workbook in To book \n3. Tick Create a copy, then click on [OK] \nHandy to Know… \n To copy a worksheet into an existing \nworkbook, make sure that you open the \ndestination workbook first to ensure that it is \nlisted in To book in the Move or Copy \ndialog box. \n5", - "page_start": 12, - "page_end": 12, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Chapter 11. Advanced Copy Services 491\n3. In the Rename FlashCopy Mapping window, enter the new name that you want to assign \nto each FlashCopy mapping and click Rename, as shown in Figure 11-52.\nFigure 11-52 Renaming the selected FlashCopy mappings\nRenaming a Consistency Group\nTo rename a Consistency Group, complete the following steps:\n1. Open the Consistency Groups panel.\n2. Right-click the consistency group you want to rename and select Rename, as shown in \nFigure 11-53.\nFigure 11-53 Renaming a consistency group\nFlashCopy mapping name: You can use the letters A - Z and a - z, the numbers 0 - 9, and \nthe underscore (_) character. The FlashCopy mapping name can be 1 - 63 characters.", - "page_start": 512, - "page_end": 512, - "source_file": "sg247938.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 3 St. George’s Information Services \nTYPING TEXT OR NUMBERS INTO A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nGenerally when you start a new spreadsheet \nproject, the first task is to enter some headings \ninto rows and columns. To type anything into a \nworksheet you need to make the cell into which \nyou wish to enter the data active. This can be done \nin a number of ways but the most common is to \nclick in it first before typing. \nTry This Yourself: \n \nBefore you begin ensure \nthat there is a blank \nworkbook on the screen… \n \nClick in cell A3 to make \nthis the active cell, type \nGarden Settings and \npress \nWhen you press the \nnext cell down \nautomatically becomes \nthe active cell. By the \nway, even though the text \nlooks like it is in cells A3 \nand B3 it really only is in \ncell A3 – since there is \nnothing in B3, Excel \nallows the spill over to be \ndisplayed giving the \nillusion it is in 2 cells… \n \nType Pool Covers and \npress \n \nRepeat the above steps \nand enter the remaining \ntext in column A as shown \n \nClick in cell B2 to make \nthis the active cell, type \nUK \nand press \nWhen you press the \ncell to the right becomes \nthe active cell… \n \nEnter the remaining text in \nrow 2 as shown \n \nFor Your Reference… \nTo enter text: \n1. Click the cell pointer on the desired cell and \ntype the required information \n2. Press , an arrow key or to \nconfirm the data entry and to move the cell \npointer to another cell \nHandy to Know… \n\n You don’t have to use or to make \nadjacent cells active. You can simply use the \nmouse and click in the cells if you want or \neven press the arrow keys to move up, \ndown, left, or right. \n1 \n 2 \n3 \n4 \n5 \nFor Your Reference… \nTo save a new document: \n1. Click on the File Tab\n and select Save As \n2. Locate the storage folder in the Navigation \npane \n3. Type a File name and click on [Save] \nHandy to Know… \n In the exercise above we have named the \nworkbook Garden Department Sales and \nfiled it in C:\\Course Files for Excel 2010. \nEach time you start Excel it will most likely \nassume you want to file your workbooks in a \nfolder called Documents which is associated \nwith the user name you use on the computer.", - "page_start": 6, - "page_end": 6, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 46 St. George’s Information Services \nREPOSITIONING A CHART \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame File Continue using the \nprevious file with this \nexercise, or open the \nfile E1317 \nCharting_4.xlsx... \n \nClick on the chart to \nselect it \n \nPoint to the border of \nthe chart until the \nmouse pointer \nchanges to a four-\nheaded arrow \n \nHold down the left \nmouse button and \ndrag the chart below \nthe data so that the \nTotal Revenue row \nin the worksheet is \nvisible \n \nClick in cell A1 to \ndeselect the chart \n \n2 \nIt’s unlikely that a chart embedded in the \nworksheet by Excel will be exactly where you \nwould like it to be. You can easily relocate a chart \nto a more appropriate position by clicking \non and dragging the border of the chart to the \ndesired location. The chart obviously must be \nselected before it can be dragged to a new \nposition. \nFor Your Reference… \nTo move a chart: \n1. Click on the chart to select it \n2. Move the mouse pointer to the border of the \nchart until the mouse pointer changes to a \nfour-headed arrow \n3. Drag the chart to a new location \nHandy to Know… \n You can use the standard cut and paste \ncommands to move a chart. Select the chart, \nclick on the HOME tab, then click on Cut in \nthe Clipboard group to copy it to the \nclipboard. Click in a new location and, on the \nHOME tab, click on Paste in the Clipboard \ngroup to paste the chart. \n3", - "page_start": 49, - "page_end": 49, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 50 St. George’s Information Services \nCHANGING THE CHART LAYOUT \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame \nFile Continue using the \nprevious file with this \nexercise, or open the file \nE1317 Charting_8.xlsx... \n \nClick on the Revenue \nChart worksheet tab to \nsee the chart, then click \nanywhere on the chart to \nselect it and see the \nCHART TOOLS: \nDESIGN and CHART \nTOOLS: FORMAT tabs \n \nClick on the CHART \nTOOLS: DESIGN tab, \nthen click on Quick \nLayout in the Chart \nLayouts group to display \na gallery of layout \noptions \n \nClick on Layout 3 to \napply this chart layout to \nthe chart \n \nRepeat steps 2 and 3 to \nselect other chart \nlayouts and see how \nthey appear when \napplied to the chart \n \nClick on Quick Layout in \nthe Chart Layouts group \nand click on Layout 5 \n \nClick on the Chart Data \nworksheet tab to display \nthis worksheet \n \n2 \nExcel has a gallery of chart layouts that can be \napplied to an existing and selected chart that is \neither in its own worksheet or embedded into the \ndata worksheet. Chart layouts are the way \nelements of the chart are placed within the chart. \nDifferent layout options can therefore change the \nappearance of your chart and its readability. \nFor Your Reference… \nTo change the chart layout: \n1. Ensure the chart or chart sheet is selected \n2. Click on the CHART TOOLS: DESIGN tab, \nthen click on Quick Layout in the Chart \nLayouts group \n3. Select the desired layout \nHandy to Know… \n Chart layouts are predefined themes \ncreated by Microsoft. Even if you choose one \nof these layouts you can still make your own \nmodifications to the way the elements and \nobjects are positioned and how they appear. \n5", - "page_start": 53, - "page_end": 53, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "I want to freeze a pane in my Excel worksheet ", - "target_page": 16, - "target_passage": "To freeze panes in a worksheet: 1. Click in the cell below and to the right of the area you want to freeze/unfreeze 2. Click on the VIEW tab 3. Click on Freeze Panes in the Window group, then select Freeze Panes ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 12 St. George’s Information Services \nFREEZING ROWS AND COLUMNS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nWhen you lay out your data in rows and columns, \nit is most likely that your headings end up at the \ntop or to the left of your data. If you have a large \namount of data, you may find that when you \nscroll across or down to particular cells, the \nheadings scroll out of view. This problem can be \nresolved by freezing the rows and/or columns that \nhold the headings. \nTry This Yourself: \nSame \nFile Continue using the previous file \nwith this exercise, or open the file \nE1324 Worksheet \nTechniques_11.xlsx... \n \nClick on the Maintenance \nworksheet tab, then spend a few \nmoments examining the worksheet \nDepending on your screen, it is \npossible that you won’t be able to \nsee all of the figures on the screen \nat once... \n \nClick in cell B6 to select the cell \n \nClick on the VIEW tab, click on \nFreeze Panes in the Window \ngroup, then select Freeze Panes \nThin black lines appear above and \nto the left of the selected cell. This \nindicates that the areas above and \nto the left are frozen... \n \nScroll to the right until Yearly \nAverage in column L appears next \nto column A \n \nScroll down until Overheads in row \n25 is below row 5 \n \nPress + to move to cell \nB6 – this is our temporary home \ncell, as the cells above and to the \nleft are frozen \n \nOn the VIEW tab, click on Freeze \nPanes in the Freeze Panes group, \nthen click on Unfreeze Panes to \nunfreeze the rows and columns \n \n3 \n4 \nFor Your Reference… \nTo freeze panes in a worksheet: \n1. Click in the cell below and to the right of the \narea you want to freeze/unfreeze \n2. Click on the VIEW tab \n3. Click on Freeze Panes in the Window \ngroup, then select Freeze Panes \nHandy to Know… \n If you want to freeze only the rows above the \nselected cell (leaving all columns unfrozen), \nselect the cell in column A of that row – e.g. \nto freeze rows 1 to 6, click in cell A7. The \nsame applies to freezing only columns and \nleaving the rows unfrozen: select the cell in \nrow 1. \n5", - "page_start": 15, - "page_end": 15, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 6 St. George’s Information Services \nINSERTING AND DELETING WORKSHEETS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nOnce you’ve decided on a structure for your \nworkbook, you may find that there are some \nworksheets that can be deleted. Alternatively, \nyou may find that you need additional blank \nworksheets inserted. However, remember that \ndeletion of worksheets is permanent and can’t be \nundone using Undo, so always save your \nworkbook before making these changes. \nTry This Yourself: \nOpen \nFile Before starting this exercise \nyou MUST open the file \nE1324 Worksheet \nTechniques_1.xlsx… \n \nExamine the workbook – it \ncurrently contains one \nworksheet named Sheet1 \n \nClick on the New Sheet icon \nat the end of the worksheet \ntabs \nA new worksheet named \nSheet2 will be inserted. You \ncan also use the keyboard \nshortcut... \n \nPress + to insert \nanother new worksheet \nThis sheet is named Sheet3 \nand is inserted before the \ncurrently selected sheet. \nNow let’s delete a sheet... \n \nRight-click on the Sheet3 \nworksheet tab to display the \nshortcut menu \n \nSelect Delete to remove the \nworksheet \nAs the worksheet contains no \ndata, the sheet will be \ndeleted immediately. If a \nworksheet contains data, \nExcel will ask you to confirm \nyour actions... \n \nRepeat steps 4 and 5 to \ndelete Sheet2 \n \n1 \n2 \n3 \n4 \nFor Your Reference… \nTo insert a new worksheet into a workbook: \n Click on the New Sheet icon to the right of \nthe worksheet tabs \nTo delete a worksheet from a workbook: \n Right click on the worksheet tab, then select \nDelete \nHandy to Know… \n To insert a worksheet between existing \nworksheets, right-click on the worksheet tab \nbefore which you want to insert a new sheet, \nthen click on Insert to display the Insert \ndialog box. Select Worksheet and click on \n[OK]. \n5", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 44 St. George’s Information Services \nWORKING WITH AN EMBEDDED CHART \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n2 \nTry This Yourself: \nSame \nFile Continue using the \nprevious file with this \nexercise, or open the file \nE1317 Charting_2.xlsx... \n \nPoint to the border of the \nchart and click once to \nselect the chart as an \nobject \nThe border of the chart will \nthicken to indicate that the \nchart is selected, the \nrange of data used for the \nchart will be coloured, the \nribbon will show \nchart-specific tabs and \ncommands, and additional \ntools will appear to the \nright of the chart… \n \nClick on the chart legend \nto make it the active object \nin the chart \n \nClick on the vertical axis \nto make it the active object \n \nClick on the horizontal \naxis to make it the active \nobject \n \nClick on the border of the \nchart to make the overall \nchart the active object \nagain – notice that the \nrange of data has been \ncoloured again \n \nClick in cell A1 to deselect \nthe chart \n \nBy default, new charts are placed in the active \nworksheet, which is usually the one that contains \nthe data. Charts are placed over the top of the \nworksheet, embedded as objects. When you \nwant to work with a chart you must select it – this \ncan be done by clicking on the chart. The chart \nitself is made up of many objects and these too can \nbe selected by clicking on them. \nFor Your Reference… \nTo select a chart and its objects: \n1. Click on the border of the chart to select an \nembedded chart \n2. Click on the various objects of a chart to \nselect them \nHandy to Know… \n Once an object is selected, be it a chart, a \nlegend on the chart, or the like, you can right-\nclick on the object to see a shortcut menu \nspecific to the selected object. \n3", - "page_start": 47, - "page_end": 47, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 7 St. George’s Information Services \nCOPYING A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nJust as you can copy the contents of cells and \nranges within a worksheet, you can duplicate \nworksheets within a workbook. This technique is \nideal for replicating layouts. For example, if you \nhave a budget workbook that contains data for \nseveral departments, you can create a worksheet \nfor the first department and then copy it to create \nidentical worksheets for other departments. \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E1324 Worksheet \nTechniques_1.xlsx... \n \nRight-click on Sheet1 to \ndisplay the worksheet shortcut \nmenu \n \nSelect Move or Copy to \ndisplay the Move or Copy \ndialog box \n \nClick on Create a copy so it \nappears ticked, then click on \n[OK] \nThe new worksheet is named \nSheet1 (2). Let’s create a \n“template” from this worksheet \nby deleting unwanted data... \n \nSelect the range B7:E9, then \npress to clear it \n \nRepeat step 4 to clear the \nranges B14:E23, G7:J9 and \nG14:J23\n, then press + \n to return to cell A1 \nNow we can copy this \n“template” to create additional \nworksheets... \n \nRepeat steps 1 to 3 three \ntimes to create three copies of \nthe template worksheet – this \ntime without data \nThe final worksheet should be \nnamed Sheet1 (5) \n \n1 \n2 \nFor Your Reference… \nTo copy a worksheet: \n1. Right-click on the worksheet to copy, then \nselect Move or Copy \n2. Click on Create a copy so it appears ticked \n3. Click on [OK] \nHandy to Know… \n You can copy the current worksheet using \nthe HOME tab by clicking on Format in the \nCells group, then clicking on Move or Copy \nSheet. \n The Before sheet options in the Move or \nCopy dialog box allow you to position the \ncopied worksheet where you want. \n3 \n6", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 53 St. George’s Information Services \nEMBEDDING A CHART INTO A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame File Continue using the \nprevious file with this \nexercise, or open the \nfile E1317 \nCharting_11.xlsx... \n \nClick on the Revenue \nChart worksheet tab \n \nClick on the CHART \nTOOLS: DESIGN tab, \nthen click on the Move \nChart tool in the \nLocation group to \ndisplay the Move Chart \ndialog box \n \nClick on Object in, then \nclick on the drop arrow \nand click on Sheet 2 \n \nClick on [OK] to move \nthe chart to the \nworksheet \n \nReposition the chart by \ndragging it to the top \nleft of the sheet, then \ndrag the resizing \nhandles to resize it as \nshown \n \nClick on the Chart Data \nworksheet tab \n \nCharts can either be presented in their own \nsheets or they can be embedded into a \nworksheet that contains data. In fact, you can \nmove a chart back and forth between its own \nsheet and a worksheet as often as you wish without \nimpacting at all on the chart. Sometimes it is easier \nto work with a chart in its own sheet, but it may be \nnecessary to print the chart with its data. \n3 \n4 \nFor Your Reference… \nTo embed a chart in a worksheet: \n1. Click on the CHART TOOLS: DESIGN tab, \nthen click on Move Chart in the Location \ngroup \n2. Click on the drop arrow, select the sheet to \nembed it into, then click on [OK] \n5 \nHandy to Know… \n Embedding is normally only done when it is \nnecessary to print the worksheet and the \ndata together.", - "page_start": 56, - "page_end": 56, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 46 St. George’s Information Services \nREPOSITIONING A CHART \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nSame File Continue using the \nprevious file with this \nexercise, or open the \nfile E1317 \nCharting_4.xlsx... \n \nClick on the chart to \nselect it \n \nPoint to the border of \nthe chart until the \nmouse pointer \nchanges to a four-\nheaded arrow \n \nHold down the left \nmouse button and \ndrag the chart below \nthe data so that the \nTotal Revenue row \nin the worksheet is \nvisible \n \nClick in cell A1 to \ndeselect the chart \n \n2 \nIt’s unlikely that a chart embedded in the \nworksheet by Excel will be exactly where you \nwould like it to be. You can easily relocate a chart \nto a more appropriate position by clicking \non and dragging the border of the chart to the \ndesired location. The chart obviously must be \nselected before it can be dragged to a new \nposition. \nFor Your Reference… \nTo move a chart: \n1. Click on the chart to select it \n2. Move the mouse pointer to the border of the \nchart until the mouse pointer changes to a \nfour-headed arrow \n3. Drag the chart to a new location \nHandy to Know… \n You can use the standard cut and paste \ncommands to move a chart. Select the chart, \nclick on the HOME tab, then click on Cut in \nthe Clipboard group to copy it to the \nclipboard. Click in a new location and, on the \nHOME tab, click on Paste in the Clipboard \ngroup to paste the chart. \n3", - "page_start": 49, - "page_end": 49, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 10 St. George’s Information Services \nCHANGING WORKSHEET TAB COLOURS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTo make it easier for you to distinguish between \nworksheets, Excel enables you to change the \ncolours of worksheet tabs. This allows you, for \nexample, to quickly distinguish between different \nfinancial years, departments or months. The active \nsheet appears as underlined in a gradient version \nof the selected colour, while inactive tabs will \ndisplay a solid colour background. \n2 \nTry This Yourself: \nSame \nFile Continue using the previous \nfile with this exercise, or open \nthe file E1324 Worksheet \nTechniques_7.xlsx... \n \nClick on the Admin \nworksheet tab to select the \nworksheet \n \nRight-click on the worksheet \ntab to display the shortcut \nmenu, then point to Tab \ncolour \nThis will display a palette of \ncolour options… \n \nClick on Red under \nStandard colours to apply \nthe colour to the tab \n \nRight-click on the \nMaintenance worksheet tab \nto display the shortcut menu, \nclick on Tab colour, then \nclick on Blue under \nStandard colours \nNotice how the Admin \nworksheet tab colour is now \na solid rather than a \ngradient… \n \nRepeat either technique to \napply the following colours: \nShop Yellow \nIT Green \n \nClick on the Admin \nworksheet tab to view the \nresults \n \n3 \n4 \n5 \n6 \nFor Your Reference… \nTo change the colour of a worksheet tab: \n1. Right-click on the worksheet tab to display \nthe shortcut menu \n2. Point to Tab colour to display a palette of \ncolour options \n3. Click on the desired colour \nHandy to Know… \n To apply the same colour to two or more \nsheets at once, select them first. Hold down \n to select consecutive worksheets or \nhold down to select non-consecutive \nworksheets.", - "page_start": 13, - "page_end": 13, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Appendix B. Sample lab: Deployments and workload balance 227\n4. To complete the deployment, click Next. The Binding window is displayed, as shown in \nFigure B-7. Select the Do not bind at this time option. Click Create to continue the \ndeployment.\nFigure B-7 Binding window", - "page_start": 242, - "page_end": 242, - "source_file": "sg248459.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 11 St. George’s Information Services \nGROUPING WORKSHEETS \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nWorksheet grouping enables you to make the \nsame change at once to all selected worksheets. \nThis feature is useful in situations where your \nworksheets have identical layouts or text. For \nexample, if you want to format the heading for \nmultiple worksheets, you simply group the \nworksheets, make a change to one worksheet and \nthe other worksheets will reflect the change also. \n1 \nTry This Yourself: \nSame File Continue using the previous \nfile with this exercise, or \nopen the file E1324 \nWorksheet \nTechniques_8.xlsx... \n \nClick on the Admin \nworksheet tab, hold down \n, then click on the Shop \nworksheet tab to select the \nfirst three worksheets \n \nClick in cell A1 to select the \ncell \n \nClick on the HOME tab, then \nclick on Italics in the Font \ngroup \nThis will italicise the text in \ncell A1 on this and all other \nworksheets in the group… \n \nClick on the Maintenance \nworksheet tab, then the \nShop worksheet tab to see \nthat the changes have been \napplied here \n \nClick on the IT worksheet \ntab to see that the changes \nhave not been applied to \nthis worksheet \nSince this was not part of \nthe grouped sheets the \nchanges have not been \napplied here. Notice too that \nclicking on a tab deselects \nthe previous grouping \n \n2 \n3 \n4 \n5 \nFor Your Reference… \nTo group worksheet tabs: \n1. Click on the first worksheet tab \n2. Hold down , then click on the last \nworksheet tab \nHandy to Know… \n To deselect a group, either click on the tab of \na worksheet that is not in the group, or right-\nclick on a tab and select Ungroup Sheets. \n Most formatting and text changes done on a \nworksheet in a group will be applied to other \nsheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 3 St. George’s Information Services \nTYPING TEXT OR NUMBERS INTO A WORKSHEET \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nGenerally when you start a new spreadsheet \nproject, the first task is to enter some headings \ninto rows and columns. To type anything into a \nworksheet you need to make the cell into which \nyou wish to enter the data active. This can be done \nin a number of ways but the most common is to \nclick in it first before typing. \nTry This Yourself: \n \nBefore you begin ensure \nthat there is a blank \nworkbook on the screen… \n \nClick in cell A3 to make \nthis the active cell, type \nGarden Settings and \npress \nWhen you press the \nnext cell down \nautomatically becomes \nthe active cell. By the \nway, even though the text \nlooks like it is in cells A3 \nand B3 it really only is in \ncell A3 – since there is \nnothing in B3, Excel \nallows the spill over to be \ndisplayed giving the \nillusion it is in 2 cells… \n \nType Pool Covers and \npress \n \nRepeat the above steps \nand enter the remaining \ntext in column A as shown \n \nClick in cell B2 to make \nthis the active cell, type \nUK \nand press \nWhen you press the \ncell to the right becomes \nthe active cell… \n \nEnter the remaining text in \nrow 2 as shown \n \nFor Your Reference… \nTo enter text: \n1. Click the cell pointer on the desired cell and \ntype the required information \n2. Press , an arrow key or to \nconfirm the data entry and to move the cell \npointer to another cell \nHandy to Know… \n\n You don’t have to use or to make \nadjacent cells active. You can simply use the \nmouse and click in the cells if you want or \neven press the arrow keys to move up, \ndown, left, or right. \n1 \n 2 \n3 \n4 \n5 \nFor Your Reference… \nTo save a new document: \n1. Click on the File Tab\n and select Save As \n2. Locate the storage folder in the Navigation \npane \n3. Type a File name and click on [Save] \nHandy to Know… \n In the exercise above we have named the \nworkbook Garden Department Sales and \nfiled it in C:\\Course Files for Excel 2010. \nEach time you start Excel it will most likely \nassume you want to file your workbooks in a \nfolder called Documents which is associated \nwith the user name you use on the computer.", - "page_start": 6, - "page_end": 6, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What is the msodocexStructTypeArticle type value ?", - "target_page": 21, - "target_passage": "A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles.", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "Type Value Description\nmsodocexStructTypeParaRTLAttr A block of text within an article with right-to-left\nlayout.\nmsodocexStructTypeTableRTLAttr A block of text forming a table with right-to-left\nlayout.\nmsodocexStructTypeHeadingRTLAttr A heading in the text with right-to-left layout.\nmsodocexStructTypeListItemRTLAttr A block of text forming a list item with right-to-left\nlayout.\nmsodocexStructTypeParaUnannotatableAttrA block of text within an article that is not\nannotatable.\nmsodocexStructTypeTHead The header row area in a table.\nmsodocexStructTypeTBody The body area in a table, i.e. the portion between\nthe THead and TFoot.\nmsodocexStructTypeLabel A label.\nmsodocexStructTypeEquation An equation.\nmsodocexStructTypeIntLinkNoteRef A footnote or endnote reference mark link.\nmsodocexStructTypeTFoot The footer row area in a table.\nfContentNode   Specifies whether a DocExComment_EndStructNode structure marks\nthe end of this structure node. If fContentNode is true, a\nDocExComment_EndStructNode structure closes off the content bounded by the node.\nIf this fContentNode has a false value, then the node does not bound any content.\nThe fContentNode member affects the interpretation of the parent ID value of\nsubsequent nodes. If fContentNodeis true, nodes that are inserted between this\nDocExComment_BeginStructNode and a subsequent DocExComment_EndStructNode,\nand that have a parent ID of -1, are children of this node. However, if fContentNode is\ntrue, nodes inserted after this DocExComment_BeginStructNode, and that have a\nparent ID of -1, are not children of this node. They are children of the next-most-recently\nspecified node that has fContentNode equal to false.\nYou can nest document structure nodes to arbitrary depth.\ncwchAltText   Specifies the number of Unicode characters in the block of alternate text\nthat follows the structure. This Unicode string specifies alternate text for the node (for\nexample, alternate text for an image).", - "page_start": 22, - "page_end": 22, - "source_file": "office-pdf.pdf" - }, - { - "text": "Type Value Description\nmsodocexStructTypeTOC A table of contents.\nmsodocexStructTypeTOCI An item in a table of contents.\nmsodocexStructTypeExtLink A link to an external resource.\nmsodocexStructTypeIntLink A link to an internal resource.\nmsodocexStructTypeFootnote A footnote.\nmsodocexStructTypeEndnote An endnote.\nmsodocexStructTypeTextbox A text box.\nmsodocexStructTypeHeader A block of text forming a header.\nmsodocexStructTypeFooter A footer.\nmsodocexStructInlineShape An inline shape.\nmsodocexStructAnnotation An annotation.\nmsodocexStructTypeSpanBlock A block of text.\nmsodocexStructTypeWorkbook A workbook.\nmsodocexStructTypeWorksheet A worksheet.\nmsodocexStructTypeMacrosheet A macrosheet.\nmsodocexStructTypeChartsheet A chartsheet.\nmsodocexStructTypeDialogsheet A dialogsheet.\nmsodocexStructTypeSlide A slide.\nmsodocexStructTypeChart A chart.\nmsodocexStructTypeDiagram A SmartArt diagram.\nmsodocexStructTypeBulletText Buller text.\nmsodocexStructTypeTextLine A line of text.\nmsodocexStructTypeDropCap A drop cap.\nmsodocexStructTypeSection A section.\nmsodocexStructTypeAnnotationBegin The beginning of an annotation.\nmsodocexStructTypeAnnotationEnd The end of an annotation.", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "The metadatatype parameter specifies the type of metadata represented by the string.\nThe metadatatype parameter must be one of the following values from the\nMSODOCEXMETADATA enumeration type.\nTable 8. Enumerated values of MSODOCEXMETADATA\nValue Description\nmsodocexMetadataTitle The title of the document.\nmsodocexMetadataAuthorThe author of the document\nmsodocexMetadataSubjectString that describes the subject matter of the document (for\nexample, business or science).\nmsodocexMetadataKeywords Keyword relevant to the document content.\nmsodocexMetadataCreatorThe creator of the document, possibly distinct from the author.\nmsodocexMetadataProducerThe producer of the document, possibly distinct from the author\nor creator.\nmsodocexMetadataCategoryString that describes the type of document (for example, memo,\narticle, or book).\nmsodocexMetadataStatus Status of the document. This field can reflect where the\ndocument is in the publication process (for example, draft or\nfinal).\nmsodocexMetadataCommentsMiscellaneous comments relevant to the document.\nFor a given document, each metadata type can have only one string associated with it.\nSo, for example, if the document has multiple keywords, they are passed to the add-in\nas one concatenated string.\nThe pwchValue parameter specifies a Unicode string that contains the metadata itself.\nHow the add-in incorporates the text-string metadata into the exported document\ndepends on the implementation details of the export code and the type of fixed-format\nused in the exported document.\nPublisher calls the HrAddDocumentMetadataDate method to specify document\nmetadata in the form of a FILETIME structure.\nﾉ Expand table\nHrAddDocumentMetadataDate", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "Value Numeric Value Description\nmsodocexShape 0x00000001 The object is a shape or text box.\nmsodocexShapeText 0x00000002 The object has non-whitespace text.\nmsodocexShapePath 0x00000004 The object has a fill and/or outline.\nmsodocexShapeAltText 0x00000008 The object has Alt Text.\nmsodocexShapeEquation0x00000010 The object has text that contains an equation.\nmsodocexShapeTabelCell 0x00000020 The object is a cell in a table.\nThe MsoDocexTableAttr structure fits in 32 bits and includes the row and column span\nand header scope information for a table cell.\nC++\nThe members of MsoDocexTableAttr structure are as follows:\nMaxSpanBits   Specifies the number of bits available for the rowSpan and colSpan\nvalues, which is 15.\nMaxSpanValue   Specifies the maximum value that can be specified for the\nrowSpan and colSpan.\nrowSpan   Specifies the number of rows that a table cell spans.\nfRowScope   Specifies whether the header is Row/Both or Column.\ncolSpan   Specifies the number of columns that a table cell spans.\nﾉ Expand table\nMsoDocexTableAttr\nstruct MsoDocexTableAttr\n{\n static constexpr unsigned int MaxSpanBits = sizeof(unsigned int) * 8 / 2 \n- 1;\n static constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1;\n unsigned int rowSpan : MaxSpanBits;\n unsigned int fRowScope : 1;\n unsigned int colSpan : MaxSpanBits;\n unsigned int fColScope : 1;\n};", - "page_start": 10, - "page_end": 10, - "source_file": "office-pdf.pdf" - }, - { - "text": "shapeProperty is for a msodocexStructTypeFigure where the content is a shape,\ntext box, or table cell and contains bit fields from the MSODOCEXSHAPEPROPERTY\nenumeration.\ntableAttr is the table cell attributes for a msodocexStructTypeTH or\nmsodocexStructTypeTD.\nidTableHeader is the unique id for an msodocexStructTypeTH or\nmsodocexStructTypeTD.\niTargetParentId is the id of the node to reparent an msodocexStructTypeDiagram\nto.\nTable 3. Enumerated values of MSODOCEXLINEBREAKTYPE\nValue Description\nmsodocexLineBreakTypeNormal Normal line break.\nmsodocexLineBreakTypeManual Manual line break.\nmsodocexLineBreakTypeEOP End of paragraph.\nTable 4. Enumerated values of MSODOCEXLISTTYPE\nValue Description\nmsodocexListTypeNone No bullets or numbering.\nmsodocexListTypeBulletDisc Disc-shaped bullets.\nmsodocexListTypeBulletCircle Circle-shaped bullets.\nmsodocexListTypeBulletSquare Square-shaped bullets.\nmsodocexListTypeBulletDecimal Decimal numbering.\nmsodocexListTypeUpperRoman Uppercase Roman numeral numbering.\nmsodocexListTypeLowerRoman Lowercase Roman numberal numbering.\nmsodocexListTypeUpperAlpha Uppercase alphabetic numbering.\nmsodocexListTypeLowerAlpha Lowercase alphabetic numbering.\nTable 5. Enumerated values of MSODOCEXSHAPEPROPERTY bit fields\nﾉ Expand table\nﾉ Expand table", - "page_start": 9, - "page_end": 9, - "source_file": "office-pdf.pdf" - }, - { - "text": "Table 6. Semantic record types supported by fixed-format export\nComment Value Structure Type\nmsodocexcommentExternalHyperlink DocExComment_ExternalHyperlink\nmsodocexcommentExternalHyperlinkRctfv DocExComment_ExternalHyperlink\nmsodocexcommentInternalHyperlink DocExComment_InternalHyperlink\nmsodocexcommentInternalHyperlinkRctfv DocExComment_InternalHyperlink\nmsodocexcommentColorInfo DocExComment_ColorInfo\nmsodocexcommentColorMapEnable DocExComment_ColorEnable\nmsodocexcommentBeginTextRun DocExComment_BeginTextRun\nmsodocexcommentBeginTextRunRTL DocExComment_BeginTextRun\nmsodocexcommentEndTextRun DocExComment_EndTextRun\nmsodocexcommentBeginStructNode DocExComment_BeginStructNode\nmsodocexcommentEndStructNode     DocExComment_EndStructNode\nmsodocexcommentUnicodeForNextTextOut DocExComment_UnicodeForNextTextOut\nmsodocexcommentUnicodeForNextTextOutRTL DocExComment_UnicodeForNextTextOut\nmsodocexcommentEPSColor DocExComment_EPSColor\nmsodocexcommentEPSCMYKJPEG DocExComment_EPSColorCMYKJPEG\nmsodocexcommentEPSSpotImage DocExComment_EPSColorSpotImage\nmsodocexcommentEPSStart DocExComment_EPSStart\nmsodocexcommentPageName DocExComment_PageName\nmsodocexcommentTransparent DocExComment_Transparent\nThe DocExComment_ExternalHyperlink(Rctfv) structure describes a hyperlink that links\nto outside of the document, for example to a Web site on the Internet.\nC++\nﾉ Expand table\nDocExComment_ExternalHyperlink(Rctfv)", - "page_start": 14, - "page_end": 14, - "source_file": "office-pdf.pdf" - }, - { - "text": "The members of the MSODOCEXOUTLINENODE are described as follows:\nidNode   The ID for the node. A value of -1 indicates that this node cannot have\nchild nodes in the outline. Otherwise, this member has a value that is unique across\nthe document.\nrgwchNodeText   A Unicode string that represents the title text for each node. This\ntext is not required to be unique across the outline.\niDestPage   The page number of the page that contains the destination location\nwithin the document.\ndytfvDestPage   The height of the destination page in points. The offset specified\nby the dytfvDestOffset member is relative to the upper-left corner of the page.\nHowever, some fixed-format types use a coordinate system that is relative to the\nbottom-left corner of the page. For these types of documents, the page height is\nrequired to convert the offset.\ndxtfvDestOffset   The horizontal offset of the destination location on the\ndestination page.\ndytfvDestOffset   The vertical offset of the destination location on the destination\npage.\nPublisher calls the HrAddDocumentMetadataString method to specify document\nmetadata in the form of a Unicode string.\nC++\n int idNode {};\n WCHAR rgwchNodeText[cwchMaxNodeText];\n int iDestPage {};\n float dytfvDestPage {};\n float dxtfvDestOffset {};\n float dytfvDestOffset {};\n} MSODOCEXOUTLINENODE;\nHrAddDocumentMetadataString\nHRESULT HrAddDocumentMetadataString(\n MSODOCEXMETADATA metadataType, \n const WCHAR* pwchValue\n);", - "page_start": 33, - "page_end": 33, - "source_file": "office-pdf.pdf" - }, - { - "text": "C++\nThe metadatatype parameter specifies the type of metadata represented by the\nFILETIME structure. The metadatatype parameter must be one of the following values\nfrom the MSODOCEXMETADATA enumeration type.\nTable 9. Enumerated values of MSODOCEXMETADATA\nValue Description\nmsodocexMetadataCreationDate The creation date for the document.\nmsodocexMetadataModDate The last-modified date for the document.\nThe pftLocalTime parameter specifies a pointer to a FILETIME structure that contains the\ndate and time information for the metadata. The following code snippet demonstrates\nhow to extract this information from the structure.\nC++\nHow the add-in incorporates the date and time metadata into the exported document\ndepends on the implementation details of the export code and the type of fixed-format\nused in the exported document.\nPublisher calls the HrFinalize method at the end of the document-export process.\nC++\nHRESULT HrAddDocumentMetadataDate(\n MSODOCEXMETADATA metadataType, \n const FILETIME* pftLocalTime\n);\nﾉ Expand table\nSYSTEMTIME st = { 0 };\nWCHAR s[100];\nFileTimeToSystemTime(pfiletime, &st);\nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);\nHrFinalize", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "The idNode member specifies the ID of the node. This member may not have a value of\n0. A value of -1 indicates that child nodes do not use the idNodeParent member to\nspecify this node as their parent. Instead, this node can be a parent only by enclosing\nchild nodes in the EMF. Multiple nodes can have a ID of -1. If the ID is not -1, the value is\nunique across the document.\nThe nodetype specifies the type of structure node. This member is equal to one of the\nvalues from the MSODOCEXSTRUCTTYPE enumeration type. The following table lists\nexamples of document structure node types.\nTable 7. Document structure node types\nType Value Description\nmsodocexStructTypePara A block of text within an article. Its parent node\nmust be an article.\nmsodocexStructTypeFigure A graphical element (for example, an image or\ncollection of shapes) that has a textual\nrepresentation. The textual representation is the\nalternate text used for reading or searching the\ndocument.\nmsodocexStructTypeArticle A group of nodes forming a single flow of text that\nshould be read or searched as a contiguous block\nof content. Some documents have a single article\nand others have multiple articles.\nmsodocexStructTypeHeading A heading in the text.\nmsodocexStructTypeTable A block of text forming a table.\nmsodocexStructTypeTR A block of text forming a single row of a table.\nmsodocexStructTypeTD A block of text forming a single cell in a table row.\nmsodocexStructTypeTH A block of text forming a single header cell in a\ntable row.\nmsodocexStructTypeList A block of text forming a list.\nmsodocexStructTypeListItem A block of text forming a list item.\nmsodocexStructTypeListBody A block of text forming the body of a list item.\nmsodocexStructTypeDocument A document.\nmsodocexStructTypePage A page in the document.\nﾉ Expand table", - "page_start": 20, - "page_end": 20, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColor structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSColor.\ncolorInfo[]   Specifies the color information for the EPS file. The add-in should pass\nthis information to Publisher using the IMsoDocExporterSite::SetEPSInfo method.\nThe DocExComment_EPSColorCMYKJPEG structure specifies the start, in the EMF, of a\nbinary object that is a CMYKJPEG file stream. For more information about this structure,\nsee the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColorCMYKJPEG structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSCMYKJPEG;\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n BYTE colorInfo[];\n} DocExComment_EPSColor;\nDocExComment_EPSColorCMYKJPEG\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n} DocExComment_EPSColorCMYKJPEG;\nDocExComment_EPSColorSpotImage", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are vector colors ?", - "target_page": 29, - "target_passage": "Vector colors are any COLORREF values that the add-in receives from Publisher.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "same type that is used for RGB color. For information about the COLORREF structure,\nsee COLORREF.\nTo resolve color IDs in the EMF back to the extend color space, the add-in calls back to\nPublisher through the HrResolveColor method of the IMsoDocExporterSite interface.\nThe add-in passes Publisher an interface pointer to an IDOCEXCOLOR interface as one\nof the parameters to HrResolveColor. Publisher takes the color IDs, also specified in the\ncall to HrResolveColor, converts them to extended color (RGB, CMYK, or spot color), and\npasses them back to the add-in through the methods in the IDOCEXCOLOR interface.\nVector colors are any COLORREF values that the add-in receives from Publisher. For\nexample, text color, line stroke color, and color for metafile recolor. When color\nmapping is enabled, Publisher uses a color ID for COLORREF rather than a real RGB\ncolor value. If Publisher provides the add-in an IMsoDocExporterSite interface pointer\nby calling the SetDocExporterSite method of the IMsoDocExporter interface, the add-in\nshould always call the IMsoDocExporterSite::HrResolveColor method to convert the\nCOLORREF to an extended color, which the add-in receives through the methods in the\nIDOCEXCOLOR interface.\nTo support vector color mapping, the add-in needs to do the following:\nImplement class support for an IDOCEXCOLOR interface. The methods in this\ninterface enable Publisher to pass extended color back to the add-in.\nCache the following color state values from the semantic records in the EMF.\nSet foreground color for recoloring. This is set through the\nDocExComment_ColorInfo structure.\nSet background color for recoloring. This is set through the\nDocExComment_ColorInfo structure.\nDetermine when color mapping is enabled. This is set through the\nDocExComment_ColorEnable structure.\nFor a vector color, create an IDOCEXCOLOR interface with the color ID, so that\nIDOCEXCOLOR::GetUnresolvedRGB returns the color ID. The add-in should call the\nIMsoDocExporterSite::HrResolveColor method with the IDOCEXCOLOR interface\nand cached color states. Publisher calls the IDOCEXCOLOR interface methods with\nthe final color, which can be RGB, CMYK, spot, or registration tint.\nVector Color and Recolored Images", - "page_start": 28, - "page_end": 28, - "source_file": "office-pdf.pdf" - }, - { - "text": "When either foreground color or background color for recoloring is specified from\nan EMF semantic record, the add-in should recolor images in the add-in (for\nexample, metafiles or raster pictures).\nEMF supports CMYK images using GDI+. Therefore, images in the EMF may be either\nRGB or CMYK. If the image is a CMYK image, the add-in needs to convert the image to\nthe target color space.\nPublisher maintains a target color space for the document. The add-in can use this\ntarget color space by calling the IMsoDocExporterSite::HrConvertImageColorSpace\nmethod with the image's color space.\nEncapsulated Postscript (EPS) is a metafile type that supports extended color spaces.\nUser who embed EPS images in a Publisher document expect the color information to\nbe used in the fixed-format output. Inside Publisher, the EPS is converted to an EMF with\nEPS-related semantic records. This EMF is then embedded in the page EMF file that the\napplication passes to the add-in.\nTo support color in EPS files, the add-in needs to do the following:\nCall the IMsoDocExporterSite::SetEPSInfo method for DocExComment_EPSColor\nrecords encountered in the EMF.\nExtract the CMYK image from the DocExComment_EPSColorCMYKJPEG record in\nthe EMF. This record contains a binary object that is the actual CMYK JPEG file\nstream. Use it to replace the RGB image specified in the subsequent call to the\nStretchDIBits function.\nThe DocExComment_EPSColorSpotImage record provides spot color information\nfor the subsequent RGB image, which is always an index image. The add-in needs\nto convert the spot image to the target color space.\nThe add-in can optionally call the IMsoDocExporterSite:: HrGetSpotRecolorInfo\nmethod to obtain the document's target color from Publisher. Then the add-in can\nrecolor the subsequent RGB image by mapping colors from the palette of the RGB\nimage to flTintMin and flTintMax tints specified in the\nDoxExComment_EPSColorSpotImage record. The luminosity for each color of the\npalette is used for the mapping.\nNon-Recolored Images\nColor from EPS Files", - "page_start": 29, - "page_end": 29, - "source_file": "office-pdf.pdf" - }, - { - "text": "The DocExComment_EPSColorSpotImage structure provides spot color information for\nthe subsequent RGB image. For more information about this structure, see the section\nExtended Color Support.\nC++\nThe members of the DocExComment_EPSColorSpotImage structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSSpotImage.\ncmykAlt   Specifies a CMYK color ID.\nrgbAlt   Specifies an RGB color ID.\nflTintMin   Specifies the minimum tint.\nflTintMax   Specifies the maximum tint.\nszSpotName[1]   Specifies a variable length, zero-terminated string that contains\nthe spot name.\nTo support extended color spaces in Publisher, additional EMF semantic records and\ninterfaces are needed because EMF only supports RGB (red-green-black) colors.\nExtended color spaces include CMYK (cyan-magenta-yellow-black) and spot color space,\nwhich are commonly used in commercial printing.\nPublisher uses color mapping to represent extended colors in the document EMF.\nPublisher builds a color table for all colors used in the document and replaces actual\ncolors with color IDs in the EMF. The type for the color ID is COLORREF, which is the\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n COLORREF cmykAlt { 0 };\n COLORREF rgbAlt { 0 };\n float flTintMin {};\n float flTintMax {};\n char szSpotName[1];\n} DocExComment_EPSColorSpotImage;\nExtended Color Support", - "page_start": 27, - "page_end": 27, - "source_file": "office-pdf.pdf" - }, - { - "text": "color ID represents a foreground color. If this member has a value of false, the\ncolor ID represents a background color.\nThe DocExComment_ColorEnable structure specifies whether color mapping is enabled\nfor subsequent content in the EMF. For more information about this structure, see the\nsection Extended Color Support.\nC++\nThe members of the DocExComment_ColorEnable structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentColorMapEnable.\nfEnable   Specifies whether color mapping is enabled for subsequent content. A\nvalue of true indicates that color mapping is enabled. A value of false indicates\nthat color mapping is disabled.\nThe DocExComment_BeginStructNode structure marks the start of a document\nstructure node. Structure nodes serve one of two possible purposes:\nStructure nodes can identify the type of content they contain and specify the\nhierarchical relationship between that content and other content in the document.\nStructure nodes can specify alternate text for elements in the document.\nIf the fContentNode member has a true value, the DocExComment_BeginStructNode is\nfollowed later in the document by a DocExComment_EndStructNode. The\nDocExComment_EndStructNode marks the end of the content that is wrapped by the\ninformation in the DocExComment_BeginStructNode.\nDocExComment_ColorEnable\nstruct DocExComment_ColorEnable\n{\n DWORD ident {};\n DWORD iComment {};\n BOOL fEnable {};\n};\nDocExComment_BeginStructNode", - "page_start": 18, - "page_end": 18, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColor structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSColor.\ncolorInfo[]   Specifies the color information for the EPS file. The add-in should pass\nthis information to Publisher using the IMsoDocExporterSite::SetEPSInfo method.\nThe DocExComment_EPSColorCMYKJPEG structure specifies the start, in the EMF, of a\nbinary object that is a CMYKJPEG file stream. For more information about this structure,\nsee the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColorCMYKJPEG structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSCMYKJPEG;\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n BYTE colorInfo[];\n} DocExComment_EPSColor;\nDocExComment_EPSColorCMYKJPEG\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n} DocExComment_EPSColorCMYKJPEG;\nDocExComment_EPSColorSpotImage", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - }, - { - "text": "Entropy 2025, 27, 62 27 of 33\nFigure 6. Chain traces. Each color signifies an individual chain.\nFigure 7. Posterior estimates of the α parameter plotted against the prior for two synthetic subjects,\none from each group.\n\u0007 \u0004\n# Sample from the model prior\nprior_chains = sample ( model , Prior (), 1000 )\n# Rename parameters from the prior chains to match the posterior chains\nrenamed_prior_chains = rename_chains ( prior_chains , model )\n# Plot the posterior and prior for the first subject\nplot_parameters ( renamed_prior_chains [:,1:1,:], renamed_posterior_chains [:,1:1,:])\n# Visualize the true alpha value\nvline !([ data [1,: Alpha ]], line =: dash , color = : darkorange2 , label = \" Generative Alpha \")\n# Plot the posterior and prior for the last subject\nplot_parameters ( renamed_prior_chains [:,10:10,:], renamed_posterior_chains [:,10:10,:])\n# Visualize the true alpha value\nvline !([ data [ 3000 ,: Alpha ]], line =: dash , color = : darkorange2 , label = \" Generative Alpha \")\n\u0006 \u0005\nWe then, as is often the case in computational psychiatry, wanted to compare the\ndistributions of parameter values between the two groups. We extracted the median of the\nestimated posteriors for each subject and plotted them against the value used to generate", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "5\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s40/s98/s41/s32/s77/s110/s32/s84/s69/s89\n/s32\n/s45/s48/s46/s50\n/s45/s48/s46/s49\n/s48/s46/s48\n/s48/s46/s49\n/s48/s46/s50\n/s32\n/s40/s97/s41/s32/s70/s101/s32/s84/s69/s89\n/s32\n/s88/s77/s67/s68/s32/s97/s115/s121/s109/s109/s101/s116/s114/s121\n/s45/s50/s53/s48 /s48 /s50/s53/s48 /s53/s48/s48 /s55/s53/s48 /s49/s48/s48/s48\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s70/s105/s101/s108/s100/s32/s32/s40/s79/s101/s41\n/s40/s99/s41/s32/s77/s110/s32/s70/s89\n/s32\n/s32\nFIG. 2. (color online) XMCD asymmetry versus applied field\nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As\n(10 nm) film. (a) FeL3, total electron yield; (b) Mn L3,\ntotal electron yield; (c) Mn L3, fluorescent yield. Black and\nred points are data for increasing and decreasing fields resp ec-\ntively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "4\n/s48 /s52/s48 /s56/s48\n/s52\n/s53\n/s45/s49/s48/s48/s48 /s48 /s49/s48/s48/s48\n/s45/s52\n/s45/s50\n/s48\n/s50\n/s52\n/s72\n/s69\n/s32/s40/s79/s101/s41\n/s32/s65/s112/s112/s108/s105/s101/s100/s32/s102/s105/s101/s108/s100/s32/s40/s79/s101/s41\n/s77/s111/s109/s101/s110/s116/s32/s40/s49/s48\n/s45/s53\n/s32/s101/s109/s117/s41\n/s48 /s50/s48 /s52/s48\n/s48\n/s49/s48/s48\n/s50/s48/s48\n/s51/s48/s48\n/s32\n/s32\n/s100/s32/s40/s110/s109/s41\n/s72/s32/s61/s32/s48/s46/s53/s32/s107/s79/s101\n/s72/s32/s61/s32/s48\n/s32\n/s32\n/s84/s32/s40/s75/s41\n/s32\nFIG. 1. (color) Main figure: Major (red/black) and minor\n(green) hysteresis loops along the [110] axis at 5 K, for a\nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop\nfor a control (Ga,Mn)As (20 nm) film along the same axis\n(blue). Left inset: Magnetization versus temperature for the\nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe\napplied field (red). Right inset: Exchange bias field versus\nthicknessd of the (Ga,Mn)As film (points) and fit showing\n1/d dependence (dashed line).\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P.\nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van\nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B\n73, 165205 (2006).\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y.\nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G.\nvan der Laan, and E. Arenholz, J. Appl. Phys.102, 023902\n(2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 40 of 57 \n \n \nFigure 5 – Feature Info tool. \n \nThe different displayed layers can be examined using the “Legend” tool. If the external service \nprovides legend graphics, the user can inter pret the g iven symbology and temporarily disable the \ndisplay of layers (see Figure 6). \n \nFigure 6 – Legend tool.", - "page_start": 39, - "page_end": 39, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Table 12 Linear vs. Attentive Probe Evaluation for V-JEPA and VideoMAE.We evaluate the effect of linear (Lin.)\nand attentive (Att.) probing when adapting V-JEPA to the K400 (16 × 5 × 3) and SSv2(16 × 2 × 2) tasks. V-JEPA and\nVideoMAE benefit from using a non-linear attentive probe.\nK400 SSv2\nMethod Arch. Lin. Att. Lin. Att.\nVideoMAE ViT-L/16 52.5 77.8 41.3 61.2\nV-JEPA ViT-L/16 56.7 80.8 50.1 69.5\nTable 13 Linear vs. Attentive Probe Evaluation for DINOv2 and OpenCLIP.We evaluate the effect of linear (Lin.)\nand attentive probing (Att.) when adapting DINOv2 and OpenCLIP. Image-baselines benefit from using an attentive probing\nstrategy. Results shown ingray are reported from the linear probe evaluation in Oquab et al. (2023).\nK400 SSv2 IN1K Place205 iNat21\nMethod Arch. Lin. Att. Lin. Att. Lin. Att. Lin. Att. Lin. Att.\nDINOv2 ViT-g/14 78.4 83.4 38.3 50.0 86.5 86.2 67.5 68.4 85.7 88.8\nOpenCLIP ViT-G/14 78.3 81.8 35.8 34.8 86.2 85.3 69.8 70.2 76.0 83.6\nOne Clip vs Multiple clips.We examine the impact of changing the temporal coverage of a model during downstream\nevaluation on K400 action classification. In Table 14, we evaluate VideoMAE andV-JEPA models using an attentive\nprobe with access to either the feature map of 1 clip randomly sampled from the video, or the concatenated feature\nmap of 8 clips randomly sampled from the video. To sample 8 clips from a video, we first divide the video into 8\nequal length temporal segments, and sample 1 clip at random from each segment. A single clip corresponds to≈ 2\nseconds of a video on average, while 8 clips correspond to≈ 16 seconds. The video encoders processes each clip\nseparately to produce a clip-level feature map, which are then concatenated at the input to the attentive probe.\nIncreasing the temporal coverage from 1 clip per video to 8 clips improves the performance of bothV-JEPA and\nVideoMAE on K400 action classification. We therefore use the multiclip attentive probing setup as our default\nevaluation pipeline.\nE.2 Finetuning\nIn Table 15, we evaluateV-JEPA using finetuning (separately) on K400 and SSv2. We compareV-JEPA with\nVideoMAEv2 (Wang et al., 2023a), VideoMAE (Tong et al., 2022) and MVD (Wang et al., 2023b) using a ViT-L/16\nor a ViT-H/16 architecture.V-JEPA obtains competitive performance using a finetuning protocol. With a ViTiH/16\narchitecture, V-JEPAoutperforms by1.2% VideoMAE and+0.3% VideoMAEv2 on the SSv2 dataset, while obtaining\ncomparable performance on K400.V-JEPA also obtains performance similar to MVD on the SSv2 dataset. The\nMVD model achieves the best performance across models on the K400 dataset, and is trained using the image\ndataset ImageNet1K, in contrast to the other methods in the table, which only use video data. Additionally MVD\nrequires the processing of significantly more samples during pretraining due to the cost of training the teacher\nencoder networks in a pre-pre-training step.\nE.3 Sample Efficiency of pretraining\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we\nlook at the number of samples (image or video clips) processed by the network during pretraining, which is larger\nthan the size of the pretraining dataset for multi-epoch training. Notably, our results withV-JEPA are obtained\nwhile processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude\nfewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data\ndistribution could lead to substantial gains in downstream image and video tasks.\nE.4 Masking Strategy\nAn important component of theV-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we\ndetail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained\non K400. Figure 8 presents a summary of those results.\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are msodocexMetadataComments ?", - "target_page": 35, - "target_passage": "Miscellaneous comments relevant to the document.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The metadatatype parameter specifies the type of metadata represented by the string.\nThe metadatatype parameter must be one of the following values from the\nMSODOCEXMETADATA enumeration type.\nTable 8. Enumerated values of MSODOCEXMETADATA\nValue Description\nmsodocexMetadataTitle The title of the document.\nmsodocexMetadataAuthorThe author of the document\nmsodocexMetadataSubjectString that describes the subject matter of the document (for\nexample, business or science).\nmsodocexMetadataKeywords Keyword relevant to the document content.\nmsodocexMetadataCreatorThe creator of the document, possibly distinct from the author.\nmsodocexMetadataProducerThe producer of the document, possibly distinct from the author\nor creator.\nmsodocexMetadataCategoryString that describes the type of document (for example, memo,\narticle, or book).\nmsodocexMetadataStatus Status of the document. This field can reflect where the\ndocument is in the publication process (for example, draft or\nfinal).\nmsodocexMetadataCommentsMiscellaneous comments relevant to the document.\nFor a given document, each metadata type can have only one string associated with it.\nSo, for example, if the document has multiple keywords, they are passed to the add-in\nas one concatenated string.\nThe pwchValue parameter specifies a Unicode string that contains the metadata itself.\nHow the add-in incorporates the text-string metadata into the exported document\ndepends on the implementation details of the export code and the type of fixed-format\nused in the exported document.\nPublisher calls the HrAddDocumentMetadataDate method to specify document\nmetadata in the form of a FILETIME structure.\nﾉ Expand table\nHrAddDocumentMetadataDate", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "iComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEndTextRun.\nThe DocExComment_UnicodeForNextTextOut structure functions similarly to the\nDocExComment_BeginTextRun and DocExComment_EndTextRun structures. However,\nDocExComment_UnicodeForNextTextOut specifies Unicode code points for only the\nfollowing EMF TextOut record, rather than for a block of EMF content bounded by begin\nand end structures.\nC++\nThe members of the DocExComment_UnicodeForNextTextOut structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentUnicodeForNextTextOut.\ncGlyphIndex   Specifies the size of an array that follows this structure. This array\nimplements a glyph index table that maps Unicode code points in the actual text\nto the corresponding glyphs in the EMF. Each element of the array corresponds to\na code point in the text. The value of that element specifies the first glyph used to\nrender that code point in the EMF. Two or more adjacent code points may have the\nsame value in the array, which means that they both resolve to the same glyph.\ncwchActualText   Specifies the size of the sequence of Unicode code points that\nfollow the glyph index table. This is the text that a consumer of the document can\nuse for searching, copying/pasting, and accessibility.\nThe DocExComment_EPSColor structure specifies color information for an encapsulated\nPostScript (EPS) file embedded in the EMF. For more information about this structure,\nDocExComment_UnicodeForNextTextOut\nstruct DocExComment_UnicodeForNextTextOut\n{\n DWORD ident {};\n DWORD iComment {};\n int cGlyphIndex {};\n int cwchActualText {};\n};\nDocExComment_EPSColor", - "page_start": 25, - "page_end": 25, - "source_file": "office-pdf.pdf" - }, - { - "text": "Type Value Description\nmsodocexStructTypeParaRTLAttr A block of text within an article with right-to-left\nlayout.\nmsodocexStructTypeTableRTLAttr A block of text forming a table with right-to-left\nlayout.\nmsodocexStructTypeHeadingRTLAttr A heading in the text with right-to-left layout.\nmsodocexStructTypeListItemRTLAttr A block of text forming a list item with right-to-left\nlayout.\nmsodocexStructTypeParaUnannotatableAttrA block of text within an article that is not\nannotatable.\nmsodocexStructTypeTHead The header row area in a table.\nmsodocexStructTypeTBody The body area in a table, i.e. the portion between\nthe THead and TFoot.\nmsodocexStructTypeLabel A label.\nmsodocexStructTypeEquation An equation.\nmsodocexStructTypeIntLinkNoteRef A footnote or endnote reference mark link.\nmsodocexStructTypeTFoot The footer row area in a table.\nfContentNode   Specifies whether a DocExComment_EndStructNode structure marks\nthe end of this structure node. If fContentNode is true, a\nDocExComment_EndStructNode structure closes off the content bounded by the node.\nIf this fContentNode has a false value, then the node does not bound any content.\nThe fContentNode member affects the interpretation of the parent ID value of\nsubsequent nodes. If fContentNodeis true, nodes that are inserted between this\nDocExComment_BeginStructNode and a subsequent DocExComment_EndStructNode,\nand that have a parent ID of -1, are children of this node. However, if fContentNode is\ntrue, nodes inserted after this DocExComment_BeginStructNode, and that have a\nparent ID of -1, are not children of this node. They are children of the next-most-recently\nspecified node that has fContentNode equal to false.\nYou can nest document structure nodes to arbitrary depth.\ncwchAltText   Specifies the number of Unicode characters in the block of alternate text\nthat follows the structure. This Unicode string specifies alternate text for the node (for\nexample, alternate text for an image).", - "page_start": 22, - "page_end": 22, - "source_file": "office-pdf.pdf" - }, - { - "text": "Table 6. Semantic record types supported by fixed-format export\nComment Value Structure Type\nmsodocexcommentExternalHyperlink DocExComment_ExternalHyperlink\nmsodocexcommentExternalHyperlinkRctfv DocExComment_ExternalHyperlink\nmsodocexcommentInternalHyperlink DocExComment_InternalHyperlink\nmsodocexcommentInternalHyperlinkRctfv DocExComment_InternalHyperlink\nmsodocexcommentColorInfo DocExComment_ColorInfo\nmsodocexcommentColorMapEnable DocExComment_ColorEnable\nmsodocexcommentBeginTextRun DocExComment_BeginTextRun\nmsodocexcommentBeginTextRunRTL DocExComment_BeginTextRun\nmsodocexcommentEndTextRun DocExComment_EndTextRun\nmsodocexcommentBeginStructNode DocExComment_BeginStructNode\nmsodocexcommentEndStructNode     DocExComment_EndStructNode\nmsodocexcommentUnicodeForNextTextOut DocExComment_UnicodeForNextTextOut\nmsodocexcommentUnicodeForNextTextOutRTL DocExComment_UnicodeForNextTextOut\nmsodocexcommentEPSColor DocExComment_EPSColor\nmsodocexcommentEPSCMYKJPEG DocExComment_EPSColorCMYKJPEG\nmsodocexcommentEPSSpotImage DocExComment_EPSColorSpotImage\nmsodocexcommentEPSStart DocExComment_EPSStart\nmsodocexcommentPageName DocExComment_PageName\nmsodocexcommentTransparent DocExComment_Transparent\nThe DocExComment_ExternalHyperlink(Rctfv) structure describes a hyperlink that links\nto outside of the document, for example to a Web site on the Internet.\nC++\nﾉ Expand table\nDocExComment_ExternalHyperlink(Rctfv)", - "page_start": 14, - "page_end": 14, - "source_file": "office-pdf.pdf" - }, - { - "text": "Type Value Description\nmsodocexStructTypeTOC A table of contents.\nmsodocexStructTypeTOCI An item in a table of contents.\nmsodocexStructTypeExtLink A link to an external resource.\nmsodocexStructTypeIntLink A link to an internal resource.\nmsodocexStructTypeFootnote A footnote.\nmsodocexStructTypeEndnote An endnote.\nmsodocexStructTypeTextbox A text box.\nmsodocexStructTypeHeader A block of text forming a header.\nmsodocexStructTypeFooter A footer.\nmsodocexStructInlineShape An inline shape.\nmsodocexStructAnnotation An annotation.\nmsodocexStructTypeSpanBlock A block of text.\nmsodocexStructTypeWorkbook A workbook.\nmsodocexStructTypeWorksheet A worksheet.\nmsodocexStructTypeMacrosheet A macrosheet.\nmsodocexStructTypeChartsheet A chartsheet.\nmsodocexStructTypeDialogsheet A dialogsheet.\nmsodocexStructTypeSlide A slide.\nmsodocexStructTypeChart A chart.\nmsodocexStructTypeDiagram A SmartArt diagram.\nmsodocexStructTypeBulletText Buller text.\nmsodocexStructTypeTextLine A line of text.\nmsodocexStructTypeDropCap A drop cap.\nmsodocexStructTypeSection A section.\nmsodocexStructTypeAnnotationBegin The beginning of an annotation.\nmsodocexStructTypeAnnotationEnd The end of an annotation.", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "The members of the MSODOCEXOUTLINENODE are described as follows:\nidNode   The ID for the node. A value of -1 indicates that this node cannot have\nchild nodes in the outline. Otherwise, this member has a value that is unique across\nthe document.\nrgwchNodeText   A Unicode string that represents the title text for each node. This\ntext is not required to be unique across the outline.\niDestPage   The page number of the page that contains the destination location\nwithin the document.\ndytfvDestPage   The height of the destination page in points. The offset specified\nby the dytfvDestOffset member is relative to the upper-left corner of the page.\nHowever, some fixed-format types use a coordinate system that is relative to the\nbottom-left corner of the page. For these types of documents, the page height is\nrequired to convert the offset.\ndxtfvDestOffset   The horizontal offset of the destination location on the\ndestination page.\ndytfvDestOffset   The vertical offset of the destination location on the destination\npage.\nPublisher calls the HrAddDocumentMetadataString method to specify document\nmetadata in the form of a Unicode string.\nC++\n int idNode {};\n WCHAR rgwchNodeText[cwchMaxNodeText];\n int iDestPage {};\n float dytfvDestPage {};\n float dxtfvDestOffset {};\n float dytfvDestOffset {};\n} MSODOCEXOUTLINENODE;\nHrAddDocumentMetadataString\nHRESULT HrAddDocumentMetadataString(\n MSODOCEXMETADATA metadataType, \n const WCHAR* pwchValue\n);", - "page_start": 33, - "page_end": 33, - "source_file": "office-pdf.pdf" - }, - { - "text": "C++\nThe metadatatype parameter specifies the type of metadata represented by the\nFILETIME structure. The metadatatype parameter must be one of the following values\nfrom the MSODOCEXMETADATA enumeration type.\nTable 9. Enumerated values of MSODOCEXMETADATA\nValue Description\nmsodocexMetadataCreationDate The creation date for the document.\nmsodocexMetadataModDate The last-modified date for the document.\nThe pftLocalTime parameter specifies a pointer to a FILETIME structure that contains the\ndate and time information for the metadata. The following code snippet demonstrates\nhow to extract this information from the structure.\nC++\nHow the add-in incorporates the date and time metadata into the exported document\ndepends on the implementation details of the export code and the type of fixed-format\nused in the exported document.\nPublisher calls the HrFinalize method at the end of the document-export process.\nC++\nHRESULT HrAddDocumentMetadataDate(\n MSODOCEXMETADATA metadataType, \n const FILETIME* pftLocalTime\n);\nﾉ Expand table\nSYSTEMTIME st = { 0 };\nWCHAR s[100];\nFileTimeToSystemTime(pfiletime, &st);\nswprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, \n st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, \n st.wSecond % 100);\nHrFinalize", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "The DocExComment_EndStructNode structure marks the end of the content that is\ndecorated by the information in the DocExComment_BeginStructNode.\nC++\nThe members of the DocExComment_EndStructNode structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEndStructNode.\nThe DocExComment_BeginTextRun structure identifies the language of a sequence of\ntext in the document and provides the Unicode code points for the text.\nAlthough some text-rendering EMF records use Unicode as the text representation,\nothers use the glyphs that are drawn on the screen, rather than the original source text.\nA glyph is the index of a given shape in the font, which can be different from font to\nfont.\nThere can be cases where several Unicode code points are combined into a single glyph\nor where a single Unicode code point is broken into multiple glyphs. Because the\nmapping from code points to glyphs is context-dependent, a user cannot text search or\ncopy/paste in a document that contains only glyphs. Therefore, Publisher sometimes\nprovides the Unicode text as well as the glyphs.\nC++\nDocExComment_EndStructNode\nstruct DocExComment_EndStructNode\n{\n DWORD ident {};\n DWORD iComment {};\n}; \nDocExComment_BeginTextRun\nstruct DocExComment_BeginTextRun\n{\n DWORD ident {};\n DWORD iComment {};\n DWORD lcid {};\n int cGlyphIndex {};", - "page_start": 23, - "page_end": 23, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColor structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSColor.\ncolorInfo[]   Specifies the color information for the EPS file. The add-in should pass\nthis information to Publisher using the IMsoDocExporterSite::SetEPSInfo method.\nThe DocExComment_EPSColorCMYKJPEG structure specifies the start, in the EMF, of a\nbinary object that is a CMYKJPEG file stream. For more information about this structure,\nsee the section Extended Color Support.\nC++\nThe members of the DocExComment_EPSColorCMYKJPEG structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentEPSCMYKJPEG;\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n BYTE colorInfo[];\n} DocExComment_EPSColor;\nDocExComment_EPSColorCMYKJPEG\ntypedef struct\n{\n DWORD ident {};\n DWORD iComment {};\n} DocExComment_EPSColorCMYKJPEG;\nDocExComment_EPSColorSpotImage", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - }, - { - "text": "The members of DocExComment_ExternalHyperlink(Rctfv) structure are as follows:\nident   Specifies the constant value, msodocexsignature, which identifies this EMF\ncomment as containing semantic information.\niComment   Specifies the MSODOCEXCOMMENT value,\nmsodocexcommentExternalHyperlink or msodocexcommentExternalHyperlinkRctfv.\nrcdvRegion and rctfvRegion   A union that specifies the region of the page that is\nthe source location of the hyperlink. The region can be represented as a RECT type\n(rcdvRegion) that uses device pixels as the unit of measure, or as a structure that\ncontains floating-point coordinates (rctfvRegion), in which case the unit of\nmeasure is points.\nIf the iComment member is equal to msodocexcommentExternalHyperlink, the\nadd-in should use rcdvRegion. In this case, the add-in needs to apply the current\nEMF transformation matrix to rcdvRegion to convert it to the page space.\nIf the iComment member is equal to msodocexcommentExternalHyperlinkRctfv,\nthe add-in should use rctfvRegion. In this case, rctfvRegion is already in the page\nspace, so no transformation is needed.\nwzLink[MAX_PATH]   Specifies the destination URL for this hyperlink.\nThe DocExComment_InternalHyperlink(Rctfv) structure describes a hyperlink that links\nto a location within the document. Note that, although Publisher passes a separate EMF\nstruct DocExComment_ExternalHyperlink\n{\n DWORD ident {};\n DWORD iComment {};\n union\n {\n RECT rcdvRegion;\n struct\n {\n float xLeft;\n float yTop;\n float dxWidth;\n float dyHeight;\n } rctfvRegion;\n };\n WCHAR wzLink[MAX_PATH];\n};\nDocExComment_InternalHyperlink(Rctfv)", - "page_start": 15, - "page_end": 15, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What are the total operating expenses of Wikimedia foundation in 2024 ?", - "target_page": 6, - "target_passage": "178,471,109", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 14 (Continued) \n(4) Property and Equipment, Net \nProperty and equipment at June 30, 2024 and 2023 consist of the following: \n2024 2023\nFurniture $ 72,042 737,143 \nLeasehold improvements — 2,074,581 \nComputer equipment 22,821,120 21,941,684 \nInternal use software 2,507,701 5,198,574 \nTotal 25,400,863 29,951,982 \nLess accumulated depreciation and amortization (13,574,727) (15,906,843) \nProperty and equipment, net $ 11,826,136 14,045,139 \n \n(5) Net Assets \nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes: \n2024 2023\nRestricted to future periods: $ 50,000 100,000 \nRestricted by purpose:\nAbstract Wikipedia 861,008 1,249,004 \nArtificial intelligence 239,878 — \nEndowment support — 1,297,620 \nFuture Audiences 500,000 — \nKnowledge equity 965,910 2,228,134 \nMachine learning 24,528 860,620 \nMedia Wiki 1,500,000 — \nOther 125,000 147,295 \nRestricted to future periods and by purpose:\nArtificial intelligence 1,430,000 — \nNet assets with donor restrictions $ 5,696,324 5,782,673 \n \n(6) Functional Allocation of Expenses \nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nConsolidated Financial Statements \nJune 30, 2024 and 2023 \n(With Independent Auditors’ Report Thereon)", - "page_start": 0, - "page_end": 0, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Financial Position\nJune 30, 2024 and 2023\nAssets 2024 2023\nCurrent assets:\nCash and cash equivalents $ 82,845,159 75,808,401 \nContributions receivable 856,657 — \nShort-term investments 116,074,763 132,216,667 \nPrepaid expenses and other current assets 5,722,457 5,569,485 \nTotal current assets 205,499,036 213,594,553 \nRestricted cash 1,428,542 1,396,717 \nLong-term investments 67,291,224 43,265,786 \nRight of use asset - operating lease, net — 1,821,174 \nProperty and equipment, net 11,826,136 14,045,139 \nContributions receivable 715,000 — \nTotal assets $ 286,759,938 274,123,369 \nLiabilities and Net Assets\nCurrent liabilities:\nAccounts payable $ 4,009,582 2,783,904 \nAccrued expenses 7,959,558 6,922,259 \nLease liability 417,756 1,640,735 \nDonations payable to Wikimedia Endowment 525,607 5,274,448 \nOther liabilities 2,292,045 2,124,939 \nTotal current liabilities 15,204,548 18,746,285 \nLease liability — 405,748 \nTotal liabilities $ 15,204,548 19,152,033 \nNet assets:\nNet assets without donor restrictions 265,859,067 249,088,663 \nNet assets with donor restrictions 5,696,323 5,882,673 \nTotal net assets 271,555,390 254,971,336 \nTotal liabilities and net assets $ 286,759,938 274,123,369 \nSee accompanying notes to consolidated financial statements.\n3", - "page_start": 4, - "page_end": 4, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Activities\nYears ended June 30, 2024 and 2023\n2024 2023\nNet assets without donor restrictions:\nSupport and revenue:\nContributions of cash and other financial assets $ 168,212,977 164,121,185 \nContributions of nonfinancial assets and services 263,476 1,040,453 \nForeign currency losses (300,907) (94,868) \nOther income, net 5,629,773 3,824,240 \nInvestment income, net 5,096,842 3,002,929 \nRelease of net assets with donor restrictions 6,481,350 4,732,654 \nTotal support and revenue 185,383,511 176,626,593 \nOperating expenses:\nSalaries and benefits 106,793,960 101,305,706 \nAwards and grants 26,820,080 24,433,682 \nInternet hosting 3,116,445 3,120,819 \nIn-kind service expenses 263,476 1,040,453 \nDonation processing expenses 7,547,718 6,855,680 \nProfessional service expenses 13,090,040 15,464,635 \nOther operating expenses 10,798,140 7,393,982 \nTravel and conferences 5,824,979 4,878,359 \nDepreciation and amortization 4,216,271 4,602,064 \nTotal operating expenses 178,471,109 169,095,380 \nChange in net assets without donor restrictions\nfrom operating activities 6,912,402 7,531,213 \nNonoperating activities:\nUnrealized gains on investments, net 9,858,001 3,547,510 \nChange in net assets without donor restrictions 16,770,403 11,078,723 \nNet assets with donor restrictions:\nContributions with donor restrictions 6,295,000 9,273,736 \nNet assets released from restrictions (6,481,350) (4,732,654) \nIncrease (decrease) in net assets with donor \nrestrictions (186,350) 4,541,082 \nIncrease in net assets 16,584,053 15,619,805 \nNet assets at beginning of year 254,971,337 239,351,532 \nNet assets at end of year $ 271,555,390 254,971,337 \nSee accompanying notes to consolidated financial statements.\n4", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n17 (Continued) \n(9) Liquidity and Availability of Financial Assets\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet\ndate, June 30, 2024 and 2023, are as follows:\n2024 2023\nCash and cash equivalents $ 82,845,159 75,808,401\nCurrent contributions receivable 856,657 —\nShort-term investments 116,074,763 132,216,667\nTotal financial assets 199,776,579 208,025,068\nLess:\nRestricted by donors for programs 5,696,323 5,882,673\nDonations payable to Wikimedia Endowment 525,607 5,274,448\nFinancial assets available to meet cash needs for\ngeneral expenditures within one year $ 193,554,649 196,867,947\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n(10) Related Party Transactions\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation.\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 18 \nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor -specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor -designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n(11) Contingencies and Commitments \nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n(12) Subsequent Events \nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Cash Flows\nYears ended June 30, 2024 and 2023\n2024 2023\nCash flows from operating activities:\nIncrease in net assets $ 16,584,053 15,619,804 \nAdjustments to reconcile increase in net assets to net cash\nprovided by operating activities:\nDepreciation and amortization 4,216,271 4,602,064 \nLoss on disposal of equipment 203,233 64,518 \nUnrealized and realized gains on investments, net (8,356,376) (2,276,210) \nRight of use asset - operating lease, net 1,821,432 1,404,875 \nChanges in operating assets and liabilities:\nContributions receivable (1,571,657) 700,000 \nPrepaid expenses and other current assets (152,972) (469,201) \nAccounts payable 1,225,678 (483,402) \nAccrued expenses 1,037,299 1,224,690 \nLease liability (1,666,935) (1,618,384) \nDonations payable to Wikimedia Endowment (4,748,841) 5,254,730 \nOther liabilities 205,056 (65,560) \nNet cash provided by operating activities 8,796,241 23,957,924 \nCash flows from investing activities:\nPurchase of computer equipment and office furniture (4,435,982) (4,006,566) \nDevelopment of internal use software 2,235,481 (3,076,098) \nPurchase of investments (92,176,499) (49,998,612) \nProceeds from sales and maturities of investments 92,649,341 58,016,155 \nNet cash provided by (used in) investing activities (1,727,659) 934,879 \nNet increase in cash, cash equivalents, and\nrestricted cash 7,068,582 24,892,803 \nCash, cash equivalents, and restricted cash at beginning of year 77,205,118 52,312,315 \nCash, cash equivalents, and restricted cash at end of year $ 84,273,700 77,205,118 \nSupplemental cash flow disclosure:\nNoncash changes in exchange rate $ 290,621 (96,027) \nInitial recognition of right of use asset - operating lease — (3,226,048) \nInitial recognition of lease liability — 3,580,607 \nSee accompanying notes to consolidated financial statements.\n5", - "page_start": 6, - "page_end": 6, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 16 (Continued) \nFor example (unaudited): \n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n(7) Operating Leases \nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \nUndiscounted lease payments as of June 30, 2024 were as follows: \nLease\npayments\nYear ending June 30:\n2025 419,791 \nTotal minimum lease payments $ 419,791 \n \n(8) Retirement Plan \nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 11 (Continued) \nand free to everyone in the world, the Foundation's cost related to this collaborative arrangement is \nincluded within awards and grants in the statement of activities. The amount included within awards \nand grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively. \n(p) Use of Estimates \nThe preparation of financial statements in conformity with U.S. generally accepted accounting \nprinciples requires management to make estimates and assumptions that affect the amounts reported \nin the consolidated financial statements and accompanying notes. Items subject to such estimates and \nassumptions include the investment valuations, useful lives of fixed assets, and the valuation of \ncontributed services. Accordingly, actual results could differ from those estimates. \n(q) Reclassifications \nCertain reclassifications have been made in the financial statements to conform 2023 information to the \n2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and \nlosses on investments separately from investment income, net. This resulted in a reclassification of \n$3,547,510 from investment income, net to unrealized gains on investments within the statement of \nactivities. The Foundation also had a change in accounting policy to no longer present the Wikimania \nevent as special event expense, net in the statement of activities. Revenue from registration sales is \nnow reported within other income, net, and expenses are reported within travel and conference \nexpenses. This resulted in a reclassification of $698,141 from special event expenses to travel and \nconference expenses in the statement of activities. \n(2) Contributions Receivable \nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents \ncontributions receivable from two grants, as well as contributions receivable from payment processors.", - "page_start": 12, - "page_end": 12, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 15 (Continued) \ndirect costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the \nprograms benefited and supporting services for the years ended June 30, 2024 and 2023, as follows: \n2024\nGeneral and\nPrograms administrative Fundraising Total\nSalaries and benefits $ 83,645,901 14,018,534 9,129,525 106,793,960 \nAwards and grants 26,820,080 — — 26,820,080 \nInternet hosting 3,116,257 188 — 3,116,445 \nIn-kind service expenses 228,338 35,138 — 263,476 \nDonation processing expenses — — 7,547,718 7,547,718 \nProfessional service expenses 9,670,261 1,870,513 1,549,266 13,090,040 \nOther operating expenses 6,420,517 3,808,725 568,898 10,798,140 \nTravel and conferences 4,979,409 536,887 308,683 5,824,979 \nDepreciation and amortization 3,471,509 744,762 — 4,216,271 \n$ 138,352,272 21,014,747 19,104,090 178,471,109 \n \n2023\nGeneral and\nPrograms administrative Fundraising Total\nSalaries and wages $ 77,845,272 14,486,209 8,974,225 101,305,706 \nAwards and grants 24,426,682 7,000 — 24,433,682 \nInternet hosting 3,119,234 1,585 — 3,120,819 \nIn-kind service expenses 998,857 41,596 — 1,040,453 \nDonation processing expenses — — 6,855,680 6,855,680 \nProfessional service expenses 11,785,153 2,297,431 1,382,051 15,464,635 \nOther operating expenses 2,752,153 4,102,006 539,823 7,393,982 \nTravel and conferences 3,799,260 530,517 548,583 4,878,360 \nDepreciation and amortization 3,837,307 764,757 — 4,602,064 \n$ 128,563,918 22,231,101 18,300,362 169,095,381 \n \nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and \nindividuals in projects that further the mission of the Foundation. Chapters are independent organizations \nthat share the goals of the Foundation and support the goals within a specified geographical region. In \naddition to this work, which is reflected above in the awards and grants line, an overwhelming majority of \nthe Foundation’s project activities are carried out by an international network of volunteers, whose activity \nis not reflected in the tables above.", - "page_start": 16, - "page_end": 16, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What external events can affect Wikimedia Fundation in raising funds ?", - "target_page": 8, - "target_passage": "External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 18 \nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor -specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor -designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n(11) Contingencies and Commitments \nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n(12) Subsequent Events \nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n17 (Continued) \n(9) Liquidity and Availability of Financial Assets\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet\ndate, June 30, 2024 and 2023, are as follows:\n2024 2023\nCash and cash equivalents $ 82,845,159 75,808,401\nCurrent contributions receivable 856,657 —\nShort-term investments 116,074,763 132,216,667\nTotal financial assets 199,776,579 208,025,068\nLess:\nRestricted by donors for programs 5,696,323 5,882,673\nDonations payable to Wikimedia Endowment 525,607 5,274,448\nFinancial assets available to meet cash needs for\ngeneral expenditures within one year $ 193,554,649 196,867,947\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n(10) Related Party Transactions\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation.\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 14 (Continued) \n(4) Property and Equipment, Net \nProperty and equipment at June 30, 2024 and 2023 consist of the following: \n2024 2023\nFurniture $ 72,042 737,143 \nLeasehold improvements — 2,074,581 \nComputer equipment 22,821,120 21,941,684 \nInternal use software 2,507,701 5,198,574 \nTotal 25,400,863 29,951,982 \nLess accumulated depreciation and amortization (13,574,727) (15,906,843) \nProperty and equipment, net $ 11,826,136 14,045,139 \n \n(5) Net Assets \nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes: \n2024 2023\nRestricted to future periods: $ 50,000 100,000 \nRestricted by purpose:\nAbstract Wikipedia 861,008 1,249,004 \nArtificial intelligence 239,878 — \nEndowment support — 1,297,620 \nFuture Audiences 500,000 — \nKnowledge equity 965,910 2,228,134 \nMachine learning 24,528 860,620 \nMedia Wiki 1,500,000 — \nOther 125,000 147,295 \nRestricted to future periods and by purpose:\nArtificial intelligence 1,430,000 — \nNet assets with donor restrictions $ 5,696,324 5,782,673 \n \n(6) Functional Allocation of Expenses \nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 6 (Continued) \n(1) Organization and Summary of Significant Accounting Policies \n(a) Organization and Purpose \nThe accompanying consolidated financial statements present the financial position, change in net \nassets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC. \nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. \nBased in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily \nthrough donations and contributions. \nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the \nFoundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for \ncharitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue \nCode and is a disregarded entity for tax purposes. \n(b) Risks and Uncertainties \nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts \nfrom foundations and corporations. External factors such as global geopolitics, recession, and currency \nmarkets may impact our ability to raise funds. As of the date of this report, the Foundation has not \nexperienced an adverse impact on its business operations. \n(c) Income Taxes \nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue \nCode and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of \nRevenue and Taxation Code of the State of California. The Internal Revenue Service has determined \nthat the Foundation is not a private foundation and contributions to it qualify as charitable contribution s. \nThe Foundation has evaluated the financial statement impact of positions taken or expected to be \ntaken in its tax returns. The Foundation is subject to income taxes on any net income that is derived \nfrom a trade or business, regularly carried on, and not in furtherance of the purposes for which it was \ngranted exemption. Net income from any unrelated trade or business, in the opinion of management, is \nnot material to the consolidated financial statements taken as a whole. \n(d) Financial Statement Presentation \nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or \nabsence of donor-imposed restrictions in accordance with Accounting Standards Codification \n(ASC) Topic 958, Not-for-Profit Entities. \nNet assets without donor restrictions represent unrestricted resources available to support operations \nand also include previously temporarily restricted resources, which have become available for use by \nthe Foundation in accordance with the intentions of donors. \nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in \naccordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied \nand removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Activities\nYears ended June 30, 2024 and 2023\n2024 2023\nNet assets without donor restrictions:\nSupport and revenue:\nContributions of cash and other financial assets $ 168,212,977 164,121,185 \nContributions of nonfinancial assets and services 263,476 1,040,453 \nForeign currency losses (300,907) (94,868) \nOther income, net 5,629,773 3,824,240 \nInvestment income, net 5,096,842 3,002,929 \nRelease of net assets with donor restrictions 6,481,350 4,732,654 \nTotal support and revenue 185,383,511 176,626,593 \nOperating expenses:\nSalaries and benefits 106,793,960 101,305,706 \nAwards and grants 26,820,080 24,433,682 \nInternet hosting 3,116,445 3,120,819 \nIn-kind service expenses 263,476 1,040,453 \nDonation processing expenses 7,547,718 6,855,680 \nProfessional service expenses 13,090,040 15,464,635 \nOther operating expenses 10,798,140 7,393,982 \nTravel and conferences 5,824,979 4,878,359 \nDepreciation and amortization 4,216,271 4,602,064 \nTotal operating expenses 178,471,109 169,095,380 \nChange in net assets without donor restrictions\nfrom operating activities 6,912,402 7,531,213 \nNonoperating activities:\nUnrealized gains on investments, net 9,858,001 3,547,510 \nChange in net assets without donor restrictions 16,770,403 11,078,723 \nNet assets with donor restrictions:\nContributions with donor restrictions 6,295,000 9,273,736 \nNet assets released from restrictions (6,481,350) (4,732,654) \nIncrease (decrease) in net assets with donor \nrestrictions (186,350) 4,541,082 \nIncrease in net assets 16,584,053 15,619,805 \nNet assets at beginning of year 254,971,337 239,351,532 \nNet assets at end of year $ 271,555,390 254,971,337 \nSee accompanying notes to consolidated financial statements.\n4", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 16 (Continued) \nFor example (unaudited): \n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n(7) Operating Leases \nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \nUndiscounted lease payments as of June 30, 2024 were as follows: \nLease\npayments\nYear ending June 30:\n2025 419,791 \nTotal minimum lease payments $ 419,791 \n \n(8) Retirement Plan \nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nConsolidated Financial Statements \nJune 30, 2024 and 2023 \n(With Independent Auditors’ Report Thereon)", - "page_start": 0, - "page_end": 0, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 11 (Continued) \nand free to everyone in the world, the Foundation's cost related to this collaborative arrangement is \nincluded within awards and grants in the statement of activities. The amount included within awards \nand grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively. \n(p) Use of Estimates \nThe preparation of financial statements in conformity with U.S. generally accepted accounting \nprinciples requires management to make estimates and assumptions that affect the amounts reported \nin the consolidated financial statements and accompanying notes. Items subject to such estimates and \nassumptions include the investment valuations, useful lives of fixed assets, and the valuation of \ncontributed services. Accordingly, actual results could differ from those estimates. \n(q) Reclassifications \nCertain reclassifications have been made in the financial statements to conform 2023 information to the \n2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and \nlosses on investments separately from investment income, net. This resulted in a reclassification of \n$3,547,510 from investment income, net to unrealized gains on investments within the statement of \nactivities. The Foundation also had a change in accounting policy to no longer present the Wikimania \nevent as special event expense, net in the statement of activities. Revenue from registration sales is \nnow reported within other income, net, and expenses are reported within travel and conference \nexpenses. This resulted in a reclassification of $698,141 from special event expenses to travel and \nconference expenses in the statement of activities. \n(2) Contributions Receivable \nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents \ncontributions receivable from two grants, as well as contributions receivable from payment processors.", - "page_start": 12, - "page_end": 12, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 15 (Continued) \ndirect costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the \nprograms benefited and supporting services for the years ended June 30, 2024 and 2023, as follows: \n2024\nGeneral and\nPrograms administrative Fundraising Total\nSalaries and benefits $ 83,645,901 14,018,534 9,129,525 106,793,960 \nAwards and grants 26,820,080 — — 26,820,080 \nInternet hosting 3,116,257 188 — 3,116,445 \nIn-kind service expenses 228,338 35,138 — 263,476 \nDonation processing expenses — — 7,547,718 7,547,718 \nProfessional service expenses 9,670,261 1,870,513 1,549,266 13,090,040 \nOther operating expenses 6,420,517 3,808,725 568,898 10,798,140 \nTravel and conferences 4,979,409 536,887 308,683 5,824,979 \nDepreciation and amortization 3,471,509 744,762 — 4,216,271 \n$ 138,352,272 21,014,747 19,104,090 178,471,109 \n \n2023\nGeneral and\nPrograms administrative Fundraising Total\nSalaries and wages $ 77,845,272 14,486,209 8,974,225 101,305,706 \nAwards and grants 24,426,682 7,000 — 24,433,682 \nInternet hosting 3,119,234 1,585 — 3,120,819 \nIn-kind service expenses 998,857 41,596 — 1,040,453 \nDonation processing expenses — — 6,855,680 6,855,680 \nProfessional service expenses 11,785,153 2,297,431 1,382,051 15,464,635 \nOther operating expenses 2,752,153 4,102,006 539,823 7,393,982 \nTravel and conferences 3,799,260 530,517 548,583 4,878,360 \nDepreciation and amortization 3,837,307 764,757 — 4,602,064 \n$ 128,563,918 22,231,101 18,300,362 169,095,381 \n \nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and \nindividuals in projects that further the mission of the Foundation. Chapters are independent organizations \nthat share the goals of the Foundation and support the goals within a specified geographical region. In \naddition to this work, which is reflected above in the awards and grants line, an overwhelming majority of \nthe Foundation’s project activities are carried out by an international network of volunteers, whose activity \nis not reflected in the tables above.", - "page_start": 16, - "page_end": 16, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 9 (Continued) \nGifts of cash and other assets are reported as contributions with donor restrictions if they are received \nwith donor stipulations that limit the use of the donated assets or are restricted as to time. When a \ndonor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is \naccomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions \nand reported in the consolidated statement of activities as net assets released from restrictions. \n(l) Contributions of Nonfinancial Assets and Services \nContributions of nonfinancial assets and services include contributed services, as described below. \nContributed services are reported at fair value in the consolidated financial statements for voluntary \ndonations of services when those services (1) create or enhance nonfinancial assets, (2) require \nspecialized skills provided by individuals possessing those skills and are services that would be \ntypically purchased if not provided by the donation, and (3) are professional in nature, and have been \nexplicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial \nassets and services revenue and in-kind service expenses in the consolidated statements of activities. \nFair value is estimated based on current local rates for similar services. \nA substantial number of volunteers make significant contributions of their time in the furtherance of the \nFoundation’s projects. The value of this contributed time is not reflected in the accompanying \nconsolidated financial statements, as the criteria above are not met. \nContributed service revenue and expenses recorded in the consolidated statements of activities consist \nof contributed legal services, engineering services, subscription services, and internet hosting services \nand bandwidth. The amounts of specialized contributed legal services as revenue and expenses are \n$82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of \nspecialized engineering services as revenue and expenses are $0 and $498,800 for the years ended \nJune 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and \nexpenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The \namounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and \n2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated \nhosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, \n(4) LibertyGlobal, (5) Init7, and (6) Arelion. \n(m) Revenue Recognition – Contracts With Customers \nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under \nAccounting Standards Codification Topic 606, Revenue from Contracts with Customers, which \nestablishes a principle that revenue is recognized upon transfer of control of promised products and \nservices to customers in an amount that reflects the consideration the Foundation expects to receive in \nexchange for those products or services. \nThe Foundation determines the amount of revenue to be recognized through the application of the \nfollowing 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification \nof the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of \nthe transaction price to the performance obligations in the contract; and 5) recognition of revenue when \nor as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What include Wikimedia Fundation restricted cash ?", - "target_page": 9, - "target_passage": "Restricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and (2) one of the Foundation’s Employer of Record responsible for administering compensation and benefits for non-US personnel.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n17 (Continued) \n(9) Liquidity and Availability of Financial Assets\nThe Foundation’s financial assets available for general expenditure within one year of the balance sheet\ndate, June 30, 2024 and 2023, are as follows:\n2024 2023\nCash and cash equivalents $ 82,845,159 75,808,401\nCurrent contributions receivable 856,657 —\nShort-term investments 116,074,763 132,216,667\nTotal financial assets 199,776,579 208,025,068\nLess:\nRestricted by donors for programs 5,696,323 5,882,673\nDonations payable to Wikimedia Endowment 525,607 5,274,448\nFinancial assets available to meet cash needs for\ngeneral expenditures within one year $ 193,554,649 196,867,947\nThe Foundation’s liquidity management includes a policy of structuring its financial assets to be available to \nmeet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and \ncash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the \nprimary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the \nshort-term and long-term investments can be liquidated at any time as needed. \n(10) Related Party Transactions\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on \nSeptember 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the \noperations and activities of current and future Wikimedia projects, which are projects that are approved by \nand advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The \nFoundation does not have control or controlling financial interest in the Wikimedia Endowment and the \nWikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a \nrelated party to the Foundation because Wikimedia Endowment management is also management at the \nFoundation.\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to \nservices provided to the Wikimedia Endowment, primarily for fundraising and general and administrative \nsupport under the terms of a cost sharing agreement. These costs are included within the Foundation's \nexpenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the \ncosts is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 18 \nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers \nadditional Foundation donations to the Endowment monthly. Donations that are donor -specified for the \nWikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not \ndonor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards \nand grants expense to the Foundation. The Foundation transferred $10,706,812 donor -designated gifts and \n$624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of \nJune 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred \nto the Wikimedia Endowment for the month of June 2024. \nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with \ngrants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and \n$500,000 for exploring strategies for expanding beyond the Foundation’s existing audiences of consumers \nand contributors. The grants are recorded as contributions with donor restrictions and within net assets with \ndonor restrictions as of June 30, 2024. \n(11) Contingencies and Commitments \nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of \nmanagement, the outcome of the pending lawsuits will not materially affect operations or the financial \nposition of the Foundation. \n(12) Subsequent Events \nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the \nconsolidated financial statements were available to be issued, and determined there are no items to \ndisclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 9 (Continued) \nGifts of cash and other assets are reported as contributions with donor restrictions if they are received \nwith donor stipulations that limit the use of the donated assets or are restricted as to time. When a \ndonor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is \naccomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions \nand reported in the consolidated statement of activities as net assets released from restrictions. \n(l) Contributions of Nonfinancial Assets and Services \nContributions of nonfinancial assets and services include contributed services, as described below. \nContributed services are reported at fair value in the consolidated financial statements for voluntary \ndonations of services when those services (1) create or enhance nonfinancial assets, (2) require \nspecialized skills provided by individuals possessing those skills and are services that would be \ntypically purchased if not provided by the donation, and (3) are professional in nature, and have been \nexplicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial \nassets and services revenue and in-kind service expenses in the consolidated statements of activities. \nFair value is estimated based on current local rates for similar services. \nA substantial number of volunteers make significant contributions of their time in the furtherance of the \nFoundation’s projects. The value of this contributed time is not reflected in the accompanying \nconsolidated financial statements, as the criteria above are not met. \nContributed service revenue and expenses recorded in the consolidated statements of activities consist \nof contributed legal services, engineering services, subscription services, and internet hosting services \nand bandwidth. The amounts of specialized contributed legal services as revenue and expenses are \n$82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of \nspecialized engineering services as revenue and expenses are $0 and $498,800 for the years ended \nJune 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and \nexpenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The \namounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and \n2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated \nhosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, \n(4) LibertyGlobal, (5) Init7, and (6) Arelion. \n(m) Revenue Recognition – Contracts With Customers \nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under \nAccounting Standards Codification Topic 606, Revenue from Contracts with Customers, which \nestablishes a principle that revenue is recognized upon transfer of control of promised products and \nservices to customers in an amount that reflects the consideration the Foundation expects to receive in \nexchange for those products or services. \nThe Foundation determines the amount of revenue to be recognized through the application of the \nfollowing 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification \nof the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of \nthe transaction price to the performance obligations in the contract; and 5) recognition of revenue when \nor as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Financial Position\nJune 30, 2024 and 2023\nAssets 2024 2023\nCurrent assets:\nCash and cash equivalents $ 82,845,159 75,808,401 \nContributions receivable 856,657 — \nShort-term investments 116,074,763 132,216,667 \nPrepaid expenses and other current assets 5,722,457 5,569,485 \nTotal current assets 205,499,036 213,594,553 \nRestricted cash 1,428,542 1,396,717 \nLong-term investments 67,291,224 43,265,786 \nRight of use asset - operating lease, net — 1,821,174 \nProperty and equipment, net 11,826,136 14,045,139 \nContributions receivable 715,000 — \nTotal assets $ 286,759,938 274,123,369 \nLiabilities and Net Assets\nCurrent liabilities:\nAccounts payable $ 4,009,582 2,783,904 \nAccrued expenses 7,959,558 6,922,259 \nLease liability 417,756 1,640,735 \nDonations payable to Wikimedia Endowment 525,607 5,274,448 \nOther liabilities 2,292,045 2,124,939 \nTotal current liabilities 15,204,548 18,746,285 \nLease liability — 405,748 \nTotal liabilities $ 15,204,548 19,152,033 \nNet assets:\nNet assets without donor restrictions 265,859,067 249,088,663 \nNet assets with donor restrictions 5,696,323 5,882,673 \nTotal net assets 271,555,390 254,971,336 \nTotal liabilities and net assets $ 286,759,938 274,123,369 \nSee accompanying notes to consolidated financial statements.\n3", - "page_start": 4, - "page_end": 4, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "the Consolidated Statements of Cash Flows.) \nRestricted Cash Restricted cash decreased to $2.1 million at December 31, 2000 from $10.9 million at December 31, 1999. The majority of\nrestricted cash was held as security with respect to cash provided in Hungary by banks participating in Eur o n e t ’s ATM network, to cover\n2 0", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 6 (Continued) \n(1) Organization and Summary of Significant Accounting Policies \n(a) Organization and Purpose \nThe accompanying consolidated financial statements present the financial position, change in net \nassets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC. \nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. \nBased in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily \nthrough donations and contributions. \nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the \nFoundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for \ncharitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue \nCode and is a disregarded entity for tax purposes. \n(b) Risks and Uncertainties \nThe Foundation’s operations are funded primarily by public donations from individuals as well as gifts \nfrom foundations and corporations. External factors such as global geopolitics, recession, and currency \nmarkets may impact our ability to raise funds. As of the date of this report, the Foundation has not \nexperienced an adverse impact on its business operations. \n(c) Income Taxes \nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue \nCode and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of \nRevenue and Taxation Code of the State of California. The Internal Revenue Service has determined \nthat the Foundation is not a private foundation and contributions to it qualify as charitable contribution s. \nThe Foundation has evaluated the financial statement impact of positions taken or expected to be \ntaken in its tax returns. The Foundation is subject to income taxes on any net income that is derived \nfrom a trade or business, regularly carried on, and not in furtherance of the purposes for which it was \ngranted exemption. Net income from any unrelated trade or business, in the opinion of management, is \nnot material to the consolidated financial statements taken as a whole. \n(d) Financial Statement Presentation \nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or \nabsence of donor-imposed restrictions in accordance with Accounting Standards Codification \n(ASC) Topic 958, Not-for-Profit Entities. \nNet assets without donor restrictions represent unrestricted resources available to support operations \nand also include previously temporarily restricted resources, which have become available for use by \nthe Foundation in accordance with the intentions of donors. \nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in \naccordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied \nand removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Cash Flows\nYears ended June 30, 2024 and 2023\n2024 2023\nCash flows from operating activities:\nIncrease in net assets $ 16,584,053 15,619,804 \nAdjustments to reconcile increase in net assets to net cash\nprovided by operating activities:\nDepreciation and amortization 4,216,271 4,602,064 \nLoss on disposal of equipment 203,233 64,518 \nUnrealized and realized gains on investments, net (8,356,376) (2,276,210) \nRight of use asset - operating lease, net 1,821,432 1,404,875 \nChanges in operating assets and liabilities:\nContributions receivable (1,571,657) 700,000 \nPrepaid expenses and other current assets (152,972) (469,201) \nAccounts payable 1,225,678 (483,402) \nAccrued expenses 1,037,299 1,224,690 \nLease liability (1,666,935) (1,618,384) \nDonations payable to Wikimedia Endowment (4,748,841) 5,254,730 \nOther liabilities 205,056 (65,560) \nNet cash provided by operating activities 8,796,241 23,957,924 \nCash flows from investing activities:\nPurchase of computer equipment and office furniture (4,435,982) (4,006,566) \nDevelopment of internal use software 2,235,481 (3,076,098) \nPurchase of investments (92,176,499) (49,998,612) \nProceeds from sales and maturities of investments 92,649,341 58,016,155 \nNet cash provided by (used in) investing activities (1,727,659) 934,879 \nNet increase in cash, cash equivalents, and\nrestricted cash 7,068,582 24,892,803 \nCash, cash equivalents, and restricted cash at beginning of year 77,205,118 52,312,315 \nCash, cash equivalents, and restricted cash at end of year $ 84,273,700 77,205,118 \nSupplemental cash flow disclosure:\nNoncash changes in exchange rate $ 290,621 (96,027) \nInitial recognition of right of use asset - operating lease — (3,226,048) \nInitial recognition of lease liability — 3,580,607 \nSee accompanying notes to consolidated financial statements.\n5", - "page_start": 6, - "page_end": 6, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 14 (Continued) \n(4) Property and Equipment, Net \nProperty and equipment at June 30, 2024 and 2023 consist of the following: \n2024 2023\nFurniture $ 72,042 737,143 \nLeasehold improvements — 2,074,581 \nComputer equipment 22,821,120 21,941,684 \nInternal use software 2,507,701 5,198,574 \nTotal 25,400,863 29,951,982 \nLess accumulated depreciation and amortization (13,574,727) (15,906,843) \nProperty and equipment, net $ 11,826,136 14,045,139 \n \n(5) Net Assets \nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes: \n2024 2023\nRestricted to future periods: $ 50,000 100,000 \nRestricted by purpose:\nAbstract Wikipedia 861,008 1,249,004 \nArtificial intelligence 239,878 — \nEndowment support — 1,297,620 \nFuture Audiences 500,000 — \nKnowledge equity 965,910 2,228,134 \nMachine learning 24,528 860,620 \nMedia Wiki 1,500,000 — \nOther 125,000 147,295 \nRestricted to future periods and by purpose:\nArtificial intelligence 1,430,000 — \nNet assets with donor restrictions $ 5,696,324 5,782,673 \n \n(6) Functional Allocation of Expenses \nCosts of providing the Foundation’s activities have been summarized below on a functional basis. \nPrograms comprise various initiatives that focus on (1) building the technological and operating platform \nthat enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, \ngrowing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in \nkey geographic areas, mobile application development, and bottom-up innovation, all of which support \nWikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for \nwhich the Foundation is reimbursed. The allocation between programs, general and administrative, and \nfundraising expenses is based on personnel and related costs and other operating expenses such as rent \nand office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC.\nConsolidated Statements of Activities\nYears ended June 30, 2024 and 2023\n2024 2023\nNet assets without donor restrictions:\nSupport and revenue:\nContributions of cash and other financial assets $ 168,212,977 164,121,185 \nContributions of nonfinancial assets and services 263,476 1,040,453 \nForeign currency losses (300,907) (94,868) \nOther income, net 5,629,773 3,824,240 \nInvestment income, net 5,096,842 3,002,929 \nRelease of net assets with donor restrictions 6,481,350 4,732,654 \nTotal support and revenue 185,383,511 176,626,593 \nOperating expenses:\nSalaries and benefits 106,793,960 101,305,706 \nAwards and grants 26,820,080 24,433,682 \nInternet hosting 3,116,445 3,120,819 \nIn-kind service expenses 263,476 1,040,453 \nDonation processing expenses 7,547,718 6,855,680 \nProfessional service expenses 13,090,040 15,464,635 \nOther operating expenses 10,798,140 7,393,982 \nTravel and conferences 5,824,979 4,878,359 \nDepreciation and amortization 4,216,271 4,602,064 \nTotal operating expenses 178,471,109 169,095,380 \nChange in net assets without donor restrictions\nfrom operating activities 6,912,402 7,531,213 \nNonoperating activities:\nUnrealized gains on investments, net 9,858,001 3,547,510 \nChange in net assets without donor restrictions 16,770,403 11,078,723 \nNet assets with donor restrictions:\nContributions with donor restrictions 6,295,000 9,273,736 \nNet assets released from restrictions (6,481,350) (4,732,654) \nIncrease (decrease) in net assets with donor \nrestrictions (186,350) 4,541,082 \nIncrease in net assets 16,584,053 15,619,805 \nNet assets at beginning of year 254,971,337 239,351,532 \nNet assets at end of year $ 271,555,390 254,971,337 \nSee accompanying notes to consolidated financial statements.\n4", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "WIKIMEDIA FOUNDATION, INC. \nNotes to Consolidated Financial Statements \nJune 30, 2024 and 2023 \n 16 (Continued) \nFor example (unaudited): \n• Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews \nper month, making them one of the most popular Web properties worldwide. Wikipedia is available in \nmore than 332 languages and contains more than 63 million articles contributed by a global volunteer \ncommunity. \n• For the year ended June 30, 2024, the educational content of the Foundation’s largest project, \nWikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles. \n• For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and \nsound files to the Foundation’s multimedia repository, making the total 106.7 million files. \n• Volunteers also contribute in several ways to the Foundation’s wiki software: volunteer software \ndevelopers add new functionality to the code base, and volunteer language specialists add to the code \nbase by translating the wiki interface into different languages. During the year ended June 30, 2024, \nthere were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of \nwhich 8,161 commits were through the efforts of approximately 244 volunteers. \n(7) Operating Leases \nOur operating lease relates to the Foundation’s headquarters in San Francisco and has a non-cancelable \nremaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on \ndaily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the \noption to extend the lease term for one additional period of five years. The Foundation determined during \nthe year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and \n$1,489,134 for the year ended June 30, 2024 and 2023, respectively. \nUndiscounted lease payments as of June 30, 2024 were as follows: \nLease\npayments\nYear ending June 30:\n2025 419,791 \nTotal minimum lease payments $ 419,791 \n \n(8) Retirement Plan \nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. \nEmployees are eligible to participate in the Plan upon employment. The Foundation matches employee \ncontributions on a dollar-for-dollar basis up to 4% of the employee’s compensation. The Foundation \ncontributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, \nrespectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "What is the price of the The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 8, - "target_passage": "£6.90", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 471 \nEDUCATION, ENGLAND \nThe Special Educational Needs and Disability (Coronavirus) \n(Amendment) Regulations 2020 \nMade - - - - 28th April 2020 \nLaid before Parliament 30th April 2020 \nComing into force - - 1st May 2020 \nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(a) and sections 29(3) and 569(4) of the \nEducation Act 1996( b). \nCitation and commencement \n1. These Regulations may be cited as the Special Educ ational Needs and Disability \n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \nReview and expiry \n2. —(1) The Secretary of State must review the effecti veness of these Regulations during the \nperiod for which they have effect. \n(2) These Regulations cease to have effect on 25th September 2020. \nAmendment of the Special Educational Needs and Disability Regulations 2014 \n3. The Special Educational Needs and Disability Regulations 2014( c) are amended as follows. \n4. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n5. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \n \n(a) 2014 c.6. Section 30(8) was amended by Schedule 2 , Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Stan dards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and se ction 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "6\n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations make amendments to secondary legi slation relating to special educational \nneeds and disability in order to provide exceptions to time limits set out in that legislation where \nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus. \nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review \nthe effectiveness of the Regulations during the per iod in which they have effect. The Regulations \ncease to have effect on 25th September 2020. \nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the \nSEND Regulations 2014’). \nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain \nrequirements in those Regulations for actions to be taken within specified time limits where it is \nnot reasonably practicable for a person to meet tho se requirements for a reason relating to the \nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a \nrequirement for such action to be taken as soon as reasonably practicable. \nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits. \nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 \n(‘the Personal Budgets Regulations 2014’). \nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as \nregulation 5 does in respect of the SEND Regulations 2014. \nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) \nRegulations 2015 (‘the Detained Persons Regulations 2015’). \nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to \nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal \nBudgets Regulations 2014 respectively. \nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax \ntime limits. \nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal \nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’). \nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to \nthose in regulations 5, 17 and 20. \nAn impact assessment has not been produced for this instrument as this is a temporary, emergency \nmeasure and no significant impact on business, charities or voluntary bodies is foreseen. \nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk. \n \n \n© Crown copyright 2020 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "4\n(2) The coronavirus exception applies where it is n ot reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \nAmendment of the Special Educational Needs and Disability (Detained Persons) Regulations \n2015 \n18. The Special Educational Needs and Disability (Deta ined Persons) Regulations 2015( a) are \namended as follows. \n19. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n20. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(1) and (4) (needs assessments whi ch are not completed); \n(b) regulation 16(2), (3) and (4) (transfer of a ke pt EHC plan); \n(c) regulation 17(1) and (2) (restriction on disclo sure of EHC plans); \n(d) regulation 19 (requirement to consider mediatio n); \n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \npursue mediation); \n(f) regulation 21 (mediation); \n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n(h) regulation 27(3) (steps to be taken by a home a uthority); \n(i) regulation 29(2) and (6) (compliance with the o rders of the First-tier Tribunal); and \n(j) regulation 30(3) and (6) (unopposed appeals).”. \n21. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n22. In regulation 5(4) (decision whether or not to con duct a detained person’s EHC needs \nassessment)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“, or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n \n(a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 582 \nPUBLIC HEALTH, ENGLAND \nThe Health Protection (Coronavirus, International Travel and \nOperator Liability) (England) Regulations 2021 \nMade - - - - at 10.32 a.m. on 14th May 2021 \nLaid before Parliament at 2.30 p.m. on 14th May 2021 \nComing into force - - at 4.00 a.m. on 17th May 2021 \nCONTENTS \nPART 1 \nIntroductory \n \n1. Citation, commencement, extent and application 3 \n2. Interpretation and introduction of Schedules 1 t o 4 3 \n \nPART 2 \nRequirements on persons arriving in England \n \n3. Requirement on passengers to provide information 5 \n4. Requirement to possess notification of negative test result 6 \n5. Requirements relating to tests 7 \n6. Requirement to book and undertake tests 9 \n7. Requirement to undertake workforce tests 10 \n8. Test requirements: offshore installation workers 12 \n9. Further requirements on arrivals from category 2 countries and territories 13 \n10. Further requirements on arrivals from category 3 countries or territories 17 \n \nPART 3 \nEnforcement \n \n11. Enforcement of requirement to self-isolate 17 \n12. Power of entry 19 \n \nPART 4 \nRequirements on operators \n \n13. Passenger information requirement 19 \n14. Required information and manner 20", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90 \nhttp://www.legislation.gov.uk/id/uksi/2021/538", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "31 \nPART 6 \nFinal provisions \nReview of need for requirements \n24. The Secretary of State must review the need for th e requirements imposed by these \nRegulations by 14th June 2021 and at least once every 28 days thereafter. \nExpiry of Regulations \n25. These Regulations expire at the end of 16th May 2022. \nRevocations, transitional provision consequential amendments and savings \n26. —(1) The following Regulations are revoked— \n(a) the Health Protection (Coronavirus, Public Health I nformation for International \nPassengers) (England) Regulations 2020(a); \n(b) the Health Protection (Coronavirus, International T ravel) (England) Regulations 2020 \n(“the International Travel Regulations”)( b); and \n(c) the Health Protection (Coronavirus, Pre-Departure T esting and Operator Liability) \n(England) (Amendment) Regulations 2021(c). \n(2) Schedule 15 makes consequential amendments to other instruments specified in that \nSchedule. \n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the re gulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person). \n \n \nSigned by authority of the Secretary of State \n \n Robert Courts \n Parliamentary Under Secretary of State \nAt 10.32 a.m. on 14th May 2021 Department for Trans port \n \n(a) S.I. 2020/567. \n(b) S.I. 2020/568. \n(c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "£4.90 \nUK202004201005 04/2020 19585 \nhttp://www.legislation.gov.uk/id/uksi/2020/438", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "91 \n18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued purs uant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations replace the Health Protection (Co ronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulat ions”), the Health Protection (Coronavirus, \nPublic Health Information for International Passeng ers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testi ng and Operator Liability) (England) \n(Amendment) Regulations 2021. \nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavir us or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "89 \n(3) In regulation 4ZA— \n(a) in the heading, for “the Health Protection (Coronav irus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n(b) in paragraph (1)(a), for “regulation 3B of the Heal th Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“ the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus , International Travel and Operator \nLiability) (England) Regulations 2021 (“the Interna tional Travel and Operator Liability \nRegulations”)”; \n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Sche dule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedul e 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n2. —(1) The Health Protection (Coronavirus, Restrictio ns) (Self-Isolation) (England) Regulations \n2020(a) are amended as follows. \n(2) In regulation 2D(1)(c), for “regulation 4 of the He alth Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “reg ulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n(3) In regulation 6(1)— \n(a) in the definitions of “designated place”, “isolatio n requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n(b) in the definition of “International Travel Regulati ons”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and O perator Liability) (England) \nRegulations 2021”. \n SCHEDULE 16 Regulation 26(3) \nTransitional provision \n1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n2. Confirmation given by the Foreign, Commonwealth an d Development Office that a person is \nnot required to comply with regulation 3B of the 20 20 Regulations is treated as confirmation that \nthe person is not required to comply with regulatio n 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n3. A designation by the Secretary of State of a perso n as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a design ation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021. \n \n(a) S.I. 2020/1045. Regulation 2D was inserted by S.I . 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "2\ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(2) (transfer of EHC plans) (in re lation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n(c) regulation 20(9) and (10) (review where the chi ld or young person attends a school \nor other institution); \n(d) regulation 21(7), (8) and (9) (review of EHC pl an where the child or young person \ndoes not attend a school or other institution); \n(e) regulation 25(1) (notification of decision whet her it is necessary to re-assess \neducational, health care and social care provision); \n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n(g) regulation 33 (requirement to consider mediatio n); \n(h) regulation 34(1) and (2) (where a parent or you ng person does not wish to or fails \nto pursue mediation); \n(i) regulation 35(2), (3) and (4) (mediation – heal th care issues); \n(j) regulation 36(2) (mediation - no health care is sues); \n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n(m) regulation 44(2)(d), (e), (f) and (h) (complian ce with the orders of the First-tier \nTribunal); \n(n) regulation 45(4), (5) and (6A) (unopposed appea ls); \n(o) regulation 47 (disclosure of EHC plans in relat ion to higher education); and \n(p) regulation 56(3) (publication of comments on th e local offer).”. \n6. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n8. In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n9. In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When come into force the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 1, - "target_passage": "These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2020 No. 471 \nEDUCATION, ENGLAND \nThe Special Educational Needs and Disability (Coronavirus) \n(Amendment) Regulations 2020 \nMade - - - - 28th April 2020 \nLaid before Parliament 30th April 2020 \nComing into force - - 1st May 2020 \nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) \nand 135(2) and (3) of the Children and Families Act 2014(a) and sections 29(3) and 569(4) of the \nEducation Act 1996( b). \nCitation and commencement \n1. These Regulations may be cited as the Special Educ ational Needs and Disability \n(Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020. \nReview and expiry \n2. —(1) The Secretary of State must review the effecti veness of these Regulations during the \nperiod for which they have effect. \n(2) These Regulations cease to have effect on 25th September 2020. \nAmendment of the Special Educational Needs and Disability Regulations 2014 \n3. The Special Educational Needs and Disability Regulations 2014( c) are amended as follows. \n4. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n5. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \n \n(a) 2014 c.6. Section 30(8) was amended by Schedule 2 , Part 1, paragraph 4 to the Children and Social Work Act 2017 (c.16). \n(b) 1996 c.56. Section 29(3) was amended by Schedule 30, paragraph 67 and Schedule 31 to the School Stan dards and \nFramework Act 1998 (c.31) and S.I. 2010/1158 and se ction 569(4) was amended by section 8(1) and (5) of the Education \n(Wales) Measure 2009. \n(c) S.I. 2014/1530, relevant amending instruments are S.I. 2014/2096, S.I. 2015/359 and S.I. 2017/1306.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "6\n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations make amendments to secondary legi slation relating to special educational \nneeds and disability in order to provide exceptions to time limits set out in that legislation where \nthey cannot be met because of a reason relating to the incidence or transmission of coronavirus. \nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review \nthe effectiveness of the Regulations during the per iod in which they have effect. The Regulations \ncease to have effect on 25th September 2020. \nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 (‘the \nSEND Regulations 2014’). \nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain \nrequirements in those Regulations for actions to be taken within specified time limits where it is \nnot reasonably practicable for a person to meet tho se requirements for a reason relating to the \nincidence or transmission of coronavirus. Instead, any such requirement is to be read as a \nrequirement for such action to be taken as soon as reasonably practicable. \nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits. \nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 \n(‘the Personal Budgets Regulations 2014’). \nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as \nregulation 5 does in respect of the SEND Regulations 2014. \nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) \nRegulations 2015 (‘the Detained Persons Regulations 2015’). \nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to \nthe ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal \nBudgets Regulations 2014 respectively. \nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax \ntime limits. \nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal \nRecommendations Power) Regulations 2017 (‘the First-tier Tribunal Regulations 2017’). \nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to \nthose in regulations 5, 17 and 20. \nAn impact assessment has not been produced for this instrument as this is a temporary, emergency \nmeasure and no significant impact on business, charities or voluntary bodies is foreseen. \nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk. \n \n \n© Crown copyright 2020 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "4\n(2) The coronavirus exception applies where it is n ot reasonably practicable for the local \nauthority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the \nincidence or transmission of coronavirus.”. \nAmendment of the Special Educational Needs and Disability (Detained Persons) Regulations \n2015 \n18. The Special Educational Needs and Disability (Deta ined Persons) Regulations 2015( a) are \namended as follows. \n19. In regulation 2(1) (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n20. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(1) and (4) (needs assessments whi ch are not completed); \n(b) regulation 16(2), (3) and (4) (transfer of a ke pt EHC plan); \n(c) regulation 17(1) and (2) (restriction on disclo sure of EHC plans); \n(d) regulation 19 (requirement to consider mediatio n); \n(e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to \npursue mediation); \n(f) regulation 21 (mediation); \n(g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act); \n(h) regulation 27(3) (steps to be taken by a home a uthority); \n(i) regulation 29(2) and (6) (compliance with the o rders of the First-tier Tribunal); and \n(j) regulation 30(3) and (6) (unopposed appeals).”. \n21. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n22. In regulation 5(4) (decision whether or not to con duct a detained person’s EHC needs \nassessment)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“, or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n \n(a) S.I. 2015/62.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 582 \nPUBLIC HEALTH, ENGLAND \nThe Health Protection (Coronavirus, International Travel and \nOperator Liability) (England) Regulations 2021 \nMade - - - - at 10.32 a.m. on 14th May 2021 \nLaid before Parliament at 2.30 p.m. on 14th May 2021 \nComing into force - - at 4.00 a.m. on 17th May 2021 \nCONTENTS \nPART 1 \nIntroductory \n \n1. Citation, commencement, extent and application 3 \n2. Interpretation and introduction of Schedules 1 t o 4 3 \n \nPART 2 \nRequirements on persons arriving in England \n \n3. Requirement on passengers to provide information 5 \n4. Requirement to possess notification of negative test result 6 \n5. Requirements relating to tests 7 \n6. Requirement to book and undertake tests 9 \n7. Requirement to undertake workforce tests 10 \n8. Test requirements: offshore installation workers 12 \n9. Further requirements on arrivals from category 2 countries and territories 13 \n10. Further requirements on arrivals from category 3 countries or territories 17 \n \nPART 3 \nEnforcement \n \n11. Enforcement of requirement to self-isolate 17 \n12. Power of entry 19 \n \nPART 4 \nRequirements on operators \n \n13. Passenger information requirement 19 \n14. Required information and manner 20", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "31 \nPART 6 \nFinal provisions \nReview of need for requirements \n24. The Secretary of State must review the need for th e requirements imposed by these \nRegulations by 14th June 2021 and at least once every 28 days thereafter. \nExpiry of Regulations \n25. These Regulations expire at the end of 16th May 2022. \nRevocations, transitional provision consequential amendments and savings \n26. —(1) The following Regulations are revoked— \n(a) the Health Protection (Coronavirus, Public Health I nformation for International \nPassengers) (England) Regulations 2020(a); \n(b) the Health Protection (Coronavirus, International T ravel) (England) Regulations 2020 \n(“the International Travel Regulations”)( b); and \n(c) the Health Protection (Coronavirus, Pre-Departure T esting and Operator Liability) \n(England) (Amendment) Regulations 2021(c). \n(2) Schedule 15 makes consequential amendments to other instruments specified in that \nSchedule. \n(3) Schedule 16 makes transitional provisions. \n(4) Nothing in these Regulations applies in relation to a person who arrived in England before \n4.00 a.m. on 17th May 2021 (and accordingly, the re gulations mentioned in paragraph (1) \ncontinue to have effect in relation to such a person). \n \n \nSigned by authority of the Secretary of State \n \n Robert Courts \n Parliamentary Under Secretary of State \nAt 10.32 a.m. on 14th May 2021 Department for Trans port \n \n(a) S.I. 2020/567. \n(b) S.I. 2020/568. \n(c) S.I. 2021/38.", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "91 \n18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the \n2020 Regulations has effect as guidance issued purs uant to paragraph 4(2) of Schedule 9 to these \nRegulations. \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations replace the Health Protection (Co ronavirus, International Travel) (England) \nRegulations 2020 (“the International Travel Regulat ions”), the Health Protection (Coronavirus, \nPublic Health Information for International Passeng ers) (England) Regulations 2020 and the \nHealth Protection (Coronavirus, Pre-Departure Testi ng and Operator Liability) (England) \n(Amendment) Regulations 2021. \nThey impose requirements on certain categories of person to provide information upon arrival in \nEngland, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the \nspread of infection or contamination from coronavir us or coronavirus disease. They also impose \nobligations on operators to ensure that passengers receive information and comply with the \nrequirements. \nAn impact assessment has not been produced for this instrument. An explanatory memorandum \nhas been published alongside this instrument at www.legislation.gov.uk. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "2\ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 15(2) (transfer of EHC plans) (in re lation to the second reference to 15 \nworking days), (4), (5), (7) (in relation to the second reference to 15 working days) \nand (8); \n(b) regulation 16(2) and (3) (change of responsible commissioning body); \n(c) regulation 20(9) and (10) (review where the chi ld or young person attends a school \nor other institution); \n(d) regulation 21(7), (8) and (9) (review of EHC pl an where the child or young person \ndoes not attend a school or other institution); \n(e) regulation 25(1) (notification of decision whet her it is necessary to re-assess \neducational, health care and social care provision); \n(f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment); \n(g) regulation 33 (requirement to consider mediatio n); \n(h) regulation 34(1) and (2) (where a parent or you ng person does not wish to or fails \nto pursue mediation); \n(i) regulation 35(2), (3) and (4) (mediation – heal th care issues); \n(j) regulation 36(2) (mediation - no health care is sues); \n(k) regulation 39(1) and (3) (mediation certificate under section 55(5)); \n(l) regulation 42(3) and (4) (steps to be taken by a local authority); \n(m) regulation 44(2)(d), (e), (f) and (h) (complian ce with the orders of the First-tier \nTribunal); \n(n) regulation 45(4), (5) and (6A) (unopposed appea ls); \n(o) regulation 47 (disclosure of EHC plans in relat ion to higher education); and \n(p) regulation 56(3) (publication of comments on th e local offer).”. \n6. In regulation 4 (determination whether or not spec ial educational provision may be \nnecessary), after paragraph (2) insert— \n“(3) The local authority need not comply with the time limit referred to in paragraph (1) if \nit is impractical to do so because of a reason rela ting to the incidence or transmission of \ncoronavirus.”. \n7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)— \n(a) at the end of sub-paragraph (c) omit “or”; and \n(b) at the end of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n8. In regulation 8(2) (duty to co-operate in EHC needs assessments)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n9. In regulation 10(4) (decision not to secure an EHC plan)—", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "3\nThe Secretary of State makes the following Regulati ons in exercise of the powers conferred by \nsections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984(a). \nPART 1 \nIntroductory \nCitation, commencement, extent and application \n1. —(1) These Regulations may be cited as the Health P rotection (Coronavirus, International \nTravel and Operator Liability) (England) Regulations 2021. \n(2) These Regulations come into force at 4.00 a.m. on 17th May 2021. \n(3) These Regulations extend to England and Wales and apply in relation to England only. \nInterpretation and introduction of Schedules 1 to 4 \n2. —(1) In these Regulations— \n“category 1 arrival” means person who has arrived i n England from a category 1 country or \nterritory, and has not been in a category 2 country or territory or a category 3 country or \nterritory in the period beginning with the 10th day before the date of their arrival in England; \n“category 1 country or territory” means a country o r territory, or part of a country or territory, \nspecified in Schedule 1(b); \n“category 2 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 2(c); \n“category 3 country or territory” means a country o r territory or part of a country or territory \nspecified in Schedule 3(d); \n“child” means a person under the age of 18; \n“the common travel area” has the meaning given in section 1(3) of the Immigration Act \n1971(e); \n“coronavirus” means severe acute respiratory syndro me coronavirus 2 (SARS-CoV-2); \n“coronavirus disease” means COVID-19 (the official designation of the disease which can be \ncaused by coronavirus); \n“designated port” means a port designated for the purposes of Schedule 11; \n“device” means an in vitro diagnostic medical devic e within the meaning given in regulation \n2(1) of the Medical Devices Regulations 2002(f); \n“disability” has the meaning given in the Equality Act 2010(g) (see section 6 of, and Schedule \n1 to, that Act); \n“immigration officer” means a person appointed by the Secretary of State as an immigration \nofficer under paragraph 1 of Schedule 2 to the Immigration Act 1971(h); \n“managed self-isolation package” has the meaning gi ven in paragraph 8 of Schedule 11; \n“operator” except in regulation 18, means an operat or of a relevant service; \n \n(a) 1984 c. 22. Part 2A was inserted by section 129 o f the Health and Social Care Act 2008 (c. 14). \n(b) Category 1 countries and territories are referred to colloquially and in guidance as “Green List” co untries and territories. \n(c) Category 2 countries and territories are referred to colloquially and in guidance as “Amber List” co untries and territories. \n(d) Category 3 countries and territories are referred to colloquially and in guidance as “Red List” coun tries and territories. \n(e) 1971 c. 77; section 1(3) provides that the United Kingdom, the Channel Islands, the Isle of Man and the Republic of Ireland \nare collectively referred to in that Act as “the co mmon travel area”. \n(f) S.I. 2002/618. \n(g) 2010 c. 15. \n(h) Paragraph 1 was amended by paragraph 3 of Schedul e 3 to the Health Protection Agency Act 2004 (c. 17 ), and by S.I. \n1993/1813.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "5\n23. In regulation 8(2) (duty to co-operate in a detain ed person’s EHC needs assessment), at the \nend of sub-paragraph (d) insert— \n“; or \n(e) of a reason relating to the incidence or transm ission of coronavirus”. \n24. In regulation 10(4) (decision not to secure an EHC plan)— \n(a) at the end of sub-paragraph (b) omit “or”; and \n(b) at the end of sub-paragraph (c) insert— \n“; or \n(d) of a reason relating to the incidence or transm ission of coronavirus”. \n25. In regulation 13(3) (timescales for EHC plans), for “(c)” substitute “(d)”. \n26. In regulation 29 (compliance with the orders of the First-tier Tribunal)— \n(a) after paragraph (6) insert— \n“(6A) The home authority need not comply with the time limits specified in paragraph (3) \nif it is impractical to do so because the circumsta nces referred to in regulation 10(4)(d) \napply.”. \n(b) in paragraph (7)(c) after “10(4)(a)” insert “or (d) ”. \n27. In regulation 30(7)(c) (unopposed appeals), after “10(4)(a)” insert “or (d)”. \nAmendment of the Special Educational Needs and Disa bility (First-tier Tribunal \nRecommendations Power) Regulations 2017 \n28. The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) \nRegulations 2017(a) are amended as follows. \n29. In regulation 2 (interpretation), at the appropriate place insert— \n““coronavirus” means severe acute respiratory syndr ome coronavirus 2 (SARS-CoV-2); \n”. \n30. After regulation 2 (interpretation) insert— \n“ Relaxation of time periods due to coronavirus exception \n2A. —(1) Where the coronavirus exception applies, any r equirement in any of the \nregulations specified in paragraph (3) for action t o be taken within a specified period of \ntime or by a certain day is to be read instead as a requirement for such action to be taken as \nsoon as reasonably practicable. \n(2) The coronavirus exception applies where it is n ot reasonably practicable for a person \nto meet a requirement referred to in paragraph (1) for a reason relating to the incidence or \ntransmission of coronavirus. \n(3) The following regulations are specified for the purposes of paragraphs (1) and (2)— \n(a) regulation 6(3) and (6) (responding to health c are recommendations); and \n(b) regulation 7(1) and (4) (responding to social c are recommendations).”. \n \n \n Vicky Ford \n Parliamentary Under Secretary of State \n28th April 2020 Department for Education \n \n \n(a) S.I. 2017/1306.", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "89 \n(3) In regulation 4ZA— \n(a) in the heading, for “the Health Protection (Coronav irus, International Travel) (England) \nRegulations 2020” substitute “the Health Protection (Coronavirus, International Travel \nand Operator Liability) (England) Regulations 2021”; \n(b) in paragraph (1)(a), for “regulation 3B of the Heal th Protection (Coronavirus, \nInternational Travel) (England) Regulations 2020 (“ the 2020 Regulations”)” substitute \n“regulation 6 of the Health Protection (Coronavirus , International Travel and Operator \nLiability) (England) Regulations 2021 (“the Interna tional Travel and Operator Liability \nRegulations”)”; \n(c) in paragraph (1)(c), for “paragraph 7(1)(f) of Sche dule 2C to the 2020 Regulations” \nsubstitute “paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator \nLiability Regulations”; \n(d) in paragraph (3), for “paragraph 7(1)(f) of Schedul e 2C to the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “paragraph \n7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations”. \n2. —(1) The Health Protection (Coronavirus, Restrictio ns) (Self-Isolation) (England) Regulations \n2020(a) are amended as follows. \n(2) In regulation 2D(1)(c), for “regulation 4 of the He alth Protection (Coronavirus, International \nTravel) (England) Regulations 2020” substitute “reg ulation 9 of the Health Protection \n(Coronavirus, International Travel and Operator Liability) (England) Regulations 2021”. \n(3) In regulation 6(1)— \n(a) in the definitions of “designated place”, “isolatio n requirements” and “self-isolating \nworker”, for “regulation 4” substitute “regulation 9”; \n(b) in the definition of “International Travel Regulati ons”, for “the Health Protection \n(Coronavirus, International Travel) (England) Regul ations 2020” substitute “the Health \nProtection (Coronavirus, International Travel and O perator Liability) (England) \nRegulations 2021”. \n SCHEDULE 16 Regulation 26(3) \nTransitional provision \n1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to \nregulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations \n2020 (“the 2020 Regulations”) in advance of arrival in England is treated as passenger information \nprovided for the purposes of these Regulations where the person arrives in England on or after that \ndate. \n2. Confirmation given by the Foreign, Commonwealth an d Development Office that a person is \nnot required to comply with regulation 3B of the 20 20 Regulations is treated as confirmation that \nthe person is not required to comply with regulatio n 6 of these Regulations where the person \narrives in England on or after 4.00 a.m. on 17th May 2021. \n3. A designation by the Secretary of State of a perso n as an authorised person under regulation \n5(7) of the 2020 Regulations has effect as a design ation of that person as an authorised person \nunder of regulation 11(11)(c) of these Regulations. \n4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who \nexercises the powers in that regulation in relation to a person who arrived in England before 4.00 \na.m. on 17th May 2021. \n \n(a) S.I. 2020/1045. Regulation 2D was inserted by S.I . 2021/364. There are other amendments but none is relevant.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "Who is Daniel Casali ?", - "target_page": 12, - "target_passage": " Daniel Casali is a Thought Leader Information Technology Specialist working for 15 years at IBM with Power Systems, high-performance computing, big data, and storage. His role at IBM is to bring to reality solutions that address client’s needs by exploring new technologies for different workloads. He is also fascinated by real multicloud implementations, always trying to abstract and simplify the new challenges of the heterogeneous architectures that are intrinsic to this new consumption model, be that on-premises or in the public cloud. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "2010 ANNUAL REPORT | 35\nDanny Games\nFelipe Garcia\nMelissa Gardner\nBilly Gary\nDon Gatewood\nTodd Gatewood\nBill Gee\nMatthew Gelnar\nJoseph Genovese Jr.\nMarissa Gibbs\nChristi Gibson\nJonathan Gill\nEric Gillespie\nBrian Gilliam\nDaniel Gilmore\nDavid Gilmore\nShane Glassey\nBarry Gober\nNeva Godwin\nAmy Gonzales\nAlfonso Gonzalez Jr.\nFrancisco Gonzalez\nHector Gonzalez Jr.\nBill Goode\nCarl Goodnight\nDavid Gordon\nAshlynn Gosnell\nCody Goss\nJacob Grafa\nZach Gragg\nDavid Graham\nJane Graham\nTim Graham\nLee Grampp\nKenneth C. Graves\nKevin Graves\nD’Angelo Gray\nKevin Gray\nTyler Gray\nMarcus A. Green\nRandy W. Green\nRichard Green\nCara Greenhaw\nBruce Griffin\nDevyn Griffin\nBrooke Grossman\nDave Grumieaux\nRoy Guerra\nBrianne Gungoll\nDonald Gunnoe II\nGilbert Gutierrez Jr.\nJose R. Gutierrez\nSummer Gwinn\nCharles Gerlich\nTimothy Haack\nGreg Haddock\nClarence Hadley\nJosh Halbert\nLindsay Hale\nTrey Hale\nRob Hall\nRobert Ham\nZaid Hamdokh\nJeremy Hamill\nErin Hamilton\nHeather Hamilton\nWeston Hamilton\nCarolyn Hancock\nMelanie Harless\nMichael Harman\nCharlie Harrington\nAaron Harris\nAmy Harris\nJeff A. Harris\nJohn Harris\nMichael Harris\nMark E. Harrison\nDaniel Hart\nDavid Hart\nDavid Hatton\nJerry Hausman\nShane Hayden\nCharles Hayes\nKelly Hayes\nPatrick Hayes\nStephanie Hayes\nDoug Haymaker\nMike Haynes\nDustin Hays\nSara Hays\nThomas Hays\nTyler Hays\nJames Head\nGary Heinen\nLindsey Heintz\nChristopher Heiskill\nKelly Helm\nKim Helvey\nRob Hembree\nKim Henderson\nKristi Henderson\nTJ Henderson II\nDave Henson\nAlvaro Hernandez\nFrancisco L. Hernandez\nMario Hernandez\nMarisol Hernandez\nRomualdo Hernandez Jr.\nJude Herring\nRichard Hess\nJosh Hicks\nWilliam Higginbotham\nHillary Higgins\nShane Hilliard\nAngelo Hilton\nWeston Hinton\nKeasha Hobbs\nCharles Hodges\nJoe Hofer\nDuston Hoffman\nEric Holcomb\nDan Holden\nAdam Holland\nJanice Holloway\nAdrianne Holmes\nDennis Holmes\nDon Holt\nKyle Holt\nTiffany Hopkins\nGreg Hopper\nRyan Horn\nTim Horne\nMatthew Horton\nBud Hoselton\nNicole Howard\nJoe Howell\nJohn Howell\nRonnie Hubbard\nMelissa Huddleston\nTara Hudson\nBarry Huggins\nKeystone Hughes\nOmar Huizar\nTracy Hulsey\nMatthew Humphrey\nJoe Hunley\nDanny Hunt\nSteven Hutchens Jr.\nDaniel Hyatt\nSteven Hyatt\nAngela Ibara\nKaty Igarta\nGerald Irwin III\nErnie Isenhart\nKate Ivey\nMonsuru Iyanda\nAlan Jackson\nAngela Jackson\nBeverly Jackson\nKristine Jackson\nLarry Jacobs\nCody Jacoway\nJeremy James\nKen James\nTommy Jamison\nVictor Jaramillo\nStephanie Jaronek\nBilly Jeffers\nClint Jennings\nLi Jett\nPablo Jimenez\nBilly Johnson\nBrenda Johnson\nDannie Johnson\nJason Johnson\nKyle Johnson\nKyle R. Johnson\nRandell Johnson\nStephen Johnson\nTyler Johnson\nPerry Johnston\nAaron Jones\nAnne Jones\nJeff L. Jones\nScott Jones\nChad Jongeling\nChris Jordan\nRigo Juarez\nAndy Kapchinske\nAndrew Karber\nTiffanie Karber\nDoug Kathol\nRita Keary\nBradley Keech\nClayton Keenan\nBill Keller\nKim Keller\nAmber Kelley\nJason Kelley\nPamela Kerr\nFreddie King Jr.\nLanney King\nNelson King\nRyan Kintner\nDayna Kirk\nDale Kisner\nRobert Kitchens\nKasey Kliewer\nRobert Kline\nMark Knight\nTiffany Kordic\nMichael Koss\nAllison Krittenbrink\nRyan Krittenbrink\nDan Kucab\nMiranda Lacey\nSteve Ladner\nMiranda Lair\nTodd Lamb\nKelly Lamoreaux\nMindy Lamprich\nClay Lancon\nNikki Landsberger\nLaura Lanford\nDustin Langley\nAbel Lara\nLindel Larison Jr.\nToby Lattea\nEugene Lauricella\nAndy Lawrence\nWallace Lawrence\nCheryl Lawson\nToni Lawson\nLuke Lawver\nReagan Lea\nGreg Ledbetter\nMelissa Lee\nTony Lee\nWarren Lee\nJeremy Leger\nBranden Lehoski\nTim Leierer\nDan Leiphart\nLogan Lemley\nLuis Lerma\nChrista Levescy\nChelsea Lewis\nGreg Lewis\nStacey Lewis\nJohn Libhart\nChuck Lilly\nLaura Linn\nCory Listen\nJeremy Litton\nBrian Lockart\nNicole Logsdon\nAngie Lohner\nEthel Long\nJames Long\nAlfred Loper\nJavier Lopez\nEric Loudenslager\nT.D. Louis\nShirley Lovelady\nBrandon Lovell\nMichael Lovell\nLu Lovett-Voss\nBenjamin Lucas Jr.\nDustin Lucas\nShane Luckett\nGerardo Lugo\nMatthew Luna\nRichard Luss\nDavid Lynch\nPenny Macias\nColeen Magness\nRhonda Maguire\nCharlie Malcolm\nJohn Manes\nKarissa Mann\nTerry Mann\nMark Manos\nChris Marble\nShawn Maricelli\nKeith Marin\nTravis Marker\nLeeAnn Marley", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Seth Stamper\nBill Stanger Jr.\nDaniel Stanton\nSteve Stapleton\nAlbert Stapp Jr.\nJoshua Stapp\nGregory Starcher\nBrian Stark Jr.\nChris Stark\nMichael Starkey\nKevin Starks Jr.\nJim Starr Jr.\nJason Statham\nBrian Statler\nEmerson Steele\nMike Steele\nZachary Stell\nGary Stephens Jr.\nLynn Stephens\nTasha Stephens\nTodd Stephenson\nCalvin Stevens\nJimmy Stevens\nHomer Stewart\nJeremy Stewart\nLarry Stewart\nMarlon Stewart\nJake Stippel\nJonathon Stitt\nAllison Stone\nChris Stone\nNate Stone\nRussell Storch\nMarianna Storozyszyn\nJason Stovall\nRob Stover\nRichard Strachan\nSaxby Stradinger\nTravis Strawbridge\nSteven Street\nShay Stricklin\nKim Stroh\nJoe Strotman\nMarty Stroud\nStephanie Stroud\nTommy Stroud\nTracy Stroup Jr.\nCody Stuart\nJames Stuart\nTimothy Studer\nMichael Sturgis\nJessica Suazo\nJenni Sudduth\nPeter Sulak\nKimberly Sullivan\nPaula Sullivan\nShawn Sullivan\nWill Sullivan\nKaren Summers\nRobert Summers\nKim Sutton\nDanny Swain\nMitchell Swartz\nDan Sweeney\nRory Sweeney\nAlex Swisher\nAmanda Syed\nMark Szollosy\nPaul Tackett\nAfshean Talasaz\nMichael Talbert\nMichael Talbott\nLandon Tanner\nTony Tarpenning\nShawn Tarron\nDavid Tarwater\nReid Tausch\nCole Taylor\nDavid A. Taylor\nElvin Taylor Jr.\nJason Taylor\nJustin Taylor\nMelissa Taylor\nMichael Taylor\nMichele Taylor\nRobert D. Taylor\nSteven Taylor\nSusie Taylor\nZachariah Taylor\nCasey Teachman\nDoyle Tenney\nCameron Tenorio\nCynthia Terbush\nMarlena Terrana\nCarlos Terrazas\nFrederick Terrell\nAdam Terry\nJacob Terry\nMelanie Terry\nRick Thacker\nBrittany Thomas\nChristopher Thomas\nDanny Thomas\nJim Thomas\nJosh Thomas\nKimberly Thomas\nLevi Thomas\nTodd Thomas\nTravis Thomas\nBen Thompson\nBrad Thompson\nCameron R. Thompson\nChase Thompson\nGavin Thompson\nHolly Thompson\nJack Thompson III\nJeff D. Thompson\nJoe Thompson\nKim Thompson\nNathan Thompson\nPaul Thompson\nRichard G. Thompson\nRobbie Thompson\nRonald Thompson II\nRobert Thoms\nKen Thorne\nJoey Thornton\nScott Throckmorton\nScott Tidwell\nTodd Tidwell\nJustin Tikhonoff\nTodd Tilford\nVernon Tillery Jr.\nAllen Timmons\nAubrey Timmons\nMichael Tinline\nAllen Tinsley\nLou Tinucci\nJesse Tippitt\nBrent Tipton\nVearl Tolbert Jr.\nDavid Tollison\nJohn M. Tomascik Jr.\nJohn M. Tomascik III\nAngel Torres\nAntonio Torres\nRolando Torres\nAngelo Torrey\nLin Tovar\nDarren Townley\nBill Townson Jr.\nScotty Trahan\nStephen Trahan\nJamye Trammell\nTyler Trammell\nAndy Travis\nJames Travis\nNick Traylor\nCorey Treadway\nThomas Treece\nEddie Trevino\nJuan Trevino\nVictor Trigo\nPaul Trimble\nAaron Tripi\nBrandon Triplett\nJoshua Triplett\nStephen Trosclair\nBilly Trout\nCortney Trumbly\nBrian Tschider\nValerie Tubbs\nKody Tucker\nAlan Tullius\nZack Turlington\nBrian Turner\nDonald Turner\nEric Turner\nHeather Turner\nMichele Turner\nNicole Turner\nPatricia Turner\nTodd Turner\nJoe Turpin\nSkyler Tuter\nRichard Tuttle\nZachary Twist\nDavid Tyree\nBrooke Unruh\nFelix Urbina\nMelissa Vahlberg\nGeorgi Vajarov\nMax Vangieson\nFrank Van Alstyne III\nGeorge Van Deusen\nCaleb Van Dolah\nTom Van Kirk\nDavid Van Winkle\nRubenia Vasquez\nMellisa Vasquez Cancino\nDavid Vassar\nRobert Vaughn\nAmber Vawter\nJenifer Veach\nCorey Veer\nRafael Vela\nRicardo Vela Jr.\nGary Velardo\nMaria Velez\nTimothy Venable\nRaymond E. Verhoeven\nPete Vermillion\nChris Verner\nChuck Vessey Jr.\nJames Vest\nKate Via\nMike Viator\nJohn Vick Jr.\nDanny Vickery\nCoral Viezcas\nJose Villalobos\nOrlando Villarreal\nBrad Vinsek\nDerek Vinyard\nAllyson Vistica\nJohn Voda\nLarry Vogel\nRobert Vogelgesang\nNathan Voorhees\nJason Voreis\nKenneth Wade\nNikki Wade\nRob Wade\nBrad Waggoner\nRobert Wagner\nRich Wagoner\nBrent Waidmann\nDennis Walden\nTodd Waldron\nMichael Wales\nBilly Walker\nBritt Walker\nDouglas Walker\nFloyd Walker\nGreg Walker\nJason Walker\nJulie Walker\nMitch Walker\nRyan Walker\nChris Walla\nDeborah Wallace\nJoshua Wallace\nLindsey Wallace\nNolan Wallace\nJames Walley\nDoyle Walls\nHenry Walston\nBret Walters\nClinton Walton\nBrooke Waltrip\nDonald Wamsley II\nDavid Wanzer\nDallas Warburton\nTracy Wardlow\nMilton Ware\nAcea Warn\nSherry Warner\nCody Warren\nJeffery Waters\nKimberly Watkins\nScott Watkins\nJesse Watson\nCarl Watt\nLesley Williams\nLisa Williams\nMelissa Williams", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Dallas Warburton\nTracy Wardlow\nMilton Ware\nAcea Warn\nSherry Warner\nCody Warren\nJeffery Waters\nKimberly Watkins\nScott Watkins\nJesse Watson\nCarl Watt\nLesley Williams\nLisa Williams\nMelissa Williams\nMichael Williams\nPhillip Williams\nRod Williams\nSonji Williams\nTimothy Williams\nTyler Williams\nWayne Williams\nWalt Willoughby\nBetina Wills\nAlan L. Wilson\nBrandon Wilson\nCandace Wilson\nCilff Wilson\nCody Wilson\nEric Wilson\nErnie Wilson\nJeremy Wilson\nJohn Wilson\nMarcus Wilson\nMichele Wilson\nMisty Wilson\nTerry Wilson\nRayna Wiltz\nRita Winn-Lott\nJohn Winzeler\nWilliam Wirth Jr.\nNicole Wise\nStephen Wisecarver Jr.\nGeorge Wittrock\nKevin Wolf\nMicah Wolter\nNathan Wood\nRobin Wood\nTerianne Wood\nAlicia Woodring\nScott Woodruff\nShane Woods\nBenjamin Wooten\nBryan Work\nChad Workman\nJanie Worsham\nPhillip Worsham\nMatthew Wragge\nDavid Wright Jr.\nJake Wright\nJeff Wright\nJerod Wright\nJohn V. Wright\nKatie Wright\nKrystal Wright\nFred Wrisley\nLindsey Wyatt\nJonathan Wynn\nJake Wynne\nCathie Wythe\nDominick Wytovich\nBrad Yanchuk\nJessie Yankey\nTanya Yanney\nBea Yates\nBoyd Yates\nMichael Yates\nSloan Yates\nJason Yeager\nMark Yeager\nDavid Yeary\nBryan Yeasted\nColin Yocum\nChristopher Yoder\nMarty Yoho\nJeremy Youells\nJeffrey Youells Jr.\nAshley Young\nDavid Young\nJeffrey Young\nMike Young\nSteve Young\nTony Younker\nJoshua Zabler\nPaula Zambrano\nJeff Zanotti\nChad Zickefoose\nCarlene Zuech\nBill Zurn\nArthur Zwierlein\nKade Zybach\nMichael Watts\nNathan Watts\nLacy Waugh\nJoshua Waychoff\nTony Waychoff Jr.\nJuan Weatherton\nAudrey Weaver\nBrian Weaver\nDerrick Weaver\nDustin Weaver\nMatthew Weaver\nPat Weaver\nRoss Weaver\nKathy Weeks\nCollin Weibel\nMarissa Weichbrodt\nDan Weinmeister\nLauren Weir\nCody Weisinger\nJames Welch\nMichael D. Welch\nAshley Wells\nDaniel Wells\nLaura Wells\nShelli Wells\nJason Welty\nTodd Wenrich\nGarin Wente\nTimothy Wescott\nTony Wesolick\nEric West\nKelly West\nJosh Westbrook\nLarry Westbrook\nDaniel Westcott\nAdam Westerman\nJenae Whatley\nRobert Whatley\nAndy Wheat\nKip Wheeler\nClarence Whipkey\nBob Whipp\nLeo Whitaker\nChris C. White\nChris D. White\nHaver White\nJonathan White\nLindsey White\nMicheal White\nRandall White II\nTamela White\nTony White\nTyler White\nWilliam White III\nJohn Whited\nTaryn Whitefield\nAndrew Whiteneck\nJohn Whitesell\nWhitney Whitlow\nJulie Whitmore\nDerek Whitten\nKatie Whittern\nScott Whytsell\nKarl Wickman\nRyan Wieder\nAndrew Wiggins\nJohn Wiggins\nRobert Wiggins\nRandy Wilde Jr.\nJason Wiley\nKristen Wiley\nAaron Wilfong\nJR Wilhoit Jr.\nSkylar Wilhoit\nHeath Wilkerson\nJason Wilkins\nNichlos Wilkinson\nRoberto Willars II\nTyler Willey\nBrian D. Williams\nBrooke Williams\nCameron Williams\nCody L. Williams\nDaniel Williams\nDavid Williams\nEddie Williams\nEric Williams\nFariba Williams\nGlenn Williams\nJason B. Williams", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Robert Nichols II\nGabriel Nickeson\nGary Nicklow\nBrian Nielsen\nScott Niermeyer\nMarilyn Nimz\nDaryl Nix\nDoug Nix\nBrent Noller\nCasey Noonan\nBrett Norbotten\nAmanda Nordin\nCole Norman\nLindsay Norman\nMiranda Norman\nDee Norton\nTad Nowicki\nEd Nuckols\nKeith Nugent\nKenneth Null Jr.\nMatthew Nunez\nVictor Nunez\nColby Nunley\nPhilip Nunley\nBarrett Nuzum\nKacie Nyce\nDavid Oakley\nHeather Odell\nTony Odell\nAngela Odom\nKathy Jo Odom\nTroy Odom\nMark Oekerman\nAdrian Ogden\nChris Ogles\nTimothy Ogorman White\nDarren Olach\nIsmael Oldham\nMichael Olendorf\nMichael Olewnik\nRaul Olguin\nOwen Olshefskie\nAquiles Olvera\nUlises Olvera\nAdam Oman\nAnthonia Onuorah\nLisa Ooten\nSandra Opalka\nCarmen Orosco\nLynn Orrell\nJoseph Orsburn\nAlix Orza\nJeffrey Osborn\nScott Osborn\nKris Osecky\nChad Osko\nEdward Osmus\nBenjamin Ott\nRichard Otto\nNoelle Otwell\nJohn Ousley\nHorace Outland Jr.\nBayley Overland\nMeagan Owen\nRobby Owen\nErnie Owens\nJeremy Owens\nKaty Owens\nNathan Owens\nTimmy Owens\nDavid Ownbey\nEric O’Dell\nJohn O’Docharty\nTara O’Hara\nChris O’Mealey\nGideon O’Neil\nNicholas O’Neil\nRyan O’Neil\nJames Pack\nJessica Pack\nDustin Padrone\nLinda Painton\nNick Painton\nMatt J. Palmer\nMegan Palmer\nJose Palomo\nMarvin Pantojas\nSosaia Papaalii\nJose Paredes III\nDonald Parish\nJason Park\nJeremy Parker\nJeromy Parker\nMichael R. Parker\nTerry Parker Jr.\nJeff Parkhurst\nRandall Parman\nJason Parsell\nKerri Partaka\nEddie Pass\nBindu Patel\nChad Patin\nRyan Patrick\nAndrew Patterson\nBennie Patterson\nJoel Patterson\nRyan Patterson\nShannon Patterson\nWayne Patterson\nSheritha Patton\nSeth Paul\nTom Pavlinac\nJamie Pavluk\nJordan Payne\nJoseph Payne\nKevin Payne\nDerek Pearce\nJames Pearce\nTasha Pearson\nRyan Pecanty\nTy R. Peck\nJohn Pedigo\nChristy Peebles\nDennis Peek\nTamara Penney\nDavid Pennington\nCarlos Perez\nFelipe Perez\nJames Perez\nLaura Perez\nManuel Perez\nRodolfo Perez Jr.\nRosendo Perez\nChris Perry\nJoshua Perry\nChris Pesesky\nKevin Peters\nBrittany Peterson\nDonna Peterson\nVanessa Peterson\nJames Pettiette\nLarry Pettyjohn\nStephen Pezalski\nJason Phelps\nDan Phillips\nDavid Phillips\nJames E. Phillips\nJason Phillips\nMike Phillips\nEmily Phipps\nLauren Phoenix\nChristian Piaquadio\nAdan Pichardo\nKyle Pickens\nDell Pierce\nEllen Pierce\nJulie Pierini\nRandy Piland\nJamie Pilkington\nJonathan Pilkington\nNelson Pinho\nStan Pinney\nSheena Pittman\nWaylon Pixley\nJason Plotkin\nEthan Plumlee\nEarl Plumley\nKaren Poch\nShane Poindexter\nJames Pointer\nBraden Pollard\nLorna Pollard\nDavid Poole\nJason Poole\nThomas Poore Jr.\nJason Pope\nDennis Porter\nJustin Porter\nKenneth Porterfield\nRobert Post\nMichael Poteet\nGary Potter\nDiane Pound\nAdina Powell\nFrank Powell\nJason Powell\nKatie Tisher\nRick Powell\nRonald Powers\nTom Powers\nLara Prasayasitl\nReggie Pratcher\nAllix Prather\nRhone Prather\nJames Pratt\nJustin Pratt\nKathi Pratt\nMonte Pratt\nJason Price\nTim Prince\nDan Prine\nMargaret Pringle\nGregory Probst\nJoseph Probst\nElizabeth Proctor\nKirk Proctor\nJustin Proffitt\nJack Prosser\nGabe Provencher\nGabe Pruett\nJacob Pruitt\nDaniel Pruneau\nJerry Puckett\nChristopher Pugh\nMichael Punchard\nMarcus Purcell\nSteven Purvis\nEmanuel Puscas\nTerry Putnam II\nChad Pyles\nCharlie Pyles\nRob Pyles\nJohn R. Qualls\nMaggi Quinlan\nAdrian Quintero\nJuan Quintero\nJean Quitoriano\nScott Rackley\nLaDonna Ragan\nBrandon Raines\nCory Raines\nLogan Rainey\nEmily Rains\nMelissa Rajeski\nTravis Rall\nEric Ralls\nFrancisco Ramirez\nJose Ramirez Jr.\nRomualdo Ramirez\nGabriel Ramos\nDaniel Ramsey\nWydedrick Randle\nJonathan Raney\nVictorino Rangel\nHugo Rangel-Silva\nCharley Rankin\nMindy Rasco\nRay Rascoe\nSean Rasmussen\nDennis Ratlief\nNate Raupers\nBradley Ray\nChris Ray\nNathan Ray\nTravis Ray\nJoseph Raynes\nJustin Raynor\nWilliam Reather Jr.\nBill Redding Jr.\nAndrew Redman\nJames Redwine III\nJesse Redwine\nFaron Reed\nJames L. Reed\nJames W. Reed\nLouis Reed\nPaul Reed\nMichael Reel\nWilliam Reese\nMike Reeves\nKenneth Reid\nRandy Reigh Jr.\nCreedence Reihs\nKaty Reimers\nHenry Reininger\nMichael Reitz Jr.\nPaul Renick\nTyler Renick\nErin Revill\nRandi Rex\nAlejandro Reyes\nGabriel Reyes\nJonathan Reynolds\nLloyd Reynolds Jr.\nAndrew Rhoads III\nMichael Rhoads", - "page_start": 44, - "page_end": 44, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "2010 ANNUAL REPORT | 33\nDaniel Alford\nKenny Alford\nJamie Allen\nJoshua W. Allen\nJimmy Allred\nBilly Alven\nJoe E. Aly\nJames Amelung\nBob Amyx\nCarol Anderson\nGary Anderson\nRandi Anderson\nShelby Andrew\nMelanie Andrews\nHoward Arnold\nZachary Arnold\nLiz Arthur\nThad Ashcraft\nKevin Ashley\nAmy Askew\nMicah Assulin\nJennifer Atwell\nRoger Averitt\nDavid Avery\nEd Back\nMisty Baeza\nTim Bagby\nAllen Bagley\nMichael Bahrenburg\nRonald Bailey\nButch Baird\nCharles A. Baker\nDennis Baker\nSitaraman Balakrishnan\nBoomi Balasubramaniyan\nChrista Ball\nMichael T. Ball\nLisa Ballard\nJanice Balliet\nWilliam Barker\nDean Barnes\nKeith Barrett\nCecelia Barrington\nJoshua Barton\nLorie Barton\nBrandon Bashaw\nWarren Bass\nDouglas Baughman\nTammy Baxter\nTim Beard\nTiffany Beaver\nTerri Becker\nSteven Beckett\nJim Bedford\nClint Beeby\nSteve Beeson\nDanny Beets\nBo Bekendam\nRobyn Belew\nPaige Benedict\nCheryl Bennett\nGarrett Benton\nJohn Bergman\nSharon Berkley\nEric Bess\nRobert Bevel\nAmar Bhakta\nRandy Bickel Jr.\nLiz Bicoy\nJacob Biernacki\nPam Billingsley\nMatthew Birch\nJeremy Black\nDavid Black Jr\nWillis Blaker III\nPhillip Blankenship\nEmily Blaschke\nTony Blasier\nJimmy Blevins\nDoug Bohlen\nRichard Bolding\nBrandi Bonner\nDaniel Borowski\nJohn Bottrell II\nBrian Bounds\nBarbara Bowersox\nDeven Bowles\nDonald Bowman\nDrew Boyer\nPhillip Bradford III\nJohn Bradshaw\nMark Brannon\nJames Branton\nKrystal Brauchi\nJames Bray\nMichael Brenizer\nBradie Brewton\nH Briant\nMelvin Bright Jr.\nWesley Brogdin\nDavid Brooks\nVernon Broomfield\nRob Brott\nNatascha Brown\nRodney G. Brown Sr.\nT. Brown\nTyanne Bruce\nTimothy Brummage\nGreg Bruton\nCheryl Bryan\nJ.D. Bryant\nKala Buerger\nJoshua Buie\nTodd Bules\nClifton Bullard\nBlair Bunch\nNiki Burch\nRoger Burford\nDarrel Burghardt\nJulie Burk\nJohn Burkhouse Jr.\nJake R. Burnett\nJim Burnett\nAaron Burns\nCharles Burnsworth\nRichard Burrhus\nPhil Burrow\nJoseph Burton\nDustin Bushnell\nEric Bynum\nTom A. Bynum\nTom Bynum\nScott Byrum\nStephanie Cahill\nJerry Caldwell\nRickie Callender III\nJason Cameron\nJohnnie Campbell\nKaren Campbell\nKenneth Campbell\nShanna Campbell\nJohn Canary\nBryan Carey\nColt Carpenter\nConnie Carpenter\nOctavio Carpio\nDeborah Carroll\nStephan Carroll\nJames Carter\nAlex Casias\nBernardino Castaneda Jr.\nCharles Castelli\nJose Castelo\nAaron Casto\nBrandon Cates\nScott Cavner\nGregory Cavness\nCassie Cawyer\nRosa Chacon\nTim Chaloupek\nHarvey Chambliss\nPaul Charles\nDavid Chavarria\nOscar Chavez\nKathy Cheesman\nJames Cheshire\nHenry Childress\nRichard Childress\nStephanie Choate\nTwila Christy\nKerry Clapp\nSuzanne Clapper\nBrandon Clark\nDavid Clark\nDustin Clark\nJames Clark\nLeon Clark\nSteve Clark\nJason Claunch\nBrad Claypool\nErin Clayton\nEric Clements\nMichael Clevenger\nRonald Clift\nLindy Cochran\nRobert Cochran\nBrent Cockrell\nLauren Coco\nVirgil Coleman\nKatie Collins\nDee Combs\nJason Conaway\nGreg Condray\nAndy Conyers\nBlayne Cook\nJim Cook\nJacob Cooper\nLinda Cooper\nChristy Copeland\nScott Copeland\nJeff Cornelius\nJustin Cornell\nSteve Cornett\nPreston Corp\nDiego Cortez\nMario Cortez\nJanice Cory\nBob Costello\nBobby Costello\nCody Costello\nLarry Costello\nStoney Costello\nWilliam Coston\nCrystal Cottrell\nJereme Cowan\nChris Cox\nJeremy Cox\nSteven Cox\nDonnie Craft\nTina Craft Grant\nTravis Craig\nDenise Cramer\nBud Cravey\nJoe Creech\nScott Crim\nJimmy Crone\nMurphy Crosby\nPaul Crow\nCasey Culpepper\nMelissa Cummens\nRay Cunningham II\nAaron Daharsh\nLaurie Damron\nDavid Dani\nDavid Danley\nBeverly Dart\nJeffrie Davidson\nBetsy Davis\nChad Davis\nGarry Davis\nKathy Davis\nMegan Davis\nRodger Davis\nRon Davis\nKenny Dawson\nRobert Day\nLandon Dean\nStanley Dean\nKevin Deeds\nMatthew Deel\nTim Deffenbaugh\nGary Dennis\nMark Deshazo\nKarl Dexter\nDonald DeForest Jr.\nGianny Diaz\nAndrew Dickins\nEd Dillard\nRobert Dison\nLinda Dixon\nMichelle Dodd\nNicolas Dominguez\nGary Donley\nStephanie Doty\nDawn Douglas\nGreg Douglas\nLorie Douglas\nJohnny Dowdy\nJohn Downing\nTammy Dresser\nAlfonso Duenez\nDustin Dunlap\nRegina Dunlap\nCurtis Dunn Jr.\nPaul Duren\nJim Durst\nDustin Dye\nTammy Eaton\nRobin Ebarb\nMichael Eddins\nJohnny Egnor Sr.\nCraig Elder\nJammie Elder\nJeff Elder\nEbbin Elliott Jr.\nJordan Elliott", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Chris Walker\nDanny Walker\nErin Lee Walker\nMatthew Walker\nBrandi Wallis\nJimmie Walters Jr.\nMichael Wanzer\nTara Ward\nKent Warfield\nDoug Warminski\nBrian Warren\nBJ Warren\nChristian Warren\nJohn Warren\nRay Warren\nBritni Watson\nCody Watson\nMike Watson\nKelli Waxman\nJeff Weaver\nMichael Webb\nNathan Weber\nRyan Weber\nCody Weiss\nGeorge Weissman\nBill Welch\nBrandon Welch\nBrent Welch\nKip Welch\nMelanie Welch\nGeff Welsh\nDrew West\nScott West\nColt Westbrook\nBuck Wheaton\nJeric Wheeler\nShawn Whitaker\nDennis White\nLisa White\nSuzy White\nTodd C. White\nDanny Whitehead\nDarien Whitehurst\nGary Whitley\nKody Whitley\nKyra Whitt\nDarrell Whittemore\nBobby Whittington II\nSam Whitworth\nRachael Wickery\nLeeAnn Widner\nDavid Wiist Jr.\nTerrence Wilhoit\nBrent M. Williams\nBrian P. Williams\nCody M. Williams\nFrankie Williams Jr.\nLauren Williams\nMike Williams\nForest Willis\nAdam Wilson\nB.C. Wilson\nDarrel Wilson\nErica Wilson\nJonathan Wilson\nKayla Wilson\nKendal Wilson\nKevin Wilson\nLance Wilson\nSugar Ray Wilson\nTodd Wilson\nClayton Winkler\nGary Winn\nKeith Winsauer\nRhett Winter\nCrystal Witcher\nDavid Witte\nRay Wolf\nGlen Wolford\nLuke Wood\nKim Woodall\nTravis Woodard\nRichard Woodbeck\nMike Woodfin\nKevin Woods\nKyle Woods\nMonty Woods\nDavid Wools\nBecky Wooten\nBilly Wooten\nJamie Word\nDaniel Wortham\nLindsey Wortham\nEmily Worthen\nBrandon J. Wright\nDan Wright\nKandice Wright\nMike R. Wright\nRyan Wright\nTom Wright\nChad Wyatt\nCarolynn Wylder\nJennifer Yeahquo\nTonya York\nAndrew Yost\nKevin Yost\nScot Young\nTerri Young\nTammi Yount\nJuan Zapata Jr.\nRobert Zeiler\nDebra Zimmerman\nLinda Zimmerman\nMelvin Zinke\nGerry Ziriaxe\n2009 (1,323)\nTimothy O. Abshire\nTimothy Abshire Jr.\nDaman Ackerman\nJoshua Ackley\nJeremy Adam\nChristopher Adams\nDeAnn Adams\nHeath Adams\nKyle Adams\nPeter Adams\nMark Adkins\nMichael Adkinson\nDavid Adkison\nAaron Aguilar\nDavid Ainsworth\nEdward Ainsworth\nTasha Akers\nGavin Albright\nMarco Aleman\nCurtis Alexander\nAlbert Allen III\nCathy Allen\nJames M. Allen\nJared Allen\nKane Allen\nMike Allen\nPaul Allen\nTommy Allen\nSondra Allison\nJacob Alvarez\nJames Alvis\nJoe E. Aly\nBrandon Amato\nMatt Andersen\nAndrew Anderson\nJeremy Anderson\nRondal Anderson Jr.\nTyler Anderson\nVictor Anderson\nAustin Andrews\nDustin Andrews\nJames Andrews Jr.\nBradly Andrus\nTony Angelo\nChristopher Anglin\nGary Ansley\nRob Anthony\nTony Aranda\nSteven Armentrout\nGregory Armstead\nJoshua Armstead\nBrian Armstrong\nBubba Armstrong\nDavid Armstrong\nPriscella Arnett\nKyle Arnold\nDaniel Ary\nSamantha Ash\nMike Atchie\nMichael Atkinson\nKelly Babb\nJoey Bagnaro\nGordon Bailey\nJamie Bailey\nJustin Bailey\nKenneth Bailey\nT.J. Bailey\nBrett Baker\nBryan Baker\nHeath Baldwin\nMichael D. Ball\nJonathan Ballard\nLilli Ballinger\nDiana Bane\nKim Barbay\nLinda Barber\nSeth Barkocy\nDylan Barnes\nMarcus Barnes\nRyan Barnhart\nJoshua Bartholomew\nJohnny Barton\nWhitney Bash\nGeorge Bass\nMelissa Bassett\nBarry Bateman\nAllen Bates\nEverett Bates\nHope Baumgarner\nJames Baumgarner\nMatt Bayne\nCoby Beals\nJonathan Beam\nRussell Beavers III\nAdam Beck\nA.J. Beets\nJeremy Begeman\nKyle Behnke\nChristopher Bell\nDustin Bell\nDana Bennett\nRyan Bennett\nTodd Bennett\nAllison Bentley\nDaniel Bentley\nMerideth Bentley\nMatthew Bereuter\nJonas Bergman\nSherry Bernstein\nKevyn Berry\nSteven Berry\nChris Beuchaw\nJared Beutler\nCarl Beyor\nAmber Bezdek\nDannye Billie\nAndrew Bischoff\nCarmen Bishop\nJames Bishop\nRyan Bishop\nShyla Blackketter Dwyer\nJohnathan Blacksten\nDarrell Blagg\nJoshua Blewer\nScott Blomgren\nJason Blose\nMargaret Blount\nDan Blythe\nDennis Bode\nJonathan Bodine\nTravis Bohannon\nRyan Bohnet\nJeremy Boitnott\nJen Bookwalter\nChristopher Boomgarden\nCurtis Boone\nJustin Boop\nMike Bordes\nRichard Bostick\nNathan Botti\nKent Bowman Jr.\nSonny Bowman II\nChristopher Boyles\nShad Brackin\nArla Bradford\nBlair Bradley\nColt Bradley\nDennis Bradley\nRick Bray\nChristopher Breland\nRawlins Breland\nRandall Brewer\nDawn Brick\nScott Bridges\nLindsay Bridgwater\nKenny Briley\nBrian Bristol\nBryan Britt\nJuri Coleman\nJustin Collier\nNathan Collins\nRick Collins\nTom Comer\nRon Comes\nPaul Conti\nJud Cook\nRickey Cook\nChad Corcoran\nTammie Corkery\nJon Corley", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "44 | EMPLOYEES\nDrew Russell\nJake Russell\nJohn Russell Jr.\nMatthew Russell\nMichelle Russell\nRicky Russell\nJohn Rutan\nTony Rutigliano\nBritanni Rutledge\nMalcolm Rutledge\nTyson Rutledge\nChase Ryan\nDennis Ryans\nDerek Rylant\nJaime Saenz\nJavier Saenz\nRJ Saladin\nEduardo Saldana\nRamses Salinas\nTobie Salisbury\nSonny Samaniego\nJamie Sampson\nStuart Sampson\nEli Sanchez\nJose Sanchez\nLaura Sanchez\nRoland Sanders\nTerry Sanders\nNoble Sandlin III\nBuvana \nSankaranarayanan\nJustin Sanner\nJohn Sansing\nJames Santello\nRamon Santos\nWilly Santos III\nDavid San Miguel\nWill Satterfield\nBobby Saucedo\nBrandon Saunders\nMaggie Savoie\nGbenga Sawyerr\nSareenah Sayall\nJeff Scarboro\nPat Scarborough\nDanielle Schaad\nMatt Schaefer\nZack Schaffer\nGary Schellenger\nMark Schemm\nAndrew Schlosser\nShelby Schluchter\nJessie Schmac\nAngela Schmidt\nSteve Schmidt Jr.\nCory Schneberger\nMeredith Schneberger\nRob Schneider\nScott Schoener\nJeff Schoonover\nJessie Schott\nGary Schrader\nSteven Schrader Jr.\nBrandon Schreck\nJoseph Schulker II\nDoug Schultz\nTrevor Schultz\nChris Schumacher\nSarah Schuster\nBritni Schwarz\nChris Schwarz\nKevin Schwind\nColby Scifres\nRichard Scipione\nBill Scott\nChris Scott\nJames Scott\nMark Scott\nMatt Scott\nRichelle Scrivner\nJeff Seal\nCharlie Sebesta\nGabe Seeley\nTim Seeley\nJames Seidel\nJoe Seiter\nGregory Selan\nAnthony Selbe\nJeffery Self\nTravis Selman\nJamison Sepelak\nEnrique Sepulveda\nScott Setzer\nRonald Severin\nRamon Sevilla Ortiz\nBarb Sexton\nBen Sexton\nJacob Seymore\nLori Shabazian\nLes Shade Jr.\nRichard Shafer\nWednesday Shafer\nBill Shaffer\nEric Shaffer\nMichelle Shaffer\nAndrew Shankles\nMatt Shandy\nKody Shannon\nKenneth Sharp\nTrent Sharp\nJosh Sharpe\nClinton Sharpley Jr.\nJerry Shea\nDan Shearer\nJason Shedd\nJohn Sheets\nRachel Sheets\nRandall Sheets II\nStephen Sheffield\nDustin Shellenberger\nJames Shelton\nJerry Shelton\nRyan Shelton\nBrad Shepard\nBrandon Shepard\nByron Shepard\nBrittany Sherman\nMike Sherman\nDave Shiels\nJohn Shifflett\nWilliam Shipley\nMarsha Shipman\nLucas Shipper\nChristopher Shiraldi\nBryan Shires\nZach Shirley\nJames Shoats\nCory Shoemake\nChelsea Shores\nCraig Shores\nDerek Shrader\nTony Shu\nNathan Shultz\nTyler Shupp\nRomel Siddique\nErnesto Sigala\nRoyce Sigler\nTommy Sigler\nJohn Sikes\nGeorge Siller Jr.\nVincent Silva\nLaylon Simms\nGarret Simon\nRobert Simon\nKaren Simonsen\nJason Simpson\nMike Simpson\nNicholas Simpson\nReyes Simpson\nJames Sinclair\nStan Singer\nRandy Sirois\nMonica Skaggs\nAaron Skiles\nBuddy Skinner\nErick Skinner\nJohn Skordynski\nJames Slack\nKevin Slater\nLehne Slater\nAngela Slayton\nMisti Sloan\nKeith Slone II\nScott Smallridge\nMatthew Smarkusky\nCurtis Smelley\nAngela Smith\nAshley Smith\nBart Smith\nBrittany Smith\nCalvin Smith Jr.\nCandace Smith\nCassidy Smith\nCharlie W. Smith\nCharlie W. Smith Jr.\nChris Smith\nClaude Smith\nClifton Smith\nDaniel Smith\nDave Smith\nDavid M. Smith\nDenice Smith\nElizabeth Smith\nGeorge Smith\nIvan Smith\nJeff Smith\nJeffery N. Smith\nJennifer Smith\nJessica Smith\nJohnny Smith II\nJoshua L. Smith\nKason Smith\nKenneth Smith\nLori Smith\nLouis Smith\nMandy Smith\nMichael A. Smith\nMichael D. Smith\nMickey Smith\nMike A. Smith\nMike G. Smith\nMike M. Smith\nOran Smith\nPaul Smith Jr.\nPete Smith\nRandy L. Smith\nRansom Smith\nRickey Smith\nSam Smith Jr.\nTim D. Smith\nTim W. Smith\nTravis Smith\nTrevor Smith\nWhitney Smith\nWilliam Smith\nZack Smith\nKimberlee Smithton\nTim Sneed\nEvan Snider\nJohn Snoddy\nKeith Snodgress\nGreg Snyder\nJesse Snyder\nKeith Snyder\nLinda Snyder\nAnthony Sofio\nJosh Sohosky\nCesar Solis\nDoug Solley\nSteven Sopp\nNoel Sorber\nEdwin Soriano\nAbraham Soto\nHumberto Soto\nJay Soulek\nJim Soulsby\nWill Southerland\nDanielle Sowle\nDavid Spahr\nShane Spann\nTim Sparks\nRachel Spears\nRichard Spence\nKacia Spencer\nEric Sperling\nDean Spirlock\nJim Spoon\nClayton Sporich\nCarlyn Sportsman\nAndrew Springer\nZachary Sprowl\nDavid Spruill\nRobert Spurr\nJohn Stafford\nSavannah Stafford\nJohn Stallard\nJacque Stamatopoulos\nSeth Stamper\nBill Stanger Jr.\nDaniel Stanton\nSteve Stapleton\nAlbert Stapp Jr.\nJoshua Stapp\nGregory Starcher\nBrian Stark Jr.\nChris Stark\nMichael Starkey\nKevin Starks Jr.\nJim Starr Jr.", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Ronnie Christopher\nJensen Doby\nChelly Dolinar\nChad Dome\nWilliam Donahoe III\nMichael Donisch\nAdam Doty\nGary Driskell\nJ . P. D ub e\nJed Dudley\nTim Dugan\nBuck Duncan\nJacob Dupuy\nBunky Dussetschleger Jr.\nBrian Duvall\nLauren Dye\nLaren Easley\nRandall Easley\nRuss Eason\nDan Eaton\nJoseph F. Eddy Jr.\nGlenn Edwards\nJason Elder\nJames Ellard Jr.\nRicky Ellington\nCatey Elliott\nJohn Elliott\nLauren Elliott\nMurphy Elliott\nAdam Ellis\nKeith Elroy\nBryan Ely\nAmber Embrey\nAlex Emerson\nJeremy Engles\nSef Escajeda\nTom Esparza\nJoseph Etheredge\nBobby Etheridge\nDavid W. Evans\nMegan Evans\nDaphne Everett\nJohn Everett\nDavid Fancher\nRosa Farias\nKeith Faris\nTim Farrington\nJames Faulkner\nSteven Feisal\nSusan Fell\nAmy Ferguson\nChristina Ferguson\nDavid Ferguson\nJoe Ferguson\nWilliam Ferrebee\nFaith Fields\nElyse Fischer\nJill Fisher\nRanson Fisher\nSuzanne Fitzpatrick\nSam Flaming\nStephanie Fleet\nMatt Fletcher\nArmando Flores\nOtoniel Flores\nHoyt Ford\nRob Ford\nChristopher Fore\nKodi Foreman\nJim Forney\nJake Forrest\nDouglas Fortney II\nRussell Fory\nJerry Foster Jr.\nDaniel Foulke\nJake Fowler\nSonia Fowler\nTamara Fox\nPatrick Franklin\nDaron Fredrickson\nTeri Freeland\nHolly Freeman\nPhillip Freeman\nAmanda Friese\nJoel Fulenwider\nMark Fulkerson\nKimberly Fuller\nWilliam Fuller\nDavid Gaddy\nRandy Gafford\nJuan Gallegos Jr.\nRichard Chumley\nJohn Churchwell\nRosa Cisneros\nBeth Clanton\nDarin Clanton\nMatt Clark\nSheridan Clark\nDusty Clayton\nCharles Clevenger\nColt Clinesmith\nThomas Clouette II\nWayne Cloutet\nAndrew Cludius\nRyan Coalmer\nTobie Coffey\nDon Cogar\nStephanie Coil\nKyle Coldiron\nAdam Cole\nAshley Cole\nDustin Cole\nBob Coleman\nRobert T. Coleman\nMark Collier\nJoshua Collins\nStephen Collins\nBrad Collison\nDenise Condos\nDustin Conley\nSteven Conn\nDustin Connor\nWilliam Connor\nBrandon Cook\nNathan Cook\nDouglas Cooper\nMisty Cooper\nCatie Coppage\nIsmael Correa\nChad Corwin\nDennis Cottrill Jr.\nMichael Counts Jr.\nTodd Courson\nBrian K. Cox\nJennifer Cox\nRobert Crank\nRex Cravens\nTracy Crawford\nGary Crenshaw\nDaniel Crihfield\nJeffrey Crihfield\nTimothy Criner\nHeath Criss\nSteve Crocker\nJade Crockett\nZachary Cromer\nK.W. Cryer\nRobert Cumberland Jr\nTerry Cumberledge\nJered Cunningham\nTimothy Curnutte\nTasie Dahl\nMonte Dain\nSteve Daniel\nJohn Daniels\nHaley Dark\nJosh Darr\nDavid C. Davis\nDavy Davis\nDonald Davis\nGayl Davis\nKiley Davis\nLynsey Davis\nNathan Davis\nNicole Davis\nDuane Decker\nNick Delaloye\nJeff Delancy\nEric Denneny\nWilliam Denny\nJerry Derr\nTracey Devera\nDewey Deville\nTrey Dewald\nHolly DeRousse\nLisa DeSpain\nAdam DeVries\nRoque De La Torre\nBryan Dilger\nKristopher Dobbs\nMartin Dobson", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Redbooks\nFront cover\nRed Hat OpenShift and IBM Cloud \nPaks on IBM Power Systems \nVolume 1\nDino Quintero\nRicardo Dobelin Barros\nDaniel Casali\nLuis Ferreira\nAlain Fisher\nFederico Fros\nLuis Daniel Gonzalez\nMiguel Gomez Gonzalez\nMahesh Gurugunti\nRogelio Rivera Gutierrez\nNicolas Joly\nBoris Litichevsky\nIsmael Solis Moreno\nGabriel Padilla\nSudipto Pal\nBogdan Savu\nRichard Wale", - "page_start": 0, - "page_end": 0, - "source_file": "sg248459.pdf" - }, - { - "text": "Dane O’Glee\nKyle O’Kelley\nChad O’Neal\nJon Pace\nLupe Pacheco\nAndrea Painter\nKim Painter\nBrenda Palacios\nTyler Palesano\nEmerson Palmer\nJames Palmer II\nMatt R. Palmer\nJay Parham\nChase Paris\nDrew Parker\nJoshua Parker\nTaylor Parker\nTommy Parker\nJordan Parmer\nErcil Parsons\nJason Parsons\nRanita Patel\nAlex Patton\nTravis Patty\nCayla Patzke\nJason Payne\nHenry Payton\nMatt Payton\nMatthew Peach\nJosh Pearman\nDarby Pearrow\nJarrod Pearrow\nJoe Peck\nKip Peck\nChristopher Pena\nChristina Pendarvis\nEric Pendleton\nTim Pendleton\nKeith Peppers\nAngela Perez\nCharles Perez\nFrancisco Perez\nJuan Perez\nJesus Perez-Garcia\nRichard Periman\nJerry Perkins\nKeera Perkins\nJamie Perot\nMelvin Perrin\nCharlie Perry Jr.\nFarron Perry\nMicah Perry\nGina Peterson\nMarie Peterson\nJarred Pettijohn\nSteven Phathong\nRicky Phillips\nVernon Phillips Jr.\nCharles Philyaw\nSam Pickett\nChristopher Pilgreen\nKevin Pinkston\nLindsey Pitt\nCindy Pittman\nAaron Place\nJeff Plangman\nWilliam Plant\nArturo Plascencia\nRyan Plummer\nAdam Podschun\nErryn Pollock\nEverett Poole\nJordan Pope\nMaria Postman\nBrian Potocki\nStacy Potter\nMicheal Potts\nJackie Potvin\nRandell Powell Jr.\nJosh Prater\nDevin Pratt\nPaul Pratt\nMike Priest\nLisa Pritchard\nSade Proby\nChristen Proctor\nBarry Pruitt Jr.\nDuane Puffer\nCody Puffinbarger\nNathan Pumphrey\nJody Purcell\nBrian Putnam\nRoger Putnam\nRandy Pyle\nT.J. Pyle\nAmber Qerama\nJacque Qualls\nRandall Radcliff\nTJ Ragsdale\nRyan Rainer\nMelissa Raley\nHector Ramirez\nJose Ramos\nNelson Ramos\nDavid Ramsey\nDerrek Ramsey\nPaul Ramsperger\nRoy Randolph III\nJared Ranum\nJenn Rauber\nShawn Rawls\nAmy Reames\nScott Reddick\nAustin Reed\nJamie Reed\nJim Reed\nLeah Reel\nKent Regens\nAndy Rehm\nJason Reid\nMark Reinhardt\nDanny Reno\nAlisha Reynolds\nJackie Reynolds\nAmanda Rice\nDon Richard\nMark Richards\nPat Richards\nHeath Richmond\nDale Riddle\nShane Ridenour\nWilliam Rieg Jr.\nBob Rieser\nChad Riley\nClaude Riley Jr.\nMatthew Riley\nBill Roach\nAdam Roberts\nMegan Roberts\nRhett Roberts\nBill Robinson\nCharles Robinson\nClarence Robinson\nDustin Robinson\nJonathan Robinson\nRob Robinson\nRobbie Robinson\nTim Robinson\nClayton Robison\nJustin Roby\nBertha Rodarte\nPaul Rodgers Jr.\nEustaquio Rodriguez\nRaul Rodriguez\nEddy Rodriquez\nRoberto Rodriquez Jr.\nJames M. Rogers\nMichael B. Rogers\nNathan Rogers\nTimothy Rogers Sr.\nJohn Roney\nRebecca Roper\nTrey Roper III\nManuel Rosas\nTeresa Rose\nJack Rosenberg\nDee Ross\nChris Rosson\nHarvey Rotramel Jr.\nStaci Rowell\nJason Rowland\nMark Rowold\nDavid Roy", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "When does IBM close its acquisition of Red Hat ?", - "target_page": 20, - "target_passage": " On July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "IBM Redbooks\nRed Hat OpenShift and IBM Cloud Paks on IBM Power \nSystems: Volume 1\nMarch 2020\nSG24-8459-00", - "page_start": 2, - "page_end": 2, - "source_file": "sg248459.pdf" - }, - { - "text": "Chapter 1. Introduction to the Journey to the Cloud: Volume 1 5\nThis publication describes how Red Hat and IBM can advance your cloud journey and speed \ngrowth and innovation for your business by using Red Hat OpenShift on IBM Power Systems.\nNote: Red Hat joins IBM as a distinct unit, preserving the independence and neutrality of \nRed Hat’s open source development heritage and unique development culture. Red Hat’s \nunwavering commitment to open source remains unchanged and it continues to offer \ncustomers choice and flexibility.", - "page_start": 20, - "page_end": 20, - "source_file": "sg248459.pdf" - }, - { - "text": "4 Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n1.1 Introduction\nMost companies started or are contemplating their journey to cloud. Although in recent years \nthe adoption of cloud became much more common place, the scope of what a cloud is or can \nbe also increased. This broadening of possibilities unfortunately added confusion and can \nresult in companies being unsure of how their existing application estate can change to \nintegrate with the cloud model. \nAs such, doubts still exist around how to start and progress on this journey. It is also true that \nalthough people understand traditional enterprise applications and more modern \ncloud-hosted applications, the integration or co-existence of both can prove equally confusing \nand contradicting. \nRecent industry trends, combined with the new partnership between Red Hat and IBM, seek \nto bring some clarity to the landscape while providing new modernization opportunities for \nexisting enterprise applications and familiar environments. \nThe main focus of this IBM Redbooks publication relates to IBM Cloud Paks and Red Hat \nOpenShift, which is hosted on IBM Power Systems. Although individually much can be written \nabout either topic, the relationship this publication highlights is between Red Hat OpenShift \nand IBM Power Systems. \nWe show what Red Hat OpenShift brings to the IBM Power Systems platform specifically \ndiscuss how it can be deployed and added into existing familiar Power System environments, \nand the benefits that integration and co-existence can provide from an existing enterprise \napplication viewpoint. \nThis publication is a first volume in a planned multi-volume publication over the next 12 - 18 \nmonths. Within this initial volume, we explain the fundamental perspective (which is accurate \nas of the time of this writing) while providing pointers to future direction that will be discussed \nin future volumes. \n1.2 Red Hat and IBM\nOn July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and \nopen source technology.\nThis acquisition puts Red Hat and IBM in a unique position to unlock the true value of hybrid \ncloud for your business. By combining the power and flexibility of Red Hat’s open hybrid cloud \ntechnologies with the scale and depth of IBM innovation and industry expertise, you now have \nthe tools to accelerate your cloud journey.\nIBM and Red Hat worked together for more than 20 years in making open source a \ncompetitive advantage for businesses on x86, IBM Power Systems, and IBM z Systems®. \nTogether, we are both on a mission to improve open source technology and help your \ncompanies capture the business value of the cloud.\nNote: This initial publication relates to Red Hat OpenShift 3.11, because this release was \nthe current OpenShift Container Platform (OCP) release for IBM Power Systems at the \ntime of this writing. IBM and Red Hat intend to deliver Red Hat OpenShift 4 for IBM \nPOWER® to accelerate agility for enterprise clients through integrated tooling and a \nfeature-rich Kubernetes container platform for cloud-native development on POWER9 and \nIBM POWER8® processor-based servers.", - "page_start": 19, - "page_end": 19, - "source_file": "sg248459.pdf" - }, - { - "text": "© Copyright International Business Machines Corporation 2020. All rights reserved.\nNote to U.S. Government Users Restricted Rights -- Use, duplication or disclosure re stricted by GSA ADP Schedule\nContract with IBM Corp.\nFirst Edition (March 2020)\nThis edition applies to:\n/SM590000Red Hat OpenShift Container Platform for Power Enterprise V3.11\n/SM590000Red Hat Enterprise Linux Server release V7.6 (Maipo) for ppc64le \n/SM590000IBM Virtual I/O Server V3.1.1.0\n/SM590000IBM Cloud PowerVC Manager V1.4.3.1\n/SM590000Terraform V0.12.9\n/SM590000provider.null V2.1.2\n/SM590000provider.openstack V1.22.0\nNote: Before using this information and the product it supports, read the information in “Notices” on \npage vii.", - "page_start": 3, - "page_end": 3, - "source_file": "sg248459.pdf" - }, - { - "text": "viii Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\nTrademarks\nIBM, the IBM logo, and ibm.com are trademarks or registered trademarks of International Business Machines \nCorporation, registered in many jurisdictions worldwide. Other product and service names might be \ntrademarks of IBM or other companies. A current list of IBM trademarks is available on the web at “Copyright \nand trademark information” at http://www.ibm.com/legal/copytrade.shtml \nThe following terms are trademarks or registered trademarks of International Business Machines Corporation, \nand might also be trademarks or registered trademarks in other countries. \nAIX®\nCognos®\nDB2®\nGuardium®\nIBM®\nIBM Cloud™\nIBM Cloud Pak™\nIBM Services™\nIBM Spectrum®\nIBM Z®\nIBM z Systems®\nOpenCAPI™\nPOWER®\nPOWER8®\nPOWER9™\nPowerHA®\nPowerVM®\nQRadar®\nRedbooks®\nRedbooks (logo) ®\nSystemMirror®\nTivoli®\nWebSphere®\nXIV®\nz Systems®\nThe following terms are trademarks of other companies:\nThe registered trademark Linux® is used pursuant to a sublicense from the Linux Foundation, the exclusive \nlicensee of Linus Torvalds, owner of the mark on a worldwide basis.\nWindows, and the Windows logo are trademarks of Microsoft Corporation in the United States, other \ncountries, or both.\nJava, and all Java-based trademarks and logos are trademarks or registered trademarks of Oracle and/or its \naffiliates.\nAnsible, Gluster, JBoss, OpenShift, Red Hat, are trademarks or registered trademarks of Red Hat, Inc. or its \nsubsidiaries in the United States and other countries.\nUNIX is a registered trademark of The Open Group in the United States and other countries.\nVMware, and the VMware logo are registered trademarks or trademarks of VMware, Inc. or its subsidiaries in \nthe United States and/or other jurisdictions.\nOther company, product, or service names may be trademarks or service marks of others.", - "page_start": 9, - "page_end": 9, - "source_file": "sg248459.pdf" - }, - { - "text": "228 Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n5. The Results window is displayed and shows the progress of the deployment (see \nFigure B-8). To continue, click Close.\nFigure B-8 Results window", - "page_start": 243, - "page_end": 243, - "source_file": "sg248459.pdf" - }, - { - "text": "xii Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\nSudipto Pal is Solution Architect for IBM Cognos® Analytics in GBS. He successfully \ndelivered several critical deliverable with IBM clients from USA and Europe. He led Cognos \nadministration competency and monitored several candidates. He co-authored IBM \nRedbooks publications about Cognos implementation with PowerVM platform. He has \nexperience in IBM Power system for Virtualized environment setup and provisioning. He also \nhas hands-on experience in data lake implementation by using DIP over a big data platform. \nHe is based in IBM India, Kolkata. He holds Master of Computer Application and has \nexperience in product development that uses C, C++ and Python, \nBogdan Savu is a Cloud Infrastructure Architect at IBM Cloud Managed Application Services \nand works for IBM Global Technologies Services in Romania. He has over 13 years of \nexperience in designing, developing, and implementing Cloud Computing, Virtualization, \nAutomatization, and Infrastructure solutions. Bogdan holds a Bachelor’s degree in Computer \nScience from the Polytechnic University of Bucharest. He is an IBM Certified Advanced \nTechnical Expert for Power Systems, TOGAF 9 Certified, VMware Certified Professional, and \nRed Hat Certified Specialist in Containerized Application Development. His areas of expertise \ninclude Cloud Computing, Virtualization, DevOps, and Scripting.\nRichard Wale is a Senior IT Specialist, supporting many IBM development teams at the IBM \nHursley Lab, UK. He holds a B.Sc. (Hons) degree in Computer Science from Portsmouth \nUniversity, England. He joined IBM in 1996 and has been supporting production AIX systems \nsince 1998. His areas of expertise include IBM Power Systems, PowerVM, AIX, and IBM i. He \nhas participated in co-writing many IBM Redbooks publications since 2002.\nThanks to the following people for their contributions to this project:\nWade Wallace\nIBM Redbooks, Austin Center\nManoj Kumar, Joe Cropper, Chuck Bryan, Keshav Ranganathan, Bruce Anthony, Bruce \nSemple, Reza Ghasemi, Mike Easlon\nIBM USA\nMiguel Angel de la Mora, Cesar Dominguez Moreno, Guillermo Hernandez Gonzalez, \nArianne Navarro\nIBM Guadalajara, Mexico\nYenugu Madhavi\nIBM India\nAlfonso Jara\nIBM Spain\nNow you can become a published author, too!\nHere’s an opportunity to spotlight your skills, grow your career, and become a published \nauthor—all at the same time! Join an IBM Redbooks residency project and help write a book \nin your area of expertise, while honing your experience using leading-edge technologies. Your \nefforts will help to increase product acceptance and customer satisfaction, as you expand \nyour network of technical contacts and relationships. Residencies run from two to six weeks \nin length, and you can participate either in person or as a remote resident working from your \nhome base.", - "page_start": 13, - "page_end": 13, - "source_file": "sg248459.pdf" - }, - { - "text": "© Copyright IBM Corp. 2011, 2018, 2019. All rights reserved. iii\nContents\nNotices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii\nTrademarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiv\nPreface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xv\nAuthors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xv\nNow you can become a published author, too! . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii\nComments welcome. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi ii\nStay connected to IBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xviii\nSummary of changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xix\nMay 2019, Eighth Edition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . x ix\nChapter 1. Introduction to storage virtualization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1\n1.1 Storage virtualization terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2\n1.2 Benefits of using IBM Spectrum Virtualize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5\n1.3 Latest changes and enhancements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6\n1.4 Summary. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7\nChapter 2. System overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9\n2.1 IBM Spectrum Virtualize . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10\n2.2 Storage virtualization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10\n2.3 IBM Storwize V7000 overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12\n2.3.1 IBM Storwize V7000 models. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13\n2.3.2 IBM Storage Utility offerings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14\n2.3.3 IBM Storwize V7000 functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16\n2.3.4 IBM Storwize V7000 licensing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18\n2.4 IBM Storwize V7000 hardware . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19\n2.5 IBM Storwize V7000 components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19\n2.5.1 Hosts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.2 Host cluster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.3 Nodes or canisters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.4 I/O groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20\n2.5.5 Cache . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21\n2.5.6 Clustered system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23", - "page_start": 4, - "page_end": 4, - "source_file": "sg247938.pdf" - }, - { - "text": "132 Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n11.Check whether the VMs are started:\n12.Uninstall the old kernels from VMs:\nansible -i nodes,lb -m ping\nmstnode01.domain.example.com | SUCCESS => {\n \"changed\": false, \n \"ping\": \"pong\"\n}\nwrknode01.domain.example.com | SUCCESS => {\n \"changed\": false, \n \"ping\": \"pong\"\n}\nwrknode02.domain.example.com | SUCCESS => {\n \"changed\": false, \n \"ping\": \"pong\"\n}\nansible -i nodes,lb -a 'package-cleanup -y --oldkernels \n--count=1'\nmstnode01.domain.example.com | SUCCESS | rc=0 >>\nLoaded plugins: product-id, subscription-manager\n--> Running transaction check\n---> Package kernel.ppc64le 0:4.14.0-115.13.1.el7a will be erased\n...\nOutput truncated\n...\nRemoved:\n kernel.ppc64le 0:4.14.0-115.13.1.el7a \nComplete!", - "page_start": 147, - "page_end": 147, - "source_file": "sg248459.pdf" - }, - { - "text": "Redbooks\nFront cover\nRed Hat OpenShift and IBM Cloud \nPaks on IBM Power Systems \nVolume 1\nDino Quintero\nRicardo Dobelin Barros\nDaniel Casali\nLuis Ferreira\nAlain Fisher\nFederico Fros\nLuis Daniel Gonzalez\nMiguel Gomez Gonzalez\nMahesh Gurugunti\nRogelio Rivera Gutierrez\nNicolas Joly\nBoris Litichevsky\nIsmael Solis Moreno\nGabriel Padilla\nSudipto Pal\nBogdan Savu\nRichard Wale", - "page_start": 0, - "page_end": 0, - "source_file": "sg248459.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "What does an ITMS service provide ?", - "target_page": 30, - "target_passage": "An IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "14 Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\nIT Service Management and orchestration\nAn IT Service Management (ITSM) perspective can provide automation and a global \nmanagement view, and incorporate the necessary software disciplines that are required to \nbuild a solid infrastructure for an enterprise, commercial or not. \nThe missing point was the orchestration and the orchestration of all containers and resources \naround them. Many people think that orchestration and automation are the same thing, but \nthe orchestration is more complex. Automation often is discussed in the context of specific \ntasks, whereas orchestration refers to the automation of processes and workflows. \nOrchestration deals with the end-to-end process simplify the automation and the \nadministration across specific machines and diverse dependencies (see Figure 2-3). \nAutomation attempts to move people out of the equation whereas orchestration is not about \nrigid planning, but arranging and coordination of automated tasks, which ultimately results in \na consolidated process or workflow. Parts can be automated, but the decision is still \nhuman-centric; for example, the definition of which tasks must run, the order of the tasks, role \nassignments, permission, post-deployment, failure recovery, and scaling. \nFigure 2-3 Where orchestration fits\nFor more information about automation, see 2.4, “Kubernetes: An open source container \norchestration” on page 24.", - "page_start": 29, - "page_end": 29, - "source_file": "sg248459.pdf" - }, - { - "text": "International Technical Support Organization\nIBM Content Manager OnDemand Guide\nOctober 2015\nSG24-6915-04", - "page_start": 2, - "page_end": 2, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 1. Overview and concepts 5\nFigure 1-1 Content Manager OnDemand system overview\nContent Manager OnDemand Client programs provide authorized users with high-speed \naccess to the archived data that runs on the user devices (workstations) that are attached to \nthe network and communicate with the Content Manager OnDemand servers. \nA Content Manager OnDemand server consists of multiple components that can be installed \non a single system or multiple systems. In all cases, the installation appears to the users as a \nsingle server. The installation and is administered by the Content Manager OnDemand \nadministrator as a single system. \nThe Content Manager OnDemand server includes the following components:\n/SM590000A single library server: The library server manages a database that contains the \ninformation about the users of the system, and the reports and data that are stored on the \nsystem. \n/SM590000One or more object servers: The object servers manage the data on disk or tape storage \ndevices. \n/SM590000One or more archive servers: The archive server stores the archived data objects. \nDepending on the operating system, the archive servers might be IBM Tivoli® Storage \nManager, object access method (OAM), or Archive Storage Manager (ASM).\nThe library server and the object server can be packaged separately or as a single executable \nfile.\nContent Manager OnDemand Client programs\nContent Manager OnDemand Client programs operate on various environments, including \npersonal computers that are running on Windows, web browsers, and mobile devices. By \nusing the client program, users can search for and retrieve reports that are stored on the \nsystem. Specifically, users can construct queries and search for reports, retrieve documents \nfrom Content Manager OnDemand, view, print, and fax copies or pages of documents, and \nattach electronic notes to the pages of a document.\nNetwork\nOnDemand Client\nOnDemand\nObject Server\nOnDemand\nLibrary Server\nFull Text Search\nServer\nOnDemand\nArchive\nCache\nStorage", - "page_start": 28, - "page_end": 28, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 2. Introduction to containers and orchestration with Kubernetes 15\nCloud engineering\nIn the same line of ITSM, the application of an engineering approach on cloud infrastructures \nhelped the clients and system administrators to integrate better and manage their day-to-day \nbusiness.\nCloud engineering focuses on cloud services, such as SaaS, PaaS, and IaaS. It is a \nmultidisciplinary method that includes the foundation of cloud, implementation, cloud \ndevelopment-delivery lifecycle, and management. \nAn orchestrator normally includes a range of technologies, products, and components, as \nshown in Figure 2-4.\nFigure 2-4 Example of Orchestration Components\nThe following cloud engineering disciplines are addressed by an orchestrator: \n/SM590000Platform management\n/SM590000Virtualization services\n/SM590000Authentication and authorization services\n/SM590000Resources management\n/SM590000Disaster recovery\n/SM590000Workload resilience\n/SM590000Monitoring, usage, and accounting\n/SM590000Configuration services\n/SM590000Application lifecycle\n/SM590000Service automation\n/SM590000Service catalog", - "page_start": 30, - "page_end": 30, - "source_file": "sg248459.pdf" - }, - { - "text": "Chapter 5. Graphical user interface 167\nService IP information\nTo view the Service IP information of your IBM Spectrum Virtualize, select Settings → \nNetwork, as shown in Figure 5-56 on page 166. Click the Service IP Address option to view \nthe properties, as shown in Figure 5-58.\nFigure 5-58 Viewing service IP address\nThe service IP address is commonly used to provide access to the network interfaces on \neach individual node of the control enclosure.\nInstead of reaching the Management IP address, the service IP address directly connects to \neach individual node canister for service operations. You can select a node canister of the \ncontrol enclosure from the drop-down list and then click any of the ports that are shown in the \nGUI. The service IP address can be configure to support IPv4 or IPv6.\niSCSI information\nFrom the iSCSI pane in the Settings menu, you can display and configure parameters for the \nsystem to connect to iSCSI-attached hosts, as shown in Figure 5-59 on page 168.", - "page_start": 188, - "page_end": 188, - "source_file": "sg247938.pdf" - }, - { - "text": "© Copyright IBM Corp. 2003, 2015. All rights reserved. 365\nChapter 17. Content Federation Services for \nContent Manager OnDemand and \nIBM Enterprise Records\nIn this chapter, we describe how to enable records management for an IBM Content Manager \nOnDemand (Content Manager OnDemand) solution. By default, report and document \nexpiration are controlled by the storage managers that are integrated with Content Manager \nOnDemand. By using the storage managers, you can assign a retention period at data \ncapture time. IBM Enterprise Records enhances retention capabilities with the flexibility to \nassign event-based retention and make a report or document an official compliant record to \nmeet numerous government regulations. \nIn this chapter, we cover the following topics:\n/SM590000Content Federation Services for Content Manager OnDemand and IBM Enterprise \nRecords overview\n/SM590000Administration of Content Federation Services for Content Manager OnDemand for \nEnterprise Records\n/SM590000Content Federation Services for Content Manager OnDemand architecture\n/SM590000Deployment considerations\n17", - "page_start": 388, - "page_end": 388, - "source_file": "sg246915.pdf" - }, - { - "text": "© Copyright IBM Corp. 2003, 2015. All rights reserved. 185\nChapter 8. User clients\nIn this chapter, we provide an overview of the clients that are available for IBM Content \nManager OnDemand (Content Manager OnDemand), including the various web client \nofferings that are based on the Content Manager OnDemand Web Enablement Kit (ODWEK). \nWe describe the differences between web and Windows clients and their viewing options.\nIn the later sections, we focus on the integration and application programming interface (API) \nclient options of Content Manager OnDemand, such as the ODWEK API, the Content \nManagement Interoperability Services (CMIS) web services, the mid-server SAPI, and \nintegration with other IBM Enterprise Content Manager products, such as IBM Information \nIntegrator and IBM FileNet P8. We describe how to use the existing API to build your own web \nclient interface for Content Manager OnDemand.\nIn this chapter, we cover the following topics:\n/SM590000Choosing the correct client for your implementation\n/SM590000Content Manager OnDemand Client options\n/SM590000Client API overview\n8", - "page_start": 208, - "page_end": 208, - "source_file": "sg246915.pdf" - }, - { - "text": "I ATM, POS and card outsourcing\nI Europe’s largest independent ATM owner\nI Euronet transaction network - Europe\nI Dash transaction network - USA\nI Cakra transaction network - Asia Pacific\n6\nEuronet At-A-Glance\nNETWORK SERVICES\nEuronet’s Network Services division provides \ncomplete solutions for management and outsourcing\nof distribution channels and transaction processing.\nThese solutions include ATM networks, point-of-sale\n(POS) services and card management, as well as\naccess to all major payment gateways and mobile\noperators.\nOfferings\nEFT AND PAYMENTS SOFTWARE\nMOBILE OPERATOR SOLUTIONS\nM- & E-C OMMERCE SOLUTIONS\nPROFESSIONAL SERVICES\nEuronet’s suite of EFT and payment software offers\none of the most secure, seamlessly integrated, \nreal-time solutions for financial institutions.\nIntegration is essential for delivering data and \nelectronic transactions for multiple touchpoints, such\nas ATMs, POS devices, interactive voice response\n(IVR) systems, Internet and mobile devices.\nEuronet Worldwide is uniquely qualified to offer \nprofessional consulting services because of our \nday-to-day expertise as a secure transaction \nprovider. Euronet’s Professional Services\nOrganization (PSO) supports institutions with \nEDGE, our proprietary, structured and phased\nmethodology for implementing solutions. \nI ATM management\nI Bill payment\nI Credit card solutions\nI Debit card management\nI EMV support\nI POS and merchant management\nI Switching and settlement software\nI Telephone banking\nI Account access\nI Bill payment\nI ePOS\nI Event messaging service\nI Internet banking\nI Design\nI Gap analysis\nI Implementation\nI Management\nI Planning\nI Purchasing\nConsumers are expecting more personalized service\nthan ever before with instant access to financial\naccount information. Euronet’s Account Access \nand Event Messaging products meet these demands\nwith secure, efficient, integrated transaction and\ninformation delivery functions via mobile devices\nand the Internet.\nWith mobile phone ownership at an all time high,\nEuronet’s mobile operator solutions provide their\ncustomers easy access to payment options. Our\ntransactions expertise helps mobile operators supply\nconsumers with the convenience of any time, any\nplace transactions.\nI Bank account access\nI Mobile phone recharge\nOur Solutions", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Chapter 17. Content Federation Services for Content Manager OnDemand and IBM Enterprise Records 367\n17.2 Administration of Content Federation Services for Content \nManager OnDemand for Enterprise Records\nConfigure Content Manager OnDemand for Content Federation Services to declare records \nby using Enterprise Records. Y ou must disable expiration processes by the storage manager \nso that it cannot expire data. Y ou must also convert application groups with an expiration type \nof DOCUMENT, SEGMENT, or STORAGE MANAGER to an expiration type of LOAD.\nTo configure Content Federation Services for Content Manager OnDemand, you must \nperform the following tasks:\n/SM590000Enable Content Federation Services for Content Manager OnDemand.\n/SM590000Identify the application groups where Content Federation will be enabled.\n/SM590000Specify the application group field.\n/SM590000Enable Content Federation permissions for the application group.\n/SM590000Federate document metadata to Content Federation Services for Content Manager \nOnDemand.\nThese items are discussed in more detail in the following sections.\n17.2.1 Enabling Content Federation Services for Content Manager OnDemand\nAll of the steps in this section assume that IBM FileNet P8 and FileNet Content Federation \nServices are installed correctly. \nIn this section, we describe the components in Content Manager OnDemand to enable the \nfederation capabilities to allow record declaration in Enterprise Records. We assume that you \nare familiar with Content Manager OnDemand administration, so detailed steps are not \nprovided in this chapter.\nFor more information about the installation and configuration of FileNet P8 and FileNet \nContent Federation Services, see Federated Content Management: Accessing Content from \nDisparate Repositories with IBM Content Federation Services and IBM Content Integrator, \nSG24-7742.\nTo use IBM FileNet P8 Content Federation Services for Content Manager OnDemand, you \nmust enable the feature in Content Manager OnDemand by modifying the ars.cfg file and \nadding the following line:\nARS_SUPPORT_CFSOD=1\nIn Content Manager OnDemand for Windows, you can enable IBM FileNet P8 Content \nFederation Services for Content Manager OnDemand by using the Content Manager \nOnDemand Administrator Client Configurator. Figure 17-1 on page 368 shows the Content \nManager OnDemand configuration setup for Content Federation Services for Content \nManager OnDemand.", - "page_start": 390, - "page_end": 390, - "source_file": "sg246915.pdf" - }, - { - "text": "200 IBM Content Manager OnDemand Guide\nFigure 8-5 Content Manager OnDemand CICS Client login panel\nThe CICS Client provides viewing capabilities for line data reports and a “best fit” model for \nfully composed AFP documents. Viewing a standard line data report is shown in Figure 8-6.\nFigure 8-6 Viewing a standard line data report", - "page_start": 223, - "page_end": 223, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What are the two distinct public domain tools support by Creative Commons ?", - "target_page": 1, - "target_passage": "Creative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and GlennOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple openand public domain works. View full licensing and attribution information about all works included in thevideo on Flickr.\nCreative CommonsPO Box 1866 Mountain View CA 94042 USA+1 415 429 6753info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as de fined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be bene ficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this 4\nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements.\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5\ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.\nTowards a Books Data Commons for AI Training 2", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "4. Copyright, Licensing, & Access to Books for \nTraining \nEven if books can be acquired, digitized, and made technically useful for AI training, the \ndevelopment of a books data commons would necessarily need to navigate and comply with \ncopyright law. \nOut-of-Copyright Books: A minority of books are old enough to be in the public domain and \nout of copyright, and an AI developer could use them in training without securing any \ncopyright permission. In the United States, all books published or released before 1929 are in \nthe public domain. While use of these books provides maximal certainty for the AI developer \nto train on, it is worth noting that the status of whether a book is in the public domain can be \ndifficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14\nout of copyright if they were not subject to a copyright renewal; however, data on copyright \nrenewals is not easily accessible. \nWhat’s more, copyright de finitions and term lengths vary among countries. Even if a work is \nin the public domain in the US, it may not be in other countries. Countries generally use the 15\nlife of the last living author + “x” years to determine the term of copyright protection. For \nmost countries, “x” is either 50 years (the minimum required by the Berne Convention) or 70 \nyears (this is the case for all member states of the European Union and for all works \npublished in the U.S. after 1978). This approach makes it di fficult to determine copyright \nterms with certainty because it requires information about the date of death of each author, \nwhich is often not readily available. \nIn-Copyright Books: The vast majority of books are in copyright, and, insofar as the training \nprocess requires making a copy of the book, the use in AI training may implicate copyright \nlaw. Our workshop covered three possible paths for incorporating such works. \nDirect licensing \nOne could directly license books from rightsholders. There may be some publishers who are \nwilling to license their works for this purpose, but it is hard to determine the scale of such \naccess, and, in any event, there are signi ficant limits on this approach. Along with the \nchallenge (and expense) of reaching agreements with relevant rightsholders, there is also the \npractical difficulty of simply identifying and finding the rightsholder that one must negotiate \n For a sense of the complexity, see e.g. Melissa Levine, Richard C. Adler. Finding the Public Domain: 14\nCopyright Review Management System Toolkit. 2016, quod.lib.umich.edu/c/crmstoolkit/\n14616082.0001.001. Accessed 20 Mar. 2024.; Kopel, Matthew. “LibGuides: Copyright at Cornell Libraries: \nCopyright Term and the Public Domain.” guides.library.cornell.edu/copyright/publicdomain; \nMannapperuma, Menesha, et al. Is It in the Public Domain? A HANDBOOK for EVALUATING the \nCOPYRIGHT STATUS of a WORK CREATED in the UNITED STATES. 1923.\n See e.g. Moody, Glyn. “Project Gutenberg Blocks Access in Germany to All Its Public Domain Books 15\nbecause of Local Copyright Claim on 18 of Them.” Techdirt, 7 Mar. 2018, www.techdirt.com/\n2018/03/07/project-gutenberg-blocks-access-germany-to-all-public-domain-books-because-local-\ncopyright-claim-18-them/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 8", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "5. Examining approaches to building a books data \ncommons \nThere are many possible permutations for building a books data commons. To structure our \nexploration, we focused on two particular tracks, discussed below. We chose these tracks \nmindful of the above legal issues, and because there are already existence proofs that help \nto illuminate tradeoffs, challenges and potential paths forward for each. \n5a. Public domain and permissively licensed books \nExisting Project Example : The Pile v2 27\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile — a large, \ndiverse, open dataset for AI training. EleutherAI developed it not only to support their own \ntraining of LLMs, but also to lower the barriers for others. 28\nAlong with data drawn from the web at large, The Pile included books from three datasets. \nThe first dataset was the Books3 corpus referenced at the outset of this paper. The second \nand third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books \nby otherwise unpublished authors; and a 28,752 books in the public domain and published \nprior to 1919, drawn from a volunteer effort to digitize public domain works called Project \nGutenberg. \nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright \nnotices to have the dataset taken down from various websites. \nDespite the takedown requests, the importance of books to EleutherAI and the broader \ncommunity’s AI research remained. In hoping to forge a path forward EleutherAI announced \nin 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29\nAmong other things, v2 would “have many more books than the original Pile had, for \nexample, and more diverse representation of non-academic non- fiction domains.” At the \nsame time, it would only seek to include public domain books and permissively licensed \ncontent. As before, this corpus focuses on English language books. \n This is an illustrative example, and there are also other projects of this ilk. For instance, see the 27\nCommon Corpus project, which includes an array of public domain books from a number of countries, \nat https://huggingface.co./blog/Pclanglais/common-corpus; see also https://huggingface.co./datasets/\nstorytracer/internet_archive_books_en (“This dataset contains more than 650,000 English public domain \nbooks (~ 61 billion words) which were digitized by the Internet Archive and cataloged as part of the \nOpen Library project.”)\n See Gao et al, supra note 8.28\n Goldman, Sharon. “One of the World’s Largest AI Training Datasets Is About to Get Bigger and 29\n“Substantially Better.” VentureBeat, 11 Jan. 2024, venturebeat.com/ai/one-of-the-worlds-largest-ai-\ntraining-datasets-is-about-to-get-bigger-and-substantially-better/. Accessed 20 Mar. 2024.\nTowards a Books Data Commons for AI Training 12", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What is Creative Commons ?", - "target_page": 1, - "target_passage": " Creative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Creative Commons (CC) is the global nonprofit organization behind the CC\nLicenses and public domain tools, which power open sharing on popular\nplatforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.\nSince 2002, the CC Licenses have served as an alternative to traditional\ncopyright, providing a simple, standardized, and legal way for individuals and\ninstitutions to freely share images, music, research, educational resources, and\ncultural artifacts. \nExcept where otherwise noted, “Annual Report 2023” by Creative Commons is licensed under CC BY 4.0. \n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\nAbout Us\nBoard of Directors\nMarta BelcherGlenn Otis BrownDelia BrowneJames GrimmelmannLawrence Lessig *Emeritus\nAngela Oduor LungatiBilal RandereeAlek TarkowskiJeni TennisonLuis Villa\nChief Executive OfficerAnna Tumadóttir \nGeneral Counsel Kat Walsh", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "This is a frame from “Twenty Years of Creative Commons (in Sixty Seconds)” by Ryan Junell and GlennOtis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple openand public domain works. View full licensing and attribution information about all works included in thevideo on Flickr.\nCreative CommonsPO Box 1866 Mountain View CA 94042 USA+1 415 429 6753info@creativecommons.org", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "2023 was a busy year at Creative\nCommons. Our Open Culture program\nand Open Climate Campaign entered\ntheir third and second years, respectively.\nWe hosted our first in-person CC Global\nSummit since 2019 in Mexico City. We\nheld critical consultations and open\npanels on AI, copyright, and the CC\nLicenses, cultural heritage, education,\nand science; and we launched our Open\nInfrastructure Circle in an effort to\nensure the CC Licenses are funded well\ninto the future. \nWe also marked transitions in leadership.\nAt the end of December, Catherine Stihler\nconcluded her time as Chief Executive\nOfficer (CEO) at Creative Commons, and I\ntransitioned in as Interim. In March 2024, I\nwas appointed CC’s permanent CEO. I\nlook forward to working closely with our\nBoard of Directors, staff, and larger\ncommunity on the critical work that\nawaits us in 2024. \nCC staff photos are licensed under CC BY 4.0. \nA Note from Leadership\nAnna Tumadóttir, CEO", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Understanding\nCreative Commons\nlicense\nbefore licensing your work\nTH R EE-LA Y ER D ESIG N\n\"Legal Code\" (base layer): contains term s and conditions to be\nused by lawyers and legally applicable in court.\n\"Hum an Readable\" (com m ons deeds): contain the sum m ary of\nthe legal code and key term s.\n\"Machine Readable\": contains HTML or codes for m achines to\nrecognize a work is available under a Creative Com m ons license.\nCreative Com m ons (CC) license has three layers:\nFO U R ELEM EN TS\nBY (\"Attribution\"): users m ust credit the author of the work they\nare using.\nSA (\"ShareAlike\"): adaptations based on this work m ust be\nlicensed under the sam e license.\nNC (\"NonCom m ercial\"): the work is only available to be used for\nnoncom m ercial purposes.\nND (\"NoDerivative\"): reusers m aking cannot share adaptations of\nthe work.\nBY\nSA\nNC\nND\nSIX LICEN SES\nCC BY (\"Attribution\") allows people to use the work for any purpose (even\ncom m ercially and even in m odified form ) as long as they give attribution to the\ncreator.\nCC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose\n(even com m ercially and even in m odified form ), as long as they give attribution to the\ncreator and m ake any adaptations they share with others available under the sam e or\na com patible license.\nCC BY-NC (\"Attribution-NonCom m ercial\") allows people to use the work for\nnoncom m ercial purposes only, and only as long as they give attribution to the\ncreator.\nCC BY-NC-SA (\"Attribution-NonCom m ercial-ShareAlike\") allows people to use the\nwork for noncom m ercial purposes only, and only as long as they give attribution to\nthe creator and m ake any adaptations they share with others available under the\nsam e or a com patible license.\nCC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for\nany purpose (even com m ercially), as long as they give attribution to the creator.\nCC BY-NC-ND (\"Attribution-NonCom m ercial-NoDerivative\") allows people to use the\nunadapted work for noncom m ercial purposes only, and only as long as they give\nattribution to the licensor.\nR EM IN D TH A T…\nyou want to give others perm issions to freely copy and\nredistribute your work, and\nyou want to give others perm ission to freely transform , alter, or\notherwise create derivative works based on your work.\nCC license only applicable to the work that is within the scope of\ncopyright law. CC license can be used when …\nCC LICEN SE CA N 'T B E U SED FO R …\nfair use, fair dealing, or som e other lim itation and exception to\ncopyright applies the the work.\nA LSO FO R …\nthe work that is already in the Public Dom ain.\nFor those who want to waive their rights from copyright protection,\nuse CC0 (\"CC Zero\").\nN O W , SH A R E Y O U R W O R K !\nhttps://creativecom m ons.org/choose/\nTexts are adapted from CC Certification for Educators. CC BY license.\nBY, SA, NC, ND icons, CC BY, CC BY-SA, CC BY-NC, CC BY-NC-SA, CC BY-ND, and CC BY-NC-ND buttons are trademark of Creative Commons, and subject to their policies.\n3-layer design of CC license image is taken from CC Certification for Educators. CC BY license.\nLine, icons, and gradients are from Canva, and subject to their policies.\nmore open »« more restrictive\nyou can share,remix, &commercialize\nyou can share &remix onlyyou can share only", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "in building a books data commons.\n For one assessment of the difficulties of complying with the CC licenses in this context, to the extent 18\nthey are applicable, see Lee, K., A. Feder Cooper, & Grimmelmann, J. (2023). Talkin’ ‘Bout AI Generation: \nCopyright and the Generative AI Supply Chain. Forthcoming, Journal of the Copyright Society 2024. \nhttps://doi.org/10.2139/ssrn.4523551.\nTowards a Books Data Commons for AI Training 9", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A “books data commons” needs \nto be both responsibly managed, and useful for developers of AI models. \nWe use “commons” here in the sense of a resource that is broadly shared and accessible, \nand thus obviates the need for each individual actor to acquire, digitize, and format their own \ncorpus of books for AI training. This resource could be collectively and intentionally \nmanaged, though we do not mean to select a particular form of governance in this paper. 4\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a \nbooks data commons as de fined above and key questions relevant to developers, \nrepositories, and other stakeholders, building on our workshop discussions. We first explain \nwhy books matter for AI training and how broader access could be bene ficial. We then \nsummarize two tracks that might be considered for developing such a resource, highlighting \nexisting projects that help foreground both the potential and challenges. Finally, we present \nseveral key design choices, and next steps that could advance further development of this \napproach. 5\n In this way, we do not use “commons” in the narrow sense of permissively licensed. What’s more, this 4\nresource could also be governed as more of a data “trust,” and, indeed, we discuss extensively the work \nof HathiTrust as a relevant project in this domain. However, our use of the word “commons” is not \nmeant to preclude this or other arrangements.\n There are, of course, a range of other types of texts that are not on the web and/or not digital at all - 5\ne.g., periodicals, journals, government documents. These are out of scope for this paper, but also worthy \nof further analysis.\nTowards a Books Data Commons for AI Training 2", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within \none book may get overly complicated very fast. \nIn any event, creating an opt-out system will need some ways of authenticating whether \nsomeone has the relevant authority to make choices about inclusion of a work. \nWho would get to use the books data commons? For what? \nA commons might be made publicly available to all, as has been done with datasets like The \nPile. Another possible design choice is to restrict access only to authorized users and to \nenforce particular responsibilities or obligations in return for authorization. Three particular \ndimensions of permitted uses and users came up in our discussions: \n• Defining and ensuring acceptable and ethical use: Participants discussed to what \nextent restrictions should be put on use of the resource. In the case of HathiTrust, \nacceptable use is implicitly ensured by limiting access to researchers from member \ninstitutions; other forms of “gated access” are possible, allowing access only to \ncertain types of users and for certain uses. One can imagine more fine-grained 39\nmechanisms, based on a review of the purpose for which datasets are used. This \nimagined resource could become a useful lever to demand responsible development \nand use of AI; alongside “sticks” like legal penalties, this would be a “carrot” that \ncould incentivize good behavior. At the same time, drawing the lines around, let alone \nenforcing, “good behavior” would constitute a significant challenge. \n• Charging for use to support sustainability of the training corpus itself: While wanting \nto ensure broad access to this resource, it is important to consider economic \nsustainability, including support for continuing to update the resource with new works \nand appropriate tooling for AI training. Requiring some form of payment to use the \nresource could support sustainability, perhaps with different requirements for \ndifferent types of users (e.g., differentiating between non-commercial and \ncommercial users, or high-volume, well-resourced users and others). 40\n• Ensuring bene fits of AI are broadly shared, including with book authors or \npublishers: The creation of a training resource might lower barriers to the \ndevelopment of AI tools, and in that way support broadly shared bene fits by \nfacilitating greater competition and mitigating concentration of power. On the other \nhand, just as concentration of technology industries is already a signi ficant challenge, \nAI might not look much different, and the bene fits of this resource may still simply go \nto a few large firms in “winner takes all-or-most” markets. The workshops discussed \nhow, for instance, large commercial users might be expected to contribute to a fund \nthat supported contributors of training data, or more generally to fund writers, to \nensure everyone contributing to the development of AI benefits. \n For examples of gated access to AI models, see https://huggingface.co./docs/hub/en/models-gated.39\n As an analogy, consider for instance Wikimedia Enterprise, which “build[s] services for high-volume 40\ncommercial reusers of Wikimedia content” and charges for that access. https://meta.wikimedia.org/\nwiki/Wikimedia_Enterprise.\nTowards a Books Data Commons for AI Training 18", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "22.Thinking About Africa's Open Data \n23.Towards EU Benchmarking 2.0 - Transparency and Open Data on Structural Funds in \nEurope \n24.UK Open Government Licence removes barriers to re-use of public sector information \n25.Western Europe: A journey through tech for transparency projects \n26.What open data means to marginalized communities \n27.What's in a Name? Open Gov and Good Gov \n28.WikiLeaks Relationship With the Media \n29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government \n34/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 33, - "page_end": 33, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "How to apply the PDM to my work ?", - "target_page": 1, - "target_passage": "Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "copy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM \nchooser (http:/ /creativecommons.org/choose/mark) which \nwill lead you through the proces. When completed, you will be \nprovided with the HTML code that you can copy and paste into \nyour website.\nCreative Commons does not recommend this tool for works that \nare restricted by copyright laws in one or more jurisdictions. \nConsult with your legal advisor if you are unsure whether you \nshould use the PDM for a certain work.\nPublic Domain Mark\nUse this tool if you have identified a work that is free of known \ncopyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 42 10/02/2013 \n10.6\tSubmit\tinventory\t(PM)\t\n \nThis section describes on how the PM submits the inventory by selecting tables for the general submission after \nbeing approved by the NFP (See section 10.5). \n10.6.1\tSubmit\tselect\ttables\tfor\tpreparing\tthe\tgeneral\tsubmission\t\n \n1. Log in as PM. \n2. Click on “View Inventories Progress” under sub menu “Submission Management”. \n3. The “View Inventories Progress” screen appears. \n4. Select the appropriate inventory by clicking the box under column “Working inventory” (figure 68, a). \n*** Note: The selected inventory year to be submitted should be in status “approved” (figure 68, b). \n5. Click on “Work on Inventories” under Submission Management (figure 68, c). \nThis opens the Submit Inventory initial screen (figure 69). \n \n6. Click the inventory year to be submitted (figure 69, a). \n7. Press the “Generate Official S ubmission” button (figure 69, c). \n \nFigure 68. View Inventories Progress screen – select inventory for the preparation for the general submission \n \n \n \nFigure 69. Submit select tables for the preparation for the general submission", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "172 IBM Content Manager OnDemand Guide\nf. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n9. Define a field and an index:\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage.\nb. By using the mouse, draw a box around the text string. Start just outside of the \nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box.\nc. Click the Define a Field icon on the toolbar.\nd. In the Add a Field window, complete the following steps:\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click Help for \nassistance with the options and values that you can specify. \nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click Help for assistance with the other options and values that you can \nspecify.\niii. Click OK to define the field and index. \ne. To verify the locations of the fields, complete the following steps: \ni. Place the report window into display mode. Blue boxes are drawn around the fields. \nii. Click the Select tool.\niii. In the Select window, under Fields, double-click Field 1. The graphical indexer \nhighlights the text string in the current document. Double-click Field 1 again. The \ngraphical indexer moves to the next document and highlights the text string. \niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file.\nf. Place the report window back into add mode.\n10.Click Create Indexer Parameters and Fields Report to create the indexer parameter \nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see IBM Content Manager OnDemand - \nIndexing Reference, SC19-3354.\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow. \nImportant: Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - }, - { - "text": "Guide to \nusing public \ndomain tools\nCreative Commons makes sharing easy\nWhat Is Creative Commons?\nCreative Commons is a global nonprofit organization \ndedicated to supporting an open and accessible Internet \nthat is enriched with free knowledge and creative resources \nfor people around the world to use, share, and cultivate.\nOur easy-to-use licenses provide a simple, standardized way \nto give the public permission to share and use your creative \nwork — on conditions of your choice. CC licenses let you \nchange your copyright terms from the default of “all rights \nreserved” to “some rights reserved.”\nMillions of people use CC licenses on some of the world’s \nmost popular platforms for user-generated content. When \nyou use a CC license to share your photos, videos, or blog, \nyour creation joins a globally accessible pool of resources \nthat includes the work of artists, educators, scientists, and \ngovernments.\nCreative Commons has waived all copyright and \nrelated or neighboring rights to this guide using the \nCC0 Public Domain Dedication.\nWhat is the difference between \nCC0 and the Public Domain Mark? \n \nCC0 (“CC Zero”) is intended for use only \nby authors or holders of copyright and \nrelated rights (including database rights), in connection \nwith works that are still subject to those rights in one or \nmore countries.\nWhen CC0 is applied to a work, copyright and related \nrights are relinquished worldwide, making the work free \nfrom those restrictions to the greatest extent possible.\nThe Public Domain Mark (PDM) is used \nto label works that are already free of \nknown copyright restrictions. Unlike CC0, PDM doesn’t \nchange the copyright status of a work.\nPDM can be used by anyone, and is intended for use \nwith works that are already free of known copyright \nrestrictions throughout the world. \nPublic domain works are valuable because anyone \ncan freely build upon, enhance, and reuse them for \nany purposes without restriction under copyright \nor database law.\nThat’s why it’s important for creators to have a clear and \nlegally robust way to place their works in the public domain as \ncompletely as possible, and it’s also important for publishers \nand archives to have a standardized way to identify works that \nare already in the public domain.\nCreative Commons supports two distinct public domain tools, \nthe CC0 Public Domain Dedication and the Public Domain \nMark. Creative Commons copyright licenses help authors \nmanage their copyright on terms they choose. Conversely, CC0 \nenables authors and copyright owners who want to dedicate \ntheir works to the worldwide public domain to do so, and PDM \nfacilitates the labeling and discovery of works that are already \nfree of known copyright restrictions.\nWhere public domain tools fit in the copyright spectrum\nSome rights \nreserved\nAll rights \nreserved\nPDM\nNo known \ncopyright\nCC0\nPublic \ndomain\nThe CC0 Public Domain Dedication\nUse this universal tool if you are a holder of copyright or database \nrights, and wish to waive all your rights to the work worldwide.\nBy using CC0, you waive all copyright and related rights \ntogether with all associated claims and causes of action with \nrespect to this work to the extent possible under the law. \nApplying CC0 to your work is easy. Simply visit the CC0 chooser \n(http:/ /creativecommons.org/choose/zero) which will lead you \nthrough the process. When completed, you will be provided \nwith HTML code that you can copy and paste into your website.\nYou let others copy, modify, distribute, and perform the work, \neven for commercial purposes, all without asking permission. \nWorks marked with the Public Domain Mark have been \nidentified as being free of known restrictions under copyright \nlaw, including all related and neighboring rights. Anyone can \ncopy, modify, distribute, and perform such works, even for \ncommercial purposes, all without asking permission.\nApplying the PDM to a work is easy. Simply visit the PDM", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "Chapter 2. Setting up a Content Manager OnDemand instance 31\n3. Create the instance by using the Create Instance for Content Manager OnDemand \n(CRTINSTOND) command. \nAt a minimum, you must specify the name of the instance (which then uses system values \nand defaults for the additional parameters, such as *DFT for the PORT parameter, which \nuses port 1445). Y ou can specify additional parameters to customize the instance to meet \nyour requirements. \nFor example, you can specify a three-character language identifier (by using the LANGID \nparameter), which must match one of the language identifiers that are listed in Chapter 13, \n“Defining a locale”, in the IBM Content Manager OnDemand i - Planning and Installation \nGuide, SC19-2790. If you specify the LOCALE parameter, the one that you specify must be \nincluded in the list of valid locales that are listed in Chapter 13, “Defining a locale”, in the \nIBM Content Manager OnDemand i - Planning and Installation Guide, SC19-2790. \nIf the instance is in a user auxiliary storage pool (ASP), the user ASP number (2 - 32) must \nbe specified for the ASP parameter and *ASP must be specified for the ASPDEV parameter. If \nthe instance is in an independent auxiliary storage pool (IASP), *ASPDEV must be specified \nfor the ASP parameter and the IASP name (such as IASP2) must be specified for the \nASPDEV parameter. \nFor example, the Create instance for Content Manager OnDemand command CRTINSTOND \nINSTANCE(ONDTEST) LANGID(ENU) LOCALE('/QSYS.LIB/EN_US.LOCALE') creates an \ninstance that is called ONDTEST with a server language of US English that uses TCP/IP port \n1445. \nThe CRTINSTOND command performs the following actions: \n– Creates the /CONFIG directory under /QIBM/UserData/OnDemand and the default and \nmodel files under /QIBM/UserData/OnDemand (if they do not exist). \n– Appends the model ARS.INI file (in /QIBM/ProdData/OnDemand/config) to the actual \nARS.INI file (in /QIBM/UserData/OnDemand/config) and uses the name of the instance \nwherever it finds [instance] in the model file. \n– Creates the instance directory /QIBM/UserData/OnDemand/[instance]. If the instance is \nin an Independent ASP , the instance directory path is preceded by the Independent \nASP name. For example, if the Independent ASP name is IASP, the instance directory \nis created in /IASP/QIBM/UserData/OnDemand. \n– Creates the ARS.CFG, ARS.CACHE, and ARS.DBFS files in \n/QIBM/UserData/OnDemand/[instance] and uses the name of the instance wherever it \nfinds [instance] and the language identifier wherever it finds [language] in the model \nfile. (The model files for these three files are in /QIBM/ProdData/OnDemand/config.) If \nthe instance is in an Independent ASP , the instance directory path is preceded by the \nIndependent ASP name. For example, if the Independent ASP name is IASP , the \nARS.CFG, ARS.CACHE, and ARS.DBFS files are created in \n/IASP/QIBM/UserData/OnDemand/[instance]. \n– Creates the library and database tables for the instance. If the instance is in an IASP , \nyou must set the ASP Group before you can work with files in that library. Run the Set \nASP Group (SETASPGRP) command to set the ASP Group. \n– Creates the directories that are needed for the instance as specified in the ARS.CFG and \nARS.CACHE files. \n– Creates a user profile with the same name as the instance, and adds that user to the \ninstance as a Content Manager OnDemand system administrator. \n– Adds the user QONDADM to the instance as a Content Manager OnDemand system \nadministrator.", - "page_start": 54, - "page_end": 54, - "source_file": "sg246915.pdf" - }, - { - "text": "314 IBM Content Manager OnDemand Guide", - "page_start": 337, - "page_end": 337, - "source_file": "sg246915.pdf" - }, - { - "text": "xx IBM Content Manager OnDemand Guide", - "page_start": 21, - "page_end": 21, - "source_file": "sg246915.pdf" - }, - { - "text": "376 IBM Content Manager OnDemand Guide", - "page_start": 399, - "page_end": 399, - "source_file": "sg246915.pdf" - }, - { - "text": "Appendix A. Sample lab: Deployment and Pod management 207\n2. In the Information window, click Next, as shown in Figure A-5.\nFigure A-5 Information window", - "page_start": 222, - "page_end": 222, - "source_file": "sg248459.pdf" - }, - { - "text": "278 IBM Content Manager OnDemand Guide\nComplete the following steps:\n1. Open the Add an Application window and click the Indexer Information tab, as shown in \nFigure 11-3.\nFigure 11-3 Indexer Information tab\n2. Click Modify. \n3. Click the Exit Information tab, as shown in Figure 11-4.\nFigure 11-4 Specify Load Module Name in the Exit Information tab\n4. In the Input Records field, enter the name of the exit. \n5. Click OK. \nThe exit is added to your indexing parameters.", - "page_start": 301, - "page_end": 301, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "Which rivers flow through Lyon?", - "target_page": 1, - "target_passage": "It is located at the confluence of the rivers Rhône and Saône, ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Map of the City of Lyon\ndivided into 9\narrondissements\nThe lion, symbol of the city, on\ndisplay at Maison des avocats\n2nd arrondissement: Cordeliers, Bellecour, Ainay, Perrache, Confluence, Sainte-Blandine\n3rd arrondissement: Guillotière (north), Préfecture, Part-Dieu, Villette,Dauphiné/Sans Souci, Montchat, Grange Blanche (north), Monplaisir (north)\n4th arrondissement: Plateau de la Croix-Rousse, Serin\n5th arrondissement: Vieux Lyon (Saint-Paul, Saint-Jean, Saint-Georges), Saint-Just,\nSaint-Irénée,[44] Fourvière, Point du Jour, Ménival, Battières, Champvert (south)\n6th arrondissement: Brotteaux, Bellecombe, Parc de la Tête d'or, Cité Internationale\n7th arrondissement: Guillotière (south), Jean Macé, Gerland\n8th arrondissement: Monplaisir (south), Bachut, États-Unis, Grand Trou/Moulin àVent, Grange Blanche (south), Laënnec, Mermoz, Monplaisir-la-Plaine\n9th arrondissement: Vaise, Duchère, Rochecardon, St-Rambert-l'Île-Barbe, Gorgede Loup, Observance, Champvert (north)\nGeographically, Lyon's two main rivers, the Saône and the Rhône, divide the arrondissements into three groups:\nTo the west of the Saône, the fifth arrondissement covers the old city of Vieux Lyon, Fourvière hill and theplateau beyond. The 9th is immediately to the north, and stretches from Gorge de Loup, through Vaise to theneighbouring suburbs of Écully, Champagne-au-Mont-d'Or, Saint-Didier-au-Mont-d'Or, Saint-Cyr-au-Mont-d'Orand Collonges-au-Mont-d'Or.\nBetween the two rivers, on the Presqu'île, are the second, first, and fourth arrondissements. The secondincludes most of the city centre, Bellecour and Perrache railway station, and reaches as far as the confluenceof the two rivers. The first is directly to the north of the second and covers part of the city centre (including theHôtel de Ville) and the slopes of La Croix-Rousse. To the north of the Boulevard is the fourth arrondissement,which covers the Plateau of La Croix-Rousse, up to its boundary with the commune of Caluire-et-Cuire.\nTo the east of the Rhône, are the third, sixth, seventh, and eighth arrondissements.\nThis is a list of mayors of the commune of Lyon since the end of the 19th century.\nMayors", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Lyon\nLiyon (Arpitan)\nPrefecture and commune\nSkyline of Lyon in La Part-Dieu\nBasilica of Notre-Dame de Fourvière\n Place des Terreauxwith the FontaineBartholdi\nParc de la Tête d'or\n Confluence District\nVieux Lyon\n Pont Lafayette\nFlag\n Coat of arms\nMotto(s): Avant, avant, Lion le melhor(old Franco-Provençal for \"Forward, forward,\nLyon the best\")[a]\nVirtute duce, comite fortuna(\"With virtue as guide and fortune as\ncompanion\")[b]\nLocation of Lyon\nLyon\nLyon[c] (Franco-Provençal: Liyon) is the second-largest city in France\nby urban area and the third largest by city limits.[14] It is located at the\nconfluence of the rivers Rhône and Saône, to the northwest of the\nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north\nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km\n(36 mi) northeast of Saint-Étienne.\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but\ntogether with its suburbs and exurbs the Lyon metropolitan area had a\npopulation of 2,308,818 that same year,[7] the second most populated in\nFrance. Lyon and 58 suburban municipalities have formed since 2015\nthe Metropolis of Lyon, a directly elected metropolitan authority now in\ncharge of most urban issues, with a population of 1,424,069 in 2021.[16]\nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of\nthe Departmental Council of Rhône (whose jurisdiction, however, no\nlonger extends over the Metropolis of Lyon since 2015).\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of\nan archbishopric whose holder bears the title of Primate of the Gauls.\nLyon became a major economic hub during the Renaissance. The city is\nrecognised for its cuisine and gastronomy, as well as historical and\narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière\nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on\nthe UNESCO World Heritage List. Lyon was historically an important\narea for the production and weaving of silk. Lyon played a significant\nrole in the history of cinema since Auguste and Louis Lumière invented\nthe cinematograph there. The city is also known for its light festival, the\nFête des lumières, which begins every 8 December and lasts for four\ndays, earning Lyon the title of \"Capital of Lights\".\nEconomically, Lyon is a major centre for banking, chemical,\npharmaceutical and biotech industries. The city contains a significant\nsoftware industry with a particular focus on video games; in recent years\nit has fostered a growing local start-up sector.[17] The home of renowned\nuniversities and higher education schools, Lyon is the second-largest\nstudent city in France, with a university population of nearly 200,000\nstudents within the Metropolis of Lyon.[18] Lyon hosts the international\nheadquarters of Interpol, the International Agency for Research on\nCancer, as well as Euronews. According to the Globalization and World\nRankings Research Institute, Lyon is considered a Beta city, as of\n2018.[19] It ranked second in France and 40th globally in Mercer's 2019\nliveability rankings.[20]\nHistory\nToponymy", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Coordinates: 45°46′N 4°50′E\nCountry France\nRegion Auvergne-Rhône-Alpes\nMetropolis Lyon Metropolis\nArrondissement Lyon\nSubdivisions 9 arrondissements\nGovernment\n • Mayor (2020–2026) Grégory Doucet[2]\n(EELV)\nArea1 47.87 km2 (18.48 sq mi)\n • Urban (2020[3]) 1,141.4 km2\n(440.7 sq mi)\n • Metro (2020[4]) 4,605.8 km2\n(1,778.3 sq mi)\nPopulation (2022)[5] 520,774\n • Rank 3rd in France\n • Density 11,000/km2\n(28,000/sq mi)\n • Urban (Jan.\n2021[6])\n1,702,921\n • Urban density 1,500/km2 (3,900/sq mi)\n • Metro (Jan.\n2021[7])\n2,308,818\nThe name of the city has taken the forms Lugdon, Luon, and since the\n13th century, Lyon. The Gallic Lugdun or Lugdunon that was Latinized\nin Roman as Lugdunum is composed of two words. The first may be the\nname of the Celtic god Lug (in charge of order and law), or the derived\nword lugon, meaning \"crow\" (the crow being the messenger of Lug), but\nmight also be another word lug, meaning \"light\". The second is dunos\n('fortress', 'hill'). The name thus may designate the hill of Fourvière, on\nwhich the ancient city of Lyon is founded, but could mean \"hill of the\ngod Lug\", \"hill of the crows\" or \"shining hill\".[21] [22]\nAlternatively Julius Pokorny associates the first part of the word with\nthe Indo-European radical *lūg ('dark, black, swamp'), the basis of the\ntoponyms Ludza in Latvia, Lusatia in Germany (from Sorbian Łužica),\nand several places in the Czech Republic named Lužice;[23] it could then\nalso be compared to Luze in Franche-Comté and various hydronyms\nsuch as Louge.\nFurther down, in the current Saint-Vincent district, was the Gallic\nvillage of Condate, probably a simple hamlet of sailors or fishermen\nliving on the banks of the Saône. Condate is a Gallic word meaning\n\"confluence\", from which the Confluence district gets its name.\nIn Roman times the city was called Caput Galliæ, meaning \"capital of\nthe Gauls\". As an homage to this title, the Archbishop of Lyon is still\ncalled the Primate of Gaul.\nDuring the revolutionary period, Lyon was renamed Commune-\nAffranchie (\"Emancipated Commune\") on 12 October 1793 by a decree\nof the Convention Nationale. It resumed its name in 1794, after the end\nof the Terror.\nLyon is called Liyon in Franco-Provençal.[24]\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate\nordered the creation of a settlement for Roman refugees of war with the\nAllobroges. These refugees had been expelled from Vienne and were\nnow encamped at the confluence of the Saône and Rhône rivers. The\nfoundation was built on Fourvière hill and officially called Colonia\nCopia Felix Munatia, a name invoking prosperity and the blessing of the\ngods. The city became increasingly referred to as Lugdunum (and\noccasionally Lugudunum[25]).[26] The earliest translation of this Gaulish\nplace-name as \"Desired Mountain\" is offered by the 9th-century\nEndlicher Glossary.[27] In contrast, some modern scholars have\nproposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god\nLugus (cognate with Old Irish Lugh, Modern Irish Lú), and dúnon (hill-\nfort).\nThe Romans recognised that Lugdunum's strategic location at the\nconvergence of two navigable rivers made it a natural communications\nhub. The city became the starting point of main Roman roads in the\narea, and it quickly became the capital of the province, Gallia\nLugdunensis. Two Emperors were born in this city: Claudius, whose\nspeech is preserved in the Lyon Tablet in which he justifies the\nnomination of Gallic Senators, and Caracalla.\nLyon\nLyon\nAncient Lyon", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Ice on the Saône, 2012\nPanorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\nLyon has a humid subtropical climate (Köppen: Cfa), bordering an oceanic climate\n(Köppen: Cfb, Trewartha: Do).[38] The mean temperature in Lyon in the coldest month\nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F).\nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter\nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13\nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22\nDecember 1938.[39]\nClimate", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "• Metro density 500/km2 (1,300/sq mi)\nTime zone UTC+01:00 (CET)\n • Summer (DST) UTC+02:00 (CEST)\nINSEE/Postal code 69123 (https://www.insee.fr/fr/statistiques/1405599?geo=COM-69123)/69001-69009\nElevation 162–349 m (531–1,145 ft)\nWebsite lyon.fr (https://www.lyon.fr/)\n1 French Land Register data, which excludes\nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or247 acres) and river estuaries.\nTimeline of Lyon\nHistorical affiliations\n Roman Empire (Gallia Lugdunensis), 43\nBC-286\n Western Roman Empire (Gallia\nLugdunensis), 286-411\n Kingdom of the Burgundians, 411–534\n Francia, 534–843\n Middle Francia, 843–855\n Lotharingia, 855–879\n Lower Burgundy, 879-933\n Kingdom of Arles, 933–1312\n Kingdom of France (Lyonnais), 1312–\n1792\n French First Republic, 1792–1793\n Counter-revolutionary, 1793\n French First Republic, 1793–1804\n First French Empire, 1804–1814\n Kingdom of France, 1814–1815\n First French Empire, 1815\n Kingdom of France, 1815–1830\n Kingdom of France, 1830–1848\n French Second Republic, 1848–1852\n Second French Empire, 1852–1870\n French Third Republic, 1870–1940\n Vichy France, 1940–1944\n French Fourth Republic, 1944–1958\n France, 1958–present\nThe Roman-era Theatre on the\nFourvière Hill\nLyon under siege in 1793\nEarly Christians in Lyon were martyred for their beliefs under the reigns\nof various Roman emperors, most notably Marcus Aurelius and\nSeptimius Severus.[28] Local saints from this period include Blandina,\nPothinus, and Epipodius, among others. The Greek Irenaeus was the\nsecond bishop of Lyon during the latter part of the second century.[29]\nTo this day, the archbishop of Lyon is still referred to as \"Primat des\nGaules\".[30]\nBurgundians fleeing the destruction of Worms by the Huns in 437 were\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor\nLothair I. It later was made part of the Kingdom of Arles which was\nincorporated into the Holy Roman Empire in 1033. Lyon did not come\nunder French control until the\n14th century.\nFernand Braudel remarked,\n\"Historians of Lyon are not\nsufficiently aware of the bi-\npolarity between Paris and Lyon,\nwhich is a constant structure in\nFrench development...from the\nlate Middle Ages to the Industrial\nRevolution\".[31] In the late 15th century, the fairs introduced by Italian\nmerchants made Lyon the economic counting house of France. Even the\nBourse (treasury), built in 1749, resembled a public bazaar where\naccounts were settled in the open air. When international banking moved\nto Genoa, then Amsterdam, Lyon remained the banking centre of\nFrance.\nDuring the Renaissance, the city's development was driven by the silk\ntrade, which strengthened its ties to Italy. Italian influence on Lyon's\narchitecture is still visible among historic buildings.[32] In the late 1400s\nand 1500s Lyon was also a key centre of literary activity and book\npublishing, both of French writers (such as Maurice Scève, Antoine\nHeroet, and Louise Labé) and of Italians in exile (such as Luigi\nAlamanni and Gian Giorgio Trissino).\nIn 1572, Lyon was a scene of mass violence by Catholics against\nProtestant Huguenots in the St. Bartholomew's Day Massacre. Two\ncenturies later, Lyon was again convulsed by violence during the French\nRevolution, when the citizenry rose up against the National Convention\nand supported the Girondins. The city was besieged by Revolutionary armies for over\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\nespecially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph\nFouché administered the execution of more than 2,000 people. The Convention\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\nNapoleon ordered the reconstruction of all the buildings demolished during that\nperiod.\nModern Lyon", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia4.pdf" - }, - { - "text": "31. Braudel 1984 p. 327\n32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegardeLyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm) on 19 January 2011. Retrieved 3 April 2011.\n33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1). Chrd.lyon.fr. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)on 24 January 2011. Retrieved 21 December 2017.\n34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.com/article/273644). Digitaljournal.com.\n35. (in French) Georges Duby (ed), Histoire de la France : Dynasties et révolutions, de 1348 à 1852 (vol. 2),Larousse, 1999 p. 53 ISBN 2-03-505047-2\n36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). unesco.org. UNESCO World Heritage Centre.Retrieved 31 July 2015.\n38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (https://www.jstor.org/stable/25636095).” Erdkunde, vol. 8, no. 4, 1954, pp. 246–252. JSTOR.\n39. \"Données climatiques de la station de Lyon: Relevés de 2016 – Lyon\" (https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October2016. Retrieved 2 October 2016.\n40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).Fiche Climatologique: Statistiques 1991–2020 et records (in French). Meteo France. Retrieved 14 July 2022.\n41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). meteo-lyon.net(in French). Météo Villes. Retrieved 7 September 2023.\n42. \"Lyon–Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990NormalsNOAALyonBron) 8 February 2019, at the Wayback Machine\n43. \"Normes et records 1961–1990: Lyon-Bron (69) – altitude 198m\" (https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from theoriginal (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February2019.\n44. \"St-Irénée – France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacred-destinations.com.\n45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcinema.fr/en/). Musée Miniature et Cinéma.\n46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved16 January 2023.\n47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). Le Monde. France.Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)on 24 April 2010. Retrieved 3 April 2011.\n49. Jean-Baptiste Onofrio : Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais, Lyon 1864", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Map of the Metropolis of\nLyon and its 59\ncommunes (the\ncommune of Lyon is in\nred)\nMayor Term start Term end Party\nAntoine Gailleton 1881 1900\nVictor Augagneur 1900 30 October 1905 PRS\nÉdouard Herriot 30 October 1905 20 September 1940 Radical\nGeorges Cohendy 20 September 1940 1941 Nominated and dismissed by Vichy\nGeorges Villiers 1941 1942 Nominated and dismissed by Vichy\nPierre-Louis-André Bertrand 1942 1944 Nominated by Vichy\nJustin Godart 1944 18 May 1945 Radical\nÉdouard Herriot 18 May 1945 26 March 1957 Radical\nPierre Montel, ad interim 26 March 1957 14 April 1957 Radical\nLouis Pradel 14 April 1957 27 November 1976 DVD\nArmand Tapernoux, ad interim 27 November 1976 5 December 1976 DVD\nFrancisque Collomb 5 December 1976 24 March 1989 DVD\nMichel Noir 24 March 1989 25 June 1995 RPR\nRaymond Barre 25 June 1995 25 March 2001 DVD\nGérard Collomb 25 March 2001 17 July 2017 PS\nGeorges Képénékian 17 July 2017 5 November 2018 LREM\nGérard Collomb 5 November 2018 4 July 2020 LREM\nGrégory Doucet 4 July 2020 Incumbent EELV\nSince 2015, the commune of Lyon (48 km2 (19 sq mi) in land area) and 58 suburban communes\nhave formed the Metropolis of Lyon (534 km2 (206 sq mi) in land area), a directly elected\nmetropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only\nmetropolitan authority in France which is a territorial collectivity, on par with French communes\nand departments. Its metropolitan council was for the first time directly elected by universal\nsuffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in\nFrance.\nThe 14 electoral wards are the following (see map for location):\n Lônes et coteaux\n Lyon-Centre (Lyon-Centre)\n Lyon-Est (Lyon-East)\n Lyon-Nord (Lyon-North)\n Lyon-Ouest\n Lyon-Sud\n Lyon-Sud-Est\n Ouest\n Plateau Nord-Caluire\n Porte des Alpes\n Portes du Sud\n Rhône Amont\n Val de Saône\n Villeurbanne\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is\ncoterminous with the namesake commune. All other seven wards each group various suburban communes.\nMetropolis", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia4.pdf" - }, - { - "text": "49. Jean-Baptiste Onofrio : Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais, Lyon 1864\n50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives.htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24January 2010. Retrieved 25 January 2010.\n51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroERA_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.\n52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-lyon.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19February 2009. Retrieved 5 February 2009.\n53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy_of_patrimoine/a_patrimoinemondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/copy_of_patrimoine/a_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website.Retrieved 26 November 2009.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "The Musée des Confluences from\nthe Raymond Barre bridge\nThe lake in the Parc de la Tête d'or\nLa Part-Dieu, the city's central\nbusiness district\nThe Gallo-Roman Museum displaying many valuable objects and artworksfound on the site of Roman Lyon (Lugdunum) such as Circus GamesMosaic, Coligny calendar and the Taurobolic Altar\nCentre d'histoire de la résistance et de la déportation\nMusée des Confluences, new museum of sciences and anthropology,which opened its doors on 20 December 2014\nLa Sucrière, contemporary art centre\nHôtel-Dieu de Lyon houses the \"Musée des Hospices Civils\", a permanentexhibit tracing the history and practice of medicine from the Middle Ages tomodern times\nMusée des Tissus et des Arts décoratifs, decorative arts and textilemuseum, which is one of the world's larger textile collections with 2.5million works\nMusée d'art contemporain de Lyon, contemporary art museum\nMusée de L'imprimerie, printing museum\nMusée Gadagne, museum of the history of Lyon housed in a historic building in Vieux Lyon, which includes alarge collection of marionettes\nMusée des Automates, museum of automated puppets in Vieux Lyon, open since 1991\nMusée Miniature & Cinéma, museum featuring miniature movie sets, movie props, and special effects[45]\nParc de la Tête d'or, aka Golden Head Park, in central Lyon is the largesturban park in France at 117 hectares (290 acres). Located in the 6tharrondissement, it features a large lake on which boating takes placeduring the summer months.\nJardin botanique de Lyon (8 hectares (20 acres)), included in the Parc dela Tête d'Or, is a municipal botanical garden and is open weekdayswithout charge. The garden was established in 1857 as a successor toearlier botanical gardens dating to 1796, and now describes itself asFrance's largest municipal botanical garden.\nParc de Gerland, in the south of the city (80 hectares (200 acres))\nParc des hauteurs, in Fourvières\nParc de Miribel-Jonage (2,200 hectares (5,400 acres))\nParc de Lacroix-Laval (115 hectares (280 acres))\nParc de Parilly (178 hectares (440 acres))\nThe GDP of Lyon was 124 billion US dollars in 2019,[d][46] making it the second\nrichest city in France after Paris. Lyon and its region Rhône-Alpes represent one of\nthe most important economies in Europe and, according to Loughborough University,\ncan be compared to Philadelphia, Mumbai or Athens with regard to its international\nposition. The city of Lyon is working in partnership to more easily enable the\nestablishment of new headquarters in the territory (ADERLY, Chambre du commerce\net d'industrie, Grand Lyon...). High-tech industries such as biotechnology, software\ndevelopment, video game (Arkane Studios, Ivory Tower, Eden Games, EA France,\nBandai Namco Entertainment Europe), and internet services are also growing. Other\nimportant sectors include medical research and technology, non-profit institutions,\nand universities. Lyon is home to the P4-Inserm–ean Merieux Laboratory which\nconducts top-level vaccine research.[47]\nThe city is home to the headquarters of many large companies such as Groupe SEB, Sanofi Pasteur, Renault Trucks, Norbert\nDentressangle, LCL S.A., Descours & Cabaud, Merial, Point S, BioMérieux, Iveco Bus, Compagnie Nationale du Rhône, GL\nEvents, April Group, Boiron, Feu Vert, Panzani, Babolat, Lyon Airports, LVL Medical, and inter-governmental agencies\nIARC and Interpol. The specialisation of some sectors of activities has led to the creation of many main business centres: La\nPart-Dieu, located in the 3rd arrondissement is the second biggest business quarter after La Défense in Paris with over\nParks and gardens\nEconomy", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia4.pdf" - }, - { - "text": "67. \"Le nouveau profil de la population active immigrée\" (http://www.insee.fr/fr/themes/document.asp?reg_id=8&ref_id=19297). Institut national de la statistique et des études économiques.\n68. Bienfait, Jean (1968). \"La population de Lyon à travers un quart de siècle de recensements douteux (1911-1936)\" (https://www.persee.fr/doc/geoca_0035-113x_1968_num_43_1_2625). Géocarrefour. 43 (1). Revuede géographie de Lyon: 80. doi:10.3406/geoca.1968.2625 (https://doi.org/10.3406%2Fgeoca.1968.2625).Retrieved 16 October 2020.\n69. Des villages de Cassini aux communes d'aujourd'hui: Commune data sheet Lyon (http://cassini.ehess.fr/fr/html/fiche.php?select_resultat=20464), EHESS (in French).\n70. EHESS. \"Des villages de Cassini aux communes d'aujourd'hui\" (http://cassini.ehess.fr/fr/html/). Retrieved9 April 2022.\n71. \"Statistiques locales - Métropole de Lyon : Intercommunalité-Métropole - Population municipale (historiquedepuis 1876)\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n72. \"IMG1B - Population immigrée par sexe, âge et pays de naissance en 2020 − Recensement de la population– Résultats pour toutes les communes, départements, régions, intercommunalités... −Étrangers - Immigrés en2020 | Insee\" (https://www.insee.fr/fr/statistiques/7633127?sommaire=7633727&geo=COM-69123).\n73. \"欧州の補習授業校⼀覧（平成 25 年 4 ⽉ 15 ⽇現在） (https://web.archive.org/web/20140330190146/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)\" (Archive (https://web.archive.org/web/20071213144924/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)). Ministry of Education,Culture, Sports, Science and Technology (MEXT). Retrieved on 10 May 2014. Cite Scolaire: \"Cité ScolaireInternationale, 2 place de Montréal,69361 LYON CEDEX 07 FRANCE\" and Lyon: \"Maison Berty Albrecht 14,Place Grandclement, 69100 Viueurbanne, FRANCE\"", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "How big was Lyon's population in 2022? ", - "target_page": 2, - "target_passage": "Population (2022) 520,774", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Foreign-born population in Lyon by\ncountry of birth[72]\nCountry of birth Population (2020)\n Algeria 14,779\n Morocco 5,245\n Tunisia 4,879\n Italy 3,351\n Portugal 3,068\n Spain 2,064\n DR Congo 1,520\n China 1,429\n Cameroon 1,364\n Senegal 1,198\nENS Lyon: René Descartes\ncampus\nLyon 3: Manufacture des Tabacs\ncampus\nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for thecommune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities atthe time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and\nremain the 2nd largest city of France ahead of Marseille).[68] The 1906 figure is computed using the figure for the commune ofLyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimatewas smaller than 10,000.\nSource: EHESS[70] and INSEE[71]\nÉcole Centrale de Lyon;\nÉcole Normale Supérieure de Lyon\nEM Lyon (École de Management de Lyon);\nECE Lyon (École de Commerce Européenne de Lyon);\nInstitut d'études politiques de Lyon (Sciences Po Lyon);\nCPE Lyon;\nCNSMD (Conservatoire national supérieur de musique et de danse deLyon)\nECAM Lyon (École Catholique d'Arts et Métiers de Lyon);\nEPITECH;\nEPITA;\nENTPE (École Nationale des Travaux Publiques de l'État);\nÉcole nationale vétérinaire de Lyon (ENVL);\nESME-Sudria;\nÉcole des Beaux-Arts;\nE-Artsup;\nINSA Lyon (Institut National des Sciences Appliquées de Lyon);\nPolytech Lyon;\nInstitut supérieur européen de gestion group;\nISARA (Institut Supérieur d'Agriculture Rhône Alpes);\nInstitution des Chartreux;\nInstitut polytechnique des sciences avancées;\nUniversité Claude Bernard (Lyon 1);\nUniversité Lumière (Lyon 2);\nUniversité Jean Moulin (Lyon 3);\nIAE (Institut d'Administration des Entreprises de Lyon);\nInstitut Sup'Biotech de Paris;\nCatholic University of Lyon;\nESDES Business School;\nIDRAC (International School of Management);\nWesford Graduate Business School;\nIFAG (Business Management School);\nInstitut supérieur européen de formation par l'action;\nLe Lycée du Parc;\nLa Martinière Lyon;\nWeb@cademie;\nCEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);\nForeign-born\nEducation\nUniversities and tertiary education", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Lyon\nLiyon (Arpitan)\nPrefecture and commune\nSkyline of Lyon in La Part-Dieu\nBasilica of Notre-Dame de Fourvière\n Place des Terreauxwith the FontaineBartholdi\nParc de la Tête d'or\n Confluence District\nVieux Lyon\n Pont Lafayette\nFlag\n Coat of arms\nMotto(s): Avant, avant, Lion le melhor(old Franco-Provençal for \"Forward, forward,\nLyon the best\")[a]\nVirtute duce, comite fortuna(\"With virtue as guide and fortune as\ncompanion\")[b]\nLocation of Lyon\nLyon\nLyon[c] (Franco-Provençal: Liyon) is the second-largest city in France\nby urban area and the third largest by city limits.[14] It is located at the\nconfluence of the rivers Rhône and Saône, to the northwest of the\nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north\nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km\n(36 mi) northeast of Saint-Étienne.\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but\ntogether with its suburbs and exurbs the Lyon metropolitan area had a\npopulation of 2,308,818 that same year,[7] the second most populated in\nFrance. Lyon and 58 suburban municipalities have formed since 2015\nthe Metropolis of Lyon, a directly elected metropolitan authority now in\ncharge of most urban issues, with a population of 1,424,069 in 2021.[16]\nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of\nthe Departmental Council of Rhône (whose jurisdiction, however, no\nlonger extends over the Metropolis of Lyon since 2015).\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of\nan archbishopric whose holder bears the title of Primate of the Gauls.\nLyon became a major economic hub during the Renaissance. The city is\nrecognised for its cuisine and gastronomy, as well as historical and\narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière\nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on\nthe UNESCO World Heritage List. Lyon was historically an important\narea for the production and weaving of silk. Lyon played a significant\nrole in the history of cinema since Auguste and Louis Lumière invented\nthe cinematograph there. The city is also known for its light festival, the\nFête des lumières, which begins every 8 December and lasts for four\ndays, earning Lyon the title of \"Capital of Lights\".\nEconomically, Lyon is a major centre for banking, chemical,\npharmaceutical and biotech industries. The city contains a significant\nsoftware industry with a particular focus on video games; in recent years\nit has fostered a growing local start-up sector.[17] The home of renowned\nuniversities and higher education schools, Lyon is the second-largest\nstudent city in France, with a university population of nearly 200,000\nstudents within the Metropolis of Lyon.[18] Lyon hosts the international\nheadquarters of Interpol, the International Agency for Research on\nCancer, as well as Euronews. According to the Globalization and World\nRankings Research Institute, Lyon is considered a Beta city, as of\n2018.[19] It ranked second in France and 40th globally in Mercer's 2019\nliveability rankings.[20]\nHistory\nToponymy", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "67. \"Le nouveau profil de la population active immigrée\" (http://www.insee.fr/fr/themes/document.asp?reg_id=8&ref_id=19297). Institut national de la statistique et des études économiques.\n68. Bienfait, Jean (1968). \"La population de Lyon à travers un quart de siècle de recensements douteux (1911-1936)\" (https://www.persee.fr/doc/geoca_0035-113x_1968_num_43_1_2625). Géocarrefour. 43 (1). Revuede géographie de Lyon: 80. doi:10.3406/geoca.1968.2625 (https://doi.org/10.3406%2Fgeoca.1968.2625).Retrieved 16 October 2020.\n69. Des villages de Cassini aux communes d'aujourd'hui: Commune data sheet Lyon (http://cassini.ehess.fr/fr/html/fiche.php?select_resultat=20464), EHESS (in French).\n70. EHESS. \"Des villages de Cassini aux communes d'aujourd'hui\" (http://cassini.ehess.fr/fr/html/). Retrieved9 April 2022.\n71. \"Statistiques locales - Métropole de Lyon : Intercommunalité-Métropole - Population municipale (historiquedepuis 1876)\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n72. \"IMG1B - Population immigrée par sexe, âge et pays de naissance en 2020 − Recensement de la population– Résultats pour toutes les communes, départements, régions, intercommunalités... −Étrangers - Immigrés en2020 | Insee\" (https://www.insee.fr/fr/statistiques/7633127?sommaire=7633727&geo=COM-69123).\n73. \"欧州の補習授業校⼀覧（平成 25 年 4 ⽉ 15 ⽇現在） (https://web.archive.org/web/20140330190146/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)\" (Archive (https://web.archive.org/web/20071213144924/http://www.mext.go.jp/a_menu/shotou/clarinet/002/006/001/002/004.htm)). Ministry of Education,Culture, Sports, Science and Technology (MEXT). Retrieved on 10 May 2014. Cite Scolaire: \"Cité ScolaireInternationale, 2 place de Montréal,69361 LYON CEDEX 07 FRANCE\" and Lyon: \"Maison Berty Albrecht 14,Place Grandclement, 69100 Viueurbanne, FRANCE\"", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Map of the Metropolis of\nLyon and its 59\ncommunes (the\ncommune of Lyon is in\nred)\nMayor Term start Term end Party\nAntoine Gailleton 1881 1900\nVictor Augagneur 1900 30 October 1905 PRS\nÉdouard Herriot 30 October 1905 20 September 1940 Radical\nGeorges Cohendy 20 September 1940 1941 Nominated and dismissed by Vichy\nGeorges Villiers 1941 1942 Nominated and dismissed by Vichy\nPierre-Louis-André Bertrand 1942 1944 Nominated by Vichy\nJustin Godart 1944 18 May 1945 Radical\nÉdouard Herriot 18 May 1945 26 March 1957 Radical\nPierre Montel, ad interim 26 March 1957 14 April 1957 Radical\nLouis Pradel 14 April 1957 27 November 1976 DVD\nArmand Tapernoux, ad interim 27 November 1976 5 December 1976 DVD\nFrancisque Collomb 5 December 1976 24 March 1989 DVD\nMichel Noir 24 March 1989 25 June 1995 RPR\nRaymond Barre 25 June 1995 25 March 2001 DVD\nGérard Collomb 25 March 2001 17 July 2017 PS\nGeorges Képénékian 17 July 2017 5 November 2018 LREM\nGérard Collomb 5 November 2018 4 July 2020 LREM\nGrégory Doucet 4 July 2020 Incumbent EELV\nSince 2015, the commune of Lyon (48 km2 (19 sq mi) in land area) and 58 suburban communes\nhave formed the Metropolis of Lyon (534 km2 (206 sq mi) in land area), a directly elected\nmetropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only\nmetropolitan authority in France which is a territorial collectivity, on par with French communes\nand departments. Its metropolitan council was for the first time directly elected by universal\nsuffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in\nFrance.\nThe 14 electoral wards are the following (see map for location):\n Lônes et coteaux\n Lyon-Centre (Lyon-Centre)\n Lyon-Est (Lyon-East)\n Lyon-Nord (Lyon-North)\n Lyon-Ouest\n Lyon-Sud\n Lyon-Sud-Est\n Ouest\n Plateau Nord-Caluire\n Porte des Alpes\n Portes du Sud\n Rhône Amont\n Val de Saône\n Villeurbanne\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is\ncoterminous with the namesake commune. All other seven wards each group various suburban communes.\nMetropolis", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Coordinates: 45°46′N 4°50′E\nCountry France\nRegion Auvergne-Rhône-Alpes\nMetropolis Lyon Metropolis\nArrondissement Lyon\nSubdivisions 9 arrondissements\nGovernment\n • Mayor (2020–2026) Grégory Doucet[2]\n(EELV)\nArea1 47.87 km2 (18.48 sq mi)\n • Urban (2020[3]) 1,141.4 km2\n(440.7 sq mi)\n • Metro (2020[4]) 4,605.8 km2\n(1,778.3 sq mi)\nPopulation (2022)[5] 520,774\n • Rank 3rd in France\n • Density 11,000/km2\n(28,000/sq mi)\n • Urban (Jan.\n2021[6])\n1,702,921\n • Urban density 1,500/km2 (3,900/sq mi)\n • Metro (Jan.\n2021[7])\n2,308,818\nThe name of the city has taken the forms Lugdon, Luon, and since the\n13th century, Lyon. The Gallic Lugdun or Lugdunon that was Latinized\nin Roman as Lugdunum is composed of two words. The first may be the\nname of the Celtic god Lug (in charge of order and law), or the derived\nword lugon, meaning \"crow\" (the crow being the messenger of Lug), but\nmight also be another word lug, meaning \"light\". The second is dunos\n('fortress', 'hill'). The name thus may designate the hill of Fourvière, on\nwhich the ancient city of Lyon is founded, but could mean \"hill of the\ngod Lug\", \"hill of the crows\" or \"shining hill\".[21] [22]\nAlternatively Julius Pokorny associates the first part of the word with\nthe Indo-European radical *lūg ('dark, black, swamp'), the basis of the\ntoponyms Ludza in Latvia, Lusatia in Germany (from Sorbian Łužica),\nand several places in the Czech Republic named Lužice;[23] it could then\nalso be compared to Luze in Franche-Comté and various hydronyms\nsuch as Louge.\nFurther down, in the current Saint-Vincent district, was the Gallic\nvillage of Condate, probably a simple hamlet of sailors or fishermen\nliving on the banks of the Saône. Condate is a Gallic word meaning\n\"confluence\", from which the Confluence district gets its name.\nIn Roman times the city was called Caput Galliæ, meaning \"capital of\nthe Gauls\". As an homage to this title, the Archbishop of Lyon is still\ncalled the Primate of Gaul.\nDuring the revolutionary period, Lyon was renamed Commune-\nAffranchie (\"Emancipated Commune\") on 12 October 1793 by a decree\nof the Convention Nationale. It resumed its name in 1794, after the end\nof the Terror.\nLyon is called Liyon in Franco-Provençal.[24]\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate\nordered the creation of a settlement for Roman refugees of war with the\nAllobroges. These refugees had been expelled from Vienne and were\nnow encamped at the confluence of the Saône and Rhône rivers. The\nfoundation was built on Fourvière hill and officially called Colonia\nCopia Felix Munatia, a name invoking prosperity and the blessing of the\ngods. The city became increasingly referred to as Lugdunum (and\noccasionally Lugudunum[25]).[26] The earliest translation of this Gaulish\nplace-name as \"Desired Mountain\" is offered by the 9th-century\nEndlicher Glossary.[27] In contrast, some modern scholars have\nproposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god\nLugus (cognate with Old Irish Lugh, Modern Irish Lú), and dúnon (hill-\nfort).\nThe Romans recognised that Lugdunum's strategic location at the\nconvergence of two navigable rivers made it a natural communications\nhub. The city became the starting point of main Roman roads in the\narea, and it quickly became the capital of the province, Gallia\nLugdunensis. Two Emperors were born in this city: Claudius, whose\nspeech is preserved in the Lyon Tablet in which he justifies the\nnomination of Gallic Senators, and Caracalla.\nLyon\nLyon\nAncient Lyon", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "• Metro density 500/km2 (1,300/sq mi)\nTime zone UTC+01:00 (CET)\n • Summer (DST) UTC+02:00 (CEST)\nINSEE/Postal code 69123 (https://www.insee.fr/fr/statistiques/1405599?geo=COM-69123)/69001-69009\nElevation 162–349 m (531–1,145 ft)\nWebsite lyon.fr (https://www.lyon.fr/)\n1 French Land Register data, which excludes\nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or247 acres) and river estuaries.\nTimeline of Lyon\nHistorical affiliations\n Roman Empire (Gallia Lugdunensis), 43\nBC-286\n Western Roman Empire (Gallia\nLugdunensis), 286-411\n Kingdom of the Burgundians, 411–534\n Francia, 534–843\n Middle Francia, 843–855\n Lotharingia, 855–879\n Lower Burgundy, 879-933\n Kingdom of Arles, 933–1312\n Kingdom of France (Lyonnais), 1312–\n1792\n French First Republic, 1792–1793\n Counter-revolutionary, 1793\n French First Republic, 1793–1804\n First French Empire, 1804–1814\n Kingdom of France, 1814–1815\n First French Empire, 1815\n Kingdom of France, 1815–1830\n Kingdom of France, 1830–1848\n French Second Republic, 1848–1852\n Second French Empire, 1852–1870\n French Third Republic, 1870–1940\n Vichy France, 1940–1944\n French Fourth Republic, 1944–1958\n France, 1958–present\nThe Roman-era Theatre on the\nFourvière Hill\nLyon under siege in 1793\nEarly Christians in Lyon were martyred for their beliefs under the reigns\nof various Roman emperors, most notably Marcus Aurelius and\nSeptimius Severus.[28] Local saints from this period include Blandina,\nPothinus, and Epipodius, among others. The Greek Irenaeus was the\nsecond bishop of Lyon during the latter part of the second century.[29]\nTo this day, the archbishop of Lyon is still referred to as \"Primat des\nGaules\".[30]\nBurgundians fleeing the destruction of Worms by the Huns in 437 were\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor\nLothair I. It later was made part of the Kingdom of Arles which was\nincorporated into the Holy Roman Empire in 1033. Lyon did not come\nunder French control until the\n14th century.\nFernand Braudel remarked,\n\"Historians of Lyon are not\nsufficiently aware of the bi-\npolarity between Paris and Lyon,\nwhich is a constant structure in\nFrench development...from the\nlate Middle Ages to the Industrial\nRevolution\".[31] In the late 15th century, the fairs introduced by Italian\nmerchants made Lyon the economic counting house of France. Even the\nBourse (treasury), built in 1749, resembled a public bazaar where\naccounts were settled in the open air. When international banking moved\nto Genoa, then Amsterdam, Lyon remained the banking centre of\nFrance.\nDuring the Renaissance, the city's development was driven by the silk\ntrade, which strengthened its ties to Italy. Italian influence on Lyon's\narchitecture is still visible among historic buildings.[32] In the late 1400s\nand 1500s Lyon was also a key centre of literary activity and book\npublishing, both of French writers (such as Maurice Scève, Antoine\nHeroet, and Louise Labé) and of Italians in exile (such as Luigi\nAlamanni and Gian Giorgio Trissino).\nIn 1572, Lyon was a scene of mass violence by Catholics against\nProtestant Huguenots in the St. Bartholomew's Day Massacre. Two\ncenturies later, Lyon was again convulsed by violence during the French\nRevolution, when the citizenry rose up against the National Convention\nand supported the Girondins. The city was besieged by Revolutionary armies for over\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\nespecially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph\nFouché administered the execution of more than 2,000 people. The Convention\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\nNapoleon ordered the reconstruction of all the buildings demolished during that\nperiod.\nModern Lyon", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia4.pdf" - }, - { - "text": "6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12).Retrieved 12 July 2024.\n7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=002&t=A01&view=map13). Retrieved 12 July 2024.\n8. Wells, John C. (2008). Longman Pronunciation Dictionary (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). Lexico UKEnglish Dictionary. Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons)on 24 January 2020.\n10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). Cambridge English PronouncingDictionary (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). Merriam-Webster.com Dictionary. Merriam-Webster. Retrieved 8 August 2018.\n12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). Collins English Dictionary. HarperCollins.Retrieved 8 August 2018.\n13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com_dicodoc&view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). locongres.org. Retrieved 1 April 2022.\n14. https://about-france.com/tourism/main-towns-cities.htm\n15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=69123&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statistiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop_depuis_1876.pop&s=2021&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n17. \"Lyon entrepreneurship, Lyon company, Invest Lyon – Greater Lyon\" (https://web.archive.org/web/20100308131020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualites/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved8 April 2022.\n19. \"GaWC - The World According to GaWC 2018\" (https://www.lboro.ac.uk/gawc/world2018t.html).www.lboro.ac.uk.\n20. \"Quality of Living City Ranking | Mercer\" (https://mobilityexchange.mercer.com/Insights/quality-of-living-rankings). mobilityexchange.mercer.com.\n21. Mailhes, François; Piot, Cyrille; Rapini, Jean-Louis (2021). Les Miscellanées des Lyonnais (https://poutan.fr/site/). éditions du poutan.\n22. \"Lyon, d'où vient ton nom ?\" (https://www.lefigaro.fr/langue-francaise/expressions-francaises/2017/03/30/37003-20170330ARTFIG00011-lyon-d-o-vient-ton-nom.php). Le Figaro (in French). 30 March 2017. Retrieved8 September 2023.\n23. Pokorny, Julius (1959). Indogermanisches Etymologisches Wörterbuch (in German). French & EuropeanPublications, Inc.\n24. Stich, Domenico (2003). Dictionnaire francoprovençal-français et français-francoprovençal (in French). LeCarré. p. 189. ISBN 978-2908150155.\n25. Cassius Dio, Roman History, Book 46: Lepidus and Lucius Plancus [...] founded the town called Lugudunum,now known as Lugdunum", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Map showing the 14\nelectoral wards of the\nMetropolis of Lyon\nThe division of the Metropolis of Lyon in large electoral wards often grouping various\ncommunes and dividing the commune of Lyon into six wards was criticized by the suburban\nmayors, as it ended the rule of 'one commune, one metropolitan councilor'. The goal of this\nelectoral division of the metropolis was to focus metropolitan elections more on metropolitan\nissues than parochial communal issues, and ensure the 'one person, one vote' rule be respected,\nby creating electoral wards of more homogeneous population sizes. Opponents said it diluted the\nvoice of the small suburban communes, which are now part of large electoral wards and do not\neach possess a representative in the metropolitan council anymore.\nThe two first presidents of the Metropolis of Lyon's metropolitan council were chosen by\nindirectly elected metropolitan councilors. The current president since July 2020 was elected by\nnew metropolitan councilors following their election by universal suffrage in March (1st round)\nand June (2nd round) 2020, the first direct election of a metropolitan council in France.\nPresident of the Metropolitan Council Term start Term end Party\nGérard Collomb 1 January 2015 10 July 2017 PS\nDavid Kimelfeld 10 July 2017 2 July 2020 LREM\nBruno Bernard 2 July 2020 Incumbent EELV\nThe Roman ruins on the hillside near the Fourvière Basilica, with the Ancient Theatre of Fourvière, the Odeonof Lyon and the accompanying Gallo-Roman museum\nAmphitheatre of the Three Gauls – ruins of a Roman amphitheatre.\nAncient Theatre of Fourvière\n \nOdeon of Lyon\n \nAmphitheatre of the Three Gauls\nCathedral of St. John, a medieval church with architectural elements of the 13th, 14th and 15th centuries, alsothe principal religious structure in the city and the seat of the Archbishop of Lyon\nBasilica of St-Martin-d'Ainay, one of the rare surviving Romanesque basilica-style churches in Lyon\nÉglise Saint-Paul, Romanesque (12th and 13th century) and Gothic (15th–16th century) church\nÉglise Saint-Bonaventure, 14th- and 15th-century Gothic church\nÉglise Saint-Nizier, Gothic church from the 15th century, having a doorway carved in the 16th century byPhilibert Delorme\nVieux Lyon (English: Old Lyon) area, Medieval and Renaissance quarter of the town, with shops, dining andcobbled streets\nThe many Renaissance hôtels particuliers of the Old Lyon quarter, such as the Hôtel de Bullioud, were alsobuilt by Philibert Delorme\nPresidents of the Metropolitan Council\nMain sights\nAntiquity\nMiddle Ages and Renaissance", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present\nMonth Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year\nRecord high°C (°F) 19.1(66.4) 21.9(71.4) 26.0(78.8) 30.1(86.2) 34.2(93.6) 38.4(101.1) 40.4(104.7) 41.4(106.5) 35.8(96.4) 28.4(83.1) 23.0(73.4) 20.2(68.4) 41.4(106.5)\nMean dailymaximum°C (°F)\n7.1(44.8) 9.0(48.2) 13.8(56.8) 17.4(63.3) 21.5(70.7) 25.6(78.1) 28.2(82.8) 28.0(82.4) 23.1(73.6) 17.7(63.9) 11.4(52.5) 7.7(45.9) 17.5(63.5)\nDaily mean°C (°F) 4.1(39.4) 5.2(41.4) 9.0(48.2) 12.3(54.1) 16.3(61.3) 20.3(68.5) 22.6(72.7) 22.3(72.1) 17.9(64.2) 13.7(56.7) 8.1(46.6) 4.8(40.6) 13.0(55.4)\nMean dailyminimum °C(°F)\n1.1(34.0) 1.4(34.5) 4.2(39.6) 7.2(45.0) 11.2(52.2) 15.0(59.0) 17.0(62.6) 16.6(61.9) 12.8(55.0) 9.6(49.3) 4.9(40.8) 2.0(35.6) 8.6(47.5)\nRecord low°C (°F) −23.0(−9.4) −22.5(−8.5) −10.5(13.1) −4.4(24.1) −3.8(25.2) 2.3(36.1) 6.1(43.0) 4.6(40.3) 0.2(32.4) −4.5(23.9) −9.4(15.1) −24.6(−12.3) −24.6(−12.3)\nAverageprecipitationmm (inches)\n49.8(1.96) 41.6(1.64) 49.4(1.94) 68.9(2.71) 80.9(3.19) 74.1(2.92) 67.4(2.65) 65.5(2.58) 82.5(3.25) 99.8(3.93) 87.2(3.43) 53.7(2.11) 820.8(32.31)\nAverageprecipitationdays\n(≥ 1.0 mm)\n8.1 7.9 8.4 9.0 10.3 8.5 7.5 7.2 7.3 9.9 9.4 9.2 102.8\nMeanmonthlysunshinehours\n71.1 102.4 173.7 197.7 223.8 256.5 288.1 263.1 204.1 131.4 78.9 58.7 2,049.5\nSource 1: Meteo France[40]\nSource 2: Meteo Lyon[41]", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes\nMonth Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year\nRecord high°C (°F) 16.3(61.3) 21.4(70.5) 25.7(78.3) 28.0(82.4) 29.4(84.9) 34.4(93.9) 39.8(103.6) 37.1(98.8) 33.8(92.8) 28.4(83.1) 22.6(72.7) 20.2(68.4) 39.8(103.6)\nMeanmaximum °C(°F)\n10.2(50.4) 14.4(57.9) 15.9(60.6) 18.6(65.5) 23.1(73.6) 28.8(83.8) 32.8(91.0) 28.1(82.6) 27.3(81.1) 19.7(67.5) 14.1(57.4) 9.5(49.1) 32.8(91.0)\nMean dailymaximum °C(°F)\n6.1(43.0) 8.2(46.8) 11.6(52.9) 15.2(59.4) 19.1(66.4) 22.9(73.2) 26.1(79.0) 26.0(78.8) 22.4(72.3) 17.1(62.8) 10.0(50.0) 6.4(43.5) 15.9(60.7)\nDaily mean °C(°F) 3.0(37.4) 4.9(40.8) 7.4(45.3) 10.2(50.4) 14.0(57.2) 17.6(63.7) 20.6(69.1) 20.0(68.0) 17.1(62.8) 12.7(54.9) 6.7(44.1) 3.9(39.0) 11.5(52.7)\nMean dailyminimum °C(°F)\n0.2(32.4) 1.4(34.5) 2.9(37.2) 5.2(41.4) 9.1(48.4) 12.5(54.5) 14.8(58.6) 14.4(57.9) 11.7(53.1) 8.3(46.9) 3.5(38.3) 0.7(33.3) 7.1(44.7)\nMeanminimum °C(°F)\n−7.0(19.4) −4.7(23.5) −1.4(29.5) 3.2(37.8) 7.6(45.7) 10.9(51.6) 13.1(55.6) 12.9(55.2) 8.1(46.6) 4.5(40.1) 1.0(33.8) −4.7(23.5) −7.0(19.4)\nRecord low °C(°F) −23.0(−9.4) −19.3(−2.7) −10.5(13.1) −3.2(26.2) −0.3(31.5) 3.6(38.5) 6.1(43.0) 5.2(41.4) 1.9(35.4) −3.2(26.2) −7.1(19.2) −16.0(3.2) −23.0(−9.4)\nAverageprecipitationmm (inches)\n54.0(2.13) 53.8(2.12) 72.2(2.84) 56.1(2.21) 72.6(2.86) 73.2(2.88) 54.5(2.15) 71.6(2.82) 53.2(2.09) 56.2(2.21) 68.0(2.68) 55.8(2.20) 741.2(29.19)\nAverageprecipitationdays\n(≥ 1.0 mm)\n10.4 9.3 9.7 9.6 10.9 8.2 6.8 8.2 7.3 8.5 8.9 9.8 107.6\nAveragesnowy days 5.5 3.9 2.5 1.1 0.0 0.0 0.0 0.0 0.0 0.0 2.0 4.6 19.6\nAveragerelativehumidity (%) 84 80 74 71 72 70 65 70 76 82 84 86 76\nMean monthlysunshinehours 62.6 89.8 147.5 184.2 215.9 250.9 292.6 259.0 208.1 134.3 75.3 55.4 1,975.6\nPercentpossiblesunshine 23 31 41 46 47 54 62 60 56 40 27 21 42\nSource 1: NOAA[42]\nSource 2: Infoclimat.fr (humidity)[43]\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each\nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in\n1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between\n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three\ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to\nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th – and, to date, final –\narrondissement. Within each arrondissement, the recognisable quartiers or neighbourhoods are:\n1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent\nAdministration\nCommune", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "What is the climate in Lyon ?", - "target_page": 5, - "target_passage": " Lyon has a humid subtropical climate ( Köppen: Cfa), bordering an oceanic climate (Köppen: Cfb, Trewartha: Do).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Ice on the Saône, 2012\nPanorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\nLyon has a humid subtropical climate (Köppen: Cfa), bordering an oceanic climate\n(Köppen: Cfb, Trewartha: Do).[38] The mean temperature in Lyon in the coldest month\nis 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F).\nPrecipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter\nmonths are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13\nAugust 2003 while the lowest recorded temperature was −24.6 °C (−12.3 °F) on 22\nDecember 1938.[39]\nClimate", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Climate data for Lyon (LYN), elevation: 201 m, 1961-1990 normals and extremes\nMonth Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year\nRecord high°C (°F) 16.3(61.3) 21.4(70.5) 25.7(78.3) 28.0(82.4) 29.4(84.9) 34.4(93.9) 39.8(103.6) 37.1(98.8) 33.8(92.8) 28.4(83.1) 22.6(72.7) 20.2(68.4) 39.8(103.6)\nMeanmaximum °C(°F)\n10.2(50.4) 14.4(57.9) 15.9(60.6) 18.6(65.5) 23.1(73.6) 28.8(83.8) 32.8(91.0) 28.1(82.6) 27.3(81.1) 19.7(67.5) 14.1(57.4) 9.5(49.1) 32.8(91.0)\nMean dailymaximum °C(°F)\n6.1(43.0) 8.2(46.8) 11.6(52.9) 15.2(59.4) 19.1(66.4) 22.9(73.2) 26.1(79.0) 26.0(78.8) 22.4(72.3) 17.1(62.8) 10.0(50.0) 6.4(43.5) 15.9(60.7)\nDaily mean °C(°F) 3.0(37.4) 4.9(40.8) 7.4(45.3) 10.2(50.4) 14.0(57.2) 17.6(63.7) 20.6(69.1) 20.0(68.0) 17.1(62.8) 12.7(54.9) 6.7(44.1) 3.9(39.0) 11.5(52.7)\nMean dailyminimum °C(°F)\n0.2(32.4) 1.4(34.5) 2.9(37.2) 5.2(41.4) 9.1(48.4) 12.5(54.5) 14.8(58.6) 14.4(57.9) 11.7(53.1) 8.3(46.9) 3.5(38.3) 0.7(33.3) 7.1(44.7)\nMeanminimum °C(°F)\n−7.0(19.4) −4.7(23.5) −1.4(29.5) 3.2(37.8) 7.6(45.7) 10.9(51.6) 13.1(55.6) 12.9(55.2) 8.1(46.6) 4.5(40.1) 1.0(33.8) −4.7(23.5) −7.0(19.4)\nRecord low °C(°F) −23.0(−9.4) −19.3(−2.7) −10.5(13.1) −3.2(26.2) −0.3(31.5) 3.6(38.5) 6.1(43.0) 5.2(41.4) 1.9(35.4) −3.2(26.2) −7.1(19.2) −16.0(3.2) −23.0(−9.4)\nAverageprecipitationmm (inches)\n54.0(2.13) 53.8(2.12) 72.2(2.84) 56.1(2.21) 72.6(2.86) 73.2(2.88) 54.5(2.15) 71.6(2.82) 53.2(2.09) 56.2(2.21) 68.0(2.68) 55.8(2.20) 741.2(29.19)\nAverageprecipitationdays\n(≥ 1.0 mm)\n10.4 9.3 9.7 9.6 10.9 8.2 6.8 8.2 7.3 8.5 8.9 9.8 107.6\nAveragesnowy days 5.5 3.9 2.5 1.1 0.0 0.0 0.0 0.0 0.0 0.0 2.0 4.6 19.6\nAveragerelativehumidity (%) 84 80 74 71 72 70 65 70 76 82 84 86 76\nMean monthlysunshinehours 62.6 89.8 147.5 184.2 215.9 250.9 292.6 259.0 208.1 134.3 75.3 55.4 1,975.6\nPercentpossiblesunshine 23 31 41 46 47 54 62 60 56 40 27 21 42\nSource 1: NOAA[42]\nSource 2: Infoclimat.fr (humidity)[43]\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each\nof which is identified by a number and has its own council and town hall. Five arrondissements were originally created in\n1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between\n1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three\ntimes, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to\nLyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th – and, to date, final –\narrondissement. Within each arrondissement, the recognisable quartiers or neighbourhoods are:\n1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent\nAdministration\nCommune", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991–2020 normals, extremes 1920–present\nMonth Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec Year\nRecord high°C (°F) 19.1(66.4) 21.9(71.4) 26.0(78.8) 30.1(86.2) 34.2(93.6) 38.4(101.1) 40.4(104.7) 41.4(106.5) 35.8(96.4) 28.4(83.1) 23.0(73.4) 20.2(68.4) 41.4(106.5)\nMean dailymaximum°C (°F)\n7.1(44.8) 9.0(48.2) 13.8(56.8) 17.4(63.3) 21.5(70.7) 25.6(78.1) 28.2(82.8) 28.0(82.4) 23.1(73.6) 17.7(63.9) 11.4(52.5) 7.7(45.9) 17.5(63.5)\nDaily mean°C (°F) 4.1(39.4) 5.2(41.4) 9.0(48.2) 12.3(54.1) 16.3(61.3) 20.3(68.5) 22.6(72.7) 22.3(72.1) 17.9(64.2) 13.7(56.7) 8.1(46.6) 4.8(40.6) 13.0(55.4)\nMean dailyminimum °C(°F)\n1.1(34.0) 1.4(34.5) 4.2(39.6) 7.2(45.0) 11.2(52.2) 15.0(59.0) 17.0(62.6) 16.6(61.9) 12.8(55.0) 9.6(49.3) 4.9(40.8) 2.0(35.6) 8.6(47.5)\nRecord low°C (°F) −23.0(−9.4) −22.5(−8.5) −10.5(13.1) −4.4(24.1) −3.8(25.2) 2.3(36.1) 6.1(43.0) 4.6(40.3) 0.2(32.4) −4.5(23.9) −9.4(15.1) −24.6(−12.3) −24.6(−12.3)\nAverageprecipitationmm (inches)\n49.8(1.96) 41.6(1.64) 49.4(1.94) 68.9(2.71) 80.9(3.19) 74.1(2.92) 67.4(2.65) 65.5(2.58) 82.5(3.25) 99.8(3.93) 87.2(3.43) 53.7(2.11) 820.8(32.31)\nAverageprecipitationdays\n(≥ 1.0 mm)\n8.1 7.9 8.4 9.0 10.3 8.5 7.5 7.2 7.3 9.9 9.4 9.2 102.8\nMeanmonthlysunshinehours\n71.1 102.4 173.7 197.7 223.8 256.5 288.1 263.1 204.1 131.4 78.9 58.7 2,049.5\nSource 1: Meteo France[40]\nSource 2: Meteo Lyon[41]", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - }, - { - "text": "31. Braudel 1984 p. 327\n32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegardeLyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance_f01150.htm) on 19 January 2011. Retrieved 3 April 2011.\n33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1). Chrd.lyon.fr. 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english_1)on 24 January 2011. Retrieved 21 December 2017.\n34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal.com/article/273644). Digitaljournal.com.\n35. (in French) Georges Duby (ed), Histoire de la France : Dynasties et révolutions, de 1348 à 1852 (vol. 2),Larousse, 1999 p. 53 ISBN 2-03-505047-2\n36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/getting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). unesco.org. UNESCO World Heritage Centre.Retrieved 31 July 2015.\n38. Gregory, Stanley. “Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (https://www.jstor.org/stable/25636095).” Erdkunde, vol. 8, no. 4, 1954, pp. 246–252. JSTOR.\n39. \"Données climatiques de la station de Lyon: Relevés de 2016 – Lyon\" (https://web.archive.org/web/20161004055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France.Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October2016. Retrieved 2 October 2016.\n40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM_69029001.pdf) (PDF).Fiche Climatologique: Statistiques 1991–2020 et records (in French). Meteo France. Retrieved 14 July 2022.\n41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). meteo-lyon.net(in French). Météo Villes. Retrieved 7 September 2023.\n42. \"Lyon–Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/REG_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990NormalsNOAALyonBron) 8 February 2019, at the Wayback Machine\n43. \"Normes et records 1961–1990: Lyon-Bron (69) – altitude 198m\" (https://web.archive.org/web/20160303203526/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from theoriginal (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February2019.\n44. \"St-Irénée – France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacred-destinations.com.\n45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcinema.fr/en/). Musée Miniature et Cinéma.\n46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA_CITY). Retrieved16 January 2023.\n47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html). Le Monde. France.Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale_1202866_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html)on 24 April 2010. Retrieved 3 April 2011.\n49. Jean-Baptiste Onofrio : Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais, Lyon 1864", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Lyon\nLiyon (Arpitan)\nPrefecture and commune\nSkyline of Lyon in La Part-Dieu\nBasilica of Notre-Dame de Fourvière\n Place des Terreauxwith the FontaineBartholdi\nParc de la Tête d'or\n Confluence District\nVieux Lyon\n Pont Lafayette\nFlag\n Coat of arms\nMotto(s): Avant, avant, Lion le melhor(old Franco-Provençal for \"Forward, forward,\nLyon the best\")[a]\nVirtute duce, comite fortuna(\"With virtue as guide and fortune as\ncompanion\")[b]\nLocation of Lyon\nLyon\nLyon[c] (Franco-Provençal: Liyon) is the second-largest city in France\nby urban area and the third largest by city limits.[14] It is located at the\nconfluence of the rivers Rhône and Saône, to the northwest of the\nFrench Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north\nof Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km\n(36 mi) northeast of Saint-Étienne.\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census\nwithin its small municipal territory of 48 km2 (19 sq mi),[15] but\ntogether with its suburbs and exurbs the Lyon metropolitan area had a\npopulation of 2,308,818 that same year,[7] the second most populated in\nFrance. Lyon and 58 suburban municipalities have formed since 2015\nthe Metropolis of Lyon, a directly elected metropolitan authority now in\ncharge of most urban issues, with a population of 1,424,069 in 2021.[16]\nLyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of\nthe Departmental Council of Rhône (whose jurisdiction, however, no\nlonger extends over the Metropolis of Lyon since 2015).\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of\nan archbishopric whose holder bears the title of Primate of the Gauls.\nLyon became a major economic hub during the Renaissance. The city is\nrecognised for its cuisine and gastronomy, as well as historical and\narchitectural landmarks; as such, the districts of Old Lyon, the Fourvière\nhill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on\nthe UNESCO World Heritage List. Lyon was historically an important\narea for the production and weaving of silk. Lyon played a significant\nrole in the history of cinema since Auguste and Louis Lumière invented\nthe cinematograph there. The city is also known for its light festival, the\nFête des lumières, which begins every 8 December and lasts for four\ndays, earning Lyon the title of \"Capital of Lights\".\nEconomically, Lyon is a major centre for banking, chemical,\npharmaceutical and biotech industries. The city contains a significant\nsoftware industry with a particular focus on video games; in recent years\nit has fostered a growing local start-up sector.[17] The home of renowned\nuniversities and higher education schools, Lyon is the second-largest\nstudent city in France, with a university population of nearly 200,000\nstudents within the Metropolis of Lyon.[18] Lyon hosts the international\nheadquarters of Interpol, the International Agency for Research on\nCancer, as well as Euronews. According to the Globalization and World\nRankings Research Institute, Lyon is considered a Beta city, as of\n2018.[19] It ranked second in France and 40th globally in Mercer's 2019\nliveability rankings.[20]\nHistory\nToponymy", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "9rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n –2 –1 0 2\n°C\n34561\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure2. Simulatedchangesinannualdailymaximumtemperaturerelativeto1981–2010at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable4. TimeofreachingGWLsof1.5 °Cand2 °Cineachbias-correctedoutputfromtheHadGEM3climatesimulations,driven\nbydifferentsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20yearperiodforwhichtheclimatedata\nisappliedtotheHCVIcalculationandJULESsimulations.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2024 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2036 2051\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2019 2033\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2023 2036\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2020 2032\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1-0 2026 2040\n......................................... ............................................ .......................................... ..................................... ......................................\nland surface sees an increase in annual daily maximum temperature which is similar to the global\nannual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially\nlarger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By\ncontrast, the GFDL-driven simulation shows much of the global land surface seeing increases\nin annual daily maximum temperature larger than the global mean warming. Much of the mid-\nlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more\nare seen in central North America, Europe and northwestern Asia. Similar results are seen in the\nMIROC and ACCESS models.\nThe percentage of days exceeding the 90th percentile of daily maximum temperature increase\nmore in tropical areas (figure 3). Some areas show over 60% of days above this level at 2°C global\nwarming compared with present day, whereas in the mid-latitudes between 20% and 30% of days\nexceed this level. The global mean is between 20% and 30% in all ensemble members (table 3).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "• Metro density 500/km2 (1,300/sq mi)\nTime zone UTC+01:00 (CET)\n • Summer (DST) UTC+02:00 (CEST)\nINSEE/Postal code 69123 (https://www.insee.fr/fr/statistiques/1405599?geo=COM-69123)/69001-69009\nElevation 162–349 m (531–1,145 ft)\nWebsite lyon.fr (https://www.lyon.fr/)\n1 French Land Register data, which excludes\nlakes, ponds, glaciers > 1 km2 (0.386 sq mi or247 acres) and river estuaries.\nTimeline of Lyon\nHistorical affiliations\n Roman Empire (Gallia Lugdunensis), 43\nBC-286\n Western Roman Empire (Gallia\nLugdunensis), 286-411\n Kingdom of the Burgundians, 411–534\n Francia, 534–843\n Middle Francia, 843–855\n Lotharingia, 855–879\n Lower Burgundy, 879-933\n Kingdom of Arles, 933–1312\n Kingdom of France (Lyonnais), 1312–\n1792\n French First Republic, 1792–1793\n Counter-revolutionary, 1793\n French First Republic, 1793–1804\n First French Empire, 1804–1814\n Kingdom of France, 1814–1815\n First French Empire, 1815\n Kingdom of France, 1815–1830\n Kingdom of France, 1830–1848\n French Second Republic, 1848–1852\n Second French Empire, 1852–1870\n French Third Republic, 1870–1940\n Vichy France, 1940–1944\n French Fourth Republic, 1944–1958\n France, 1958–present\nThe Roman-era Theatre on the\nFourvière Hill\nLyon under siege in 1793\nEarly Christians in Lyon were martyred for their beliefs under the reigns\nof various Roman emperors, most notably Marcus Aurelius and\nSeptimius Severus.[28] Local saints from this period include Blandina,\nPothinus, and Epipodius, among others. The Greek Irenaeus was the\nsecond bishop of Lyon during the latter part of the second century.[29]\nTo this day, the archbishop of Lyon is still referred to as \"Primat des\nGaules\".[30]\nBurgundians fleeing the destruction of Worms by the Huns in 437 were\nre-settled in eastern Gaul. In 443 the Romans established the Kingdom\nof the Burgundians, and Lugdunum became its capital in 461. In 843,\nunder the Treaty of Verdun, Lyon went to the Holy Roman Emperor\nLothair I. It later was made part of the Kingdom of Arles which was\nincorporated into the Holy Roman Empire in 1033. Lyon did not come\nunder French control until the\n14th century.\nFernand Braudel remarked,\n\"Historians of Lyon are not\nsufficiently aware of the bi-\npolarity between Paris and Lyon,\nwhich is a constant structure in\nFrench development...from the\nlate Middle Ages to the Industrial\nRevolution\".[31] In the late 15th century, the fairs introduced by Italian\nmerchants made Lyon the economic counting house of France. Even the\nBourse (treasury), built in 1749, resembled a public bazaar where\naccounts were settled in the open air. When international banking moved\nto Genoa, then Amsterdam, Lyon remained the banking centre of\nFrance.\nDuring the Renaissance, the city's development was driven by the silk\ntrade, which strengthened its ties to Italy. Italian influence on Lyon's\narchitecture is still visible among historic buildings.[32] In the late 1400s\nand 1500s Lyon was also a key centre of literary activity and book\npublishing, both of French writers (such as Maurice Scève, Antoine\nHeroet, and Louise Labé) and of Italians in exile (such as Luigi\nAlamanni and Gian Giorgio Trissino).\nIn 1572, Lyon was a scene of mass violence by Catholics against\nProtestant Huguenots in the St. Bartholomew's Day Massacre. Two\ncenturies later, Lyon was again convulsed by violence during the French\nRevolution, when the citizenry rose up against the National Convention\nand supported the Girondins. The city was besieged by Revolutionary armies for over\ntwo months before it surrendered in October 1793. Many buildings were destroyed,\nespecially around the Place Bellecour, and Jean-Marie Collot d'Herbois and Joseph\nFouché administered the execution of more than 2,000 people. The Convention\nordered that its name be changed to \"Liberated City\", and a plaque was erected that\nproclaimed \"Lyons made war on Liberty; Lyons no longer exists\". A decade later,\nNapoleon ordered the reconstruction of all the buildings demolished during that\nperiod.\nModern Lyon", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia4.pdf" - }, - { - "text": "8rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nTable3. TimeofreachingGWLsof1.5 °Cand2 °CintherawoutputfromtheHadGEM3climatesimulations,drivenbydifferent\nsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20-yearperiodforwhichtheclimatedataareapplied\ntothecalculationoftheClimPACTindices.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2015 2030\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2040 2055\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2027 2039\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2020 2034\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2023 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1–0 2034 2046\n......................................... ............................................ .......................................... ..................................... ......................................\nup to present-day plus model-projected warming thereafter ( table 4 ). While this does lead to\ninconsistent definitions of dates of the GWLs for applications of the climate model output with\nand without bias correction, the focus here is on the level of warming relative to pre-industrial\nrather than the timing of this warming. Therefore, priority is given to an accurate quantification\nof GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming\nlevels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on\nthe model and warming level. This inconsistency would have consequences if these results were\napplied to time-dependent impacts and adaptation assessments, but that is not the case here so\nthis concern does not apply. However, one issue is that the time-dependent nature of the aerosol\nforcing means that the spatial pattern of regional climate responses varies over time, so this will\nlead to some degree of inconsistency between the analysis of the ClimPACT extremes and the\nHCVI and JULES impacts projections.\n3. Results\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the\nlevel of agreement between models for a particular projected change, and hence an indication\nof potential robustness of the projected changes for informing adaptation. We then make a\ncomparison of impacts at global warming 1.5°C to investigate the level of impact that would\nbe avoided by limiting global warming to different levels. Bearing in mind the uncertainty in\nregional climate outcomes, we address this in a number of ways. For individual realizations, we\ncompare the impacts at different warming levels to see if they are systematically smaller at 1.5°C,\neven if the sign of the change is uncertain. We also compare the range of outcomes at different\nGWLs, to see if the regional-scale uncertainty itself increases with global warming.\n(a) Climate-changeimpactsat2 °Cglobalwarming\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was\nabove 2°C for most of the land surface, with the exception of the Indian subcontinent, most of", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "21rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M HadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\n–20 –10 0 10 20\ndays\nFigure16. Differenceinconsecutivedrydaysbetween2 °Cand1.5 °Cglobalwarming,forindividualensemblemembersand\nensemblemean.\nIPSL-CM5A-LR GFDL-ESM2M HadGEM2-ES\nIPSL-CM5A-MR\n–20 –10 0 10 20\nmm\nensemble mean\nMIROC-ESM-CHEM ACCESS1-0\nFigure 17.Difference in annual maximum 5 day rainfall between 2°Ca n d1 . 5°C global warming, for individual ensemble\nmembersandensemblemean.", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed11.pdf" - }, - { - "text": "18rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n(b)\n(d)\n(a) TXx (°C)\nCDD (days)\n1.5°C 2°C\nTX90p (% time)\nRX5day (mm)\n3.5\n3.0\n2.5\n2.0\n1.5\n1.0\n0.5\n0\n2.0\n0.0\n–2.0\n–4.0\n–6.0\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0ensemble meanHadGEM2-ES IPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0ensemble meanHadGEM2-ES\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0ensemble meanHadGEM2-ES\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0ensemble meanHadGEM2-ES\n8.0\n6.0\n4.0\n2.0\n0\n35\n30\n25\n20\n15\n10\n5\n0\n(c)\nFigure 12.Comparison of global mean changes in climate extremes indices relative to 1981–2010 at 2°Ca n d1 . 5°Cg l o b a l\nwarming for individual ensemble members and ensemble mean. (a) Change in annual daily maximum temperature;\n(b)percentageofdayswithmaximumtemperatureabove90thpercentilefor1981–2010;( c)changeinconsecutivedrydays;\n(d)changeinannualmaximum5-dayrainfall.\nFor precipitation, generally similar changes are seen at 1.5°C global warming as at 2°C, but\nsmaller in magnitude (compare figures 16 and 4), suggesting that most of these changes are a\nresponse to radiatively forced climate change as opposed to internal climate variability. However,\nsome localized changes do vary in sign between the GWLs, such as in South Australia, suggesting\na possible dominance of internal variability over the global warming signal in these places.\nWhere Rx5day increases, the increases are projected to be larger—in some cases approximately\ndouble—at 2°C global warming than 1.5°C. Where Rx5day decreases, again the decreases are\nprojected to be larger at 2°C global warming than 1.5°C (figure 17).\nOf the 122 countries assessed, 93 have smaller ensemble-mean HCVI calculated at 1.5°C global\nwarming than at 2°C, indicating an ensemble consensus that 76% of assessed countries would\nsee a smaller increase in vulnerability to food insecurity if global warming were limited to 1.5°C\n(figures 18 and 19). Conversely, 24% of countries would, by this metric, see the same or higher\nvulnerability to food insecurity at 1.5°C than 2°C. Of these, some are countries where HCVI\nis projected to be lower at 2°C global warming than in the baseline. For example, in Mali the\nensemble-mean baseline HCVI of 0.83 increased slightly to 0.85 at 1.5°C then reduced to 0.81\nat 2°C. In some countries, the ensemble-mean HCVI happened to be identical at both warming\nlevels. In Chad, for example, the baseline HCVI of 0.89 increased to 0.91 at both 1.5°C and 2°C.\nAs noted above, four countries saw ensemble-mean HCVI values at 2°C above any seen\nin the baseline, and this number increased to seven at 1.5°C. The same four countries with\n‘unprecedented’ HCVI values at 2°C also saw ‘unprecedented’ values at 1.5°C; these were Oman,\nBangladesh, Mauritania and Yemen. These were joined by Myanmar, India and Cambodia as\nhaving ‘unprecedented’ values at 1.5°C. The role of internal climate variability in the HCVI\nresults needs to be assessed, as does the effect of potential nonlinear interactions between the\nflood and drought metric. Until the reasons behind these country-specific results are understood,", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": " What should do the rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided ?", - "target_page": 2, - "target_passage": "ensure that the register is kept in that church or chapel, and (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "S T A T U T O R Y I N S T R U M E N T S \n2021 No. 538 \nMARRIAGE, ENGLAND AND WALES \nThe Marriage (Keeping of Records in Churches and Chapels) \nRegulations 2021 \nMade - - - - 29th April 2021 \nComing into force - - 4th May 2021 \nThe Registrar General makes these Regulations with the approval of the Secretary of State in \nexercise of the powers conferred by section 74(1)(c )(v), (1A)(a) and (3) of the Marriage Act \n1949( a). \nCitation, commencement, extent and interpretation \n1. —(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and \nChapels) Regulations 2021. \n(2) These Regulations come into force on 4th May 2021. \n(3) These Regulations extend to England and Wales. \n(4) In these Regulations, “chapel” does not include a c hapel to which Part 5 of the Marriage Act \n1949 (marriages in naval, military and air force chapels) applies( b). \nDuty of parochial church councils to provide registers of marriage services \n2. —(1) The parochial church council of a parish must provide books for the purpose of making \nrecords under regulation 3 to each church and chapel of the Church of England(c) in that parish in \nwhich banns of matrimony may be published. \n(2) Books provided under paragraph (1) are to be known as “registers of marriage services”. \n(3) A register of marriage services provided under para graph (1) must meet the requirements of \nparagraphs (4) and (5). \n(4) The register must be made of durable material. \n(5) For the purposes of enabling a record to be made in the register under regulation 3 in respect \nof a marriage, the register must be printed in such a way that it— \n \n(a) 1949 c. 76 (12 & 13 Geo 6). Section 74 was amende d by Schedule 2 to the Registration Service Act 195 3 (c. 37) and by \nparagraph 5(1)(d) of Schedule 2 to the Transfer of Functions (Registration) Order 2008 (S.I. 2008/678) and subsequently \nrenumbered as section 74(1) by article 12 of the Re gistration of Marriages etc. (Electronic Communications and Electronic \nStorage) Order 2009 (S.I. 2009/2821). Section 74(1) was amended by paragraph 19 of Schedule 15 to the Immigration Act \n2016 (c. 19) and paragraph 43 of Schedule 1 to the Registration of Marriages Regulations 2021 (S.I. 2021/411), which also \ninserted subsection (1A). \n(b) See section 68(2) of the Marriage Act 1949. The c ertification function of the Admiralty under that section was transferred to \nthe Secretary of State by the Defence (Transfer of Functions) Act 1964 (c. 15). \n(c) Section 78(2) of the Marriage Act 1949 provides f or references to the Church of England to be constr ued as including \nreferences to the Church in Wales.", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "3\nI approve \n \n Kevin Foster \n Parliamentary Under Secretary of State \n29th April 2021 Home Office \n \n \nEXPLANATORY NOTE \n(This note is not part of the Regulations) \nThese Regulations provide for records of marriages to be kept in churches and chapels of the \nChurch of England and the Church in Wales, other th an chapels to which Part 5 of the Marriage \nAct 1949 applies (naval, military and air force chapels). \nRegulation 2 requires parochial church councils to provide books known as “registers of marriage \nservices” to churches and chapels in their parish i n which banns of matrimony may be published, \nfor the purposes of keeping the records required by regulation 3. Regulation 2 also imposes \nrequirements relating to the durability and pre-printed content of these registers, and provides that \nthey belong to the parochial church council. \nRegulation 3 requires specified information to be recorded in a register of marriage services when \na marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of \nEngland or Church in Wales in a church or chapel in which banns of matrimony may be \npublished. The record must be made and signed by th e member of the clergy by whom the \nmarriage was solemnized. \nRegulation 4 imposes requirements relating to the keeping of registers of marriage services \nprovided under regulation 2. \nA full impact assessment has not been produced for this instrument because no, or no significant, \nimpact on the private, public or voluntary sector is foreseen. \n \n \n© Crown copyright 2021 \nPrinted and published in the UK by The Stationery Office Limited under the authority and superintenden ce of Jeff James, \nController of Her Majesty’s Stationery Office and Queen’s Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "2\n(a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of \nregulation 3(2) in relation to the marriage, and \n(b) provides corresponding spaces for recording informa tion required by each of those sub-\nparagraphs in relation to the marriage. \n(6) A register of marriage services provided under para graph (1) by a parochial church council \nbelongs to that parochial church council. \nDuty to record information about marriages solemnized according to the rites of the Church \nof England or Church in Wales \n3. —(1) Paragraphs (2), (3) and (4) apply where a marr iage has been solemnized according to the \nrites of the Church of England in a church or chape l in which banns of matrimony may be \npublished. \n(2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the \nmarriage was solemnized must make a record of the f ollowing information in relation to that \nmarriage in a register of marriage services provide d to the church or chapel under regulation \n2(1)— \n(a) the date and place of the marriage; \n(b) the name and surname of each party; \n(c) the date of birth of each party; \n(d) the occupation (if any) of each party; \n(e) the address of each party at the time of the marriage; \n(f) the names and surnames of each party’s parents, so far as those names and surnames are \nknown to the clergyman who solemnized the marriage; \n(g) the name and surname of each of the witnesses in wh ose presence the marriage was \nsolemnized; \n(h) the name and surname of the clergyman by whom the marriage was solemnized. \n(3) The clergyman must record the information required by paragraph (2) in English, and may \nalso record information required by that paragraph in Welsh where the church or chapel is situated \nin Wales. \n(4) After making a record under paragraph (2) the clergyman must sign it. \n(5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021. \nRequirements about the keeping of registers of marriage services \n4. —(1) The rector, vicar or curate in charge of a chu rch or chapel to which a register of marriage \nservices has been provided under regulation 2(1) must— \n(a) ensure that the register is kept in that church or chapel, and \n(b) do everything that is reasonably practicable to ensure that the register is protected against \ntheft, loss or damage. \n(2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of \nmarriage services has been provided under regulatio n 2(1), the obligations under paragraph (1) in \nrespect of that register fall on the churchwardens of the parish in which the church or chapel is \nsituated. \n \n \nGiven under my hand on 29th April 2021 \n \n Abi Tierney \n Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "78 \n(d) to visit a person (“D”) whom P reasonably believes is dying, and where P is a member of \nD’s household or a close family member or friend of D; \n(e) to attend the funeral of a member of P’s household or a close family member; \n(f) in other exceptional circumstances such as— \n(i) to seek medical assistance where this is required u rgently or on the advice of a \nregistered medical practitioner including to access services from dentists, opticians, \naudiologists, chiropodists, chiropractors, osteopat hs and other medical and health \npractitioners, including services relating to mental health, \n(ii) to access critical public services including social services or services provided to \nvictims (such as victims of crime), \n(iii) to avoid injury or illness or to escape risk of harm, \n(iv) to access veterinary services where this is require d urgently or on the advice of a \nveterinary surgeon. \n(2) P may only leave or be outside of the place where P is self-isolating in reliance on the \ngrounds mentioned in sub-paragraph (1)(c), (d) or (e)— \n(a) if P has been given prior permission by a person au thorised by the Secretary of State for \nthis purpose; \n(b) if P complies with any reasonable requirements impo sed by the person so authorised in \nrelation to the exercise, the visit to the person or attendance at the funeral. \nMeaning of “place” \n14. For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room \nin the designated accommodation where P is staying and, if connected to the room where P is \nstaying, the room of any person referred to in para graph 11(a) (travelling companion), including \nany balcony, and does not include the communal area s or any garden, yard, passage, stair, garage, \nouthouse or appurtenance of the accommodation in which the place is situated. \nDesignations \n15. The Secretary of State must designate for the purposes of this Schedule— \n(a) accommodation; \n(b) transportation to the designated accommodation, \nand must publish details of the designations in such manner as appears to the Secretary of State to \nbe appropriate. \nDuties where P is a child \n16. If P is a child— \n(a) any person who has custody or charge of P when P is travelling to England must ensure, \nso far as is reasonably practicable, that P complie s with the obligations in paragraphs 5 \nand 6; \n(b) any person who has custody or charge of P during P’ s period of self-isolation must \nensure, so far as is reasonably practicable, that P self-isolates in accordance with this \nSchedule. \nPerson caring for P \n17. A person may reside in the place where P is residi ng pursuant to this Schedule to provide \nassistance P reasonably requires by reason of— \n(a) P being a child; or \n(b) any disability of P’s,", - "page_start": 77, - "page_end": 77, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Copyright Government of Botswana \n (b) in the case of a by-election, as soon as practicable after a vacancy has occurred among the Specially Elected Members. (2) A meeting of the Elected Members of the National Assembly that is held for the purpose of a general election shall be summoned by the Speaker. (3) No other business than the holding of a general election may be transacted at any meeting of the Elected Members of the National Assembly summoned under subparagraph (2) of this paragraph and such a meeting shall not be regarded as a meeting of the Assembly for the purposes of any other provision of this Constitution. 6. When the votes have been cast, whether at a general election or at a by-election, a list shall be prepared showing the persons for whom votes have been cast in order according to the number of votes received by each of them, the person or persons who received the highest number of votes being placed first and those who received any lower number of votes being placed in descending order. 7. In the case of a general election, and subject to the provisions of paragraph 9 of this Schedule, those persons shall be deemed to have been elected as Specially Elected Members who stand in the first and each succeeding place on the list until the number of persons to be elected as Specially Elected Members has been completed. 8. In the case of a by-election, and subject to the provisions of paragraph 10 of this Schedule, the person who stands in the first place on the list shall be deemed to have been elected. 9. Where, by reason of an equality of votes between them, the number of candidates in any place on the list who would otherwise be deemed to have been elected under paragraph 7 of this Schedule exceeds the number of persons remaining to be elected as Specially Elected Members after the persons in the preceding places have been elected, none of the candidates in that place or in any succeeding place shall be deemed to have been elected and a further election shall be held to fill the vacancies still remaining among the Specially Elected Members; and the provisions of this Schedule shall apply in relation to that further election as if it were a general election where the total number of Specially Elected Members was equal to the number of vacancies still remaining to be filled. 10. Where, in a by-election, two or more candidates equally receive the highest number of votes, no candidates shall be deemed to have been elected and a further by-election shall be held, in accordance with the provisions of this Schedule, at which only those candidates who received the highest number of votes in the original by-election may again stand as candidates. SECOND SCHEDULE TO THE CONSTITUTION DIVISION OF DISTRICTS INTO REGIONS FOR THE PURPOSE OF SELECTING MEMBERS OF NTLO YA DIKGOSI THE CENTRAL DISTRICT (1) Bobirwa Region (2) Boteti region (3) Mahalapye Region (4) Serowe Region (5) Tonota Region (6)", - "page_start": 56, - "page_end": 56, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \n (1) The High Court shall have jurisdiction to hear and determine any question whether- (a) any person has been validly elected as an Elected Member of the National Assembly or the seat of any such Member has become vacant; (b) any person has been validly elected as Speaker of the Assembly or, having been so elected, has vacated the office of Speaker. (2) Any question whether any person has been validly elected as a Specially Elected Member of the National Assembly or whether the seat of any such Member has become vacant shall be determined by the Speaker. (3) Parliament may make provision with respect to- (a) the persons who may apply to the High Court for the determination of any question under this section; (b) the circumstances and manner in which the conditions upon which any such application may be made; and (c) the powers, practice and procedure of the High Court in relation to any such application. 70. Clerk of the Assembly (1) There shall be a Clerk of the National Assembly and an Assistant Clerk of the National Assembly and their offices shall be offices in the public service. (2) There shall be such other offices in the department of the Clerk of the Assembly as may be prescribed by resolution of the National Assembly and such offices shall be offices in the public service. PART II General Provisions Relating to Procedure in National Assembly (ss 71-76) 71. Oaths to be taken by Speaker and Members The Speaker, before assuming the duties of his or her office, and every Member of the National Assembly before taking his or her seat therein, shall take and subscribe before the Assembly the oath of allegiance. 72. Presiding in Assembly There shall preside at any sitting of the National Assembly- (a) the Speaker; (b) in the absence of the Speaker, the Deputy Speaker; or (c) in the absence of the Speaker and the Deputy Speaker, such Member of the Assembly (not being the President or Vice-President or a Minister or Assistant Minister) as the Assembly may elect for that sitting. 73. Quorum in Assembly If objection is taken by any Member of the National Assembly present that there are present in the Assembly (besides the person presiding) less than one third of the Members of the Assembly and, after such interval as may be prescribed in the rules of procedure of the Assembly, the person presiding ascertains that the number of Members present is less than one third, he or she shall thereupon adjourn the Assembly. 74. Voting in Assembly (1) Save as otherwise provided in this Constitution, any question proposed for decision in the National Assembly shall be determined by a majority of the votes of the Members present and voting. (2) ... (3) The person presiding in the National Assembly shall have neither an original vote nor a casting vote and if upon any question before the Assembly the votes are equally divided the motion shall be lost. 75. Unqualified persons sitting or voting Any person who sits or votes in the National Assembly knowing or having", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nAssistant Minister. 43. Tenure of office of Ministers and Assistant Ministers The office of any Minister or Assistant Minister shall become vacant- (a) in the case of a Minister or Assistant Minister appointed from among the Members of the National Assembly, or in the case of a Minister or Assistant Minister appointed from among persons who are not Members of the Assembly who becomes a Member of the Assembly before the expiration of four months from the date of his or her appointment- (i) if he or she ceases to be a Member of the National Assembly otherwise than by reason of a dissolution of the National Assembly; or (ii) if, at the first sitting of the Assembly after a general election, he or she is not a Member of the Assembly; (b) in the case of a Minister or Assistant Minister appointed from among persons who are not Members of the Assembly, if before the expiration of four months from the date of his or her appointment- (i) circumstances arise (other than a dissolution of the Assembly) that, if he or she were such a Member, would cause him or her to vacate his or her seat in the Assembly; or (ii) he or she does not become a Member of the Assembly; (c) if the holder of the office is removed from office by the President; (d) upon the assumption by any person of the office of President. 44. Cabinet (1) There shall be a Cabinet which shall consist of the President, Vice-President and the Ministers. (2) There shall preside at meetings of the Cabinet- (a) the President; (b) in the absence of the President, the Vice-President; or (c) in the absence of the President and the Vice-President, such Minister as the President may designate. (3) The Cabinet may act notwithstanding any vacancy in its membership. 45. Oaths to be taken by Ministers and Assistant Ministers The Vice-President, a Minister or an Assistant Minister shall not enter upon the duties of his or her office unless he or she has taken and subscribed the oath of allegiance and such oath for the due execution of his or her office as may be prescribed by Parliament. 46. Secretary to the Cabinet (1) There shall be a Secretary to the Cabinet whose office shall be a public office. (2) The Secretary to the Cabinet shall have charge of the Cabinet Office and shall be responsible, in accordance with such instructions as may be given to him or her by the President, for arranging the business for, and keeping the minutes of, the Cabinet, for conveying decisions of the Cabinet to the appropriate person or authority, and shall have such other functions as the President may from time to time direct. PART III Executive Functions (ss 47-56) 47. Functions of President (1) The executive power of Botswana shall vest in the President and, subject to the provisions of this Constitution, shall be exercised by him or her either directly or through officers subordinate to him or her. (2) In the exercise of any function conferred upon him or her by this Constitution or any other law the President shall, unless it is otherwise provided, act in his or her own deliberate judgment and shall not be obliged to follow the advice tendered by any other", - "page_start": 22, - "page_end": 22, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "Copyright Government of Botswana \nother judges of the Court as may be prescribed by Parliament: Provided that the office of a judge of the High Court shall not be abolished while there is a substantive holder thereof. (3) The High Court shall be a superior court of record and, save as otherwise provided by Parliament, shall have all the powers of such a court. (4) The High Court shall sit in such places as the Chief Justice may appoint. (5) The High Court shall have jurisdiction to supervise any civil or criminal proceedings before any subordinate court or any court martial and may make such orders, issue such writs and give such directions as it may consider appropriate for the purpose of ensuring that justice is duly administered by any such court. (6) The Chief Justice may make rules with respect to the practice and procedure of the High Court in relation to the jurisdiction and powers conferred on it by subsection (5) of this section. (7) The Chief Justice may appoint a Rules of Court Advisory Committee to assist him or her in reviewing and overhauling the rules made under subsection (6) and to advise on proposals to update and amend such rules. 96. Appointment of judges of High Court (1) The Chief Justice shall be appointed by the President. (2) The other judges of the High Court shall be appointed by the President, acting in accordance with the advice of the Judicial Service Commission. (3) A person shall not be qualified to be appointed as a judge of the High Court unless- (a) he or she holds, or has held office, as a judge of a court having unlimited jurisdiction in civil and criminal matters in Botswana, in a Commonwealth country or in any country outside the Commonwealth that may be prescribed by Parliament or a court having jurisdiction in appeals from such a court; or (b) he or she is qualified to practise as an advocate or attorney in such a court and has been qualified for not less than ten years to practise as an advocate or attorney in such a court; (c) he or she is qualified to practise as an advocate or attorney and he or she has had the experience in the teaching of law in a recognised university for not less than ten years; or (d) he or she is a Chief Magistrate who has held that office for not less than five years. (4) In computing, for the purposes of subsection (3) of this section, the period during which any person has been qualified to practise as an advocate or attorney any period during which he or she has held judicial office after becoming so qualified shall be included. (5) If the office of Chief Justice is vacant or if the Chief Justice is for any reason unable to perform the functions of his or her office, then, until a person has been appointed to and has assumed the functions of that office or until the Chief Justice has resumed those functions, as the case may be, those functions shall be performed by such one of the judges of the High Court or such other person qualified for appointment as a judge of the High Court as the President may appoint for that purpose: Provided that- (i) a person may be appointed under this subsection notwithstanding that he or she has attained the age of 70 years or such other age as may be prescribed for the purposes of section 97 of this Constitution; (ii) a person appointed under this subsection, who is not a judge of the High Court, may, notwithstanding the assumption or resumption of the functions of the office of Chief Justice by the holder of that office, continue to act as a judge of the", - "page_start": 40, - "page_end": 40, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "44 \n33. —(1) Any of the following— \n(a) a person (“P”) who— \n(i) before travelling to the United Kingdom has made ar rangements with a provider in \nthe United Kingdom to receive healthcare (or, where P is a child, on whose behalf \nsuch arrangements have been made), \n(ii) is in possession of written confirmation of the arrangements from the provider, \n(iii) has travelled to the United Kingdom to receive that healthcare, and \n(iv) is attending a place to receive that healthcare or is travelling directly between that \nplace and the place where they are self-isolating; \n(b) a person who— \n(i) is accompanying P for the purpose of providing necessary care or support to P in the \ncircumstances referred to in sub-paragraph (1)(a)(iv), or \n(ii) is travelling, for the purpose of so accompanying P, directly between the place where \nthey are self-isolating and either of the places referred to in sub-paragraph (1)(a)(iv), \nwhere that person has travelled to the United Kingd om for that purpose and is in \npossession of the confirmation referred to in sub-paragraph (1)(a)(ii) or a copy of it; \n(c) an accompanying child who is accompanying P or, where P is a child, is accompanying a \nperson referred to in sub-paragraph (1)(b); \n(d) a live donor who is attending a place for the purpo se referred to in the definition of “live \ndonor” or is travelling directly between that place and the place where they are self-\nisolating. \n(2) For the purposes of this paragraph— \n(a) “accompanying child”, in relation to P, means a chi ld who has arrived in England with P \nand for whom P has responsibility, or where P is a child, a child who has arrived in \nEngland with the person referred to in sub-paragraph (1)(b) and for whom that person has \nresponsibility; \n(b) “healthcare” means all forms of healthcare provided for individuals, whether relating to \nmental or physical health, including healthcare in connection with giving birth; \n(c) “live donor” means a person who— \n(i) has travelled to the United Kingdom for the purpose of donation of material which \nconsists of or includes their human cells pursuant to arrangements made with a \nprovider in the United Kingdom before travelling to the United Kingdom, and which \nare to be used by the provider for the purpose of providing healthcare, and \n(ii) is in possession of written confirmation of the arrangements from the provider; \n(d) “provider” means a provider of healthcare; \n(e) references to a place where a person is self-isolat ing are to a place where they are \nrequired to self-isolate, or permitted to be at, by virtue of regulation 9. \n34. —(1) A person who has travelled to the United Kingd om for the purpose of transporting \nmaterial which consists of, or includes, human cell s or blood and which is to be used for the \nprovision of healthcare by a provider. \n(2) For the purposes of sub-paragraph (1)— \n(a) “blood” includes blood components; \n(b) “healthcare” and “provider” have the meanings given in paragraph 33(2). \n35. A person who is an “inspector” within the meaning given in regulation 8(1) of the Human \nMedicines Regulations 2012(a), or who has been appointed as an inspector under regulation 33 of \n \n(a) S.I. 2012/1916.", - "page_start": 43, - "page_end": 43, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Copyright Government of Botswana \nhas more than one residence in Botswana in the constituency in which he or she has his or her principal residence; or (b) in the case of a person who does not have a residence in Botswana but is able to register in person, in the constituency in which he or she last resided, or in which he or she was born; or (c) in the case of a person who is not resident in Botswana and is unable to register in person, at such place as may be prescribed by Parliament and registration at such place shall be treated as registration in the constituency in which he or she last resided, or in which he or she was born in Botswana. (4) A person shall be entitled to be registered as a voter in one constituency only. (5) Every person who is registered in any constituency as a voter for the purposes of elections of the Elected Members of the National Assembly shall, unless he or she is disqualified by Parliament from voting in such elections on the grounds of his or her having been convicted of an offence in connection with the elections or on the grounds of his or her having been reported guilty of such an offence by the court trying an election petition or on the grounds of his or her being in lawful custody at the date of the election, be entitled so to vote in that constituency in accordance with the provisions made by or under a law in that behalf; and no other person may so vote. 68. Tenure of office of Members (1) The seat of an Elected Member or a Specially Elected Member of the National Assembly shall become vacant- (a) upon the dissolution of Parliament; (b) if he or she is absent from the sittings of the Assembly for such period and in such circumstances as may be prescribed in the rules of procedure of the Assembly; (c) subject to the provisions of subsections (2) to (3) of this section, if any circumstances arise that, if he or she were not a Member of the Assembly, would cause him or her to be disqualified for election thereto. (2) If circumstances such as are referred to in paragraph (c) of the preceding subsection arise in relation to a Member of the Assembly by virtue of the fact that he or she is declared insolvent, adjudged to be of unsound mind, sentenced to death or imprisonment, or convicted of an election offence and it is open to the Member to appeal against the decision (either with the leave of the court or other authority or without such leave), he or she shall forthwith cease to perform his or her functions as a Member of the Assembly but, subject to the next following subsection, he or she shall not vacate his or her seat until the expiration of a period of 30 days thereafter: Provided that the Speaker may, at the request of the Member, from time to time extend that period for further periods of 30 days to enable the Member to pursue an appeal against the decision, so, however, that extensions of time exceeding in the aggregate 150 days shall not be given without the approval of the Assembly signified by resolution. (3) If, on the determination of any appeal, such circumstances continue to exist and no further appeal is open to the Member of the Assembly, or if, by reason of the expiration of any period for entering an appeal or notice thereof or the refusal of leave to appeal or for any other reason, it ceases to be open to the Member to appeal, he or she shall forthwith vacate his or her seat. (4) If at any time before the Member of the Assembly vacates his or her seat such circumstances as aforesaid cease to exist, his or her seat shall not become vacant by reason of those circumstances, and he or she may resume the performance of his or her functions as a Member of the Assembly. 69. Determination of questions as to membership of National Assembly", - "page_start": 32, - "page_end": 32, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What are Tesla's total liabilities and equity in 2024?", - "target_page": 5, - "target_passage": "119,852", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "TESLA, INC.FORM 10-Q FOR THE QUARTER ENDED SEPTEMBER 30, 2024INDEXPagePART I. FINANCIAL INFORMATIONItem 1.Financial Statements4Consolidated Balance Sheets4Consolidated Statements of Operations5Consolidated Statements of Comprehensive Income6Consolidated Statements of Redeemable Noncontrolling Interests and Equity7Consolidated Statements of Cash Flows9Notes to Consolidated Financial Statements10Item 2.Management's Discussion and Analysis of Financial Condition and Results of Operations26Item 3.Quantitative and Qualitative Disclosures about Market Risk35Item 4.Controls and Procedures35PART II. OTHER INFORMATIONItem 1.Legal Proceedings36Item 1A.Risk Factors36Item 2.Unregistered Sales of Equity Securities and Use of Proceeds36Item 3.Defaults Upon Senior Securities36Item 4.Mine Safety Disclosures36Item 5.Other Information36Item 6.Exhibits37Signatures381\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n3 sur 4910/01/2025, 14:33", - "page_start": 2, - "page_end": 2, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Teslaalleging, among other things, that board members breached their fiduciary duties in connection with their oversight of theCompany’s 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company’scorporate governance and internal procedures, unspecified damages, and attorneys’ fees. The lawsuit has been stayed pendingresolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.On November 15, 2021, JPMorgan Chase Bank (“JP Morgan”) filed a lawsuit against Tesla in the Southern District ofNew York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk’s August 7, 2018 Twitter post that hewas considering taking Tesla private. Tesla disputed JP Morgan’s adjustment as a violation of the parties’ agreement. In 2021,Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owedapproximately $162 million as the value of additional shares that it claims should have been delivered as a result of theadjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to theunderlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result.Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under thestock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September12, 2024, the Court denied JP Morgan’s motion.Certain Derivative Lawsuits in DelawareBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought bypurported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedlyon behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerlyTwitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seekunspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the mattersinto a single case, and a hearing on that motion is scheduled for November 18, 2024.Litigation and Investigations Relating to Alleged Discrimination and HarassmentOn February 9, 2022, the California Civil Rights Department (“CRD,” formerly “DFEH”) filed a civil complaint againstTesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and payequity claims, among others. CRD’s amended complaint seeks monetary damages and injunctive relief. The case is currently indiscovery. Trial is scheduled for September 15, 2025.Additionally, on June 1, 2022 the Equal Employment Opportunity Commission (“EEOC”) issued a cause finding againstTesla that closely parallels the CRD’s allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in theUnited States District Court for the Northern District of California asserting claims for race harassment and retaliation andseeking, among other things, monetary and injunctive relief.On June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the WesternDistrict of Texas, purportedly on behalf of Tesla, against certain of Tesla’s current and former directors. Both suits assert claimsfor breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsLegal ProceedingsLitigation Relating to 2018 CEO Performance AwardOn June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court ofChancery against Elon Musk and the members of Tesla’s board of directors as then constituted, alleging corporate waste, unjustenrichment and that such board members breached their fiduciary duties by approving the stock-based compensation planawarded to Elon Musk in 2018 (the “2018 CEO Performance Award”). Trial was held November 14-18, 2022. On January 30,2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff’s counsel fileda brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June7, 2024, and a hearing was held on July 8, 2024. At Tesla’s 2024 Annual Meeting of Stockholders, 72% of the disinterestedvoting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO PerformanceAward. On June 28, 2024, because Tesla’s disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr.Musk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court’s January 30, 2024 opinion,and a hearing was held on August 2, 2024.Litigation Related to Directors’ CompensationOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery,purportedly on behalf of Tesla, against certain of Tesla’s current and former directors regarding compensation awards grantedto Tesla’s directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty andunjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed theiranswer on September 17, 2020.On July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involvean admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled anddismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement tostockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after whichit took the settlement and plaintiff counsels’ fee request under advisement. On August 14, 2024, the parties submitted a jointletter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at alater date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financialposition.Litigation Relating to Potential Going Private TransactionBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla andElon Musk in connection with Mr. Musk’s August 7, 2018 Twitter post that he was considering taking Tesla private. OnJanuary 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District ofCalifornia and added as defendants the members of Tesla’s board of directors. The consolidated complaint asserts claims forviolations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification ofa class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3,2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as amatter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.Between October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery,purportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevanttimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuitschallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all havebeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in theU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Teslaboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal inthe above-referenced consolidated purported stockholder class action.21", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "years. We also have certain obligations in connection with our operations at Gigafactory New York andGigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of Financial Condition and Resultsof Operations—Liquidity and Capital Resources—Material Cash Requirements in our Annual Report on Form 10-K for theyear ended December 31, 2023.As of September 30, 2024, we and our subsidiaries had outstanding $7.42 billion in aggregate principal amount ofindebtedness, of which $2.12 billion is current. For details regarding our indebtedness, refer to Note 7, Debt, to theconsolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q.Sources and Conditions of LiquidityOur sources to fund our material cash requirements are predominantly from our deliveries and servicing of new and usedvehicles, sales and installations of our energy storage products, interest income, and proceeds from debt facilities and equityofferings, when applicable.33", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "on behalf of Tesla, against certain of Tesla’s current and former directors. Both suits assert claimsfor breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race andgender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecifieddamages payable to Tesla, and attorneys’ fees. On July 22, 2022, the Court consolidated the two cases and on September 6,2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and onSeptember 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2,2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, thedefendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs toamend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr.Musk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.22", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsThe following is a summary of our debt and finance leases as of December 31, 2023 (in millions):Net Carrying ValueUnpaidPrincipalBalanceUnusedCommittedAmount (1)ContractualInterest RatesContractualMaturity DateCurrent Long-TermRecourse debt:2024 Notes $ 37 $ — $ 37 $ — 2.00 % May 2024RCF Credit Agreement — — — 5,000 Not applicable January 2028Other— 7 7 284.70-5.75% March 2025-January 2031Total recourse debt 37 7 44 5,028Non-recourse debt:Automotive Asset-backed Notes 1,906 2,337 4,259 — 0.60-6.57% July 2024-May 2031Cash Equity Debt 28 330 367 — 5.25-5.81% July 2033-January 2035Solar Asset-backed Notes4 8 13 —4.80 % December 2026Total non-recourse debt1,938 2,675 4,639 —Total debt1,975 2,682$ 4,683 $ 5,028Finance leases398 175Total debt and finance leases$ 2,373 $ 2,857(1) There are no restrictions on draw-down or use for general corporate purposes with respect to any available committedfunds under our RCF Credit Agreement, except certain specified conditions prior to draw-down. Refer to the notes to theconsolidated financial statements included in our reporting on Form 10-K for the year ended December 31, 2023 for theterms of the facility.(2) The contractual maturity date of the China Working Capital Facility is April 2025, renewable until March 2026 at ourdiscretion. As we have the intent and ability to refinance the loan on a long-term basis, we recorded it in Debt andfinance leases, net of current portion in the consolidated balance sheet.Recourse debt refers to debt that is recourse to our general assets. Non-recourse debt refers to debt that is recourse toonly assets of our subsidiaries. The differences between the unpaid principal balances and the net carrying values are due todebt discounts or deferred issuance costs. As of September 30, 2024, we were in material compliance with all financial debtcovenants.2024 NotesDuring the second quarter of 2024, the 2024 Notes reached maturity and were fully settled. Additionally, during the thirdquarter of 2024, we settled the warrants entered into in connection with the issuance of the 2024 Notes, resulting in the issuanceof 8.5 million shares of our common stock. The remaining warrants were settled in October 2024.Automotive Asset-backed NotesDuring the nine months ended September 30, 2024, we transferred beneficial interests related to certain leased vehiclesand financing receivables into special purpose entities and issued $1.57 billion in aggregate principal amount of AutomotiveAsset-backed Notes, with terms similar to our other previously issued Automotive Asset-backed Notes. The proceeds from theissuance, net of debt issuance costs, were $1.56 billion.In October 2024, we transferred beneficial interests related to certain leased vehicles into a special purpose entity andissued $783 million in aggregate principal amount of Automotive Asset-backed Notes, with terms similar to our otherpreviously issued Automotive-backed Notes.China Working Capital FacilityIn April 2024, one of our subsidiaries entered into a loan agreement (the “China Working Capital Facility”) with lendersin China for an unsecured revolving facility of up to RMB 20.00 billion to be used for certain production expenditures as wellas repayment of certain finance facilities. Borrowed funds bear interest at a rate equal to the Loan Prime Rate published by thePeople’s Bank of China minus 1.18%. The China Working Capital Facility is non-recourse to our assets.19\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n25 sur 4910/01/2025, 14:33", - "page_start": 24, - "page_end": 24, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsSIGNATURESPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has dulycaused this report to be signed on its behalf by the undersigned, thereunto duly authorized.Tesla, Inc.Date: October 23, 2024/s/ Vaibhav TanejaVaibhav TanejaChief Financial Officer(Principal Financial Officer andDuly Authorized Officer)38tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n49 sur 4910/01/2025, 14:33", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsAs of September 30, 2024, we had $18.11 billion and $15.54 billion of cash and cash equivalents and short-terminvestments, respectively. Balances held in foreign currencies had a U.S. dollar equivalent of $3.32 billion and consistedprimarily of Chinese yuan and euros. We had $5.00 billion of unused committed credit amounts as of September 30, 2024. Fordetails regarding our indebtedness, refer to Note 7, Debt, to the consolidated financial statements included elsewhere in thisQuarterly Report on Form 10-Q.We continue adapting our strategy to meet our liquidity and risk objectives, such as investing in U.S. governmentsecurities and other investments, invest in autonomy, do more vertical integration, expand our product roadmap and providefinancing options to our customers.Summary of Cash FlowsNine Months Ended September 30,(Dollars in millions)2024 2023Net cash provided by operating activities $ 10,109 $ 8,886 Net cash used in investing activities $ (11,184) $ (10,780)Net cash provided by financing activities $ 2,868 $ 1,702 Cash Flows from Operating ActivitiesNet cash provided by operating activities increased by $1.22 billion to $10.11 billion during the nine months endedSeptember 30, 2024 from $8.89 billion during the nine months ended September 30, 2023. This increase was primarily due tofavorable changes in net operating assets and liabilities of $1.78 billion, partially offset by a decrease in net income excludingnon-cash expenses, gains and losses of $558 million.Cash Flows from Investing ActivitiesNet cash flows from investing activities and their variability across each period related primarily to capital expenditures,which were $8.56 billion and $6.59 billion for the nine months ended September 30, 2024 and 2023, respectively, mainly forAI-related capital expenditures, global factory expansion, machinery and equipment as we expand and enhance our productroadmap. We also purchased $2.62 billion and $4.12 billion of short-term investments, net of proceeds from maturities andsales, for the nine months ended September 30, 2024 and 2023, respectively.Cash Flows from Financing ActivitiesNet cash flows from financing activities increased by $1.17 billion to $2.87 billion during the nine months endedSeptember 30, 2024 from $1.70 billion during the nine months ended September 30, 2023. The increase was primarily due to a$1.83 billion increase in proceeds from issuances of debt, partially offset by a $896 million increase in repayments of debt. SeeNote 7, Debt, to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q for furtherdetails regarding our debt obligations. Additionally, there was an increase of $240 million in proceeds from exercises of stockoptions and other stock issuances compared to the prior period.34\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n45 sur 4910/01/2025, 14:33", - "page_start": 44, - "page_end": 44, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsPART I. FINANCIAL INFORMATIONITEM 1. FINANCIAL STATEMENTSTesla, Inc.Consolidated Balance Sheets(in millions, except per share data)(unaudited)September 30,2024December 31,2023AssetsCurrent assetsCash and cash equivalents $ 18,111 $ 16,398Short-term investments 15,537 12,696Accounts receivable, net 3,313 3,508Inventory 14,530 13,626Prepaid expenses and other current assets4,888 3,388Total current assets56,379 49,616Operating lease vehicles, net 5,380 5,989Solar energy systems, net 5,040 5,229Property, plant and equipment, net 36,116 29,725Operating lease right-of-use assets 4,867 4,180Digital assets, net 184 184Intangible assets, net 158 178Goodwill 253 253Deferred tax assets 6,486 6,733Other non-current assets4,989 4,531Total assets$ 119,852 $ 106,618LiabilitiesCurrent liabilitiesAccounts payable $ 14,654 $ 14,431Accrued liabilities and other 10,601 9,080Deferred revenue 3,031 2,864Current portion of debt and finance leases2,291 2,373Total current liabilities30,577 28,748Debt and finance leases, net of current portion 5,405 2,857Deferred revenue, net of current portion 3,350 3,251Other long-term liabilities9,810 8,153Total liabilities49,142 43,009Commitments and contingencies (Note 10)Redeemable noncontrolling interests in subsidiaries 70 242EquityStockholders’ equityPreferred stock; $0.001 par value; 100 shares authorized; no shares issued and outstanding — —Common stock; $0.001 par value; 6,000 shares authorized; 3,207 and 3,185 shares issued andoutstanding as of September 30, 2024 and December 31, 2023, respectively 3 3Additional paid-in capital 37,286 34,892Accumulated other comprehensive loss (14) (143)Retained earnings32,656 27,882Total stockholders’ equity69,931 62,634Noncontrolling interests in subsidiaries709 733Total liabilities and equity$ 119,852 $ 106,618The accompanying notes are an integral part of these consolidated financial statements.4\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n5 sur 4910/01/2025, 14:33", - "page_start": 4, - "page_end": 4, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "Where was Tesla incorporated? ", - "target_page": 13, - "target_passage": "State of Delaware", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "Table of ContentsSIGNATURESPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has dulycaused this report to be signed on its behalf by the undersigned, thereunto duly authorized.Tesla, Inc.Date: October 23, 2024/s/ Vaibhav TanejaVaibhav TanejaChief Financial Officer(Principal Financial Officer andDuly Authorized Officer)38tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n49 sur 4910/01/2025, 14:33", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.Between October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery,purportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevanttimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuitschallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all havebeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in theU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Teslaboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal inthe above-referenced consolidated purported stockholder class action.21", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "for the NorthernDistrict of California. Several similar complaints were also filed in the same court and these cases have now all beenconsolidated. These complaints allege that Tesla violates federal antitrust and warranty laws through its repair, service, andmaintenance practices and seeks, among other relief, damages for persons who paid Tesla for repairs services or Teslacompatible replacement parts from March 2019 to March 2023. On July 17, 2023, these plaintiffs filed a consolidated amendedcomplaint. On September 27, 2023, the court granted Tesla’s motion to compel arbitration as to three of the plaintiffs, and onNovember 17, 2023, the court granted Tesla’s motion to dismiss without prejudice. The plaintiffs filed a Consolidated SecondAmended Complaint on December 12, 2023, which Tesla moved to dismiss. Plaintiffs also appealed the court’s arbitrationorder, which was denied. On June 17, 2024, the Court granted in part and denied in part Tesla’s motion to dismiss theConsolidated Second Amended Complaint.The Company intends to vigorously defend itself in these matters; however, we cannot predict the outcome or impact.We are unable to reasonably estimate the possible loss or range of loss, if any, associated with these claims, unless noted.23", - "page_start": 28, - "page_end": 28, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Teslaalleging, among other things, that board members breached their fiduciary duties in connection with their oversight of theCompany’s 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company’scorporate governance and internal procedures, unspecified damages, and attorneys’ fees. The lawsuit has been stayed pendingresolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.On November 15, 2021, JPMorgan Chase Bank (“JP Morgan”) filed a lawsuit against Tesla in the Southern District ofNew York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk’s August 7, 2018 Twitter post that hewas considering taking Tesla private. Tesla disputed JP Morgan’s adjustment as a violation of the parties’ agreement. In 2021,Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owedapproximately $162 million as the value of additional shares that it claims should have been delivered as a result of theadjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to theunderlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result.Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under thestock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September12, 2024, the Court denied JP Morgan’s motion.Certain Derivative Lawsuits in DelawareBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought bypurported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedlyon behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerlyTwitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seekunspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the mattersinto a single case, and a hearing on that motion is scheduled for November 18, 2024.Litigation and Investigations Relating to Alleged Discrimination and HarassmentOn February 9, 2022, the California Civil Rights Department (“CRD,” formerly “DFEH”) filed a civil complaint againstTesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and payequity claims, among others. CRD’s amended complaint seeks monetary damages and injunctive relief. The case is currently indiscovery. Trial is scheduled for September 15, 2025.Additionally, on June 1, 2022 the Equal Employment Opportunity Commission (“EEOC”) issued a cause finding againstTesla that closely parallels the CRD’s allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in theUnited States District Court for the Northern District of California asserting claims for race harassment and retaliation andseeking, among other things, monetary and injunctive relief.On June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the WesternDistrict of Texas, purportedly on behalf of Tesla, against certain of Tesla’s current and former directors. Both suits assert claimsfor breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "on behalf of Tesla, against certain of Tesla’s current and former directors. Both suits assert claimsfor breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race andgender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecifieddamages payable to Tesla, and attorneys’ fees. On July 22, 2022, the Court consolidated the two cases and on September 6,2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and onSeptember 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2,2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, thedefendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs toamend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr.Musk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.22", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsTesla, Inc.Notes to Consolidated Financial Statements(unaudited)Note 1 – Overview & Summary of Significant Accounting PoliciesOverviewTesla, Inc. (“Tesla”, the “Company”, “we”, “us” or “our”) was incorporated in the State of Delaware on July 1, 2003 andconverted to a Texas corporation on June 13, 2024.Unaudited Interim Financial StatementsThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, theconsolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements ofredeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and theconsolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other informationdisclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived fromthe audited consolidated financial statements as of that date. The interim consolidated financial statements and theaccompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanyingnotes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.The interim consolidated financial statements and the accompanying notes have been prepared on the same basis as theannual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normalrecurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidatedresults of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for anyother future years or interim periods.ReclassificationsCertain prior period balances have been reclassified to conform to the current period presentation in the consolidatedfinancial statements and the accompanying notes.Revenue RecognitionRevenue by sourceThe following table disaggregates our revenue by major source (in millions):Three Months Ended September 30, Nine Months Ended September 30,2024 2023 2024 2023Automotive sales $ 18,831 $ 18,582 $ 53,821 $ 57,879Automotive regulatory credits 739 554 2,071 1,357Energy generation and storage sales 2,228 1,416 6,616 4,188Services and other2,790 2,166 7,686 6,153Total revenues from sales and services 24,588 22,718 70,194 69,577Automotive leasing 446 489 1,380 1,620Energy generation and storage leasing148 143 409 409Total revenues$ 25,182 $ 23,350 $ 71,983 $ 71,606Automotive SegmentAutomotive SalesDeferred revenue related to the access to our Full Self Driving (Supervised) (“FSD”) Capability features and theirongoing maintenance, internet connectivity, free Supercharging programs and over-the-air software updates primarily onautomotive sales amounted to $3.61 billion and $3.54 billion as of September 30, 2024 and December 31, 2023, respectively.10\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n13 sur 4910/01/2025, 14:33", - "page_start": 12, - "page_end": 12, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsCertain Investigations and Other MattersWe regularly receive requests for information, including subpoenas, from regulators and governmental authorities suchas the National Highway Traffic Safety Administration, the National Transportation Safety Board, the Securities and ExchangeCommission (“SEC”), the Department of Justice (“DOJ”), and various local, state, federal, and international agencies. Theongoing requests for information include topics such as operations, technology (e.g., vehicle functionality, vehicle incidents,Autopilot and FSD Capability), compliance, finance, data privacy, and other matters related to Tesla’s business, its personnel,and related parties. We routinely cooperate with such formal and informal requests for information, investigations, and otherinquiries. To our knowledge no government agency in any ongoing investigation has concluded that any wrongdoing occurred.We cannot predict the outcome or impact of any ongoing matters. Should the government decide to pursue an enforcementaction, there exists the possibility of a material adverse impact on our business, results of operation, prospects, cash flows,financial position or brand.We are also subject to various other legal proceedings, risks and claims that arise from the normal course of businessactivities. For example, during the second quarter of 2023, a foreign news outlet reported that it obtained certainmisappropriated data including, purportedly non-public Tesla business and personal information. Tesla has made notificationsto potentially affected individuals (current and former employees) and regulatory authorities and we are working with certainlaw enforcement and other authorities. On August 5, 2023, a putative class action was filed in the United States District Courtfor the Northern District of California, purportedly on behalf of all U.S. individuals impacted by the data incident, followed byseveral additional lawsuits, that each assert claims under various state laws and seeks monetary damages and other relief. If anunfavorable ruling or development were to occur in these or other possible legal proceedings, risks and claims, there exists thepossibility of a material adverse impact on our business, results of operations, prospects, cash flows, financial position or brand.Note 11 – Variable Interest Entity ArrangementsThe aggregate carrying values of the variable interest entities’ assets and liabilities, after elimination of anyintercompany transactions and balances, in the consolidated balance sheets were as follows (in millions):September 30,2024December 31,2023AssetsCurrent assetsCash and cash equivalents $ 51 $ 66Accounts receivable, net 28 13Prepaid expenses and other current assets263 361Total current assets 342 440Operating lease vehicles, net 451 —Solar energy systems, net 2,524 3,278Other non-current assets190 369Total assets$ 3,507 $ 4,087LiabilitiesCurrent liabilitiesAccrued liabilities and other $ 36 $ 67Deferred revenue 7 6Current portion of debt and finance leases1,930 1,564Total current liabilities 1,973 1,637Deferred revenue, net of current portion 81 99Debt and finance leases, net of current portion1,826 2,041Total liabilities$ 3,880 $ 3,77724\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n30 sur 4910/01/2025, 14:33", - "page_start": 29, - "page_end": 29, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Berlin-Brandenburg Model Y ActiveGigafactory Texas Model Y ActiveCybertruck ActiveGigafactory Nevada Tesla Semi Pilot productionV arious Next Generation Platform In developmentTBD Roadster In development26", - "page_start": 31, - "page_end": 31, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsLegal ProceedingsLitigation Relating to 2018 CEO Performance AwardOn June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court ofChancery against Elon Musk and the members of Tesla’s board of directors as then constituted, alleging corporate waste, unjustenrichment and that such board members breached their fiduciary duties by approving the stock-based compensation planawarded to Elon Musk in 2018 (the “2018 CEO Performance Award”). Trial was held November 14-18, 2022. On January 30,2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff’s counsel fileda brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June7, 2024, and a hearing was held on July 8, 2024. At Tesla’s 2024 Annual Meeting of Stockholders, 72% of the disinterestedvoting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO PerformanceAward. On June 28, 2024, because Tesla’s disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr.Musk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court’s January 30, 2024 opinion,and a hearing was held on August 2, 2024.Litigation Related to Directors’ CompensationOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery,purportedly on behalf of Tesla, against certain of Tesla’s current and former directors regarding compensation awards grantedto Tesla’s directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty andunjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed theiranswer on September 17, 2020.On July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involvean admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled anddismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement tostockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after whichit took the settlement and plaintiff counsels’ fee request under advisement. On August 14, 2024, the parties submitted a jointletter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at alater date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financialposition.Litigation Relating to Potential Going Private TransactionBetween August 10, 2018 and September 6, 2018, nine purported stockholder class actions were filed against Tesla andElon Musk in connection with Mr. Musk’s August 7, 2018 Twitter post that he was considering taking Tesla private. OnJanuary 16, 2019, Plaintiffs filed their consolidated complaint in the United States District Court for the Northern District ofCalifornia and added as defendants the members of Tesla’s board of directors. The consolidated complaint asserts claims forviolations of the federal securities laws and seeks unspecified damages and other relief. The parties stipulated to certification ofa class of stockholders, which the court granted on November 25, 2020. Trial started on January 17, 2023, and on February 3,2023, a jury rendered a verdict in favor of the defendants on all counts. After trial, plaintiffs filed a motion for judgment as amatter of law and a motion for new trial, which the Court denied and judgement was entered in favor of defendants on July 11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsOther Litigation Related to Our Products and ServicesWe are also subject to various lawsuits that seek monetary and other injunctive relief. These lawsuits include proposedclass actions and other consumer claims that allege, among other things, purported defects and misrepresentations related to ourproducts and services. For example, on September 14, 2022, a proposed class action was filed against Tesla, Inc. and relatedentities in the U.S. District Court for the Northern District of California, alleging various claims about the Company’s driverassistance technology systems under state and federal law. This case was later consolidated with several other proposed classactions, and a Consolidated Amended Complaint was filed on October 28, 2022, which seeks damages and other relief onbehalf of all persons who purchased or leased from Tesla between January 1, 2016, to the present. On October 5, 2022, aproposed class action complaint was filed in the U.S. District Court for the Eastern District of New York asserting similar stateand federal law claims against the same defendants. On September 30, 2023, the Court dismissed this action with leave toamend the complaint. On November 20, 2023, the plaintiff moved to amend the complaint, which Tesla opposed. On August 8,2024, the Court denied the plaintiff’s motion for leave to file an amended complaint and entered judgment for Tesla. OnSeptember 5, 2024, the plaintiff filed a notice of appeal to United States Court of Appeals for the Second Circuit. On March 22,2023, the plaintiffs in the Northern District of California consolidated action filed a motion for a preliminary injunction to orderTesla to (1) cease using the term “Full Self-Driving Capability” (FSD Capability), (2) cease the sale and activation of FSDCapability and deactivate FSD Capability on Tesla vehicles, and (3) provide certain notices to consumers about proposed court-findings about the accuracy of the use of the terms Autopilot and FSD Capability. Tesla opposed the motion. On September 30,2023, the Court denied the request for a preliminary injunction, compelled four of five plaintiffs to arbitration, and dismissedthe claims of the fifth plaintiff with leave to amend the complaint. On October 31, 2023, the remaining plaintiff in the NorthernDistrict of California action filed an amended complaint, which Tesla moved to dismiss, and on May 15, 2024, the Courtgranted in part and denied in part Tesla’s motion. On October 2, 2023, a similar proposed class action was filed in San DiegoCounty Superior Court in California. Tesla subsequently removed the San Diego County case to federal court and on January 8,2024, the federal court granted Tesla’s motion to transfer the case to the U.S. District Court for the Northern District ofCalifornia. Tesla moved to compel arbitration, which the plaintiff did not oppose, and on June 27, 2024, the Court stayed thecase pending arbitration.On February 27, 2023, a proposed class action was filed in the U.S. District Court for the Northern District of Californiaagainst Tesla, Inc., Elon Musk and certain current and former Company executives. The complaint alleges that the defendantsmade material misrepresentations and omissions about the Company’s Autopilot and FSD Capability technologies and seeksmoney damages and other relief on behalf of persons who purchased Tesla stock between February 19, 2019, and February 17,2023. An amended complaint was filed on September 5, 2023, naming only Tesla, Inc. and Elon Musk as defendants. OnNovember 6, 2023, Tesla moved to dismiss the amended complaint. On September 30, 2024, the Court granted Tesla’s motionto dismiss without prejudice.On March 14, 2023, a proposed class action was filed against Tesla, Inc. in the U.S. District Court for the NorthernDistrict of California. Several similar complaints were also filed in the same court and these cases have now all beenconsolidated. These complaints allege that Tesla violates federal", - "page_start": 28, - "page_end": 28, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What is the reason for the increase in Tesla's tax rate from 2023 to 2024?", - "target_page": 26, - "target_passage": " increase in our effective tax rate is primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in the mix of our jurisdictional earnings", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Table of ContentsOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increasedby $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30,2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 andincreased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months endedSeptember 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on ourU.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.See Note 9, Income Taxes, to the consolidated financial statements included elsewhere in this Quarterly Report on Form10-Q for further details.Liquidity and Capital ResourcesWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cashwe generate from our core operations enables us to fund ongoing operations and production, our research and developmentprojects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existingmanufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations,body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities andautonomy and other artificial intelligence enabled products.In addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed wewill be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturingoperations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, wemay choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs andmay decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business,including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to timedetermine that it is in our best interests to voluntarily repay certain indebtedness early.Accordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-monthperiod following September 30, 2024, as well as in the long-term.See the sections below for more details regarding the material requirements for cash in our business and our sources ofliquidity to meet such needs.Material Cash RequirementsFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase ofcomponents and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability inthe precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally donot have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude ofpurchase orders beyond such period is difficult to accurately project.As discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis ofFinancial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook—Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capitalexpenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each ofthe following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York andGigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "in the three months ended September 30, 2024as compared to the three months ended September 30, 2023. Energy generation and storage revenue increased $2.43 billion, or53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increaseswere primarily due to increases in Megapack and Powerwall deployments compared to the prior periods.29", - "page_start": 35, - "page_end": 35, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of ContentsResults of OperationsRevenuesThree Months EndedSeptember 30,ChangeNine Months EndedSeptember 30, Change(Dollars in millions)2024 2023 $ % 2024 2023 $ %Automotive sales$ 18,831 $ 18,582 $ 249 1 %$ 53,821 $ 57,879 $ (4,058) (7)%Automotive regulatory credits739 554 185 33 %2,071 1,357 714 53 %Automotive leasing446 489 (43)(9)%1,380 1,620 (240)(15)%Total automotive revenues 20,016 19,625 391 2 % 57,272 60,856 (3,584) (6)%Services and other2,790 2,166 624 29 %7,686 6,153 1,533 25 %Total automotive & services and othersegment revenue 22,806 21,791 1,015 5 % 64,958 67,009 (2,051) (3)%Energy generation and storage segmentrevenue2,376 1,559 817 52 %7,025 4,597 2,428 53 %Total revenues$ 25,182 $ 23,350 $ 1,832 8 %$ 71,983 $ 71,606 $ 377 1 %Automotive & Services and Other SegmentAutomotive sales revenue increased $249 million, or 1%, in the three months ended September 30, 2024 as compared tothe three months ended September 30, 2023, due to an increase of approximately 23,000 combined Model 3 and Model Y cashdeliveries and an increase of 8,000 deliveries of other models primarily due to our production ramp of Cybertruck.Additionally, we recognized $326 million of FSD revenue for Cybertruck and certain features such as Actually Smart Summonin the third quarter of 2024. The increases were partially offset by lower average selling price on our vehicles driven by overallprice reductions and attractive financing options provided year over year as well as mix.Automotive sales revenue decreased $4.06 billion, or 7%, in the nine months ended September 30, 2024 as compared tothe nine months ended September 30, 2023, primarily due to lower average selling price on our vehicles driven by overall pricereductions and attractive financing options provided year over year as well as mix. Additionally, there was a decrease ofapproximately 17,000 combined Model 3 and Model Y cash deliveries partially due to the early phase of the production rampof the updated Model 3 at our Fremont factory. The decreases were partially offset by an increase of approximately 19,000deliveries of other models primarily due to our production ramp of Cybertruck and an increase in FSD revenue compared to theprior period, as discussed above.Automotive regulatory credits revenue increased $185 million, or 33%, in the three months ended September 30, 2024as compared to the three months ended September 30, 2023. Automotive regulatory credits revenue increased $714 million, or53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. Theseincreases were driven by demand for credits in North America as other automobile manufacturers scale back on their batteryelectric vehicle plans.Automotive leasing revenue decreased $43 million, or 9%, in the three months ended September 30, 2024 as comparedto the three months ended September 30, 2023. Automotive leasing revenue decreased $240 million, or 15%, in the ninemonths ended September 30, 2024 as compared to the nine months ended September 30, 2023. The decreases were primarilydue to lower direct sales-type leasing deliveries and a decrease in lease buyouts.Services and other revenue increased $624 million, or 29%, in the three months ended September 30, 2024 as comparedto the three months ended September 30, 2023. Services and other revenue increased $1.53 billion, or 25%, in the nine monthsended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due toincreases in non-warranty maintenance services and collision revenue, used vehicle revenue, paid Supercharging revenue,insurance services revenue and part sales revenue.Energy Generation and Storage SegmentEnergy generation and storage revenue increased $817 million, or 52%, in the three months ended September 30, 2024as compared to the three months ended September 30, 2023. Energy generation and storage revenue increased $2.43 billion, or53%, in the nine months ended", - "page_start": 35, - "page_end": 35, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.Between October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery,purportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevanttimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuitschallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all havebeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in theU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Teslaboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal inthe above-referenced consolidated purported stockholder class action.21", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "and post-closure costs for tax purposes. As a result of this change, the Company's deferred income tax\nprovision increased by approximately $82.0 million during 2003, and the Company recorded a tax receivable of\n76", - "page_start": 83, - "page_end": 83, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the\ncomponents of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n2004 2003 2002\nCore price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 2.3% 1.8% 1.4%\nFuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .2 .2 Ì\nRecycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .5 .1 .4\nTotal priceÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.0 2.1 1.8\nCore volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.6 2.1 1.6\nNon-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .1 Ì .4\nTotal volumeÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 3.7 2.1 2.0\nTotal internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ 6.7 4.2 3.8\nAcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ .9 1.8 .8\nTaxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ Ì .5 .2\nTotal revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ��ÏÏÏÏÏÏÏÏÏ 7.6% 6.5% 4.8%\n(a) Represents new taxes levied on landÑll volumes in certain states that are passed on to customers.\n‚ 2004: During the year ended December 31, 2004, our revenue growth from core pricing beneÑted\nfrom a broad-based pricing initiative which we started during the fourth quarter of 2003. During the\nyear ended December 31, 2004, we experienced core volume growth in all lines of our business,\nincluding our residential collection business resulting from the addition of several new municipal\ncontracts, and our landÑll and transfer station businesses resulting from newly opened sites and new\ncontracts. Our internal growth from our core operations was 5.9% in 2004.\n‚ 2003: During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an\nincrease in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing\nincreased at a more rapid pace due to our broad-based pricing initiative.\nDuring 2003, the economic slowdown which began during 2001 continued to negatively impact our\nbusiness. However, during 2003, our revenue growth from core volume continued to be positively\nimpacted by long-term franchise and municipal contracts that were secured during 2002. Our internal\ngrowth from core operations was 3.9% in 2003.\n‚ 2002: The economic slowdown which began in 2001 continued to negatively impact the portion of our\nbusiness servicing the manufacturing sector and non-residential construction industry during 2002.\nVolumes attributable to manufacturing and construction activity continued to weaken during 2002.\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase\nin recycling commodity prices in the early part of 2002.\nDespite the weakness we experienced in the aspects of our business noted above, our internal growth\nfrom core operations for 2002 was 3.0%. During 2002, we secured several long-term franchise and\nmunicipal contracts. We also beneÑted from the geographic mix of our business which favors high-\ngrowth markets.\n‚ 2005 Outlook: We anticipate internal growth from core operations to be in the range of 4.0% to 4.5%\nduring 2005 assuming no deterioration or improvement in the overall economy from that experienced\nduring the fourth quarter of 2004. However, our price and volume growth may remain Öat or may\ndecline in 2005 depending upon economic conditions and our success in implementing pricing\ninitiatives.\nCost of Operations. Cost of operations was $1,714.4 million, $1,605.4 million and $1,472.9 million, or,\nas a percentage of revenue, 63.3%, 63.8% and 62.3%, for the years ended December 31, 2004, 2003 and 2002,\nrespectively.\n35", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "our access to components or result in unfavorable changes to cost. These macroeconomic and industry trends have had,and will likely continue to have, an impact on the pricing of, and order rate for our vehicles, and in turn our operating margin.Changes in government and economic incentives or tariffs may also impact our sales, cost structure and the competitivelandscape. We will continue to adjust accordingly to such developments, and we believe our ongoing cost reduction, includingimproved production innovation and efficiency at our newest factories and lower logistics costs, and focus on operatingleverage will continue to benefit us in relation to our competitors, while our new products will help enable future growth.As our production increases, we must work constantly to similarly increase vehicle delivery capability so that it does notbecome a bottleneck on our total deliveries. We are also committed to reducing the percentage of vehicles delivered in the thirdmonth of each quarter, which will help to reduce the cost per vehicle. As we expand our manufacturing operations globally, wewill also have to continue to increase and staff our delivery, servicing and charging infrastructure accordingly, maintain ourvehicle reliability and optimize our Supercharger locations to ensure cost effectiveness and customer satisfaction. In particular,as other automotive manufacturers have announced their adoption of the North American Charging Standard (“NACS”) andagreements with us to utilize our Superchargers, we must correspondingly expand our network in order to ensure adequateavailability to meet customer demands. We also remain focused on continued enhancements of the capability and efficiency ofour servicing operations.27", - "page_start": 33, - "page_end": 33, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "(e) The effect of this change was to increase cost of sales by\n¥112,074 million ($1,047,421 thousand) and to decrease gross\nprofit and selling, general and administrative expenses by the same\namount for the year ended March 31, 2005. This change had no\nimpact on operating income, income before income taxes and minori-\nty income and net income for the years ended March 31, 2005 as\ncompared with the corresponding amounts which would have been\nrecorded if the previous method had been followed. This change had\nno effect on segment information.\nFINANCIAL SECTION\nNissan Annual Report 2004 79\n3. U.S. DOLLAR AMOUNTS\nAmounts in U.S. dollars are included solely for the convenience of the reader. The rate of ¥107 = US$1.00, the approximate rate of exchange in\neffect on March 31, 2005, has been used. The inclusion of such amounts is not intended to imply that yen amounts have been or could be readily\nconverted, realized or settled in U.S. dollars at that or any other rate.\n4. RECEIVABLES\nReceivables at March 31, 2005 and 2004 consisted of the following:\nThousands of\nMillions of yen U.S. dollars\n2004 2003 2004\nAs of Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2005\nNotes and accounts receivable......................................................................................................................................... ¥ 538,029 ¥ 462,716 $ 5,028,308\nFinance receivables.................................................................................................................................................................... 3,026,788 2,203,174 28,287,738\nLess allowance for doubtful receivables................................................................................................................... (75,272) (63,014) (703,476)\n..................................................................................................................................................................................................................... ¥3,489,545 ¥2,602,876 $32,612,570\nFinance receivables principally represent receivables from customers on loans made by financing subsidiaries in connection with sales of\nautomobiles.\n5. INVENTORIES\nInventories at March 31, 2005 and 2004 were as follows:\nThousands of\nMillions of yen U.S. dollars\n2004 2003 2004\nAs of Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2005\nFinished products................................................................................................................................................................................... ¥502,032 ¥386,874 $4,691,888\nWork in process and other.............................................................................................................................................................. 206,030 155,918 1,925,514\n............................................................................................................................................................................................................................... ¥708,062 ¥542,792 $6,617,402\n6. PROPERTY, PLANT AND EQUIPMENT\nProperty, plant and equipment at March 31, 2005 and 2004 is summarized as follows:\nThousands of\nMillions of yen U.S. dollars\n2004 2003 2004\nAs of Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2005\nLand......................................................................................................................................................................................................... ¥ 781,693 ¥ 759,640 $ 7,305,542\nBuildings and structures......................................................................................................................................................... 1,435,423 1,259,048 13,415,168\nMachinery and equipment..................................................................................................................................................... 4,995,081 4,158,336 46,683,000", - "page_start": 80, - "page_end": 80, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Table of ContentsCost of Revenues and Gross MarginThree Months EndedSeptember 30, ChangeNine Months EndedSeptember 30, Change(Dollars in millions)2024 2023 $ % 2024 2023 $ %Cost of revenuesAutomotive sales$ 15,743 $ 15,656 $ 87 1 %$ 45,602 $ 47,919 $ (2,317) (5)%Automotive leasing247 301 (54)(18)%761 972 (211)(22)%Total automotive cost ofrevenues 15,990 15,957 33 0 % 46,363 48,891 (2,528) (5)%Services and other2,544 2,037 507 25 %7,192 5,723 1,469 26 %Total automotive & services andother segment cost of revenues 18,534 17,994 540 3 % 53,555 54,614 (1,059) (2)%Energy generation and storagesegment1,651 1,178 473 40 %5,157 3,770 1,387 37 %Total cost of revenues$ 20,185 $ 19,172 $ 1,013 5 %$ 58,712 $ 58,384 $ 328 1 %Gross profit total automotive $ 4,026 $ 3,668 $ 10,909 $ 11,965 Gross margin total automotive 20.1 % 18.7 % 19.0 % 19.7 %Gross profit total automotive &services and other segment $ 4,272 $ 3,797 $ 11,403 $ 12,395 Gross margin total automotive &services and other segment 18.7 % 17.4 % 17.6 % 18.5 %Gross profit energy generation andstorage segment $ 725 $ 381 $ 1,868 $ 827 Gross margin energy generation andstorage segment 30.5 % 24.4 % 26.6 % 18.0 %Total gross profit $ 4,997 $ 4,178 $ 13,271 $ 13,222 Total gross margin 19.8 % 17.9 % 18.4 % 18.5 %Automotive & Services and Other SegmentCost of automotive sales revenue increased $87 million, or 1%, in the three months ended September 30, 2024 ascompared to the three months ended September 30, 2023 due to the increases in deliveries year over year as discussed above,partially offset by a decrease in the average combined cost per unit of our vehicles primarily from lower raw material costs,freight and duties as well as mix.Cost of automotive sales revenue decreased $2.32 billion, or 5%, in the nine months ended September 30, 2024 ascompared to the nine months ended September 30, 2023 due to a decrease in the average combined cost per unit of our vehiclesprimarily from lower raw material costs, freight and duties as well as mix, in addition to the volume changes in deliveries yearover year as discussed above. The decreases were partially offset by higher costs for Cybertruck and the updated Model 3 at ourFremont factory as a result of the temporary under-utilization of manufacturing capacity as production ramps.Cost of automotive leasing revenue decreased $54 million, or 18%, in the three months ended September 30, 2024 ascompared to the three months ended September 30, 2023. Cost of automotive leasing revenue decreased $211 million, or 22%,in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The decreases wereprimarily due to a decrease in direct sales-type leasing cost of revenue driven by lower deliveries and a decrease in our directoperating lease cost of revenue driven by lower lease payoffs compared to the prior periods.Cost of services and other revenue increased $507 million, or 25%, in the three months ended September 30, 2024 ascompared to the three months ended September 30, 2023. Cost of services and other revenue increased $1.47 billion, or 26%, inthe nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases wereprimarily due to volume increases in used vehicle sales, insurance services, paid Supercharging, non-warranty maintenanceservices and collision and part sales.30\ntsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n38 sur 4910/01/2025, 14:33", - "page_start": 37, - "page_end": 37, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "The increase in aggregate dollars in all periods presented is primarily a result of the expansion of our\noperations through internal growth and acquisitions.\nThe increase in cost of operations as a percentage of revenue from 2002 to 2003 and the decrease in cost\nof operations as a percentage of revenue from 2003 to 2004 is primarily attributable to higher self-insurance\nexpense in 2003. Self-insurance expense was $165.3 million, $189.5 million and $138.1 million for the years\nended December 31, 2004, 2003 and 2002, respectively. The increase in self-insurance expense in 2003 related\nto existing claims and was attributable to the expansion of our operations and various changes in estimates as a\nresult of continued negative trends through the 2003 policy year.\nExcluding self-insurance expense, cost of operations as a percentage of revenue increased during the year\nended December 31, 2004 versus the comparable 2003 period. This increase is primarily attributable to\nincreased fuel prices, labor costs and subcontracting costs associated with the long-haul transport of waste by\nthird-party vendors. Excluding self-insurance expense, cost of operations as a percentage of revenue decreased\nin 2003 versus the comparable 2002 period due to the elimination of closure and post-closure expense as a\ncomponent of cost of operations in accordance with SFAS 143 in 2003 and the termination of our operating\nlease facility in July 2002. This decrease was partially oÅset by increased fuel prices, an increase in waste taxes\nlevied on landÑll volumes in certain states, an increase in revenue generated by lines of business that produce\nlower operating margins and an increase in the long-haul transport of waste by third-party vendors.\nTo date in 2005, we have experienced a signiÑcant increase in fuel prices. We believe that cost of\noperations as a percentage of revenue may continue to remain high depending upon the cost of fuel, health\ninsurance, risk insurance and other key components of our cost structure and general economic conditions.\nDepreciation, Amortization and Depletion of Property and Equipment. Depreciation, amortization and\ndepletion expenses for property and equipment were $252.4 million, $233.8 million and $193.5 million, or, as a\npercentage of revenue, 9.3%, 9.3% and 8.2%, for the years ended December 31, 2004, 2003 and 2002,\nrespectively. The increase in aggregate dollars from 2003 to 2004 is primarily due to the expansion of our\noperations through internal growth and acquisitions. The increase in aggregate dollars and as a percentage of\nrevenue from 2002 to 2003 is primarily due to an increase in landÑll amortization associated with the adoption\nof SFAS 143. The remaining increase from 2002 to 2003 is due to increased depreciation expense resulting\nfrom capital expenditures, acquisitions and the purchase of equipment originally placed into service pursuant\nto an operating lease.\nAmortization of Intangible Assets. Intangible assets consist primarily of cost in excess of fair value of\nnet assets acquired, but also includes values assigned to long-term contracts, covenants not to compete and\ncustomer relationships. Expenses for amortization of intangible assets were $7.0 million, $5.3 million and\n$6.1 million, or, as a percentage of revenue, .3%, .2% and .2%, for the years ended December 31, 2004, 2003\nand 2002, respectively. The increase in such expenses in aggregate dollars and as a percentage of revenue from\n2003 to 2004 is primarily due to amortization expense on amounts that were recorded in other intangible assets\nduring the three months ended September 30, 2004 resulting from an extensive internal review of all recent\nacquisitions. The increase in amortization of intangible assets in aggregate dollars is also due to the\namortization of intangible assets associated with businesses acquired during 2004.\nAccretion expense. Accretion expense was $13.7 million and $12.7 million or, as a percentage of", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "Which is the first candidate for experimenting the case of electrons interacting with a single boson mode?", - "target_page": 6, - "target_passage": "The primary candidate for such mode is an optical phonon", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "films: experiment and theory”, Chem. Phys. Lett.387(4-6), 356\n(Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n[12] Z. Zanolli and J.-C. Charlier, “Defective carbon nanotubes for\nsingle-molecule sensing”, Phys. Rev. B 80(15), 155447 (Oct.\n2009), doi:10.1103/PhysRevB.80.155447.\n[13] J. M. Garc ´ıa-Lastra, K. S. Thygesen, M. Strange, and\n´Angel Rubio, “Conductance of sidewall-functionalized\ncarbon nanotubes: Universal dependence on adsorption\nsites”, Phys. Rev. Lett. 101(23), 236806 (Dec. 2008),\ndoi:10.1103/PhysRevLett.101.236806.\n[14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, “ Ab\ninitio study of an iron atom interacting with single-wall car-\nbon nanotubes”, Phys. Rev. B 67(20), 205414 (May 2003),\ndoi:10.1103/PhysRevB.67.205414.\n[15] Y . Yagi, T. M. Briere, M. H. F. Sluiter, V . Kumar, A. A. Farajian,\nand Y . Kawazoe, “Stable geometries and magnetic properties of\nsingle-walled carbon nanotubes doped with 3d transition met-\nals: A first-principles study”, Phys. Rev. B 69(7), 075414 (Feb\n2004), doi:10.1103/PhysRevB.69.075414.\n[16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y . Kim, S. I. Woo, and\nJ. K. Kang, “Interaction of a transition metal atom with intrinsic\ndefects in single-walled carbon nanotubes”, J. Phys. Chem. B\n110(28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n[17] K. T. Chan, J. B. Neaton, and M. L. Cohen, “First-principles\nstudy of metal adatom adsorption on graphene”, Phys. Rev. B\n77, 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n[18] C. S. Yeung, L. V . Liu, and Y . A. Wang, “Adsorption\nof small gas molecules onto Pt-doped single-walled carbon\nnanotubes”, J. Phys. Chem. C 112(19), 7401 (Apr. 2008),\ndoi:10.1021/jp0753981.\n[19] T. V o, Y .-D. Wu, R. Car, and M. Robert, “Structures, in-\nteractions, and ferromagnetism of Fe-carbon nanotube sys-\ntems”, J. Phys. Chem. C 112(22), 400 (May 2008),\ndoi:10.1021/jp0761968.\n[20] J. A. F ¨urst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, “ Ab\ninitio study of spin-dependent transport in carbon nanotubes\nwith iron and vanadium adatoms”, Phys. Rev. B78(19), 195405\n(Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n[21] A. V . Krasheninnikov, P. O. Lehtinen, A. S. Foster,\nP. Pyykk ¨o, and R. M. Nieminen, “Embedding transition-\nmetal atoms in graphene: Structure, bonding, and mag-\nnetism”, Phys. Rev. Lett. 102(12), 126807 (Mar. 2009),\ndoi:10.1103/PhysRevLett.102.126807.\n[22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen,\n“Real-space grid implementation of the projector augmented\nwave method”, Phys. Rev. B 71(3), 035109 (Jan. 2005),\ndoi:10.1103/PhysRevB.71.035109.\n[23] J. P. Perdew, K. Burke, and M. Ernzerhof, “Generalized gradi-\nent approximation made simple”, Phys. Rev. Lett.77(18), 3865\n(Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "11\nhigh-energy fermions and is an input for the low-energy\ntheory. Below we follow Refs. 31,33 and assume that\nthe momentum dependence of a collective boson is flat\nnear (π, π). The self energy within such model has been\nworked out consistently in Ref. 31,33. In the normal\nstate\nΣ ′′(ω) = − 1\n2 λnωsf log\n(\n1 + ω2\nω2\nsf\n)\nΣ ′(ω) = −λnωsf arctan ω\nωsf\n(19)\nwhere λn is the spin-fermion coupling constant, and ωsf\nis a typical spin relaxation frequency of overdamped spin\ncollective excitations with a propagator\nχ(q ∼ Q, Ω) = χQ\n1 − i Ω\nωsf\n(20)\nwhere χQ is the uniform static susceptibility. If we use\nOrnstein-Zernike form of χ(q) and use either Eliashberg\n45 or FLEX computational schemes 48, we get rather sim-\nilar behavior of Σ as a function of frequency and rather\nsimilar behavior of optical integrals.\nThe collective nature of spin fluctuations is reflected in\nthe fact that the coupling λ and the bosonic frequency\nωsf are related: λ scales as ξ2, where ξ is the bosonic\nmass (the distance to a bosonic instability), and ωsf ∝\nξ−2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf\ndoes not depend on ξ and is the overall dimensional scale\nfor boson-mediated interactions.\nIn the SCS fermionic excitations acquire a gap. This\ngap affects fermionic self-energy in two ways: directly, via\nthe change of the dispersion of an intermediate boson in\nthe exchange process involving a CB, and indirectly, via\nthe change of the propagator of a CB. We remind our-\nselves that the dynamics of a CB comes from a particle-\nhole bubble which is indeed affected by ∆.\nThe effect of a d−wave pairing gap on a CB has been\ndiscussed in a number of papers, most recently in 31. In\na SCS a gapless continuum described by Eq. (20) trans-\nforms into a gaped continuum, with a gap about 2∆ and\na resonance atω = ω0 < 2∆, where for a d−wave gap we\ndefine ∆ as a maximum of a d−wave gap.\nThe spin susceptibility near ( π, π) in a superconductor\ncan generally be written up as\nχ(q ∼ Q, Ω) = χQ\n1 − i Π(Ω)\nωsf\n(21)\nwhere Π is evaluated by adding up the bubbles made\nout of two normal and two anomalous Green’s functions.\nBelow 2∆, Π(Ω) is real (∼ Ω 2/∆ for small Ω), and the\nresonance emerges at Ω = ω0 at which Π( ω0) = ωsf . At\nfrequencies larger than 2∆, Π(Ω) has an imaginary part,\nand this gives rise to a gaped continuum inχ(Ω).\nThe imaginary part of the spin susceptibility around\nthe resonance frequency ω0 is31\nχ\n′′\n(q, Ω) = πZoω0\n2 δ(Ω − ω0) (22)\nwhere Zo ∼ 2 ωsf χ0/ ∂Π\n∂ω |Ω= ω0\n. The imaginary part\nof the spin susceptibility describing a gaped continuum\nexists for for Ω≥ 2∆ and is\nχ\n′′\n(q, Ω) = Im\n[\nχ0\n1 − 1\nωsf\n( 4∆ 2\nΩ D(4∆ 2\nΩ 2 ) + iΩ K2(1 − 4∆ 2\nΩ 2 )\n)\n]\n≈ Im\n[\nχ0\n1 − 1\nωsf\n( π∆ 2\nΩ + i π\n2 Ω\n)\n]\nfor Ω >> 2∆ (23)\nIn Eq. (23) D(x) = K1(x)−K2(x)\nx , and K1(x) and K2(x)\nare Elliptic integrals of first and second kind. The real\npart ofχ is obtained by Kramers-Kr¨ onig transform of the\nimaginary part.\nSubstituting Eq 6 for χ(q, Ω) into the formula for the\nself-energy one obtains Σ ′′(ω) in a SCS state as a sum of\ntwo terms 31\nΣ ′′(ω) = Σ ′′\nA(ω) + Σ ′′\nB(ω) (24)\nwhere,\nΣ ′′\nA(ω) = πZo\n2 λnωo Re\n(\nω + ωo√\n(ω + ωo)2 − ∆ 2\n)\ncomes from the interaction with the resonance and\nΣ ′′\nB(ω) = −λn\n∫ |E|\n2∆\ndx Re ω + x\n√\n(ω + x)2 − ∆ 2\nx\nωsf\nK2\n(\n1 − 4∆ 2\nx2\n)\n[\n1 − 4∆ 2\nxωsf\nD\n( 4∆ 2\nx2\n) ] 2\n+\n[\nx\nωsf\nK2\n(\n1 − 4∆ 2\nx2\n) ] 2 (25)\ncomes from the interaction with the gaped continuum. The real par t of Σ is obtained by Kramers-Kr¨ onig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "6\n0 0.5 10\n0.5\n1\nω in eV\nσ ( ω )\nConductivities (BCSI)\nNS\nSC\n2 ∆\n0 50 100160\n180\n200\nΓ in meV\nW K in meV\nBCSI\nSC\nNS\nFIG. 4: Top - a conductivity plot for the BCSI case in the\npresence of a lattice. The parameters are ∆ = 30meV , Γ =\n3.5 meV . Bottom – the behavior of Kubo sums. Note that (a)\nthe spectral weight in the NS is always greater in the SCS, (b)\nthe spectral weight decreases with Γ, and (c) the difference\nbetween NS and SCS decreases as Γ increases.\nlittle variation of ∆W (ωc) at above 0 .1 − 0.3eV what\nimplies that for larger ωc, ∆ W (ωc) ≈ ∆ WK >> ∆ f(ωc).\nTo make this more quantitative, we compare in Fig. 6\n∆ W (ωc) obtained for a constant DOS, when ∆ W (ωc) =\n∆ f(ωc), and for the actual lattice dispersion, when\n∆ W (ωc) = ∆ WK + ∆ f(ωc). In the clean limit there\nis obviously little cutoff dependence beyond 0 .1eV , i.e.,\n∆ f(ωc) is truly small, and the difference between the\ntwo cases is just ∆ WK . In the dirty limit, the situation\nis similar, but there is obviously more variation with ωc,\nand ∆ f(ωc) becomes truly small only above 0 .3eV . Note\nalso that the position of the dip in ∆ W (ωc) in the clean\nlimit is at a larger ωc in the presence of the lattice than\nin a continuum.\nB. The Einstein boson model\nWe next consider the case of electrons interacting with\na single boson mode which by itself is not affected by su-\nperconductivity. The primary candidate for such mode is\nan optical phonon. The imaginary part of the NS self en-\nergy has been discussed numerous times in the literature.\nWe make one simplifying assumption – approximate the\nDOS by a constant in calculating fermionic self-energy.\nWe will, however, keep the full lattice dispersion in the\ncalculations of the optical integral. The advantage of this\n0 0.5 10 \n0.5\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNormal State Optical Sum (BCSI)\nDirty Limit\nClean Limit\n0 0.5 10 \n0.5\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSuperconducting State Optical Sum (BCSI)\nDirty Limit\nClean Limit\nFIG. 5: The evolution of optical integral in NS(top) and\nSCS(bottom) for BCSI case. Plots are made for clean limit\n(solid lines, Γ = 3.5 meV ) and dirty limit (dashed lines,\nΓ = 150 meV ) for ∆ = 30 meV . Observe that (a) W (0) = 0\nin the NS, but has a non-zero value in the SCS because of the\nδ-function (this value decreases in the dirty limit), and (b)\nthe flat region in the SCS is due to the fact that σ′(ω) = 0 for\nΩ < 2∆. Also note that ∼ 90 − 95% of the spectral weight is\nrecovered up to 1 eV\napproximation is that the self-energy can be computed\nanalytically. The full self-energy obtained with the lat-\ntice dispersion is more involved and can only be obtained\nnumerically, but its structure is quite similar to the one\nobtained with a constant DOS.\nThe self-energy for a constant DOS is given by\nΣ( iω) = − i\n2π λn\n∫\ndǫkd(iΩ) χ(iΩ) G(ǫk, iω + iΩ) (13)\nwhere\nχ(iΩ) = ω2\n0\nω2\n0 − (iΩ) 2 (14)\nand λn is a dimensionless electron-boson coupling. Inte-\ngrating and transforming to real frequencies, we obtain\nΣ ′′(ω) = − π\n2 λnωo Θ( |ω| − ωo)\nΣ ′(ω) = − 1\n2 λnωo log\n⏐\n⏐\n⏐\n⏐\nω + ωo\nω − ωo\n⏐\n⏐\n⏐\n⏐ (15)\nIn the SCS, we obtain for ω < 0\nΣ ′′(ω) = − π\n2 λnωo Re\n(\nω + ωo√\n(ω + ωo)2 − ∆ 2\n)", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "7\nmodes of neighboring tetrahedra. And these coupling\nconstantsλx,y,z need to be tuned to produce Jx,y,z of\nthe Kitaev model. This is still not easy to implement in\nsolid state systems. At lowest non-trivial order of pertur-\nbative expansion, we do get our model (9). Higher order\nterms in expansion destroy the exact solvability, but may\nbe controlled by the small parametersλx,y,z /k.\nB. Generate the High Order Terms by Magnetic\nInteractions between Clusters.\nIn this Subsection we consider more conventional per-\nturbations, magnetic interactions between the clusters,\ne.g. the Heisenberg couplingSj · Sk with j and k belong\nto different tetrahedra. This has the advantage over the\nprevious phonon approach for not introducing additional\ndegrees of freedom. But it also has a significant disad-\nvantage: the perturbation does not commute with the\ncluster Heisenberg Hamiltonian (2), so the cluster sin-\nglet subspace will be mixed with other total spin states.\nIn this Subsection we will use the spin-chirality represen-\ntation (6) forτz .\nAgain consider two clusters j and k. For simplicity\nof notations define a projection operator Pjk = Pj Pk,\nwhere Pj,k is projection into the singlet subspace of clus-\nter j and k, respectively, Pj,k = ∑\ns=±1 |τz\nj,k = s⟩⟨τz\nj,k =\ns|. For a given perturbation λ Hperturbation with small\nparameter λ (in factor λ/Jcluster is the expansion param-\neter), lowest two orders of the perturbation series are\nλPjk HperturbationPjk + λ2 Pjk Hperturbation(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1(1 − Pjk )HperturbationPjk\n(15)\nWith proper choice of λ and Hperturbation we can generate\nthe desired Jx,y,z terms in (8) from the first and second\norder of perturbations.\nThe calculation can be dramatically simplified by the\nfollowing fact that any physical spin-1/2 operator Sx,y,z\nℓ\nconverts the cluster spin singlet states |τz = ±1⟩ into\nspin-1 states of the cluster. This can be checked by\nexplicit calculations and will not be proved here. For\nall the perturbations to be considered later, the above\nmentioned fact can be exploited to replace the factor\n[0− Hcluster j − Hcluster k]−1 in the second order pertur-\nbation to a c-number ( −2Jcluster)−1.\nThe detailed calculations are given in Appendix B. We\nwill only list the results here.\nThe perturbation on x-links is given by\nλx Hperturbation, x = λx[Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2).\nwhere λx =\n√\n12|Jx| · Jcluster, sgn( Jx) = ±1 is the sign\nof Jx.\nThe perturbation on y-links is\nλy Hperturbation, y\n=λy[Sj1 · Sk1 + sgn(Jy) · (Sj3 − Sj4) · (Sk3 − Sk4)]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λy =\n√\n4|Jy| · Jcluster.\nThe perturbation on z-links is\nλz Hperturbation, z\n= λz [Sj2 · (Sk3 × Sk4) + sgn( Jz) · Sk2 · (Sj3 × Sj4)]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4).\nwith λz = 4\n√\n|Jz| · Jcluster.\nThe entire Hamiltonian Hmagnetic reads explicitly as,\nHmagnetic =\n∑\ncluster j\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2\n+\n∑\nx−links \n{√\n12|Jx| · Jcluster\n[\nSj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)\n]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2)\n}\n+\n∑\ny−links \n{√\n4|Jy| · Jcluster\n[\nSj1 · (Sk3 − Sk4) + sgn( Jy)Sk1 · (Sj3 − Sj4)\n]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\n}\n+\n∑\nz−links \n{\n4\n√\n|Jz| · Jcluster\n[\nSj2 · (Sk3 × Sk4) + sgn( Jz )Sk2 · (Sj3 × Sj4)\n]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4)\n}\n.\n(16)\nIn (16), we have been able to reduce the four spin in-\nteractions in (8) to inter-cluster Heisenberg interactions,\nand the six-spin interactions in (8) to inter-cluster spin-\nchirality interactions. The inter-cluster Heisenberg cou-\nplings inHperturbation x,y may be easier to arrange. The\ninter-cluster spin-chirality coupling in Hperturbation z ex-\nplicitly breaks time reversal symmetry and is probably\nharder to implement in solid state systems. However\nspin-chirality order may have important consequences\nin frustrated magnets36,37, and a realization of spin-", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "duced may be controlled by small expansion parameters.\nIn this Section we denote the physical spins on cluster\nj(k) as j1, . . . , j 4 ( k1, . . . , k 4), and denote pseudo-spins\non cluster j(k) as ⃗ τj (⃗ τk).\nA. Generate the High Order Terms by Coupling to\nOptical Phonon.\nIn this Subsection we regard each four-spin cluster\nas a tetrahedron, and consider possible optical phonon\nmodes(distortions) and their couplings to the spin sys-\ntem. The basic idea is that the intra-cluster Heisen-\nberg couplingJcluster can linearly depend on the dis-\ntance between physical spins. Therefore certain distor-\ntions of the tetrahedron couple to certain linear combi-\nnations ofSℓ · Sm. Integrating out phonon modes will\nthen generate high order spin interactions. This idea has\nbeen extensively studied and applied to several magnetic\nmaterials28–34. More details can be found in a recent\nreview by Tchernyshyov and Chern 35. And we will fre-\nquently use their notations. In this Subsection we will\nuse the representation (5) forτz .\nConsider first a single tetrahedron with four spins\n1, . . . , 4. The general distortions of this tetrahedron can\nbe classified by their symmetry (see for example Ref. 35).\nOnly two tetragonal to orthorhombic distortion modes,\nQE\n1and QE\n2(illustrated in FIG. 3), couple to the pseudo-\nspins defined in Section II. A complete analysis of all\nmodes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "arXiv:1001.0764v2 [cond-mat.str-el] 13 Jan 2010\nOptical Integral and Sum Rule Violation\nSaurabh Maiti, Andrey V. Chubukov\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n(Dated: November 9, 2018)\nThe purpose of this work is to investigate the role of the latt ice in the optical Kubo sum rule in\nthe cuprates. We compute conductivities, optical integral s W , and ∆ W between superconducting\nand normal states for 2-D systems with lattice dispersion ty pical of the cuprates for four different\nmodels – a dirty BCS model, a single Einstein boson model, a ma rginal Fermi liquid model, and a\ncollective boson model with a feedback from superconductiv ity on a collective boson. The goal of\nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ωc) placed on\nthe optical integral because in experiments W is measured up to frequencies of order bandwidth.\nFor a BCS model, the Kubo sum rule is almost fully reproduced a t ωc equal to the bandwidth. But\nfor other models only 70%-80% of Kubo sum rule is obtained up t o this scale and even less so for\n∆ W , implying that the Kubo sum rule has to be applied with cautio n. Second, we analyze the sign\nof ∆ W . In all models we studied ∆ W is positive at small ωc, then crosses zero and approaches a\nnegative value at large ωc, i.e. the optical integral in a superconductor is smaller th an in a normal\nstate. The point of zero crossing, however, increases with t he interaction strength and in a collective\nboson model becomes comparable to the bandwidth at strong co upling. We argue that this model\nexhibits the behavior consistent with that in the cuprates.\nI. INTRODUCTION\nThe analysis of sum rules for optical conductivity has a\nlong history. Kubo, in an extensive paper 1 in 1957, used\na general formalism of a statistical theory of irreversible\nprocesses to investigate the behavior of the conductivity\nin electronic systems. For a system of interacting elec-\ntrons, he derived the expression for the integral of the real\npart of a (complex) electric conductivityσ(Ω) and found\nthat it is independent on the nature of the interactions\nand reduces to\n∫ ∞\n0\nRe σ(Ω) dΩ = π\n2\nne2\nm (1)\nHere n is the density of the electrons in the system and\nm is the bare mass of the electron. This expression is\nexact provided that the integration extends truly up to\ninfinity, and its derivation uses the obvious fact that at\nenergies higher than the total bandwidth of a solid, elec-\ntrons behave as free particles.\nThe independence of the r.h.s. of Eq. (1) on temper-\nature and the state of a solid (e.g., a normal or a super-\nconducting state – henceforth referred to as NS and SCS\nrespectively) implies that, while the functional form of\nσ(Ω) changes with, e.g., temperature, the total spectral\nweight is conserved and only gets redistributed between\ndifferent frequencies as temperature changes. This con-\nservation of the total weight ofσ(Ω) is generally called a\nsum rule.\nOne particular case, studied in detail for conventional\nsuperconductors, is the redistribution of the spectral\nweight between normal and superconducting states. This\nis known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n∫ ∞\n0+\nRe σNS (Ω) =\n∫ ∞\n0+\nRe σsc(Ω) + πnse2\n2m (2)\nwhere ns is the superfluid density, and πnse2/(2m) is\nthe spectral weight under the δ-functional piece of the\nconductivity in the superconducting state.\nIn practice, the integration up to an infinite frequency\nis hardly possible, and more relevant issue for practical\napplications is whether a sum rule is satisfied, at least ap-\nproximately, for a situation when there is a single electron\nband which crosses the Fermi level and is well separated\nfrom other bands. Kubo considered this case in the same\npaper of 1957 and derived the expression for the “band”,\nor Kubo sum rule\n∫ ‘∞′\n0\nRe σ(Ω) dΩ = WK = πe2\n2N\n∑\n⃗k\n∇2\n⃗kx\nε⃗k n⃗k (3)\nwhere n⃗k is the electronic distribution function and ε⃗k is\nthe band dispersion. Prime in the upper limit of the inte-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "fermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in\nthe normal and superconducting states of interacting\nfermionic systems on a lattice. Our key goal was to\nunderstand what sets the sign of ∆WK = ∆ W (∞) be-\ntween the normal and superconducting states and what\nis the behavior ofW (ωc) and ∆ W (ωc) at finite ωc. In a\nweak coupling BCS superconductor, ∆ W (ωc) is positive\nat ωc < 2∆ due to a contribution from superfluid den-\nsity, but becomes negative at larger ωc, and approach a\nnegative value of ∆ WK . Our study was motivated by fas-\ncinating optical experiments on the cuprates 7–10 . In over-\ndoped cuprates, there is clear indication 11 that ∆ W (ωc)\nbecomes negative above a few ∆, consistent with BCS\nbehavior. In underdoped cuprates, two groups argued8,9\nthat ∆ W integrated up to the bandwidth remains posi-\ntive, while the other group argued 10 that it is negative.\nThe reasoning why ∆ WK may potentially change sign\nat strong coupling involves the correlation between −WK\nand the kinetic energy. In the BCS limit, kinetic en-\nergy obviously increases in a SCS because of gap opening,\nhence−WK increases, and ∆ WK is negative. At strong\ncoupling, there is a counter effect – fermions become more\nmobile in a SCS due to a smaller self-energy.\nWe considered four models: a BCS model with impu-\nrities, a model of fermions interacting with an Einstein\nboson, a phenomenological MFL model with impurities,\nand a model of fermions interacting with collective spin\nfluctuations. In all cases, we found that ∆WK is neg-\native, but how it evolves with ωc and how much of the\nsum rule is recovered by integrating up to the bandwidth\ndepends on the model.\nThe result most relevant to the experiments on the\ncuprates is obtained for the spin fluctuation model.\nWe found that at strong coupling, the zero-crossing of\nδW(ωc) occurs at a frequency which increases with the\ncoupling strength and may become larger than the band-\nwidth at a truly strong coupling. Still, at even larger\nfrequencies, ��W (ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "14\nmodified MFLI models. It is interesting that this holds\ndespite the fact that for largeλ CB model displays the\nphysics one apparently needs to reverse the sign of ∆ WK\n– the absence of the quasiparticle peak in the NS and its\nemergence in the SCS accompanied by the dip and the\nhump at larger energies. The absence of coherent quasi-\nparticle in the NS at largeλ is also apparent form Fig\n21 where we show the normal state distribution functions\nfor two differentλ. For large λ the jump (which indicates\nthe presence of quasiparticles) virtually disappears.\nOn a more careful look, we found that indifference of\nδW (ωc) to the increase of λ is merely the consequence of\nthe fact that above we kept λωsf constant. Indeed, at\nsmall frequencies, fermionic self-energy in the NS is Σ ′ =\nλω, Σ” = λ2ω2/(λωsf ), and both Σ ′ and Σ ′′ increase\nwith λ if we keep λωsf constant. But at frequencies larger\nthan ωsf , which we actually probe by ∆ W (ωc), the self-\nenergy essentially depends only on λωsf , and increasing λ\nbut keeping λωsf constant does not bring us closer to the\nphysics associated with the recovery of electron coherence\nin the SCS. To detect this physics, we need to see how\nthings evolve when we increaseλωsf above the scale of\n∆ , i.e., consider a truly strong coupling when not only\nλ≫ 1 but also the normal state Σ NS (ω ≥ ∆) >> ∆.\nTo address this issue, we took a larger λ for the same\nωsf and re-did the calculation of the conductivities and\noptical integrals. The results for σ(ω) and ∆ W (ωc) are\npresented in Fig. 22. We found the same behavior as be-\nfore, i.e., ∆WK is negative. But we also found that the\nlarger is the overall scale for the self-energy, the larger is a\nfrequency of zero-crossing of ∆W (ωc). In particular, for\nthe same λ and ωsf that were used in Ref. 33 to fit the NS\nconductivity data, the zero crossing is at ∼ 0.8 eV which\nis quite close to the bandwidth. This implies that at a\ntruly strong coupling the frequency at which ∆W (ωc)\nchanges sign can well be larger than the bandwidth of\n1eV in which case ∆ W integrated up to the bandwidth\ndoes indeed remain positive. Such behavior would be\nconsistent with Refs.8,9. we also see from Fig. 22 that\n∆WK becomes small at a truly strong coupling, and over\na wide range of frequencies the behavior of ∆ W (ωc) is\npredominantly governed by ∆ f(ωc), i.e. by the cut-off\nterm.50 The implication is that, to first approximation,\n∆ WK can be neglected and positive ∆ W (wc) integrated\nto a frequency where it is still positive is almost compen-\nsated by the integral over larger frequencies. This again\nwould be consistent with the experimental data in Refs.\n8,9.\nIt is also instructive to understand the interplay be-\ntween the behavior of ∆ W (ωc) and the behavior of the\ndifference of the kinetic energy between the SCS and the\nNS,δKE . We computed the kinetic energy as a function\nof λωsf and present the results in Fig. 23 for λ = 1 and\n10. For a relatively weak λ = 1 the behavior is clearly\nBCS like- δKE > 0 and increases with increasing λωsf .\nHowever, at large λ = 10, we see that the kinetic energy\nbegin decreasing at large λωsf and eventually changes\nsign. The behavior of δKE at a truly strong coupling is\nconsistent with earlier calculation of the kinetic energy\nfor Ornstein-Zernike form of the spin susceptibility43.\nWe clearly see that the increase of the zero crossing\nfrequency of ∆ W (ωc) at a truly strong coupling is cor-\nrelated with the non-BCS behavior of δKE . At the same\ntime, the behavior of δW (ωc) is obviously not driven by\nthe kinetic energy as eventually δW (ωc) changes sign and\nbecome negative. Rather, the increase in the frequency\nrange where ∆W (ωc) remains positive and non-BCS be-\nhavior of δKE are two indications of the same effect that\nfermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "8\nchirality interactions in cold atom optical lattices has\nbeen proposed38.\nOur model (8) is achieved at second order of the per-\nturbation series. Higher order terms become trunca-\ntion errors but may be controlled by small parameters\nλx,y,z /Jcluster ∼\n√\n|Jx,y,z |/Jcluster.\nV. CONCLUSIONS.\nWe constructed the exactly solvable Kitaev honeycomb\nmodel1 as the exact low energy effective Hamiltonian of\na spin-1/2 model [equations (8) or (9)] with spin-rotation\nand time reversal symmetry. The spin in Kitaev model is\nrepresented as the pseudo-spin in the two-fold degenerate\nspin singlet subspace of a cluster of four antiferromag-\nnetically coupled spin-1/2 moments. The physical spin\nmodel is a honeycomb lattice of such four-spin clusters,\nwith certain inter-cluster interactions. The machinery\nfor the exact mapping to pseudo-spin Hamiltonian was\ndeveloped (see e.g. TABLE I), which is quite general\nand can be used to construct other interesting (exactly\nsolvable) spin-1/2 models from spin rotation invariant\nsystems.\nIn this construction the pseudo-spin correlations in the\nKitaev model will be mapped to dimer or spin-chirality\ncorrelations in the physical spin system. The correspond-\ning picture of the fractionalized Majorana fermion exci-\ntations and Ising vortices still remain to be clarified.\nThis exact construction contains high order physical\nspin interactions, which is undesirable for practical im-\nplementation. We described two possible approaches to\nreduce this problem: generating the high order spin in-\nteractions by perturbative expansion of the coupling to\noptical phonon, or the magnetic coupling between clus-\nters. This perturbative construction will introduce trun-\ncation error of perturbation series, which may be con-\ntrolled by small expansion parameters. Whether these\nconstructions can be experimentally engineered is how-\never beyond the scope of this study. It is conceivable that\nother perturbative expansion can also generate these high\norder spin interactions, but this possibility will be left for\nfuture works.\nAcknowledgments\nThe author thanks Ashvin Vishwanath, Yong-Baek\nKim and Arun Paramekanti for inspiring discussions, and\nTodadri Senthil for critical comments. The author is sup-\nported by the MIT Pappalardo Fellowship in Physics.\nAppendix A: Coupling between Distortions of a\nTetrahedron and the Pseudo-spins\nIn this Appendix we reproduce from Ref. 35 the cou-\nplings of all tetrahedron distortion modes to the spin\nsystem. And convert them to pseudo-spin notation in\nthe physical spin singlet sector.\nConsider a general small distortion of the tetrahedron,\nthe spin Hamiltonian becomes\nHcluster, SL = ( Jcluster/2)(\n∑\nℓ\nSℓ)2 + J′ ∑\nℓ 1. In Ref 30 f(x) was\nassumed to scale as 1 /x at large x such that Σ ′′ is flat at\nlarge ω. The real part of Σ( ω) is obtained from Kramers-\nKr¨ onig relations. For the superconducting state, they\nobtained Σ\n′′\nby cutting off the NS expression on the lower\nend at some frequency ω1 (the analog of ω0 + ∆ that we\nhad for EB model):\nΣ ′′(ω) = (Γ + α|ω|)Θ( |ω| − ω1) (18)\nwhere Θ( x) is the step function. In reality, Σ\n′′\nwhich fits\nARPES in the NS has some angular dependence along the\nFermi surface42, but this was ignored for simplicity. This\nmodel had gained a lot of attention as it predicted the\noptical sum in the SCS to be larger than in the NS, i.e.,\n∆W > 0 at large frequencies. This would be consistent\nwith the experimental findings in Refs. 8,9 if, indeed, one\nidentifies ∆W measured up to 1eV with ∆ WK .\nWe will show below that the sign of ∆ W in the MFLI\nmodel actually depends on how the normal state results\nare extended to the superconducting state and, moreover,\nwill argue that ∆WK is actually negative if the extension\nis done such that at α = 0 the results are consistent with\nBCSI model. However, before that, we show in Figs 10-\n12 the conductivities and the optical integrals for the\noriginal MFLI model.\n0.2 0.6 1\n0\n0.1\n0.2\nω in eV\nσ ( ω )\nConductivities (Original MFLI)\nNS\nSC\n∆ + ω 1\n0 50 100120\n130\n140\nΓ (meV)\nOriginal MFLI\nW K (meV)\nSC\nNS\nα =0.75\nFIG. 10: Top –the conductivities in the NS and SCS in the\noriginal MFLI model of Ref.30. We set Γ = 70meV , α = 0 .75,\n∆ = 32 meV , ω1 = 71 meV . Note that σ′(ω) in the SCS\nbegins at Ω = ∆ + ω1. Bottom – the behavior of WK with Γ.\nIn Fig 10 we plot the conductivities in the NS and the\nSCS and Kubo sums WK vs Γ at α = 0 .75 showing that\nthe spectral weight in the SCS is indeed larger than in the\nNS. In Fig 11 we show the behavior of the optical sums\nW(ωc) in NS and SCS. The observation here is that only\n∼ 75−80% of the Kubo sum is recovered up to the scale of\nthe bandwidth implying that there is indeed a significant\nspectral weight well beyond the bandwidth. And in Fig\n12 we show the behavior of ∆W (wc). We see that it does\nnot change sign and remain positive at all ωc, very much\nunlike the BCS case. Comparing the behavior of W (wc)\nwith and without a lattice (solid and dashed lines in Fig.\n12) we see that the ‘finite bandwidth effect’ just shifts the\ncurve in the positive direction. We also see that the solid\nline flattens above roughly half of the bandwidth, i.e., at\nthese frequencies ∆W (ωc) ≈ ∆ WK . Still, we found that\n∆ W continues going down even above the bandwidth\nand truly saturates only at about 2 eV (not shown in the\nfigure) supporting the idea that there is ‘more’ left to\nrecover from higher frequencies.\nThe rationale for ∆ WK > 0 in the original MFLI\nmodel has been provided in Ref. 30. They argued that\nthis is closely linked to the absence of quasiparticle peaks\nin the NS and their restoration in the SCS state because\nthe phase space for quasiparticle scattering at low ener-\ngies is smaller in a superconductor than in a normal state.", - "page_start": 7, - "page_end": 7, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What was the optical integral analysis proposed by Norman and Pépin?", - "target_page": 8, - "target_passage": "a phenomenological model for the self energy which fits normal state scattering rate measure- ments by ARPES", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "4\nan energy of interband transitions, which is roughly 2 eV .\nThis would be consistent with Refs. 8,9.\nWe begin with formulating our calculational basis in\nthe next section. Then we take up the four cases and\nconsider in each case the extent to which the Kubo sum is\nsatisfied up to the order of bandwidth and the functional\nform and the sign of ∆W (ωc). The last section presents\nour conclusions.\nII. OPTICAL INTEGRAL IN NORMAL AND\nSUPERCONDUCTING STATES\nThe generic formalism of the computation of the op-\ntical conductivity and the optical integral has been dis-\ncussed several times in the literature21–23,26,29 and we\njust list the formulas that we used in our computations.\nThe conductivityσ(Ω) and the optical integral W (ωc)\nare given by (see for example Ref. 35).\nσ′(Ω) = Im\n[\n− Π(Ω)\nΩ + iδ\n]\n= − Π ′′(Ω)\nΩ + πδ(Ω) Π ′(Ω)\n(7a)\nW (ωc) =\n∫ ωc\n0\nσ′(Ω) dΩ = −\n∫ ωc\n0+\nΠ ′′(Ω)\nΩ dΩ + π\n2 Π ′(0)\n(7b)\nwhere ‘X′’ and ‘X′′’ stand for real and imaginary parts\nof X. We will restrict with T = 0. The polarization\noperator Π(Ω) is (see Ref. 36)\nΠ( iΩ) = T\n∑\nω\n∑\n⃗k\n(∇⃗kε⃗k)2\n(\nG(iω, ⃗k)G(iω + iΩ ,⃗k) + F (iω, ⃗k)F (iω + iΩ ,⃗k)\n)\n(8a)\nΠ ′′(Ω) = �� 1\nπ\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ 0\n−Ω\ndω\n(\nG′′(ω, ⃗k)G′′(ω + Ω ,⃗k) + F ′′(ω, ⃗k)F ′′(ω + Ω ,⃗k)\n)\n(8b)\nΠ ′(Ω) = 1\nπ2\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ ′ ∫ ′\ndx dy\n(\nG′′(x,⃗k)G′′(y, ⃗k) + F ′′(x,⃗k)F ′′(y, ⃗k)\n) nF (y) − nF (x)\ny − x (8c)\nwhere\n∫′ denotes the principal value of the integral,∑\n⃗k is understood to be 1\nN\n∑\n⃗k,(N is the number of lat-\ntice sites), nF (x) is the Fermi function which is a step\nfunction at zero temperature, G and F are the normal\nand anomalous Greens functions. given by 37\nFor a NS, G(ω, ⃗k) = 1\nω − Σ( k, ω) − ε⃗k + iδ (9a)\nFor a SCS, G(ω, ⃗k) = Zk,ωω + ε⃗k\nZ2\nk,ω (ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9b)\nF (ω, ⃗k) = Zk,ω∆ k,ω\nZ2\nk,ω(ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9c)\nwhere Zk,ω = 1 − Σ( k,ω)\nω , and ∆ k,ω, is the SC gap. Fol-\nlowing earlier works 31,33, we assume that the fermionic\nself-energy Σ( k, ω) predominantly depends on frequency\nand approximate Σ( k, ω) ≈ Σ( ω) and also neglect the\nfrequency dependence of the gap, i.e., approximate ∆ k,ω\nby a d−wave ∆ k. The lattice dispersion ε⃗k is taken from\nRef. 38. To calculate WK , one has to evaluate the Kubo\nterm in Eq.3 wherein the distribution function n⃗k, is cal-\nculated from\nn(ε⃗k) = −2\n∫ 0\n−∞\ndω\n2π G′′(ω, ⃗k) (10)\nThe 2 is due to the trace over spin indices. We show the\ndistribution functions in the NS and SCS under different\ncircumstances in Fig 2.\nThe ⃗k-summation is done over first Brillouin zone for a\n2-D lattice with a 62x62 grid. The frequency integrals are\ndone analytically wherever possible, otherwise performed\nusing Simpson’s rule for all regular parts. Contributions\nfrom the poles are computed separately using Cauchy’s\ntheorem. For comparison, in all four cases we also calcu-\nlated FGT sum rule by replacing\n∫\nd2k = dΩ kdǫkνǫk,Ω k\nand keeping ν constant. We remind that the FGT is\nthe result when one assumes that the integral in W (ωc)\npredominantly comes from a narrow region around the\nFermi surface.\nWe will first use Eq 3 and compute WK in NS and SCS.\nThis will tell us about the magnitude of ∆ W (ωc = ∞).\nWe next compute the conductivity σ(ω) using the equa-\ntions listed above, find W (ωc) and ∆ W (ωc) and compare\n∆ f(ωc) and ∆ WK .\nFor simplicity and also for comparisons with earlier\nstudies, for BCSI, EB, and MFLI models we assumed\nthat the gap is just a constant along the FS. For CB\nmodel, we used ad−wave gap and included into consid-\neration the fact that, if a CB is a spin fluctuation, its\npropagator develops a resonance when the pairing gap is\nd−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image\nstacks with a 2- to 3- mm interval in the Z-axis were obtained\nthrough a 203dry lens (0.8 NA) with the confocal aperture set to 1\nAiry unit or less. All image capture was performed using Zen Blue\nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany),\nand analyses were performed using Zen Blue or FIJI. 45\n2.5. Image analysis\nDuring all image quantification, the experimenter was blind to the\nexperimental groups. For quantification of the total number of cells\nwithin the DRG, a modified optical dissector stereological method\nwas used 11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To\naccount for tissue shrinkage duringprocessing, the mean thickness\n(t) of each section on one slide (ie, 1 in 5 sections) was calculated by\ntaking the mean of the thickest and thinnest cell-containing regions\n(ie, not fiber tract-containing regions) of the section (NB: no optical\ncorrection to thickness was applied; given the use of a dry lens, this\nvalue will not reflect actual section thickness, though this was kept\nconsistent throughout the study). The cell-containing, cross-\nsectional area ( a) was then calculated, using the middle optical\nsection from the series and drawi ng around the cell-containing\nregions. Section volume (Vsec) was then calculated:\nVsec ¼ t 3a\nUsing the Cavalieri principle, the cell-containing volume of the\nDRG was calculated 11:\nVDRG ¼ /C22a 3/C22t 3l\nwhere /C22a 5 mean cell-containing cross-sectional area, /C22t 5\nmean section thickness, and l 5“length” of the DRG (determined\nfrom the total number of sections collected). The number of\nneurons per section ( Nsec) was quantified in all immunostained\nsections. This included only neurons with a visible nucleus (in the\nNeuN channel), excluded cells with a nucleus visible within the\ntop frame of the Z-stack, and included any neurons with a nucleus\nvisible in any other field within Z-stack, including the bottom frame\nof Z-stack. The cell density or the number of cells per unit vol (Nv)\nwas then calculated:\nNv ¼ Nsec\nVsec\nFinally, the total number of cells per DRG ( NDRG) was\ncalculated:\nNDRG ¼ Nv 3VDRG\nFor quantification of the proportion of FB-labelled cells co-\nlabelled with afferent subpopulation markers, initially, the total\nnumber of FB-filled neuronal cell profiles with a visible nucleus\nanywhere within the section was counted, with the observer blind\nto other channels. The other channel was then revealed, and\ninstances of co-labelling were quantified. No stereological\ncorrection was applied, given that the similar size of neuronal\nnuclei would prevent over-counts of large neurons and that no\ncomparisons of the total number of labelled cells were made. For\nsoma area analyses, the area of neuronal soma expressing the\nappropriate marker was measured in the optical section within\nthe Z-stack in which that neuron was at its largest, by drawing\naround the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n2.6. Tissue clearing and 3D volumetric analyses\nDorsal root ganglia were extracted from animals 4 weeks post-\nSNItrans for whole DRG analyses. In this study, tissue was extracted\nfrom a combination of MrgD CreERT2;Ai14, Th CreERT2;Ai14, and\nCalcaCreERT2;Ai14 lines (mixed sex). 3 One month after SNI trans,\nanimals were transcardially perfused with sterile saline followed by\na fixative containing 4% formaldehyde. Ipsilateral and contralateral\nL4 DRG were removed and postfixed for 24 hours on a shaker at\nroom temperature before being washed in PBS and stored\nat 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol\nin PBS) until clearing. Tissue clearing was then performed as\npreviously described. 67 In brief, the tissue was exposed to\na gradient of 1-propanol containing 0.3% triethylamine (30, 50,\n75, 90, 95, 100, 100%) and washed in this solution at 37˚C for\n24 hours. The tissue was then rehydrated in PBS and labelled with\nprimary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "4\nConclusion: In summary, we propose a new subnatural\nlinewidth spectroscopy technique, which is a laser by us-\ning Ramsey seperated-field cavity to realize the output of\nstimulated-emission radiation via multiple coherent interac-\ntion with atomic beam. We find the linewidth of Ramsey laser\nis subnatural if we choose an appropriate atomic level, and the\nbad-cavity laser mechanism will dramatically reduce cavit y-\nrelated noise as discussed in active optical clock [15–19]. Our\nresults show that this new subnatural linewidth spectrosco py\nis superior to conventional optical Ramsey seperated-field\nspectroscopy and any other available subnatural spectrosc opy\ntechnique at present [3–10]. Considering one have to ap-\nply the separated-field method in any phase detection as in\nRamsey-Borde´interferometer [2], to investigate the e ffects of\nphase di fferences between the two oscillating fields [31] in\nthis stimulated separated-field method with such subnatura l\nlinewidth will be our next research aim.\nWe acknowledge Yiqiu Wang and Deshui Y u for fruitful\ndiscussions. This work is supported by MOST of China\n(grant 2005CB724500, National Natural Science Foundation\nof China (grant 60837004, 10874009), National Hi-Tech Re-\nsearch and Development (863) Program.\n∗ E-mail: jbchen@pku.edu.cn\n† E-mail: hongguo@pku.edu.cn.\n[1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n[2] B. Dubetsky and P . R. Berman, In Atom Interferometry , edited\nby P . R. Berman (Academic Press, Cambridge, MA, 1997).\n[3] M. M. Salour, Rev. Mod. Phys. 50 , 667 (1978).\n[4] J. Wong and J. C. Garrison, Phys. Rev. Lett. 44 , 1254 (1980).\n[5] P . L. Knight and P . E. Coleman, J. Phys. B: Atom. Molec. Phy s.\n13 4345 (1980).\n[6] H. -W. Lee, P . Meystre, and M. O. Scully, Phys. Rev. A 24 , 1914\n(1981).\n[7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A 28 , 2248\n(1983).\n[8] W. Gawlik, J. Kowalski, F. Tr¨ ager, and M. V ollmer, Phys. Rev.\nLett. 48 , 871 (1982).\n[9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and\nP . R. Rice, Phys. Rev. A 40 , 5516 (1989).\n[10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physi cs 34 ,\n297 (1995)\n[11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, 93 , 250602\n(2004).\n[12] A. D. Ludlow et al. , Opt. Lett. 32 , 641 (2007).\n[13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. 101 , 260602\n(2008).\n[14] J. Chen, and X.Chen, In Proceedings of the 2005 IEEE Inter-\nnational Frequency Control Symposium and Exposition , (IEEE,\n2005), p.608.\n[15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Scie nce Bul-\nletin 54 , 348 (2009).\n[16] D. Y u and J. Chen, Phys. Rev. A 78 , 013846 (2008).\n[17] J. Chen, In Frequency Standards and Metrology: Proceedings\nof the 7th Symposium , edited by Maleki Lute (World Scientific\nPublishing Company, 2009).\n[18] Y . Wang, Chinese Science Bulletin 54 , 347 (2009).\n[19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. R ev.\nLett. 102 , 163601 (2009)\n[20] F. Strumia, Metrologia 8 , 85 (1972).\n[21] G. Kramer, J. Opt. Soc. Am. 68 , 1634 (1978).\n[22] V . S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR 32 , 455\n(1972).\n[23] Ye. V . Baklanov, B. Ya, Dubetsky, V . P . Chebotayev, Appl .\nPhys. 9 , 171 (1976).\n[24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett . 38 ,\n159 (1977).\n[25] L. Davidovich, Rev. Mod. Phys. 68 , 127 (1996).\n[26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre ,\nPhys. Rev. A 47 , 1431 (1993).\n[27] M. Sargent III, M. O. Scully, and W. E. Lamb, Laser Physics\n(Addition Wesley, Reading, MA, 1974).\n[28] N. A. Abraham, P . Mandel, and L. M. Narducci, Dynamic In-\nstabilities and Pulsations in Lasers , Progress in Optics XXV ,\nedited by E. Wolf (Elsevier, Amsterdam, 1988).\n[29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P . J. Dagd igian,\nJ. Phys. B 13 , 2231 (1980).\n[30] K. An and M. S. Feld, Phys. Rev. A 56 , 1662(1997).\n[31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "ure). This plot shows that the Kubo sums are almost\ncompletely recovered by integrating up to the bandwidth\nof 1eV : the recovery is 95% in the clean limit and ∼ 90%\nin the dirty limit. In Fig 6 we plot ∆ W (ωc) as a function\nof ωc in clean and dirty limits. ∆ W (∞) is now non-zero,\nin agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "NAVWBPS OO-BOT-BO \nAPPLICATION OF AERODYNAMlCS \nTO SPECIFIC PROBLEMS OF FLYING \nLIFT DISTRIBUTION \nLBWFT OF SPAN \nTIP VORTEX \nPLANE OF \nSYMMETRY \nREDUCED CHANGE IN \nLIFT DISTRIBUTION \n- \n-- \n%SH \n\\’ \nDOCASH \n11 \nTRIM CHANGE \nfigure 6.10. Interference 8etween Airplanes in Flight", - "page_start": 401, - "page_end": 401, - "source_file": "00-80T-80.pdf" - }, - { - "text": "arXiv:1001.0764v2 [cond-mat.str-el] 13 Jan 2010\nOptical Integral and Sum Rule Violation\nSaurabh Maiti, Andrey V. Chubukov\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n(Dated: November 9, 2018)\nThe purpose of this work is to investigate the role of the latt ice in the optical Kubo sum rule in\nthe cuprates. We compute conductivities, optical integral s W , and ∆ W between superconducting\nand normal states for 2-D systems with lattice dispersion ty pical of the cuprates for four different\nmodels – a dirty BCS model, a single Einstein boson model, a ma rginal Fermi liquid model, and a\ncollective boson model with a feedback from superconductiv ity on a collective boson. The goal of\nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ωc) placed on\nthe optical integral because in experiments W is measured up to frequencies of order bandwidth.\nFor a BCS model, the Kubo sum rule is almost fully reproduced a t ωc equal to the bandwidth. But\nfor other models only 70%-80% of Kubo sum rule is obtained up t o this scale and even less so for\n∆ W , implying that the Kubo sum rule has to be applied with cautio n. Second, we analyze the sign\nof ∆ W . In all models we studied ∆ W is positive at small ωc, then crosses zero and approaches a\nnegative value at large ωc, i.e. the optical integral in a superconductor is smaller th an in a normal\nstate. The point of zero crossing, however, increases with t he interaction strength and in a collective\nboson model becomes comparable to the bandwidth at strong co upling. We argue that this model\nexhibits the behavior consistent with that in the cuprates.\nI. INTRODUCTION\nThe analysis of sum rules for optical conductivity has a\nlong history. Kubo, in an extensive paper 1 in 1957, used\na general formalism of a statistical theory of irreversible\nprocesses to investigate the behavior of the conductivity\nin electronic systems. For a system of interacting elec-\ntrons, he derived the expression for the integral of the real\npart of a (complex) electric conductivityσ(Ω) and found\nthat it is independent on the nature of the interactions\nand reduces to\n∫ ∞\n0\nRe σ(Ω) dΩ = π\n2\nne2\nm (1)\nHere n is the density of the electrons in the system and\nm is the bare mass of the electron. This expression is\nexact provided that the integration extends truly up to\ninfinity, and its derivation uses the obvious fact that at\nenergies higher than the total bandwidth of a solid, elec-\ntrons behave as free particles.\nThe independence of the r.h.s. of Eq. (1) on temper-\nature and the state of a solid (e.g., a normal or a super-\nconducting state – henceforth referred to as NS and SCS\nrespectively) implies that, while the functional form of\nσ(Ω) changes with, e.g., temperature, the total spectral\nweight is conserved and only gets redistributed between\ndifferent frequencies as temperature changes. This con-\nservation of the total weight ofσ(Ω) is generally called a\nsum rule.\nOne particular case, studied in detail for conventional\nsuperconductors, is the redistribution of the spectral\nweight between normal and superconducting states. This\nis known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n∫ ∞\n0+\nRe σNS (Ω) =\n∫ ∞\n0+\nRe σsc(Ω) + πnse2\n2m (2)\nwhere ns is the superfluid density, and πnse2/(2m) is\nthe spectral weight under the δ-functional piece of the\nconductivity in the superconducting state.\nIn practice, the integration up to an infinite frequency\nis hardly possible, and more relevant issue for practical\napplications is whether a sum rule is satisfied, at least ap-\nproximately, for a situation when there is a single electron\nband which crosses the Fermi level and is well separated\nfrom other bands. Kubo considered this case in the same\npaper of 1957 and derived the expression for the “band”,\nor Kubo sum rule\n∫ ‘∞′\n0\nRe σ(Ω) dΩ = WK = πe2\n2N\n∑\n⃗k\n∇2\n⃗kx\nε⃗k n⃗k (3)\nwhere n⃗k is the electronic distribution function and ε⃗k is\nthe band dispersion. Prime in the upper limit of the inte-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "Stony Brook, New York, 1979, edited by P. Van Nieuwenhuizen and D. Z. Freedman (North-\nHolland, Amsterdam, 1979), p 315; R. N. Mohapatra and G. Senjanovic, Phys. Rev. Lett.44,\n912 (1980).\n[2] R. N. Mohapatra and R. E. Marshak, Phys. Rev. Lett.44, 1316 (1980) [Erratum-ibid. 44,\n1643 (1980)]; R. E. Marshak and R. N. Mohapatra, Phys. Lett. B91, 222 (1980).\n[3] S. Khalil, J. Phys. G35, 055001 (2008).\n[4] S. Iso, N. Okada and Y. Orikasa, Phys. Lett. B676, 81 (2009); Phys. Rev. D80, 115007\n(2009).\n[5] W. Emam and S. Khalil, Eur. Phys. J. C522, 625 (2007).\n[6] K. Huitu, S. Khalil, H. Okada and S. K. Rai, Phys. Rev. Lett. 101, 181802 (2008).\n[7] L. Basso, A. Belyaev, S. Moretti and C. H. Shepherd-Themistocleous, Phys. Rev. D80, 055030\n(2009).\n[8] P. F. Perez, T. Han and T. Li, Phys. Rev. D80, 073015 (2009).\n[9] S. Khalil and O. Seto, JCAP0810, 024 (2008).\n[10] M. S. Carena, A. Daleo, B. A. Dobrescu and T. M. P. Tait, Phys. Rev. D70, 093009 (2004).\n[11] G. Cacciapaglia, C. Csaki, G. Marandella and A. Strumia, Phys. Rev. D74, 033011 (2006).\n[12] S. Dawson and W. Yan, Phys. Rev. D79, 095002 (2009).\n[13] L. Basso, A. Belyaev, S. Moretti and G. M. Pruna, arXiv:1002.1939 [hep-ph].\n[14] E. W. Kolb and M. S. Turner,The Early Universe , Addison-Wesley (1990).\n[15] D. N. Spergelet al. [WMAP Collaboration], Astrophys. J. Suppl.170, 377 (2007).\n[16] J. McDonald, Phys. Rev. D50, 3637 (1994).\n[17] C. P. Burgess, M. Pospelov and T. ter Veldhuis, Nucl. Phys. B 619, 709 (2001).\n[18] H. Davoudiasl, R. Kitano, T. Li and H. Murayama, Phys. Lett. B 609, 117 (2005).\n[19] T. Kikuchi and N. Okada, Phys. Lett. B665, 186 (2008).\n[20] C. E. Yaguna, JCAP0903, 003 (2009).\n[21] L. M. Krauss, S. Nasri and M. Trodden, Phys. Rev. D67, 085002 (2003).\n[22] E. A. Baltz and L. Bergstrom, Phys. Rev. D67, 043516 (2003).\n[23] K. Cheung and O. Seto, Phys. Rev. D69, 113009 (2004).\n[24] J. Angle et al. [XENON Collaboration], Phys. Rev. Lett.100 021303 (2008).\n[25] Z. Ahmed et al. [The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n[26] http://xenon.astro.columbia.edu/.\n13", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\ndetailed variability analysis for one of two reasons:\n(1) too few data points or (2) flux measurement un-\ncertainties on the order of the amplitude of observed\nvariability. It is important to note that, due to dis-\ncrepancies between the sampling frequency in both\nbands, the variability indices for the 850µm band may\nbe artificially depressed due to the fact that there are\nnot always corresponding measurements at higher fre-\nquencies during flaring epochs.\n3.2. First-Order Continuous\nAutoregression\nWe follow the method of Kelly et al. [9], who model\nquasar optical light curves as a continuous time first-\norder autoregressive process (CAR(1)) in order to ex-\ntract characteristic time scales and the amplitude of\nflux variations. Although flaring behavior is not typi-\ncally thought of as an autoregressive process, we find\nthat the light curves are well-fit by the models and\ntherefore adopt the method here to study blazar sub-\nmillimeter light curves.\nThe CAR(1) process is described by a stochastic\ndifferential equation [9],\ndS(t) = 1\nτS(t) dt+ σ\n√\ndtϵ (t) + bdt, (3)\nassociated with a power spectrum of the form\nPX(f) = 2σ2τ2\n1 + (2πτf)2 . (4)\nIn equations 3 and 4, τ is called the “relaxation\ntime” of the process S(t) and is identified by the\nbreak in PX(f). The power spectrum appears flat\nfor timescales longer than this and falls off as 1/f2 for\ntimescales shorter than the characteristic timescale of\nthe process.\nTaking the logarithm of the blazar light curve (in\nJy) to be S(t), we adopt τ (in days) as the character-\nistic timescale of variability, after which the physical\nprocess “forgets” about what has happened at time\nlags of greater than τ. The two other relevant pa-\nrameters, σ and µ = b/a, are the overall amplitude\nof variability and the logarithm of mean value of the\nlight curve, respectively.\nIn the routine, we construct an autoregressive\nmodel for the light curves for a minimum of 100,000\niterations and calculate the value of τ from the break\nin the power spectrum in each instance. Due to the\nlimited number of observations in the 850 µm band,\nwe performed this autoregressive analysis only for the\n1mm light curves, which typically have more than 10\npoints per light curve.\nThis method yielded some surprising results. In\nFigure 3, we see that the BL Lacs and FSRQs exhibit\nvirtually no difference in characteristic timescale, with\nFigure 3: Characteristic timescale (days) versus\nsubmillimeter luminosity (erg s−1) in the 1mm band for\nall objects. Physically, τ represents a “relaxation\ntimescale”, the timescale beyond which events are no\nlonger correlated.\nboth classes extending across a large range in τ. Be-\ncause of the uncertainty for objects with shorter char-\nacteristic timescales, it is hard to draw any definitive\nconclusions about the differences between classes. It\nis important to note that τ does not necessarily rep-\nresent a flaring timescale, which is a behavior that\ntypically operates on a scale of ∼10–100 days and not\non the longer timescales we see in τ.\n4. CONNECTION WITH GAMMA-RAYS\nIn general, we find that in the submillimeter, we\nare observing these blazars at or near the peak of the\nsynchrotron component ( αS ∼ 0), but that Fermi-\ndetected sources have more negative energy spectral\nindices overall than Fermi-nondetected sources. In\nFigure 4, we see that while the majority of Fermi\nblazars are observed on the rising part of the syn-\nchrotron component (at lower energies than the peak),\nall of the objects have very steeply fallingγ-ray energy\nspectral indexes, putting the γ-ray peak at lower en-\nergies than the observed Fermi band. Knowing that\nwe are not observing the synchrotron and γ-ray com-\nponents at analagous points in the spectrum may al-\nlow us to better understand the magnetic field in the\nparsec-scale jet region and the population of external\nphotons that is being upscattered to γ-rays.\nIn Figure 5, the ratio between Lγ and νLν,1mm re-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0806.pdf" - }, - { - "text": "operations throughout the world. These actions are key to\nreaching this goal of profitability. The optical fiber and cable\nbusiness remains challenging for the short term, but there is\nstill a great deal of long-term value to be realized in this\nbusiness. We believe our cost structure is coming in line with\nour current reduced revenue expectations.\nThe optical components market remains very weak and as\na result our photonic technologies business will need to take\nfurther action to reduce costs. In this challenging environment,\nwe have narrowed our product focus and continue to explore\nseveral strategic options.\nLastly, we are continuing to drive down costs in our adminis-\ntrative and staff functions by standardizing processes and\ncentralizing activities wherever possible. \nAnd as we reach that goal of profitability — as a smaller, more\nfocused, yet highly diverse and balanced company — we are\nconfident that you, our shareholders, will experience greater\nreturns on your investments.\nI NVESTING IN OUR FUTURE\nI continue to be extremely excited about the future opportunities\nemerging from our 152-year legacy of scientific innovations.\nWe are concentrating our efforts on high-impact, near-term\ngrowth initiatives with emphasis on our liquid-crystal display,\ndiesel filter, and chemical processing projects. \nAnd we are certainly not giving up on optical communica-\ntions. We have the biggest share of the optical fiber market,\nby far, and continue to be the low-cost producer for anyone\nneeding to move information from place to place. So while\nwe’ve scaled back on production of fiber and other optical\nproducts, we certainly believe that they will continue to be\nan important part of our product mix again in the future. The\noptical communications industry is still in its infancy and we\nwill capitalize on our leadership position to grow both our\nearnings and return on shareholder equity.\nY es, we have trimmed our investment in research to a level\nappropriate with our lowered revenues. But we’re committed\nto research today even more than we have been in the past. \nWe are applying more than 10 percent of our revenues toward\nresearch. Some may question this high level of commitment in\nthese times … but we simply will not back away from it. We\nhave more than 1,000 scientists and researchers in our\nlaboratories. They are at the heart of our innovation engine,\nand they’re going to stay that way!\nAnd in investing in our future, we are talking about more than\njust our scientific labs. We are continuing to invest in our\npeople — all 23,200 of them, in plants and offices throughout\nthe world — who are continuing to move us forward toward\nour goals. They have been through a lot during this downturn,\nand we have done our best to set a tone of open, honest\ncommunication, even when the news hasn’t been good. In the\nyear ahead, I’ve told our managers to place special emphasis\non our V alue of The Individual … knowing that, in the end,\nthe commitment and contribution of all our employees will\ndetermine our success.\nL OOKING AHEAD\nAs a company, we have been through an extraordinarily diffi-\ncult time. We continue to face some formidable challenges.\nBut we are facing them with some equally formidable strengths.\nCorning Incorporated is more than the sum of its parts—much\nmore than a commercial enterprise.\nWe are one company with a proud history of innovation\nspanning more than 150 years. That legacy has created a\ndiverse business portfolio and strong market leadership.\nWe have a time-tested set of V alues and we rely on them\nto guide our every action. We also hold dear the pride of\nassociation that all who touch our corporation feel.\nShareholders, customers and employees understand that your\ncorporation has, for more than 150 years, produced useful\nand industry-creating products that have changed the lives\nof mankind.\nIn our long history, we’ve always come together in the face\nof a tough challenge — and you can count on us to continue", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "12\nform of the imaginary part.\n0 0.5 10 \n0.2\n0.4\nω in eV\nσ ( ω )\nConductivities (CB model λ =1)\nNS\nSC\n2 ∆ + ω o\n0 0.5 1\n0.2\n0.6\n1 \nω in eV\nσ ( ω )\nConductivities (CB model λ =10)\nNS\nSC\n2 ∆ + ω o\nFIG. 17: Conductivities and ∆ W for a fixed λωsf . Top –\nωsf = 26 meV ,λ = 1, ωo = 40 meV ,Zo = 0 .77 Bottom –\nωsf = 2 .6 meV ,λ = 10, ωo = 13 .5 meV ,Zo = 1 .22. The zero\ncrossing for ∆ W is not affected by a change in λ because it\nis determined only by λωsf . We set ∆ = 30 meV .\n1 2 3\n120\n160\n200\nλ (coupling)\nCB model ( Ω o =40 meV)\nW K (meV)\nSCS\nNS\nFIG. 18: The behavior of Kubo sums in the CB model. Note\nthat the spectral weight in the NS is always larger than in the\nSCS. We setωsf = 26 meV ,λ = 1, and ∆ = 30 meV .\nWe performed the same calculations of conductivities\nand optical integrals as in the previous three cases. The\nresults are summarized in Figs. 17 - 22. Fig 17 shows con-\nductivities in the NS and the SCS for two couplingsλ = 1\nand λ = 10 (keeping λωsf constant). Other parameters\nZo and ωo are calculated according to the discussion after\nEq 21. for ωsf = 26 meV , λ = 1, we find ωo = 40 meV ,\nZo = 0 .77. And for ωsf = 2 .6 meV , λ = 10, we find\nωo = 13 .5 meV , Zo = 1 .22. Note that the conductivity\nin the SCS starts at 2∆ + ωo (i.e. the resonance energy\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNS Optical Sums (CB model)\n0 0.5 1\n0.2\n0.6\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSCS Optical Sums (CB model)\nFIG. 19: The evolution of the optical integrals in the NS\nand the SCS in the CB model. Note that about∼ 75% of\nthe spectral weight is recovered up to 1 eV . We set ωsf =\n26 meV ,λ = 1, and ∆ = 30 meV .\n0 0.5 1\n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =1)\nwith lattice\nwithout lattice\n∆ W K\n0.2 0.6 1 \n−20\n0 \n20 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\n∆ W (CB model λ =10)\nwith lattice\nwithout lattice\n∆ W K\nFIG. 20: ∆ W (in meV) for λ = 1(top) and λ = 10(bottom).\nWe used ωsf = 26 meV /λ and ∆ = 30 meV . The zero crossing\nis not affected because we keep λωsf constant. The notable\ndifference is the widening of the dip at a larger λ.", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What is the Ferrel-Glover-Tinkham sum rule?", - "target_page": 1, - "target_passage": "the redistribution of the spectral weight between normal and superconducting state", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "or Kubo sum rule\n∫ ‘∞′\n0\nRe σ(Ω) dΩ = WK = πe2\n2N\n∑\n⃗k\n∇2\n⃗kx\nε⃗k n⃗k (3)\nwhere n⃗k is the electronic distribution function and ε⃗k is\nthe band dispersion. Prime in the upper limit of the inte-\ngration has the practical implication that the upper limit\nis much larger than the bandwidth of a given band which\ncrosses the Fermi level, but smaller than the frequencies\nof interband transitions. Interactions with external ob-\njects, e.g., phonons or impurities, and interactions be-\ntween fermions are indirectly present in the distribution\nfunction which is expressed via the full fermionic Green’s\nfunction asn⃗k = T ∑\nm G(⃗k, ωm). For ǫk = k2/2m,\n∇2\n⃗kx\nε⃗k = 1 /m, WK = πne2/(2m), and Kubo sum rule\nreduces to Eq. (1). In general, however, ε⃗k is a lattice\ndispersion, and Eqs. (1) and (3) are different. Most im-\nportant,WK in Eq. (3) generally depends on T and on\nthe state of the system because of n⃗k. In this situation,\nthe temperature evolution of the optical integral does not\nreduce to a simple redistribution of the spectral weight\n– the whole spectral weight inside the conduction band\nchanges withT . This issue was first studied in detail by\nHirsch 4 who introduced the now-frequently-used nota-\ntion “violation of the conductivity sum rule”.\nIn reality, as already pointed out by Hirsch, there is no\ntrue violation as the change of the total spectral weight", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "arXiv:1001.0764v2 [cond-mat.str-el] 13 Jan 2010\nOptical Integral and Sum Rule Violation\nSaurabh Maiti, Andrey V. Chubukov\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n(Dated: November 9, 2018)\nThe purpose of this work is to investigate the role of the latt ice in the optical Kubo sum rule in\nthe cuprates. We compute conductivities, optical integral s W , and ∆ W between superconducting\nand normal states for 2-D systems with lattice dispersion ty pical of the cuprates for four different\nmodels – a dirty BCS model, a single Einstein boson model, a ma rginal Fermi liquid model, and a\ncollective boson model with a feedback from superconductiv ity on a collective boson. The goal of\nthe paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ωc) placed on\nthe optical integral because in experiments W is measured up to frequencies of order bandwidth.\nFor a BCS model, the Kubo sum rule is almost fully reproduced a t ωc equal to the bandwidth. But\nfor other models only 70%-80% of Kubo sum rule is obtained up t o this scale and even less so for\n∆ W , implying that the Kubo sum rule has to be applied with cautio n. Second, we analyze the sign\nof ∆ W . In all models we studied ∆ W is positive at small ωc, then crosses zero and approaches a\nnegative value at large ωc, i.e. the optical integral in a superconductor is smaller th an in a normal\nstate. The point of zero crossing, however, increases with t he interaction strength and in a collective\nboson model becomes comparable to the bandwidth at strong co upling. We argue that this model\nexhibits the behavior consistent with that in the cuprates.\nI. INTRODUCTION\nThe analysis of sum rules for optical conductivity has a\nlong history. Kubo, in an extensive paper 1 in 1957, used\na general formalism of a statistical theory of irreversible\nprocesses to investigate the behavior of the conductivity\nin electronic systems. For a system of interacting elec-\ntrons, he derived the expression for the integral of the real\npart of a (complex) electric conductivityσ(Ω) and found\nthat it is independent on the nature of the interactions\nand reduces to\n∫ ∞\n0\nRe σ(Ω) dΩ = π\n2\nne2\nm (1)\nHere n is the density of the electrons in the system and\nm is the bare mass of the electron. This expression is\nexact provided that the integration extends truly up to\ninfinity, and its derivation uses the obvious fact that at\nenergies higher than the total bandwidth of a solid, elec-\ntrons behave as free particles.\nThe independence of the r.h.s. of Eq. (1) on temper-\nature and the state of a solid (e.g., a normal or a super-\nconducting state – henceforth referred to as NS and SCS\nrespectively) implies that, while the functional form of\nσ(Ω) changes with, e.g., temperature, the total spectral\nweight is conserved and only gets redistributed between\ndifferent frequencies as temperature changes. This con-\nservation of the total weight ofσ(Ω) is generally called a\nsum rule.\nOne particular case, studied in detail for conventional\nsuperconductors, is the redistribution of the spectral\nweight between normal and superconducting states. This\nis known as Ferrel-Glover-Tinkham (FGT) sum rule:2,3\n∫ ∞\n0+\nRe σNS (Ω) =\n∫ ∞\n0+\nRe σsc(Ω) + πnse2\n2m (2)\nwhere ns is the superfluid density, and πnse2/(2m) is\nthe spectral weight under the δ-functional piece of the\nconductivity in the superconducting state.\nIn practice, the integration up to an infinite frequency\nis hardly possible, and more relevant issue for practical\napplications is whether a sum rule is satisfied, at least ap-\nproximately, for a situation when there is a single electron\nband which crosses the Fermi level and is well separated\nfrom other bands. Kubo considered this case in the same\npaper of 1957 and derived the expression for the “band”,\nor Kubo sum rule\n∫ ‘∞′\n0\nRe σ(Ω) dΩ = WK = πe2\n2N\n∑\n⃗k\n∇2\n⃗kx\nε⃗k n⃗k (3)\nwhere n⃗k is the electronic distribution function and ε⃗k is\nthe band dispersion. Prime in the upper limit of the inte-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "ure). This plot shows that the Kubo sums are almost\ncompletely recovered by integrating up to the bandwidth\nof 1eV : the recovery is 95% in the clean limit and ∼ 90%\nin the dirty limit. In Fig 6 we plot ∆ W (ωc) as a function\nof ωc in clean and dirty limits. ∆ W (∞) is now non-zero,\nin agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "10\nthis term becomes\n− λ2\n6Jcluster\n· (3/4)[3/16 + ( τx/2 − 1/4)2]\n= − (λ2)/(32Jcluster) · (2 − τx\nk ).\nAnother second order perturbation term r2λ2 Pjk Sk2 ·\n(Sj3 × Sj4)(1 − P jk )[0 − Hcluster j − Hcluster k]−1(1 −\nPjk )Sk2 · (Sj3 × Sj4)Pjk can be computed in the similar\nway and gives the result −(r2 λ2)/(32Jcluster) · (2 − τx\nj ).\nFor one of the cross term\nr λ2 Pjk Sj2 · (Sk3 × Sk4)(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1\n× (1 − Pjk )Sk2 · (Sj3 × Sj4)Pjk\nWe can use the previous argument for both cluster j and\nk, so (1 −PAB)[0−Hcluster j −Hcluster k]−1(1−Pjk ) can be\nreplace by c-number ( −2Jcluster)−1. This term becomes\n− r λ2\n2Jcluster\nPjk [Sj2 · (Sk3 × Sk4)][Sk2 · (Sj3 × Sj3)]Pjk .\nSpin rotation symmetry again helps to separate the terms\nfor clusterj and k, and we get −(r λ2)/(32Jcluster)·τz\nj τz\nk .\nThe other cross term r λ2 Pjk Sk2 · (Sj3 × Sj4)(1 −\nPjk )[0 − Hcluster j − Hcluster k]−1(1 − P jk )Sj2 · (Sk3 ×\nSk4)Pjk gives the same result.\nIn summary the second order perturbation from λ[Sj2 ·\n(Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)] is\n− r λ2\n16Jcluster\n· τz\nj τz\nk + λ2\n32Jcluster\n(τx\nk + r2 τx\nj − 2r2 − 2).\nUsing this result we can choose the following pertur-\nbation on z-links,\nλz Hperturbation, z\n=λz [Sj2 · (Sk3 × Sk4) + sgn( Jz ) · Sk2 · (Sj3 × Sj4)]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λz = 4\n√\n|Jz|Jcluster, r = sgn( Jz ) is the sign of Jz.\nThe last term on the right-hand-side is to cancel the non-\ntrivial terms (r2 τx\nj + τx\nk )λ2\nz/(32Jcluster) from the second\norder perturbation of the first term. Up to second order\nperturbation this will produce−Jzτz\nj τz\nk interactions.\nFinally we have been able to reduce the high order\ninteractions to at most three spin terms, the Hamiltonian\nHmagnetic is\nHmagnetic =\n∑\nj\nHcluster j +\n∑\nx−links \nλxHperturbation x\n+\n∑\ny−links \nλyHperturbation y\n+\n∑\nz−links \nλz Hperturbation z\nwhere Hcluster j are given by (2), λx,y,z Hperturbation x,y,z\nare given above. Plug in relevant equations we get (16)\nin Subsection IV B.\n1 Alexei Kitaev, Ann. Phys. (N.Y.) 321, 2 (2006).\n2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys.\nRev. Lett.98, 087204 (2007).\n3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math.\nTheor.41, 075001 (2008).\n4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev.\nLett.99, 196805 (2007).\n5 Yue Yu, Nucl. Phys. B 799, 345 (2008).\n6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84, 57002 (2008).\n7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80,\n125415 (2009).\n8 Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017\n(2009).\n9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett.\n100, 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel,\nPhys. Rev. B 78, 245121 (2008); S. Dusuel, K.P. Schmidt,\nJ. Vidal, and R.L. Zaffino, Phys. Rev. B78, 125102 (2008).\n10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett.99, 247203\n(2007).\n11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76,\n180404(R) (2007).\n12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys.\nRev. Lett.102, 217202 (2009).\n13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79, 214440\n(2009).\n14 Congjun Wu, Daniel Arovas, Hsiang-Hsuan Hung, Phys.\nRev. B79, 134427 (2009).\n15 Shinsei Ryu, Phys. Rev. B 79, 075124 (2009).\n16 G. Baskaran, G. Santhosh, R. Shankar, arXiv:0908.1614\n(2009).\n17 L.-M. Duan, E. Demler, M. D. Lukin, Phys. Rev. Lett. 91,\n090402 (2003).\n18 A. Micheli, G. K. Brennen, P. Zoller, Nature Physics 2,\n341 (2006).\n19 J. Q. You, Xiao-Feng Shi, Xuedong Hu, Franco Nori, Phys.\nRev. B81, 014505 (2010).\n20 G. Jackeli, G. Khaliullin, Phys. Rev. Lett. 102, 017205\n(2009).\n21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys.\n69, 5200 (1991).\n22 K. A. Chao, J. Spa/suppress lek, A. M. Ole´ s, Phys. Rev. B18, 3453\n(1978).\n23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev.\nB37, 9753 (1988).\n24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math.\nPhys.123, 53 (1989).\n25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93, 217202\n(2004).", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0266.pdf" - }, - { - "text": "4\nan energy of interband transitions, which is roughly 2 eV .\nThis would be consistent with Refs. 8,9.\nWe begin with formulating our calculational basis in\nthe next section. Then we take up the four cases and\nconsider in each case the extent to which the Kubo sum is\nsatisfied up to the order of bandwidth and the functional\nform and the sign of ∆W (ωc). The last section presents\nour conclusions.\nII. OPTICAL INTEGRAL IN NORMAL AND\nSUPERCONDUCTING STATES\nThe generic formalism of the computation of the op-\ntical conductivity and the optical integral has been dis-\ncussed several times in the literature21–23,26,29 and we\njust list the formulas that we used in our computations.\nThe conductivityσ(Ω) and the optical integral W (ωc)\nare given by (see for example Ref. 35).\nσ′(Ω) = Im\n[\n− Π(Ω)\nΩ + iδ\n]\n= − Π ′′(Ω)\nΩ + πδ(Ω) Π ′(Ω)\n(7a)\nW (ωc) =\n∫ ωc\n0\nσ′(Ω) dΩ = −\n∫ ωc\n0+\nΠ ′′(Ω)\nΩ dΩ + π\n2 Π ′(0)\n(7b)\nwhere ‘X′’ and ‘X′′’ stand for real and imaginary parts\nof X. We will restrict with T = 0. The polarization\noperator Π(Ω) is (see Ref. 36)\nΠ( iΩ) = T\n∑\nω\n∑\n⃗k\n(∇⃗kε⃗k)2\n(\nG(iω, ⃗k)G(iω + iΩ ,⃗k) + F (iω, ⃗k)F (iω + iΩ ,⃗k)\n)\n(8a)\nΠ ′′(Ω) = − 1\nπ\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ 0\n−Ω\ndω\n(\nG′′(ω, ⃗k)G′′(ω + Ω ,⃗k) + F ′′(ω, ⃗k)F ′′(ω + Ω ,⃗k)\n)\n(8b)\nΠ ′(Ω) = 1\nπ2\n∑\n⃗k\n(∇⃗kε⃗k)2\n∫ ′ ∫ ′\ndx dy\n(\nG′′(x,⃗k)G′′(y, ⃗k) + F ′′(x,⃗k)F ′′(y, ⃗k)\n) nF (y) − nF (x)\ny − x (8c)\nwhere\n∫′ denotes the principal value of the integral,∑\n⃗k is understood to be 1\nN\n∑\n⃗k,(N is the number of lat-\ntice sites), nF (x) is the Fermi function which is a step\nfunction at zero temperature, G and F are the normal\nand anomalous Greens functions. given by 37\nFor a NS, G(ω, ⃗k) = 1\nω − Σ( k, ω) − ε⃗k + iδ (9a)\nFor a SCS, G(ω, ⃗k) = Zk,ωω + ε⃗k\nZ2\nk,ω (ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9b)\nF (ω, ⃗k) = Zk,ω∆ k,ω\nZ2\nk,ω(ω2 − ∆ 2\nk,ω) − ε2\n⃗k + iδsgn(ω)\n(9c)\nwhere Zk,ω = 1 − Σ( k,ω)\nω , and ∆ k,ω, is the SC gap. Fol-\nlowing earlier works 31,33, we assume that the fermionic\nself-energy Σ( k, ω) predominantly depends on frequency\nand approximate Σ( k, ω) ≈ Σ( ω) and also neglect the\nfrequency dependence of the gap, i.e., approximate ∆ k,ω\nby a d−wave ∆ k. The lattice dispersion ε⃗k is taken from\nRef. 38. To calculate WK , one has to evaluate the Kubo\nterm in Eq.3 wherein the distribution function n⃗k, is cal-\nculated from\nn(ε⃗k) = −2\n∫ 0\n−∞\ndω\n2π G′′(ω, ⃗k) (10)\nThe 2 is due to the trace over spin indices. We show the\ndistribution functions in the NS and SCS under different\ncircumstances in Fig 2.\nThe ⃗k-summation is done over first Brillouin zone for a\n2-D lattice with a 62x62 grid. The frequency integrals are\ndone analytically wherever possible, otherwise performed\nusing Simpson’s rule for all regular parts. Contributions\nfrom the poles are computed separately using Cauchy’s\ntheorem. For comparison, in all four cases we also calcu-\nlated FGT sum rule by replacing\n∫\nd2k = dΩ kdǫkνǫk,Ω k\nand keeping ν constant. We remind that the FGT is\nthe result when one assumes that the integral in W (ωc)\npredominantly comes from a narrow region around the\nFermi surface.\nWe will first use Eq 3 and compute WK in NS and SCS.\nThis will tell us about the magnitude of ∆ W (ωc = ∞).\nWe next compute the conductivity σ(ω) using the equa-\ntions listed above, find W (ωc) and ∆ W (ωc) and compare\n∆ f(ωc) and ∆ WK .\nFor simplicity and also for comparisons with earlier\nstudies, for BCSI, EB, and MFLI models we assumed\nthat the gap is just a constant along the FS. For CB\nmodel, we used ad−wave gap and included into consid-\neration the fact that, if a CB is a spin fluctuation, its\npropagator develops a resonance when the pairing gap is\nd−wave.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "The functions fT2\n1,2,3 for the T2 modes are\nfT2\n1 = ( S2 · S3 − S1 · S4),\nfT2\n2 = ( S1 · S3 − S2 · S4),\nfT2\n3 = ( S1 · S2 − S3 · S4)\nNow we can use TABLE I to convert the above cou-\nplings into pseudo-spin. It is easy to see that fA and\nfT2\n1,2,3 are all zero when converted to pseudo-spins, namely\nprojected to the physical spin singlet sector. But fE\n1 =\n(P14 +P23 +P24 +P13 −2P12 −2P34)/(4\n√\n3) = −(\n√\n3/2)τx\nand fE\n2 = ( P24 + P13 − P14 − P23)/4 = (\n√\n3/2)τy. This\nhas already been noted by Tchernyshyov et al.28, only\nthe E modes can lift the degeneracy of the physical spin\nsinglet ground states of the tetrahedron. Therefore the\ngeneral spin lattice coupling is the form of (12) given in\nthe main text.", - "page_start": 7, - "page_end": 7, - "source_file": "1001.0266.pdf" - }, - { - "text": "9\nAppendix B: Derivation of the Terms Generated by\nSecond Order Perturbation of Inter-cluster\nMagnetic Interactions\nIn this Appendix we derive the second order pertur-\nbations of inter-cluster Heisenberg and spin-chirality in-\nteractions. The results can then be used to construct\n(16).\nFirst consider the perturbation λ Hperturbation = λ[Sj1 ·\nSk1 + r(Sj2 · Sk2)], where r is a real number to be tuned\nlater. Due to the fact mentioned in Subsection IV B,\nthe action ofHperturbation on any cluster singlet state\nwill produce a state with total spin-1 for both cluster j\nand k. Thus the first order perturbation in (15) van-\nishes. And the second order perturbation term can be\ngreatly simplified: operator (1− P jk )[0 − Hcluster j −\nHcluster k]−1(1 − P jk ) can be replaced by a c-number\n(−2Jcluster)−1. Therefore the perturbation up to second\norder is\n− λ2\n2Jcluster\nPjk (Hperturbation)2Pjk\nThis is true for other perturbations considered later in\nthis Appendix. The clusterj and cluster k parts can be\nseparated, this term then becomes ( a, b = x, y, z ),\n− λ2\n2Jcluster\n∑\na,b\n[\nPj Sa\nj1Sb\nj1Pj · PkSa\nk1Sb\nk1Pk\n+ 2r PjSa\nj1Sb\nj2Pj · PkSa\nk1Sb\nk2Pk\n+ r2 Pj Sa\nj2Sb\nj2Pj · PkSa\nk2Sb\nk2Pk\n]\nThen use the fact that Pj Sa\njℓSb\njm Pj = δab(1/3)Pj(Sjℓ ·\nSjm )Pj by spin rotation symmetry, the perturbation be-\ncomes\n− λ2\n6Jcluster\n[ 9 + 9 r2\n16 + 2r Pjk (Sj1 · Sj2)(Sk1 · Sk2)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n16 + (r/2)τx\nj τx\nk − r/2\n− r Pjk (Sj1 · Sj2 + Sk1 · Sk2)Pjk\n]\n.\nSo we can choose −(r λ2)/(12Jcluster) = −Jx, and include\nthe last intra-cluster Sj1 · Sj2 + Sk1 · Sk2 term in the first\norder perturbation.\nThe perturbation on x-links is then (not unique),\nλx Hperturbation, x =λx[Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2)\nwith λx =\n√\n12|Jx| · Jcluster, and r = sgn( Jx) is the sign\nof Jx. The non-trivial terms produced by up to second\norder perturbation will be the τx\nj τx\nk term. Note that the\nlast term in the above equation commutes with cluster\nHamiltonians so it does not produce second or higher\norder perturbations.\nSimilarly considering the following perturbation on y-\nlinks, λ Hperturbation = λ[Sj1 · (Sk3 − Sk4) + r Sk1 · (Sj3 −\nSj4)]. Following similar procedures we get the second\norder perturbation from this term\n− λ2\n6Jcluster\n[ 9 + 9 r2\n8\n+ 2r Pjk [Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n8 + 2r (3/4)τy\nj τy\nk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\nSo we can choose −(r λ2)/(4Jcluster) = −Jy, and include\nthe last intra-cluster Sk3 · Sk4 + r2 Sj3 · Sj4 term in the\nfirst order perturbation.\nTherefore we can choose the following perturbation on\ny-links (not unique),\nλy Hperturbation, y\n=λy[Sj1 · Sk1 + sgn(Jy) · (Sj3 − Sj4) · (Sk3 − Sk4)]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λy =\n√\n4|Jy| · Jcluster, r = sgn( Jy ) is the sign of Jy.\nThe τz\nj τz\nk term is again more difficult to get. We use\nthe representation of τz by spin-chirality (6). And con-\nsider the following perturbation\nHperturbation = Sj2 · (Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)\nThe first order term in (15) vanishes due to the same\nreason as before. There are four terms in the second\norder perturbation. The first one is\nλ2 Pjk Sj2 · (Sk3 × Sk4)(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1\n× (1 − Pjk )Sj2 · (Sk3 × Sk4)Pjk\nFor the cluster j part we can use the same arguments\nas before, the Hcluster j can be replaced by a c-number\nJcluster. For the cluster k part, consider the fact that\nSk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4],\nthe action of Sk3 × Sk4 on physical singlet states of k will\nalso only produce spin-1 state. So we can replace the\nHcluster k in the denominator by a c-number Jcluster as\nwell. Use spin rotation symmetry to separate the j and\nk parts, this term simplifies to\n− λ2\n6Jcluster\nPj Sj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk.\nUse ( S)2 = 3 /4 and\n(Sk3 × Sk4) · (Sk3 × Sk4)\n=\n∑\na,b\n(Sa\nk3Sb\nk4Sa\nk3Sb\nk4 − Sa\nk3Sb\nk4Sb\nk3Sa\nk4)\n= ( Sk3 · Sk3)(Sk4 · Sk4) −\n∑\na,b\nSa\nk3Sb\nk3[δab/2 − Sa", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "tion of the graphs of the Binder cumulant25, Eq. (9), as a\nfunction of T obtained at different L. For clarity reasons,\nwe introduce also the following symbols: by TN (n) we\nwill denote the helical/fan phase transition temperature\nfor thicknessn, TC (n) will instead indicate the order-\ning temperature of the sample as deduced by looking at\nthe behaviour of the average order parameter (3), while\nTl\nC (n) will be the l-th plane transition temperature re-\nlated to the order parameter defined in Eq. (2).", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "2\nin a given band is compensated by an appropriate change\nof the spectral weight in other bands such that the total\nspectral weight, integrated over all bands, is conserved,\nas in Eq. (1). Still, non-conservation of the spectral\nweight within a given band is an interesting phenomenon\nas the degree of non-conservation is an indicator of rele-\nvant energy scales in the problem. Indeed, when relevant\nenergy scales are much smaller than the Fermi energy,\ni.e., changes in the conductivity are confined to a near\nvicinity of a Fermi surface (FS), one can expandεk near\nkF as εk = vF (k − kF ) + ( k − kF )2/(2mB) + O(k − kF )3\nand obtain ∇2\n⃗kx\nε⃗k ≈ 1/mB [this approximation is equiv-\nalent to approximating the density of states (DOS) by a\nconstant]. ThenWK becomes πne2/(2mB) which does\nnot depend on temperature. The scale of the tempera-\nture dependence ofWK is then an indicator how far in\nenergy the changes in conductivity extend when, e.g., a\nsystem evolves from a normal metal to a superconductor.\nBecause relevant energy scales increase with the interac-\ntion strength, the temperature dependence ofWK is also\nan indirect indicator of whether a system is in a weak,\nintermediate, or strong coupling regime.\nIn a conventional BCS superconductor the only rele-\nvant scales are the superconducting gap ∆ and the impu-\nrity scattering rate Γ. Both are generally much smaller\nthan the Fermi energy, so the optical integral should be\nalmostT -independent, i.e., the spectral weight lost in a\nsuperconducting state at low frequencies because of gap\nopening is completely recovered by the zero-frequencyδ-\nfunction. In a clean limit, the weight which goes into\naδ−function is recovered within frequencies up to 4∆.\nThis is the essence of FGT sum rule 2,3. In a dirty limit,\nthis scale is larger, O(Γ), but still WK is T -independent\nand there was no “violation of sum rule”.\nThe issue of sum rule attracted substantial interest in\nthe studies of high Tc cuprates5–18,21–26 in which pairing\nis without doubts a strong coupling phenomenon. From a\ntheoretical perspective, the interest in this issue was orig-\ninally triggered by a similarity betweenWK and the ki-\nnetic energy K = 2 ∑ ε⃗kn⃗k.18–20 For a model with a sim-\nple tight binding cosine dispersion εk ∝ (cos kx + cos ky),\nd2 ε⃗k\nd k2x\n∼ −ε⃗k and WK = −K. For a more complex dis-\npersion there is no exact relation between WK and K,\nbut several groups argued 17,27,28 that WK can still be\nregarded as a good monitor for the changes in the kinetic\nenergy. Now, in a BCS superconductor, kinetic energy\nincreases belowTc because nk extends to higher frequen-\ncies (see Fig.2). At strong coupling, K not necessary\nincreases because of opposite trend associated with the\nfermionic self-energy: fermions are more mobile in the\nSCS due to less space for scattering at low energies than\nthey are in the NS. Model calculations show that above\nsome coupling strength, the kinetic energy decreases be-\nlowTc29. While, as we said, there is no one-to-one cor-\nrespondence between K and WK , it is still likely that,\nwhen K decreases, WK increases.\nA good amount of experimental effort has been put into\naddressing the issue of the optical sum rule in the c−axis7\nand in-plane conductivities 8–16 in overdoped, optimally\ndoped, and underdoped cuprates. The experimental re-\nsults demonstrated, above all, outstanding achievements\nof experimental abilities as these groups managed to de-\ntect the value of the optical integral with the accuracy\nof a fraction of a percent. The analysis of the change\nof the optical integral between normal and SCS is even\nmore complex because one has to (i) extend NS data to\nT < Tc and (ii) measure superfluid density with the same\naccuracy as the optical integral itself.\nThe analysis of the optical integral showed that in over-\ndoped cuprates it definitely decreases below Tc, in con-\nsistency with the expectations at weak coupling 11. For\nunderdoped cuprates, all experimental groups agree that", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0764.pdf" - }, - { - "text": "Entropy 2025, 27, 62 8 of 33\ndivergence between the approximate posterior q(s) and the exact posterior, which is also\nsometimes called the perceptual divergence:\nDKL[q(s)∥p(s|o)] =∑\ns\nq(s) ln q(s)\np(s|o) (2)\nIt is a property of the KL divergence that the two distributions are identical when\nDKL[q(s)∥p(s|o)] = 0. Minimising this divergence then corresponds to approximating\nthe exact posterior p(s|o) with q(s). We cannot evaluate this divergence directly since the\nexact posterior is still unknown. We therefore replace the expression of the exact posterior\nwith the right-hand side of Equation (1). Note that here we use the joint likelihood p(o, s)\nnotation, fraction rule a\nb\nc\n= a\nb ∗ c and logarithmic rule ln(a ∗ b) =ln a + ln b:\n∑\ns\nq(s) ln q(s)\np(o,s)\np(o)\n= ∑\ns\nq(s) ln q(s)\np(o, s) + ln p(o) (3)\nWe can now rewrite the first term of the right-hand side as the KL divergence of the\napproximate posterior from the joint likelihood, which is equal to the expression used in\nEquation (2):\nDKL[q(s)∥p(s|o)] =DKL[q(s)∥p(o, s)] +ln p(o) (4)\nWe now define theVFE (F[q(s), o]) as the KL divergence of the approximate posterior from\nthe joint likelihood. The VFE is only a function of q(s) and o (and the generative model m),\nand we can therefore calculate it without knowing the model evidence p(o):\nF ≜ DKL[q(s)∥p(o, s)] =∑\ns\nq(s) ln q(s)\np(o, s) (5)\nThe probability-weighted sum can be rewritten as an expectation, and the joint likelihood\ncan be decomposed into a prior and a likelihood:\nF ≜ Eq(s)\n\u0014\nln q(s)\np(o, s)\n\u0015\n= Eq(s)[ln q(s) − ln p(o|s) − ln p(s)] (6)\nWe can now combine our definition of VFE with Equation (4):\nDKL[q(s)∥p(s|o)] =F[q(s), o] +ln p(o) (7)\nFinally, we can reorganise this equation to show that the VFE is the sum of the divergence of\nthe approximation posterior and exact posterior (if we could perform exact inference, this is\nwhat we would obtain) and the surprise ℑ = −ln(p(o)) (the negative log model evidence):\nF[q(s), o] =DKL[q(s)∥p(s|o)]| {z }\nDivergence\n−ln p(o)| {z }\nSurprise\n(8)\nSince the KL divergence is non-negative, the VFE becomes an upper bound on the surprise:\nF[q(s), o] ≥ −ln p(o) (9)\nBy rearranging the parts of this expression, we can express the VFE as a balance between\nthe complexity and accuracy, where the accuracy is how well the model predicts observa-\ntion, and the complexity is how much the beliefs need to change in order to maintain a\nhigh accuracy:", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "What does Kitaev show about spin- 1/2 model?", - "target_page": 1, - "target_passage": "spin- 1/2 model can be mapped to a model with one Majo- rana fermion per site coupled to Ising gauge fields on the links", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "arXiv:1001.0266v2 [cond-mat.str-el] 4 May 2010\nRealization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin\nRotation Invariant System\nFa Wang 1\n1Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\nThe exactly solvable Kitaev honeycomb lattice model is real ized as the low energy effect Hamil-\ntonian of a spin-1/2 model with spin rotation and time-rever sal symmetry. The mapping to low\nenergy effective Hamiltonian is exact, without truncation e rrors in traditional perturbation series\nexpansions. This model consists of a honeycomb lattice of cl usters of four spin-1/2 moments, and\ncontains short-range interactions up to six-spin(or eight -spin) terms. The spin in the Kitaev model\nis represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet\nsector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin corre-\nlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this\nmodel. This exact construction is quite general and can be us ed to make other interesting spin-1/2\nmodels from spin rotation invariant Hamiltonians. We discu ss two possible routes to generate the\nhigh order spin interactions from more natural couplings, w hich involves perturbative expansions\nthus breaks the exact mapping, although in a controlled mann er.\nPACS numbers: 75.10.Jm, 75.10.Kt\nContents\nI. Introduction. 1\nII. Formulation of the Pseudo-spin-1/2 from\nFour-spin Cluster. 2\nIII. Realization of the Kitaev Model. 3\nIV. Generate the High Order Physical Spin\nInteractions by Perturbative Expansion. 5\nA. Generate the High Order Terms by Coupling\nto Optical Phonon. 5\nB. Generate the High Order Terms by Magnetic\nInteractions between Clusters. 7\nV. Conclusions. 8\nAcknowledgments 8\nA. Coupling between Distortions of a\nTetrahedron and the Pseudo-spins 8\nB. Derivation of the Terms Generated by\nSecond Order Perturbation of Inter-cluster\nMagnetic Interactions9\nReferences 10\nI. INTRODUCTION.\nKitaev’s exactly solvable spin-1/2 honeycomb lattice\nmodel1 (noted as the Kitaev model hereafter) has in-\nspired great interest since its debut, due to its exact\nsolvability, fractionalized excitations, and the potential\nto realize non-Abelian anyons. The model simply reads\nHKitaev = −\n∑\nx−links \nJxτx\nj τx\nk −\n∑\ny−links \nJyτy\nj τy\nk\n−\n∑\nz−links \nJzτz\nj τz\nk\n(1)\nwhere τx,y,z are Pauli matrices, and x, y, z -links are de-\nfined in FIG. 1. It was shown by Kitaev 1 that this spin-\n1/2 model can be mapped to a model with one Majo-\nrana fermion per site coupled to Ising gauge fields on the\nlinks. And as the Ising gauge flux has no fluctuation, the\nmodel can be regarded as, under each gauge flux config-\nuration, a free Majorana fermion problem. The ground\nstate is achieved in the sector of zero gauge flux through\neach hexagon. The Majorana fermions in this sector have\nDirac-like gapless dispersion resembling that of graphene,\nas long as|Jx|, |Jy|, and |Jz| satisfy the triangular rela-\ntion, sum of any two of them is greater than the third\none1. It was further proposed by Kitaev 1 that opening of\nfermion gap by magnetic field can give the Ising vortices\nnon-Abelian anyonic statistics, because the Ising vortex\nwill carry a zero-energy Majorana mode, although mag-\nnetic field destroys the exact solvability.\nGreat efforts have been invested to better understand\nthe properties of the Kitaev model. For example, sev-\neral groups have pointed out that the fractionalized Ma-\njorana fermion excitations may be understood from the\nmore familiar Jordan-Wigner transformation of 1D spin\nsystems2,3. The analogy between the non-Abelian Ising\nvortices and vortices in p + ip superconductors has been\nraised in serveral works 4–7. Exact diagonalization has\nbeen used to study the Kitaev model on small lattices 8.\nAnd perturbative expansion methods have been devel-\noped to study the gapped phases of the Kitaev-type\nmodels9.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "2\ny\nx\nzz z\nz zzz\nz z\ny y\ny\nx\nxx\nx x x\ny yy\ny\nx\ny\nx\nz\nz\ny y\nx x x\ny\nz\nx\nx\nFIG. 1: The honeycomb lattice for the Kitaev model. Filled\nand open circles indicate two sublattices.x, y, z label the links\nalong three different directions used in (1).\nderived as well. There have been several proposals to\nopen the fermion gap for the non-Abelian phase without\nspoiling exact solvability4,6. And many generalizations\nto other(even 3D) lattices have been developed in the\nlast few years10–16. All these efforts have significantly\nenriched our knowledge of exactly solvable models and\nquantum phases of matter.\nHowever, in the original Kitaev model and its later\ngeneralizations in the form of spin models, spin rotation\nsymmetry is explicitly broken. This makes them harder\nto realize in solid state systems. There are many pro-\nposals to realized the Kitaev model in more controllable\nsituations, e.g. in cold atom optical lattices17,18, or in\nsuperconducting circuits 19. But it is still desirable for\ntheoretical curiosity and practical purposes to realize the\nKitaev-type models in spin rotation invariant systems.\nIn this paper we realize the Kitaev honeycomb lattice\nmodel as the low energy Hamiltonian for a spin rotation\ninvariant system. The trick isnot to use the physical spin\nas the spin in the Kitaev model, instead the spin-1/2 in\nKitaev model is from some emergent two-fold degener-\nate low energy states in the elementary unit of physical\nsystem. This type of idea has been explored recently by\nJackeli and Khaliullin20, in which the spin-1/2 in the Ki-\ntaev model is the low energy Kramers doublet created by\nstrong spin-orbit coupling oft2g orbitals. In the model\npresented below, the Hilbert space of spin-1/2 in the Ki-\ntaev model is actually the two dimensional spin singlet\nsector of four antiferromagnetically coupled spin-1/2 mo-\nments, and the role of spin-1/2 operators(Pauli matrices)\nin the Kitaev model is replaced by certain combinations\nofSj · Sk [or the spin-chirality Sj · (Sk × Sℓ)] between the\nfour spins.\nOne major drawback of the model to be presented is\nthat it contains high order spin interactions(involves up\nto six or eight spins), thus is still unnatural. However it\nopens the possibility to realize exotic (exactly solvable)\nmodels from spin-1/2 Hamiltonian with spin rotation in-\nvariant interactions. We will discuss two possible routes\nto reduce this artificialness through controlled perturba-\ntive expansions, by coupling to optical phonons or by\nmagnetic couplings between the elementary units.\nThe outline of this paper is as follows. In Section II\nwe will lay out the pseudo-spin-1/2 construction. In Sec-\n4\n2 3\n1\nz z\nx\nx\ny\ny\n23\n4\n1\nFIG. 2: Left: the physical spin lattice for the model (8). The\ndash circles are honeycomb lattice sites, each of which is ac-\ntually a cluster of four physical spins. The dash straight li nes\nare honeycomb lattice bonds, with their type x, y, z labeled.\nThe interaction between clusters connected by x, y, z bonds\nare the Jx,y,z terms in (8) or (9) respectively. Note this is not\nthe 3-12 lattice used in Ref. 9,10. Right: enlarged picture of\nthe clusters with the four physical spins labeled as 1 , . . . , 4.\nThick solid bonds within one cluster have large antiferromag-\nnetic Heisenberg coupling Jcluster.\ntion III the Kitaev model will be explicitly constructed\nusing this formalism, and some properties of this con-\nstruction will be discussed. In Section IV we will discuss\ntwo possible ways to generate the high order spin in-\nteractions involved in the construction of Section III by\nperturbative expansions. Conclusions and outlook will\nbe summarized in Section V.\nII. FORMULATION OF THE PSEUDO-SPIN-1/2\nFROM FOUR-SPIN CLUSTER.\nIn this Section we will construct the pseudo-spin-1/2\nfrom a cluster of four physical spins, and map the phys-\nical spin operators to pseudo-spin operators. The map-\nping constructed here will be used in later Sections to\nconstruct the effective Kitaev model. In this Section we", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "8\nchirality interactions in cold atom optical lattices has\nbeen proposed38.\nOur model (8) is achieved at second order of the per-\nturbation series. Higher order terms become trunca-\ntion errors but may be controlled by small parameters\nλx,y,z /Jcluster ∼\n√\n|Jx,y,z |/Jcluster.\nV. CONCLUSIONS.\nWe constructed the exactly solvable Kitaev honeycomb\nmodel1 as the exact low energy effective Hamiltonian of\na spin-1/2 model [equations (8) or (9)] with spin-rotation\nand time reversal symmetry. The spin in Kitaev model is\nrepresented as the pseudo-spin in the two-fold degenerate\nspin singlet subspace of a cluster of four antiferromag-\nnetically coupled spin-1/2 moments. The physical spin\nmodel is a honeycomb lattice of such four-spin clusters,\nwith certain inter-cluster interactions. The machinery\nfor the exact mapping to pseudo-spin Hamiltonian was\ndeveloped (see e.g. TABLE I), which is quite general\nand can be used to construct other interesting (exactly\nsolvable) spin-1/2 models from spin rotation invariant\nsystems.\nIn this construction the pseudo-spin correlations in the\nKitaev model will be mapped to dimer or spin-chirality\ncorrelations in the physical spin system. The correspond-\ning picture of the fractionalized Majorana fermion exci-\ntations and Ising vortices still remain to be clarified.\nThis exact construction contains high order physical\nspin interactions, which is undesirable for practical im-\nplementation. We described two possible approaches to\nreduce this problem: generating the high order spin in-\nteractions by perturbative expansion of the coupling to\noptical phonon, or the magnetic coupling between clus-\nters. This perturbative construction will introduce trun-\ncation error of perturbation series, which may be con-\ntrolled by small expansion parameters. Whether these\nconstructions can be experimentally engineered is how-\never beyond the scope of this study. It is conceivable that\nother perturbative expansion can also generate these high\norder spin interactions, but this possibility will be left for\nfuture works.\nAcknowledgments\nThe author thanks Ashvin Vishwanath, Yong-Baek\nKim and Arun Paramekanti for inspiring discussions, and\nTodadri Senthil for critical comments. The author is sup-\nported by the MIT Pappalardo Fellowship in Physics.\nAppendix A: Coupling between Distortions of a\nTetrahedron and the Pseudo-spins\nIn this Appendix we reproduce from Ref. 35 the cou-\nplings of all tetrahedron distortion modes to the spin\nsystem. And convert them to pseudo-spin notation in\nthe physical spin singlet sector.\nConsider a general small distortion of the tetrahedron,\nthe spin Hamiltonian becomes\nHcluster, SL = ( Jcluster/2)(\n∑\nℓ\nSℓ)2 + J′ ∑\nℓ\nJxτx\nj τx\nk\n−\n∑\ny−links \nJyτy\nj τy\nk −\n∑\nz−links \nJzτz\nj τz\nk\n(7)\nwhere j, k label the honeycomb lattice sites thus the four-\nspin clusters, Hcluster is given by (2), τx,y,z should be\nreplaced by the corresponding physical spin operators in\n(4) and (5) or (6), or some other equivalent representa-\ntions of personal preference.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - }, - { - "text": "4\nPlug in the expressions (4) and (6) into (7), the Hamil- tonian reads e xplicitly as\nH =\n∑\nj\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 −\n∑\nz−links \nJz (16/9)[Sj2 · (Sj3 × Sj4)][Sk2 · (Sk3 × Sk4)]\n−\n∑\nx−links \nJx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) −\n∑\ny−links \nJy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]\n(8)\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\nH =\n∑\nj\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2\n−\n∑\nx−links \nJx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) −\n∑\ny−links \nJy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]\n−\n∑\nz−links \nJz (−4/3)(2Sj3 · Sj4 + 1/2)[Sj1 · (Sj3 − Sj4)](2Sk3 · Sk4 + 1/2)[Sk1 · (Sk3 − Sk4)]\n(9)\nThis model, in terms of physical spins S, has full\nspin rotation symmetry and time-reversal symmetry. A\npseudo-magnetic field term∑\nj\n⃗h · ⃗ τj term can also be\nincluded under this mapping, however the resulting Ki-\ntaev model with magnetic field is not exactly solvable.\nIt is quite curious that such a formidably looking Hamil-\ntonian (8), with biquadratic and six-spin(or eight-spin)\nterms, has an exactly solvable low energy sector.\nWe emphasize that because the first intra-cluster term∑\ncluster Hcluster commutes with the latter Kitaev terms\nindependent of the representation used, the Kitaev model\nis realized as theexact low energy Hamiltonian of this\nmodel without truncation errors of perturbation theories,\nnamely no (|Jx,y,z |/Jcluster)2 or higher order terms will\nbe generated under the projection to low energy clus-\nter singlet space. This is unlike, for example, thet/U\nexpansion of the half-filled Hubbard model 22,23, where\nat lowest t2/U order the effective Hamiltonian is the\nHeisenberg model, but higher order terms ( t4/U3 etc.)\nshould in principle still be included in the low energy ef-\nfective Hamiltonian for any finitet/U. Similar compari-\nson can be made to the perturbative expansion studies of\nthe Kitaev-type models by Vidalet al.9, where the low\nenergy effective Hamiltonians were obtained in certian\nanisotropic (strong bond/triangle) limits. Although the\nspirit of this work, namely projection to low energy sec-\ntor, is the same as all previous perturbative approaches\nto effective Hamiltonians.\nNote that the original Kitaev model (1) has three-\nfold rotation symmetry around a honeycomb lattice site,\ncombined with a three-fold rotation in pseudo-spin space\n(cyclic permutation ofτx, τy, τz ). This is not apparent\nin our model (8) in terms of physical spins, under the\ncurrent representation ofτx,y,z . We can remedy this by\nusing a different set of pseudo-spin Pauli matrices τ′x,y,z\nin (7),\nτ′x =\n√\n1/3τz +\n√\n2/3τx,\nτ′y =\n√\n1/3τz −\n√\n1/6τx +\n√\n1/2τy,\nτ′z =\n√\n1/3τz −\n√\n1/6τx −\n√\n1/2τy\nWith proper representation choice, they have a symmet-\nric form in terms of physical spins,\nτ′x = −(4/3)S2 · (S3 × S4) +\n√\n2/3(2S1 · S2 + 1/2)\nτ′y = −(4/3)S3 · (S4 × S2) +\n√\n2/3(2S1 · S3 + 1/2)\nτ′z = −(4/3)S4 · (S2 × S3) +\n√\n2/3(2S1 · S4 + 1/2)\n(10)\nSo the symmetry mentioned above can be realized by a\nthree-fold rotation of the honeycomb lattice, with a cyclic\npermutation ofS2, S3 and S4 in each cluster. This is in\nfact the three-fold rotation symmetry of the physical spin\nlattice illustrated in FIG. 2. However this more symmet-\nric representation will not be used in later part of this\npaper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "been used to study the Kitaev model on small lattices 8.\nAnd perturbative expansion methods have been devel-\noped to study the gapped phases of the Kitaev-type\nmodels9.\nMany generalizations of the Kitaev model have been", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "5\nAnother note to take is that it is not necessary to have\nsuch a highly symmetric cluster Hamiltonian (2). The\nmappings to pseudo-spin-1/2 should work as long as the\nground states of the cluster Hamiltonian are the two-fold\ndegenerate singlets. One generalization, which conforms\nthe symmetry of the lattice in FIG. 2, is to have\nHcluster = ( Jcluster/2)(r · S1 + S2 + S3 + S4)2 (11)\nwith Jcluster > 0 and 0 < r < 3. However this is not\nconvenient for later discussions and will not be used.\nWe briefly describe some of the properties of (8). Its\nlow energy states are entirely in the space that each of the\nclusters is a physical spin singlet (called cluster singlet\nsubspace hereafter). Therefore physical spin correlations\nare strictly confined within each cluster. The excitations\ncarrying physical spin are gapped, and their dynamics\nare ‘trivial’ in the sense that they do not move from one\ncluster to another. But there are non-trivial low energy\nphysical spin singlet excitations, described by the pseudo-\nspins defined above. The correlations of the pseudo-spins\ncan be mapped to correlations of their corresponding\nphysical spin observables (the inverse mappings are not\nunique, c.f. TABLE I). For exampleτx,y correlations\nbecome certain dimer-dimer correlations, τz correlation\nbecomes chirality-chirality correlation, or four-dimer cor-\nrelation. It will be interesting to see the corresponding\npicture of the exotic excitations in the Kitaev model, e.g.\nthe Majorana fermion and the Ising vortex. However this\nwill be deferred to future studies.\nIt is tempting to call this as an exactly solved spin liq-\nuid with spin gap ( ∼ Jcluster), an extremely short-range\nresonating valence bond(RVB) state, from a model with\nspin rotation and time reversal symmetry. However it\nshould be noted that the unit cell of this model contains\nan even number of spin-1/2 moments (so does the orig-\ninal Kitaev model) which does not satisfy the stringent\ndefinition of spin liquid requiring odd number of elec-\ntrons per unit cell. Several parent Hamiltonians of spin\nliquids have already been constructed. See for example,\nRef.24–27 .\nIV. GENERATE THE HIGH ORDER PHYSICAL\nSPIN INTERACTIONS BY PERTURBATIVE\nEXPANSION.\nOne major drawback of the present construction is that\nit involves high order interactions of physical spins[see\n(8) and (9)], thus is ‘unnatural’. In this Section we will\nmake compromises between exact solvability and natu-\nralness. We consider two clustersj and k and try to\ngenerate the Jx,y,z interactions in (7) from perturbation\nseries expansion of more natural(lower order) physical\nspin interactions. Two different approaches for this pur-\npose will be laid out in the following two Subsections. In\nSubsection IV A we will consider the two clusters as two\ntetrahedra, and couple the spin system to certain opti-\ncal phonons, further coupling between the phonon modes\n(a) (b) (c) (d)\n(b) (c) (d)\nQ E\n2\nQ E\n1\n(a)\n1\n1 1 1\n1 1 1\n2\n2\n2\n2\n2\n2 2\n2\n3\n3\n3 3 3\n3 3 4 4\n4 4\n3\n4\n4\n4\n4\n1\nFIG. 3: Illustration of the tetragonal to orthorhombic\nQE\n1(top) and QE\n2(bottom) distortion modes. (a) Perspective\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\ndicate the motion of each spin under the distortion mode. (b)\nTop view of (a). (c)(d) Side view of (a).\nof the two clusters can generate at lowest order the de-\nsired high order spin interactions. In Subsection IV B we\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\nteractions between physical spins of different clusters, at\nlowest order(second order) of perturbation theory the de-\nsired high order spin interactions can be achieved. These\napproaches involve truncation errors in the perturbation\nseries, thus the mapping to low energy effect Hamilto-\nnian will no longer be exact. However the error intro-\nduced may be controlled by small expansion parameters.\nIn this Section we denote the physical spins on cluster\nj(k) as j1, . . . , j 4 ( k1, . . . , k 4), and denote pseudo-spins", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "7\nmodes of neighboring tetrahedra. And these coupling\nconstantsλx,y,z need to be tuned to produce Jx,y,z of\nthe Kitaev model. This is still not easy to implement in\nsolid state systems. At lowest non-trivial order of pertur-\nbative expansion, we do get our model (9). Higher order\nterms in expansion destroy the exact solvability, but may\nbe controlled by the small parametersλx,y,z /k.\nB. Generate the High Order Terms by Magnetic\nInteractions between Clusters.\nIn this Subsection we consider more conventional per-\nturbations, magnetic interactions between the clusters,\ne.g. the Heisenberg couplingSj · Sk with j and k belong\nto different tetrahedra. This has the advantage over the\nprevious phonon approach for not introducing additional\ndegrees of freedom. But it also has a significant disad-\nvantage: the perturbation does not commute with the\ncluster Heisenberg Hamiltonian (2), so the cluster sin-\nglet subspace will be mixed with other total spin states.\nIn this Subsection we will use the spin-chirality represen-\ntation (6) forτz .\nAgain consider two clusters j and k. For simplicity\nof notations define a projection operator Pjk = Pj Pk,\nwhere Pj,k is projection into the singlet subspace of clus-\nter j and k, respectively, Pj,k = ∑\ns=±1 |τz\nj,k = s⟩⟨τz\nj,k =\ns|. For a given perturbation λ Hperturbation with small\nparameter λ (in factor λ/Jcluster is the expansion param-\neter), lowest two orders of the perturbation series are\nλPjk HperturbationPjk + λ2 Pjk Hperturbation(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1(1 − Pjk )HperturbationPjk\n(15)\nWith proper choice of λ and Hperturbation we can generate\nthe desired Jx,y,z terms in (8) from the first and second\norder of perturbations.\nThe calculation can be dramatically simplified by the\nfollowing fact that any physical spin-1/2 operator Sx,y,z\nℓ\nconverts the cluster spin singlet states |τz = ±1⟩ into\nspin-1 states of the cluster. This can be checked by\nexplicit calculations and will not be proved here. For\nall the perturbations to be considered later, the above\nmentioned fact can be exploited to replace the factor\n[0− Hcluster j − Hcluster k]−1 in the second order pertur-\nbation to a c-number ( −2Jcluster)−1.\nThe detailed calculations are given in Appendix B. We\nwill only list the results here.\nThe perturbation on x-links is given by\nλx Hperturbation, x = λx[Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2).\nwhere λx =\n√\n12|Jx| · Jcluster, sgn( Jx) = ±1 is the sign\nof Jx.\nThe perturbation on y-links is\nλy Hperturbation, y\n=λy[Sj1 · Sk1 + sgn(Jy) · (Sj3 − Sj4) · (Sk3 − Sk4)]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λy =\n√\n4|Jy| · Jcluster.\nThe perturbation on z-links is\nλz Hperturbation, z\n= λz [Sj2 · (Sk3 × Sk4) + sgn( Jz) · Sk2 · (Sj3 × Sj4)]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4).\nwith λz = 4\n√\n|Jz| · Jcluster.\nThe entire Hamiltonian Hmagnetic reads explicitly as,\nHmagnetic =\n∑\ncluster j\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2\n+\n∑\nx−links \n{√\n12|Jx| · Jcluster\n[\nSj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)\n]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2)\n}\n+\n∑\ny−links \n{√\n4|Jy| · Jcluster\n[\nSj1 · (Sk3 − Sk4) + sgn( Jy)Sk1 · (Sj3 − Sj4)\n]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\n}\n+\n∑\nz−links \n{\n4\n√\n|Jz| · Jcluster\n[\nSj2 · (Sk3 × Sk4) + sgn( Jz )Sk2 · (Sj3 × Sj4)\n]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4)\n}\n.\n(16)\nIn (16), we have been able to reduce the four spin in-\nteractions in (8) to inter-cluster Heisenberg interactions,\nand the six-spin interactions in (8) to inter-cluster spin-\nchirality interactions. The inter-cluster Heisenberg cou-\nplings inHperturbation x,y may be easier to arrange. The\ninter-cluster spin-chirality coupling in Hperturbation z ex-\nplicitly breaks time reversal symmetry and is probably\nharder to implement in solid state systems. However\nspin-chirality order may have important consequences\nin frustrated magnets36,37, and a realization of spin-", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "ical spin operators to pseudo-spin operators. The map-\nping constructed here will be used in later Sections to\nconstruct the effective Kitaev model. In this Section we\nwill work entirely within the four-spin cluster, all unspec-\nified physical spin subscripts take values 1, . . . , 4.\nConsider a cluster of four spin-1/2 moments(called\nphysical spins hereafter), labeled by S1,...,4, antiferro-\nmagnetically coupled to each other (see the right bot-\ntom part of FIG. 2). The Hamiltonian within the clus-\nter(up to a constant) is simply the Heisenberg antiferro-\nmagnetic(AFM) interactions,\nHcluster = ( Jcluster/2) (S1 + S2 + S3 + S4)2 (2)\nThe energy levels should be apparent from this form:\none group of spin-2 quintets with energy 3Jcluster, three\ngroups of spin-1 triplets with energy Jcluster, and two spin\nsinglets with energy zero. We will consider large positive", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "3\nJcluster limit. So only the singlet sector remains in low\nenergy.\nThe singlet sector is then treated as a pseudo-spin-1/2\nHilbert space. From now on we denote the pseudo-spin-\n1/2 operators asT = (1 /2)⃗ τ, with ⃗ τthe Pauli matri-\nces. It is convenient to choose the following basis of the\npseudo-spin\n|τz = ±1⟩ = 1\n√\n6\n(\n| ↓↓↑↑⟩ + ω−τ z\n| ↓↑↓↑⟩ + ωτ z\n| ↓↑↑↓⟩\n+ | ↑↑↓↓⟩ + ω−τ z\n| ↑↓↑↓⟩ + ωτ z\n| ↑↓↓↑⟩\n)\n(3)\nwhere ω = e2πi/3 is the complex cubic root of unity,\n| ↓↓↑↑⟩ and other states on the right-hand-side(RHS) are\nbasis states of the four-spin system, in terms of Sz quan-\ntum numbers of physical spins 1 , . . . , 4 in sequential or-\nder. This pseudo-spin representation has been used by\nHarriset al. to study magnetic ordering in pyrochlore\nantiferromagnets21.\nWe now consider the effect of Heisenberg-type inter-\nactions Sj · Sk inside the physical singlet sector. Note\nthat since any Sj · Sk within the cluster commutes with\nthe cluster Hamiltonian Hcluster (2), their action do not\nmix physical spin singlet states with states of other total\nphysical spin. This property is also true for the spin-\nchirality operator used later. So the pseudo-spin Hamil-\ntonian constructed below will beexact low energy Hamil-\ntonian, without truncation errors in typical perturbation\nseries expansions.\nIt is simpler to consider the permutation operators\nPjk ≡ 2Sj · Sk + 1 /2, which just exchange the states\nof the two physical spin-1/2 moments j and k (j ̸= k).\nAs an example we consider the action of P34,\nP34|τz = −1⟩ = 1\n√\n6\n(\n| ↓↓↑↑⟩ + ω| ↓↑↑↓⟩ + ω2| ↓↑↓↑⟩\n+ | ↑↑↓↓⟩ + ω| ↑↓↓↑⟩ + ω2| ↑↓↑↓⟩\n)\n= |τz = +1 ⟩\nand similarly P34|τz = −1⟩ = |τz = +1 ⟩. Therefore P34\nis just τx in the physical singlet sector. A complete list\nof all permutation operators is given in TABLE I. We\ncan choose the following representation ofτx and τy ,\nτx = P12 = 2 S1 · S2 + 1/2\nτy = ( P13 − P14)/\n√\n3 = (2 /\n√\n3)S1 · (S3 − S4)\n(4)\nMany other representations are possible as well, because\nseveral physical spin interactions may correspond to the\nsame pseudo-spin interaction in the physical singlet sec-\ntor, and we will take advantage of this later.\nFor τz we can use τz = −iτxτy , where i is the imagi-\nnary unit,\nτz = −i(2/\n√\n3)(2S1 · S2 + 1/2)S1 · (S3 − S4) (5)\nphysical spin pseudo-spin\nP12, and P34 τx\nP13, and P24 − (1/ 2)τx + (\n√\n3/ 2)τy\nP14, and P23 − (1/ 2)τx − (\n√\n3/ 2)τy\n− χ 234, χ 341, − χ 412, and χ 123 (\n√\n3/ 4)τz\nTABLE I: Correspondence between physical spin operators\nand pseudo-spin operators in the physical spin singlet sector of\nthe four antiferromagnetically coupled physical spins. Pjk =\n2Sj ·Sk +1/ 2 are permutation operators, χ jkℓ = Sj ·(Sk × Sℓ)\nare spin-chirality operators. Note that several physical s pin\noperators may correspond to the same pseudo-spin operator.\nHowever there is another simpler representation ofτz ,\nby the spin-chirality operator χjkℓ = Sj · (Sk × Sℓ). Ex-\nplicit calculation shows that the effect of S2 · (S3 × S4) is\n−(\n√\n3/4)τz in the physical singlet sector. This can also\nbe proved by using the commutation relation [ S2 ·S3, S2 ·\nS4] = iS2 · (S3 × S4). A complete list of all chirality\noperators is given in TABLE I. Therefore we can choose\nanother representation ofτz ,\nτz = −χ234/(\n√\n3/4) = −(4/\n√\n3)S2 · (S3 × S4) (6)\nThe above representations of τx,y,z are all invariant under\nglobal spin rotation of the physical spins.\nWith the machinery of equations (4), (5), and (6), it\nwill be straightforward to construct various pseudo-spin-\n1/2 Hamiltonians on various lattices, of the Kitaev vari-\nety and beyond, as the exact low energy effective Hamil-\ntonian of certain spin-1/2 models with spin-rotation sym-\nmetry. In these constructions a pseudo-spin lattice site\nactually represents a cluster of four spin-1/2 moments.\nIII. REALIZATION OF THE KITAEV MODEL.\nIn this Section we will use directly the results of the\nprevious Section to write down a Hamiltonian whose low\nenergy sector is described by the Kitaev model. The", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "How can fractionalised Majorana fermion excitations be understood?", - "target_page": 1, - "target_passage": "from the more familiar Jordan-Wigner transformation of 1D spin systems", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "fermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in\nthe normal and superconducting states of interacting\nfermionic systems on a lattice. Our key goal was to\nunderstand what sets the sign of ∆WK = ∆ W (∞) be-\ntween the normal and superconducting states and what\nis the behavior ofW (ωc) and ∆ W (ωc) at finite ωc. In a\nweak coupling BCS superconductor, ∆ W (ωc) is positive\nat ωc < 2∆ due to a contribution from superfluid den-\nsity, but becomes negative at larger ωc, and approach a\nnegative value of ∆ WK . Our study was motivated by fas-\ncinating optical experiments on the cuprates 7–10 . In over-\ndoped cuprates, there is clear indication 11 that ∆ W (ωc)\nbecomes negative above a few ∆, consistent with BCS\nbehavior. In underdoped cuprates, two groups argued8,9\nthat ∆ W integrated up to the bandwidth remains posi-\ntive, while the other group argued 10 that it is negative.\nThe reasoning why ∆ WK may potentially change sign\nat strong coupling involves the correlation between −WK\nand the kinetic energy. In the BCS limit, kinetic en-\nergy obviously increases in a SCS because of gap opening,\nhence−WK increases, and ∆ WK is negative. At strong\ncoupling, there is a counter effect – fermions become more\nmobile in a SCS due to a smaller self-energy.\nWe considered four models: a BCS model with impu-\nrities, a model of fermions interacting with an Einstein\nboson, a phenomenological MFL model with impurities,\nand a model of fermions interacting with collective spin\nfluctuations. In all cases, we found that ∆WK is neg-\native, but how it evolves with ωc and how much of the\nsum rule is recovered by integrating up to the bandwidth\ndepends on the model.\nThe result most relevant to the experiments on the\ncuprates is obtained for the spin fluctuation model.\nWe found that at strong coupling, the zero-crossing of\nδW(ωc) occurs at a frequency which increases with the\ncoupling strength and may become larger than the band-\nwidth at a truly strong coupling. Still, at even larger\nfrequencies, ∆W (ωc) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "11\nhigh-energy fermions and is an input for the low-energy\ntheory. Below we follow Refs. 31,33 and assume that\nthe momentum dependence of a collective boson is flat\nnear (π, π). The self energy within such model has been\nworked out consistently in Ref. 31,33. In the normal\nstate\nΣ ′′(ω) = − 1\n2 λnωsf log\n(\n1 + ω2\nω2\nsf\n)\nΣ ′(ω) = −λnωsf arctan ω\nωsf\n(19)\nwhere λn is the spin-fermion coupling constant, and ωsf\nis a typical spin relaxation frequency of overdamped spin\ncollective excitations with a propagator\nχ(q ∼ Q, Ω) = χQ\n1 − i Ω\nωsf\n(20)\nwhere χQ is the uniform static susceptibility. If we use\nOrnstein-Zernike form of χ(q) and use either Eliashberg\n45 or FLEX computational schemes 48, we get rather sim-\nilar behavior of Σ as a function of frequency and rather\nsimilar behavior of optical integrals.\nThe collective nature of spin fluctuations is reflected in\nthe fact that the coupling λ and the bosonic frequency\nωsf are related: λ scales as ξ2, where ξ is the bosonic\nmass (the distance to a bosonic instability), and ωsf ∝\nξ−2 (see Ref. 49). For a flat χ(q ∼ Q) the product λωsf\ndoes not depend on ξ and is the overall dimensional scale\nfor boson-mediated interactions.\nIn the SCS fermionic excitations acquire a gap. This\ngap affects fermionic self-energy in two ways: directly, via\nthe change of the dispersion of an intermediate boson in\nthe exchange process involving a CB, and indirectly, via\nthe change of the propagator of a CB. We remind our-\nselves that the dynamics of a CB comes from a particle-\nhole bubble which is indeed affected by ∆.\nThe effect of a d−wave pairing gap on a CB has been\ndiscussed in a number of papers, most recently in 31. In\na SCS a gapless continuum described by Eq. (20) trans-\nforms into a gaped continuum, with a gap about 2∆ and\na resonance atω = ω0 < 2∆, where for a d−wave gap we\ndefine ∆ as a maximum of a d−wave gap.\nThe spin susceptibility near ( π, π) in a superconductor\ncan generally be written up as\nχ(q ∼ Q, Ω) = χQ\n1 − i Π(Ω)\nωsf\n(21)\nwhere Π is evaluated by adding up the bubbles made\nout of two normal and two anomalous Green’s functions.\nBelow 2∆, Π(Ω) is real (∼ Ω 2/∆ for small Ω), and the\nresonance emerges at Ω = ω0 at which Π( ω0) = ωsf . At\nfrequencies larger than 2∆, Π(Ω) has an imaginary part,\nand this gives rise to a gaped continuum inχ(Ω).\nThe imaginary part of the spin susceptibility around\nthe resonance frequency ω0 is31\nχ\n′′\n(q, Ω) = πZoω0\n2 δ(Ω − ω0) (22)\nwhere Zo ∼ 2 ωsf χ0/ ∂Π\n∂ω |Ω= ω0\n. The imaginary part\nof the spin susceptibility describing a gaped continuum\nexists for for Ω≥ 2∆ and is\nχ\n′′\n(q, Ω) = Im\n[\nχ0\n1 − 1\nωsf\n( 4∆ 2\nΩ D(4∆ 2\nΩ 2 ) + iΩ K2(1 − 4∆ 2\nΩ 2 )\n)\n]\n≈ Im\n[\nχ0\n1 − 1\nωsf\n( π∆ 2\nΩ + i π\n2 Ω\n)\n]\nfor Ω >> 2∆ (23)\nIn Eq. (23) D(x) = K1(x)−K2(x)\nx , and K1(x) and K2(x)\nare Elliptic integrals of first and second kind. The real\npart ofχ is obtained by Kramers-Kr¨ onig transform of the\nimaginary part.\nSubstituting Eq 6 for χ(q, Ω) into the formula for the\nself-energy one obtains Σ ′′(ω) in a SCS state as a sum of\ntwo terms 31\nΣ ′′(ω) = Σ ′′\nA(ω) + Σ ′′\nB(ω) (24)\nwhere,\nΣ ′′\nA(ω) = πZo\n2 λnωo Re\n(\nω + ωo√\n(ω + ωo)2 − ∆ 2\n)\ncomes from the interaction with the resonance and\nΣ ′′\nB(ω) = −λn\n∫ |E|\n2∆\ndx Re ω + x\n√\n(ω + x)2 − ∆ 2\nx\nωsf\nK2\n(\n1 − 4∆ 2\nx2\n)\n[\n1 − 4∆ 2\nxωsf\nD\n( 4∆ 2\nx2\n) ] 2\n+\n[\nx\nωsf\nK2\n(\n1 − 4∆ 2\nx2\n) ] 2 (25)\ncomes from the interaction with the gaped continuum. The real par t of Σ is obtained by Kramers-Kr¨ onig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "6\n0 0.5 10\n0.5\n1\nω in eV\nσ ( ω )\nConductivities (BCSI)\nNS\nSC\n2 ∆\n0 50 100160\n180\n200\nΓ in meV\nW K in meV\nBCSI\nSC\nNS\nFIG. 4: Top - a conductivity plot for the BCSI case in the\npresence of a lattice. The parameters are ∆ = 30meV , Γ =\n3.5 meV . Bottom – the behavior of Kubo sums. Note that (a)\nthe spectral weight in the NS is always greater in the SCS, (b)\nthe spectral weight decreases with Γ, and (c) the difference\nbetween NS and SCS decreases as Γ increases.\nlittle variation of ∆W (ωc) at above 0 .1 − 0.3eV what\nimplies that for larger ωc, ∆ W (ωc) ≈ ∆ WK >> ∆ f(ωc).\nTo make this more quantitative, we compare in Fig. 6\n∆ W (ωc) obtained for a constant DOS, when ∆ W (ωc) =\n∆ f(ωc), and for the actual lattice dispersion, when\n∆ W (ωc) = ∆ WK + ∆ f(ωc). In the clean limit there\nis obviously little cutoff dependence beyond 0 .1eV , i.e.,\n∆ f(ωc) is truly small, and the difference between the\ntwo cases is just ∆ WK . In the dirty limit, the situation\nis similar, but there is obviously more variation with ωc,\nand ∆ f(ωc) becomes truly small only above 0 .3eV . Note\nalso that the position of the dip in ∆ W (ωc) in the clean\nlimit is at a larger ωc in the presence of the lattice than\nin a continuum.\nB. The Einstein boson model\nWe next consider the case of electrons interacting with\na single boson mode which by itself is not affected by su-\nperconductivity. The primary candidate for such mode is\nan optical phonon. The imaginary part of the NS self en-\nergy has been discussed numerous times in the literature.\nWe make one simplifying assumption – approximate the\nDOS by a constant in calculating fermionic self-energy.\nWe will, however, keep the full lattice dispersion in the\ncalculations of the optical integral. The advantage of this\n0 0.5 10 \n0.5\n1 \nω c in eV\nW( ω c )/W( ∞ )\nNormal State Optical Sum (BCSI)\nDirty Limit\nClean Limit\n0 0.5 10 \n0.5\n1 \nω c in eV\nW( ω c )/W( ∞ )\nSuperconducting State Optical Sum (BCSI)\nDirty Limit\nClean Limit\nFIG. 5: The evolution of optical integral in NS(top) and\nSCS(bottom) for BCSI case. Plots are made for clean limit\n(solid lines, Γ = 3.5 meV ) and dirty limit (dashed lines,\nΓ = 150 meV ) for ∆ = 30 meV . Observe that (a) W (0) = 0\nin the NS, but has a non-zero value in the SCS because of the\nδ-function (this value decreases in the dirty limit), and (b)\nthe flat region in the SCS is due to the fact that σ′(ω) = 0 for\nΩ < 2∆. Also note that ∼ 90 − 95% of the spectral weight is\nrecovered up to 1 eV\napproximation is that the self-energy can be computed\nanalytically. The full self-energy obtained with the lat-\ntice dispersion is more involved and can only be obtained\nnumerically, but its structure is quite similar to the one\nobtained with a constant DOS.\nThe self-energy for a constant DOS is given by\nΣ( iω) = − i\n2π λn\n∫\ndǫkd(iΩ) χ(iΩ) G(ǫk, iω + iΩ) (13)\nwhere\nχ(iΩ) = ω2\n0\nω2\n0 − (iΩ) 2 (14)\nand λn is a dimensionless electron-boson coupling. Inte-\ngrating and transforming to real frequencies, we obtain\nΣ ′′(ω) = − π\n2 λnωo Θ( |ω| − ωo)\nΣ ′(ω) = − 1\n2 λnωo log\n⏐\n⏐\n⏐\n⏐\nω + ωo\nω − ωo\n⏐\n⏐\n⏐\n⏐ (15)\nIn the SCS, we obtain for ω < 0\nΣ ′′(ω) = − π\n2 λnωo Re\n(\nω + ωo√\n(ω + ωo)2 − ∆ 2\n)", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "14\nmodified MFLI models. It is interesting that this holds\ndespite the fact that for largeλ CB model displays the\nphysics one apparently needs to reverse the sign of ∆ WK\n– the absence of the quasiparticle peak in the NS and its\nemergence in the SCS accompanied by the dip and the\nhump at larger energies. The absence of coherent quasi-\nparticle in the NS at largeλ is also apparent form Fig\n21 where we show the normal state distribution functions\nfor two differentλ. For large λ the jump (which indicates\nthe presence of quasiparticles) virtually disappears.\nOn a more careful look, we found that indifference of\nδW (ωc) to the increase of λ is merely the consequence of\nthe fact that above we kept λωsf constant. Indeed, at\nsmall frequencies, fermionic self-energy in the NS is Σ ′ =\nλω, Σ” = λ2ω2/(λωsf ), and both Σ ′ and Σ ′′ increase\nwith λ if we keep λωsf constant. But at frequencies larger\nthan ωsf , which we actually probe by ∆ W (ωc), the self-\nenergy essentially depends only on λωsf , and increasing λ\nbut keeping λωsf constant does not bring us closer to the\nphysics associated with the recovery of electron coherence\nin the SCS. To detect this physics, we need to see how\nthings evolve when we increaseλωsf above the scale of\n∆ , i.e., consider a truly strong coupling when not only\nλ≫ 1 but also the normal state Σ NS (ω ≥ ∆) >> ∆.\nTo address this issue, we took a larger λ for the same\nωsf and re-did the calculation of the conductivities and\noptical integrals. The results for σ(ω) and ∆ W (ωc) are\npresented in Fig. 22. We found the same behavior as be-\nfore, i.e., ∆WK is negative. But we also found that the\nlarger is the overall scale for the self-energy, the larger is a\nfrequency of zero-crossing of ∆W (ωc). In particular, for\nthe same λ and ωsf that were used in Ref. 33 to fit the NS\nconductivity data, the zero crossing is at ∼ 0.8 eV which\nis quite close to the bandwidth. This implies that at a\ntruly strong coupling the frequency at which ∆W (ωc)\nchanges sign can well be larger than the bandwidth of\n1eV in which case ∆ W integrated up to the bandwidth\ndoes indeed remain positive. Such behavior would be\nconsistent with Refs.8,9. we also see from Fig. 22 that\n∆WK becomes small at a truly strong coupling, and over\na wide range of frequencies the behavior of ∆ W (ωc) is\npredominantly governed by ∆ f(ωc), i.e. by the cut-off\nterm.50 The implication is that, to first approximation,\n∆ WK can be neglected and positive ∆ W (wc) integrated\nto a frequency where it is still positive is almost compen-\nsated by the integral over larger frequencies. This again\nwould be consistent with the experimental data in Refs.\n8,9.\nIt is also instructive to understand the interplay be-\ntween the behavior of ∆ W (ωc) and the behavior of the\ndifference of the kinetic energy between the SCS and the\nNS,δKE . We computed the kinetic energy as a function\nof λωsf and present the results in Fig. 23 for λ = 1 and\n10. For a relatively weak λ = 1 the behavior is clearly\nBCS like- δKE > 0 and increases with increasing λωsf .\nHowever, at large λ = 10, we see that the kinetic energy\nbegin decreasing at large λωsf and eventually changes\nsign. The behavior of δKE at a truly strong coupling is\nconsistent with earlier calculation of the kinetic energy\nfor Ornstein-Zernike form of the spin susceptibility43.\nWe clearly see that the increase of the zero crossing\nfrequency of ∆ W (ωc) at a truly strong coupling is cor-\nrelated with the non-BCS behavior of δKE . At the same\ntime, the behavior of δW (ωc) is obviously not driven by\nthe kinetic energy as eventually δW (ωc) changes sign and\nbecome negative. Rather, the increase in the frequency\nrange where ∆W (ωc) remains positive and non-BCS be-\nhavior of δKE are two indications of the same effect that\nfermions are incoherent in the NS but acquire coherence\nin the SCS.\nIII. CONCLUSION\nIn this work we analyzed the behavior of optical in-\ntegrals W (ωc) ∝\n∫ωc\no σ(ω)dω and Kubo sum rules in", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "70%− 80% of the optical spectral weight is obtained by\nintegrating up to the bandwidth. In these three models,\nthere also exists a wide range ofωc in which the behavior\nof ∆ W (ωc) is due to variation of ∆ f(ωc) which is domi-\nnant comparable to the ∆ WK term. This dominance of\nthe cut off term is consistent with the analysis in Refs.\n21,22,33.\nWe also found that for all models except for the origi-\nnal version of the MFLI model the optical weight at the\nhighest frequencies is greater in the NS than in the SCS\n(i.e., ∆W < 0). This observation is consistent with the\nfindings of Abanov and Chubukov 32, Benfatto et. al.28,\nand Karakozov and Maksimov 34. In the original ver-\nsion of the MFLI model 30 the spectral weight in SCS\nwas found to be greater than in the NS (∆ W > 0). We\nshow that the behavior of ∆ W (ωc) in this model cru-\ncially depends on how the fermionic self-energy modeled\nto fit ARPES data in a NS is modified when a system\nbecomes a superconductor and can be of either sign. We\nalso found, however, thatωc at which ∆ W becomes neg-\native rapidly increases with the coupling strength and at\nstrong coupling becomes comparable to the bandwidth.\nIn the CB model, which, we believe, is most appropriate\nfor the application to the cuprates, ∆WK = ∆ W (∞) is\nquite small, and at strong coupling a negative ∆ W (ωc)\nup to ωc ∼ 1eV is nearly compensated by the optical\nintegral between ωc and “infinity”, which, in practice, is", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0764.pdf" - }, - { - "text": "10\n0 0.5 10 \n0.4\n0.8\nConductivities (Corrected MFLI)\nσ ( ω )\nω in eV\nNS\nSC\n2 ∆\n0 50 100\n100\n120\nW K (meV)\nΓ in meV\nCorrected MFLI\nSC\nNS\nFIG. 15: Top – σ(ω) in the NS and the SCS in the ‘corrected’\nMFLI model with the feedback from SC on the quasiparticle\ndamping:iΓ term transforms into Γ\n√\n−ω 2+∆ 2 . In the SCS σ\nnow begins at Ω = 2∆. The parameters are same as in Fig.\n10. Bottom – the behavior of Kubo sum with Γ. Observe\nthatW (ωc) in the NS is larger than in the SCS.\n0.2 0.4 0.6 0.8\n−10\n0 \n10 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\nCorrected MFLI\nwithout lattice\nwith lattice\n∆ W K\nFIG. 16: Evolution of the difference of the optical integrals\nbetween the SCS and the NS with the upper cut-offωc for\nthe “corrected” MFLI model. Now ∆ W (ωc) is negative above\nsome frequency. Parameters are same as in the Fig 15.\nmodel, whereWK is larger in the NS for all Γ (see Fig.\n4). In other words, the original MFLI model does not\nhave the BCSI theory as its limiting case.\nWe modified the MFLI model is a minimal way by\nchanging the damping term in a SCS to Γ\n√\n−ω2+∆ 2 to be\nconsistent with BCSI model. We still use Eq. (18) for\nthe MFL term simply because this term was introduced\nin the NS on phenomenological grounds and there is no\nway to guess how it gets modified in the SCS state with-\nout first deriving the normal state self-energy microscop-\nically (this is what we will do in the next section). The\nresults of the calculations for the modified MFLI model\nare presented in Figs. 15 and 16. We clearly see that the\nbehavior is now different and ∆WK < 0 for all Γ. This\nis the same behavior as we previously found in BCSI\nand EB models. So we argue that the ‘unconventional’\nbehavior exhibited by the original MFLI model is most\nlikely the manifestation of a particular modeling incon-\nsistency. Still, Ref. 30 made a valid point that the fact\nthat quasiparticles behave more close to free fermions in\na SCS than in a NS, and this effect tends to reverse the\nsigns of ∆WK and of the kinetic energy 43. It just hap-\npens that in a modified MFLI model the optical integral\nis still larger in the NS.\nD. The collective boson model\nWe now turn to a more microscopic model- the CB\nmodel. The model describes fermions interacting by ex-\nchanging soft, overdamped collective bosons in a partic-\nular, near-critical, spin or charge channel31,44,45. This\ninteraction is responsible for the normal state self-energy\nand also gives rise to a superconductivity. A peculiar\nfeature of the CB model is that the propagator of a col-\nlective boson changes belowTc because this boson is not\nan independent degree of freedom (as in EB model) but\nis made out of low-energy fermions which are affected by\nsuperconductivity32.\nThe most relevant point for our discussion is that this\nmodel contains the physics which we identified above as\na source of a potential sign change of ∆WK . Namely,\nat strong coupling the fermionic self-energy in the NS\nis large because there exists strong scattering between\nlow-energy fermions mediated by low-energy collective\nbosons. In the SCS, the density of low-energy fermions\ndrops and a continuum collective excitations becomes\ngaped. Both effects reduce fermionic damping and lead\nto the increase ofWK in a SCS. If this increase exceeds a\nconventional loss of WK due to a gap opening, the total\n∆ WK may become positive.\nThe CB model has been applied numerous times to the\ncuprates, most often under the assumption that near-\ncritical collective excitations are spin fluctuations with\nmomenta nearQ = ( π, π). This version of a CB bo-\nson is commonly known as a spin-fermion model. This\nmodel yieldsdx2−y2 superconductivity and explains in a\nquantitative way a number of measured electronic fea-\ntures of the cuprates, in particular the near-absence of\nthe quasiparticle peak in the NS of optimally doped and\nunderdoped cuprates39 and the peak-dip-hump structure\nin the ARPES profile in the SCS 31,32,46,47. In our analy-\nsis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "underdoped cuprates39 and the peak-dip-hump structure\nin the ARPES profile in the SCS 31,32,46,47. In our analy-\nsis we assume that a CB is a spin fluctuation.\nThe results for the conductivity within a spin-fermion\nmodel depend in quantitative (but not qualitative) way\non the assumption for the momentum dispersion of a col-\nlective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "8\nchirality interactions in cold atom optical lattices has\nbeen proposed38.\nOur model (8) is achieved at second order of the per-\nturbation series. Higher order terms become trunca-\ntion errors but may be controlled by small parameters\nλx,y,z /Jcluster ∼\n√\n|Jx,y,z |/Jcluster.\nV. CONCLUSIONS.\nWe constructed the exactly solvable Kitaev honeycomb\nmodel1 as the exact low energy effective Hamiltonian of\na spin-1/2 model [equations (8) or (9)] with spin-rotation\nand time reversal symmetry. The spin in Kitaev model is\nrepresented as the pseudo-spin in the two-fold degenerate\nspin singlet subspace of a cluster of four antiferromag-\nnetically coupled spin-1/2 moments. The physical spin\nmodel is a honeycomb lattice of such four-spin clusters,\nwith certain inter-cluster interactions. The machinery\nfor the exact mapping to pseudo-spin Hamiltonian was\ndeveloped (see e.g. TABLE I), which is quite general\nand can be used to construct other interesting (exactly\nsolvable) spin-1/2 models from spin rotation invariant\nsystems.\nIn this construction the pseudo-spin correlations in the\nKitaev model will be mapped to dimer or spin-chirality\ncorrelations in the physical spin system. The correspond-\ning picture of the fractionalized Majorana fermion exci-\ntations and Ising vortices still remain to be clarified.\nThis exact construction contains high order physical\nspin interactions, which is undesirable for practical im-\nplementation. We described two possible approaches to\nreduce this problem: generating the high order spin in-\nteractions by perturbative expansion of the coupling to\noptical phonon, or the magnetic coupling between clus-\nters. This perturbative construction will introduce trun-\ncation error of perturbation series, which may be con-\ntrolled by small expansion parameters. Whether these\nconstructions can be experimentally engineered is how-\never beyond the scope of this study. It is conceivable that\nother perturbative expansion can also generate these high\norder spin interactions, but this possibility will be left for\nfuture works.\nAcknowledgments\nThe author thanks Ashvin Vishwanath, Yong-Baek\nKim and Arun Paramekanti for inspiring discussions, and\nTodadri Senthil for critical comments. The author is sup-\nported by the MIT Pappalardo Fellowship in Physics.\nAppendix A: Coupling between Distortions of a\nTetrahedron and the Pseudo-spins\nIn this Appendix we reproduce from Ref. 35 the cou-\nplings of all tetrahedron distortion modes to the spin\nsystem. And convert them to pseudo-spin notation in\nthe physical spin singlet sector.\nConsider a general small distortion of the tetrahedron,\nthe spin Hamiltonian becomes\nHcluster, SL = ( Jcluster/2)(\n∑\nℓ\nSℓ)2 + J′ ∑\nℓ 0 for all frequencies, is typical but\n0 20 40\n175\n185\n195\nΓ in meV\nW K (meV)\nOriginal MFLI in BCS limit\nSC\nNS\nα =0.05\nFIG. 13: Behavior of WK with Γ for the original MFLI model\nat very small α = 0 .05. We set ω1 = ∆ = 32 meV . Observe\nthe inconsistency with WK in the BCSI model in Fig 4.\n0.2 0.4 0.6 0.8\n−0.4\n0\n0.4 \nω c in eV\nW SC ( ω c ) − W NS ( ω c )\nOriginal MFLI−two sign changes\nFIG. 14: The special case of α = 1 .5,Γ = 5 meV , other pa-\nrameters the same as in Fig. 10. These parameters are chosen\nto illustrate that two sign changes (indicated by arrows in the\nfigure) are also possible within the original MFLI model.\nnot not a generic one. There exists a range of parame-\ntersα and Γ where ∆ WK is still positive, but ∆ W (ωc)\nchanges the sign twice and is negative at intermediate\nfrequencies. We show an example of such behavior in\nFig14. Still, for most of the parameters, the behavior of\n∆W (ωc) is the same as in Fig. 12.\nOn more careful looking we found the problem with the\noriginal MFLI model. We recall that in this model the\nself-energy in the SCS state was obtained by just cutting\nthe NS self energy atω1 (see Eq.18). We argue that\nthis phenomenological formalism is not fully consistent,\nat least for smallα. Indeed, for α = 0, the MFLI model\nreduces to BCSI model for which the behavior of the self-\nenergy is given by Eq. (12). This self-energy evolves with\nωand Σ\n′′\nhas a square-root singularity at ω = ∆ + ωo\n(with ωo = 0). Meanwhile Σ\n′′\nin the original MFLI model\nin Eq. (18) simply jumps to zero at ω = ω1 = ∆, and\nthis happens for all values of α including α = 0 where the\nMFLI and BCSI model should merge. This inconsistency\nis reflected in Fig 13, where we plot the near-BCS limit\nof MFLI model by taking a very smallα = 0 .05. We\nsee that the optical integral WK in the SCS still remains\nlarger than in the NS over a wide range of Γ, in clear\ndifference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "5\nAnother note to take is that it is not necessary to have\nsuch a highly symmetric cluster Hamiltonian (2). The\nmappings to pseudo-spin-1/2 should work as long as the\nground states of the cluster Hamiltonian are the two-fold\ndegenerate singlets. One generalization, which conforms\nthe symmetry of the lattice in FIG. 2, is to have\nHcluster = ( Jcluster/2)(r · S1 + S2 + S3 + S4)2 (11)\nwith Jcluster > 0 and 0 < r < 3. However this is not\nconvenient for later discussions and will not be used.\nWe briefly describe some of the properties of (8). Its\nlow energy states are entirely in the space that each of the\nclusters is a physical spin singlet (called cluster singlet\nsubspace hereafter). Therefore physical spin correlations\nare strictly confined within each cluster. The excitations\ncarrying physical spin are gapped, and their dynamics\nare ‘trivial’ in the sense that they do not move from one\ncluster to another. But there are non-trivial low energy\nphysical spin singlet excitations, described by the pseudo-\nspins defined above. The correlations of the pseudo-spins\ncan be mapped to correlations of their corresponding\nphysical spin observables (the inverse mappings are not\nunique, c.f. TABLE I). For exampleτx,y correlations\nbecome certain dimer-dimer correlations, τz correlation\nbecomes chirality-chirality correlation, or four-dimer cor-\nrelation. It will be interesting to see the corresponding\npicture of the exotic excitations in the Kitaev model, e.g.\nthe Majorana fermion and the Ising vortex. However this\nwill be deferred to future studies.\nIt is tempting to call this as an exactly solved spin liq-\nuid with spin gap ( ∼ Jcluster), an extremely short-range\nresonating valence bond(RVB) state, from a model with\nspin rotation and time reversal symmetry. However it\nshould be noted that the unit cell of this model contains\nan even number of spin-1/2 moments (so does the orig-\ninal Kitaev model) which does not satisfy the stringent\ndefinition of spin liquid requiring odd number of elec-\ntrons per unit cell. Several parent Hamiltonians of spin\nliquids have already been constructed. See for example,\nRef.24–27 .\nIV. GENERATE THE HIGH ORDER PHYSICAL\nSPIN INTERACTIONS BY PERTURBATIVE\nEXPANSION.\nOne major drawback of the present construction is that\nit involves high order interactions of physical spins[see\n(8) and (9)], thus is ‘unnatural’. In this Section we will\nmake compromises between exact solvability and natu-\nralness. We consider two clustersj and k and try to\ngenerate the Jx,y,z interactions in (7) from perturbation\nseries expansion of more natural(lower order) physical\nspin interactions. Two different approaches for this pur-\npose will be laid out in the following two Subsections. In\nSubsection IV A we will consider the two clusters as two\ntetrahedra, and couple the spin system to certain opti-\ncal phonons, further coupling between the phonon modes\n(a) (b) (c) (d)\n(b) (c) (d)\nQ E\n2\nQ E\n1\n(a)\n1\n1 1 1\n1 1 1\n2\n2\n2\n2\n2\n2 2\n2\n3\n3\n3 3 3\n3 3 4 4\n4 4\n3\n4\n4\n4\n4\n1\nFIG. 3: Illustration of the tetragonal to orthorhombic\nQE\n1(top) and QE\n2(bottom) distortion modes. (a) Perspective\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\ndicate the motion of each spin under the distortion mode. (b)\nTop view of (a). (c)(d) Side view of (a).\nof the two clusters can generate at lowest order the de-\nsired high order spin interactions. In Subsection IV B we\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\nteractions between physical spins of different clusters, at\nlowest order(second order) of perturbation theory the de-\nsired high order spin interactions can be achieved. These\napproaches involve truncation errors in the perturbation\nseries, thus the mapping to low energy effect Hamilto-\nnian will no longer be exact. However the error intro-\nduced may be controlled by small expansion parameters.\nIn this Section we denote the physical spins on cluster\nj(k) as j1, . . . , j 4 ( k1, . . . , k 4), and denote pseudo-spins", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "What happens when the spin-rotation symmetry is explicitly broken?", - "target_page": 2, - "target_passage": "makes them harder to realize in solid state systems", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "4\nPlug in the expressions (4) and (6) into (7), the Hamil- tonian reads e xplicitly as\nH =\n∑\nj\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2 −\n∑\nz−links \nJz (16/9)[Sj2 · (Sj3 × Sj4)][Sk2 · (Sk3 × Sk4)]\n−\n∑\nx−links \nJx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) −\n∑\ny−links \nJy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]\n(8)\nWhile by the represenation (4) and (5), the Hamilto- nian becomes\nH =\n∑\nj\n(Jcluster/2)(Sj1 + Sj2 + Sj3 + Sj4)2\n−\n∑\nx−links \nJx (2Sj1 · Sj2 + 1/2)(2Sk1 · Sk2 + 1/2) −\n∑\ny−links \nJy (4/3)[Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]\n−\n∑\nz−links \nJz (−4/3)(2Sj3 · Sj4 + 1/2)[Sj1 · (Sj3 − Sj4)](2Sk3 · Sk4 + 1/2)[Sk1 · (Sk3 − Sk4)]\n(9)\nThis model, in terms of physical spins S, has full\nspin rotation symmetry and time-reversal symmetry. A\npseudo-magnetic field term∑\nj\n⃗h · ⃗ τj term can also be\nincluded under this mapping, however the resulting Ki-\ntaev model with magnetic field is not exactly solvable.\nIt is quite curious that such a formidably looking Hamil-\ntonian (8), with biquadratic and six-spin(or eight-spin)\nterms, has an exactly solvable low energy sector.\nWe emphasize that because the first intra-cluster term∑\ncluster Hcluster commutes with the latter Kitaev terms\nindependent of the representation used, the Kitaev model\nis realized as theexact low energy Hamiltonian of this\nmodel without truncation errors of perturbation theories,\nnamely no (|Jx,y,z |/Jcluster)2 or higher order terms will\nbe generated under the projection to low energy clus-\nter singlet space. This is unlike, for example, thet/U\nexpansion of the half-filled Hubbard model 22,23, where\nat lowest t2/U order the effective Hamiltonian is the\nHeisenberg model, but higher order terms ( t4/U3 etc.)\nshould in principle still be included in the low energy ef-\nfective Hamiltonian for any finitet/U. Similar compari-\nson can be made to the perturbative expansion studies of\nthe Kitaev-type models by Vidalet al.9, where the low\nenergy effective Hamiltonians were obtained in certian\nanisotropic (strong bond/triangle) limits. Although the\nspirit of this work, namely projection to low energy sec-\ntor, is the same as all previous perturbative approaches\nto effective Hamiltonians.\nNote that the original Kitaev model (1) has three-\nfold rotation symmetry around a honeycomb lattice site,\ncombined with a three-fold rotation in pseudo-spin space\n(cyclic permutation ofτx, τy, τz ). This is not apparent\nin our model (8) in terms of physical spins, under the\ncurrent representation ofτx,y,z . We can remedy this by\nusing a different set of pseudo-spin Pauli matrices τ′x,y,z\nin (7),\nτ′x =\n√\n1/3τz +\n√\n2/3τx,\nτ′y =\n√\n1/3τz −\n√\n1/6τx +\n√\n1/2τy,\nτ′z =\n√\n1/3τz −\n√\n1/6τx −\n√\n1/2τy\nWith proper representation choice, they have a symmet-\nric form in terms of physical spins,\nτ′x = −(4/3)S2 · (S3 × S4) +\n√\n2/3(2S1 · S2 + 1/2)\nτ′y = −(4/3)S3 · (S4 × S2) +\n√\n2/3(2S1 · S3 + 1/2)\nτ′z = −(4/3)S4 · (S2 × S3) +\n√\n2/3(2S1 · S4 + 1/2)\n(10)\nSo the symmetry mentioned above can be realized by a\nthree-fold rotation of the honeycomb lattice, with a cyclic\npermutation ofS2, S3 and S4 in each cluster. This is in\nfact the three-fold rotation symmetry of the physical spin\nlattice illustrated in FIG. 2. However this more symmet-\nric representation will not be used in later part of this\npaper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "9\nAppendix B: Derivation of the Terms Generated by\nSecond Order Perturbation of Inter-cluster\nMagnetic Interactions\nIn this Appendix we derive the second order pertur-\nbations of inter-cluster Heisenberg and spin-chirality in-\nteractions. The results can then be used to construct\n(16).\nFirst consider the perturbation λ Hperturbation = λ[Sj1 ·\nSk1 + r(Sj2 · Sk2)], where r is a real number to be tuned\nlater. Due to the fact mentioned in Subsection IV B,\nthe action ofHperturbation on any cluster singlet state\nwill produce a state with total spin-1 for both cluster j\nand k. Thus the first order perturbation in (15) van-\nishes. And the second order perturbation term can be\ngreatly simplified: operator (1− P jk )[0 − Hcluster j −\nHcluster k]−1(1 − P jk ) can be replaced by a c-number\n(−2Jcluster)−1. Therefore the perturbation up to second\norder is\n− λ2\n2Jcluster\nPjk (Hperturbation)2Pjk\nThis is true for other perturbations considered later in\nthis Appendix. The clusterj and cluster k parts can be\nseparated, this term then becomes ( a, b = x, y, z ),\n− λ2\n2Jcluster\n∑\na,b\n[\nPj Sa\nj1Sb\nj1Pj · PkSa\nk1Sb\nk1Pk\n+ 2r PjSa\nj1Sb\nj2Pj · PkSa\nk1Sb\nk2Pk\n+ r2 Pj Sa\nj2Sb\nj2Pj · PkSa\nk2Sb\nk2Pk\n]\nThen use the fact that Pj Sa\njℓSb\njm Pj = δab(1/3)Pj(Sjℓ ·\nSjm )Pj by spin rotation symmetry, the perturbation be-\ncomes\n− λ2\n6Jcluster\n[ 9 + 9 r2\n16 + 2r Pjk (Sj1 · Sj2)(Sk1 · Sk2)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n16 + (r/2)τx\nj τx\nk − r/2\n− r Pjk (Sj1 · Sj2 + Sk1 · Sk2)Pjk\n]\n.\nSo we can choose −(r λ2)/(12Jcluster) = −Jx, and include\nthe last intra-cluster Sj1 · Sj2 + Sk1 · Sk2 term in the first\norder perturbation.\nThe perturbation on x-links is then (not unique),\nλx Hperturbation, x =λx[Sj1 · Sk1 + sgn(Jx) · (Sj2 · Sk2)]\n− Jx(Sj1 · Sj2 + Sk1 · Sk2)\nwith λx =\n√\n12|Jx| · Jcluster, and r = sgn( Jx) is the sign\nof Jx. The non-trivial terms produced by up to second\norder perturbation will be the τx\nj τx\nk term. Note that the\nlast term in the above equation commutes with cluster\nHamiltonians so it does not produce second or higher\norder perturbations.\nSimilarly considering the following perturbation on y-\nlinks, λ Hperturbation = λ[Sj1 · (Sk3 − Sk4) + r Sk1 · (Sj3 −\nSj4)]. Following similar procedures we get the second\norder perturbation from this term\n− λ2\n6Jcluster\n[ 9 + 9 r2\n8\n+ 2r Pjk [Sj1 · (Sj3 − Sj4)][Sk1 · (Sk3 − Sk4)]Pjk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\n= − λ2\n6Jcluster\n[ 9 + 9 r2\n8 + 2r (3/4)τy\nj τy\nk\n− (3/2) Pjk (Sk3 · Sk4 + r2 Sj3 · Sj4)Pjk\n]\nSo we can choose −(r λ2)/(4Jcluster) = −Jy, and include\nthe last intra-cluster Sk3 · Sk4 + r2 Sj3 · Sj4 term in the\nfirst order perturbation.\nTherefore we can choose the following perturbation on\ny-links (not unique),\nλy Hperturbation, y\n=λy[Sj1 · Sk1 + sgn(Jy) · (Sj3 − Sj4) · (Sk3 − Sk4)]\n− |Jy|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λy =\n√\n4|Jy| · Jcluster, r = sgn( Jy ) is the sign of Jy.\nThe τz\nj τz\nk term is again more difficult to get. We use\nthe representation of τz by spin-chirality (6). And con-\nsider the following perturbation\nHperturbation = Sj2 · (Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)\nThe first order term in (15) vanishes due to the same\nreason as before. There are four terms in the second\norder perturbation. The first one is\nλ2 Pjk Sj2 · (Sk3 × Sk4)(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1\n× (1 − Pjk )Sj2 · (Sk3 × Sk4)Pjk\nFor the cluster j part we can use the same arguments\nas before, the Hcluster j can be replaced by a c-number\nJcluster. For the cluster k part, consider the fact that\nSk3 × Sk4 equals to the commutator −i[Sk4, Sk3 · Sk4],\nthe action of Sk3 × Sk4 on physical singlet states of k will\nalso only produce spin-1 state. So we can replace the\nHcluster k in the denominator by a c-number Jcluster as\nwell. Use spin rotation symmetry to separate the j and\nk parts, this term simplifies to\n− λ2\n6Jcluster\nPj Sj2 · Sj2Pj · Pk(Sk3 × Sk4) · (Sk3 × Sk4)Pk.\nUse ( S)2 = 3 /4 and\n(Sk3 × Sk4) · (Sk3 × Sk4)\n=\n∑\na,b\n(Sa\nk3Sb\nk4Sa\nk3Sb\nk4 − Sa\nk3Sb\nk4Sb\nk3Sa\nk4)\n= ( Sk3 · Sk3)(Sk4 · Sk4) −\n∑\na,b\nSa\nk3Sb\nk3[δab/2 − Sa", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "duced may be controlled by small expansion parameters.\nIn this Section we denote the physical spins on cluster\nj(k) as j1, . . . , j 4 ( k1, . . . , k 4), and denote pseudo-spins\non cluster j(k) as ⃗ τj (⃗ τk).\nA. Generate the High Order Terms by Coupling to\nOptical Phonon.\nIn this Subsection we regard each four-spin cluster\nas a tetrahedron, and consider possible optical phonon\nmodes(distortions) and their couplings to the spin sys-\ntem. The basic idea is that the intra-cluster Heisen-\nberg couplingJcluster can linearly depend on the dis-\ntance between physical spins. Therefore certain distor-\ntions of the tetrahedron couple to certain linear combi-\nnations ofSℓ · Sm. Integrating out phonon modes will\nthen generate high order spin interactions. This idea has\nbeen extensively studied and applied to several magnetic\nmaterials28–34. More details can be found in a recent\nreview by Tchernyshyov and Chern 35. And we will fre-\nquently use their notations. In this Subsection we will\nuse the representation (5) forτz .\nConsider first a single tetrahedron with four spins\n1, . . . , 4. The general distortions of this tetrahedron can\nbe classified by their symmetry (see for example Ref. 35).\nOnly two tetragonal to orthorhombic distortion modes,\nQE\n1and QE\n2(illustrated in FIG. 3), couple to the pseudo-\nspins defined in Section II. A complete analysis of all\nmodes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "5\nAnother note to take is that it is not necessary to have\nsuch a highly symmetric cluster Hamiltonian (2). The\nmappings to pseudo-spin-1/2 should work as long as the\nground states of the cluster Hamiltonian are the two-fold\ndegenerate singlets. One generalization, which conforms\nthe symmetry of the lattice in FIG. 2, is to have\nHcluster = ( Jcluster/2)(r · S1 + S2 + S3 + S4)2 (11)\nwith Jcluster > 0 and 0 < r < 3. However this is not\nconvenient for later discussions and will not be used.\nWe briefly describe some of the properties of (8). Its\nlow energy states are entirely in the space that each of the\nclusters is a physical spin singlet (called cluster singlet\nsubspace hereafter). Therefore physical spin correlations\nare strictly confined within each cluster. The excitations\ncarrying physical spin are gapped, and their dynamics\nare ‘trivial’ in the sense that they do not move from one\ncluster to another. But there are non-trivial low energy\nphysical spin singlet excitations, described by the pseudo-\nspins defined above. The correlations of the pseudo-spins\ncan be mapped to correlations of their corresponding\nphysical spin observables (the inverse mappings are not\nunique, c.f. TABLE I). For exampleτx,y correlations\nbecome certain dimer-dimer correlations, τz correlation\nbecomes chirality-chirality correlation, or four-dimer cor-\nrelation. It will be interesting to see the corresponding\npicture of the exotic excitations in the Kitaev model, e.g.\nthe Majorana fermion and the Ising vortex. However this\nwill be deferred to future studies.\nIt is tempting to call this as an exactly solved spin liq-\nuid with spin gap ( ∼ Jcluster), an extremely short-range\nresonating valence bond(RVB) state, from a model with\nspin rotation and time reversal symmetry. However it\nshould be noted that the unit cell of this model contains\nan even number of spin-1/2 moments (so does the orig-\ninal Kitaev model) which does not satisfy the stringent\ndefinition of spin liquid requiring odd number of elec-\ntrons per unit cell. Several parent Hamiltonians of spin\nliquids have already been constructed. See for example,\nRef.24–27 .\nIV. GENERATE THE HIGH ORDER PHYSICAL\nSPIN INTERACTIONS BY PERTURBATIVE\nEXPANSION.\nOne major drawback of the present construction is that\nit involves high order interactions of physical spins[see\n(8) and (9)], thus is ‘unnatural’. In this Section we will\nmake compromises between exact solvability and natu-\nralness. We consider two clustersj and k and try to\ngenerate the Jx,y,z interactions in (7) from perturbation\nseries expansion of more natural(lower order) physical\nspin interactions. Two different approaches for this pur-\npose will be laid out in the following two Subsections. In\nSubsection IV A we will consider the two clusters as two\ntetrahedra, and couple the spin system to certain opti-\ncal phonons, further coupling between the phonon modes\n(a) (b) (c) (d)\n(b) (c) (d)\nQ E\n2\nQ E\n1\n(a)\n1\n1 1 1\n1 1 1\n2\n2\n2\n2\n2\n2 2\n2\n3\n3\n3 3 3\n3 3 4 4\n4 4\n3\n4\n4\n4\n4\n1\nFIG. 3: Illustration of the tetragonal to orthorhombic\nQE\n1(top) and QE\n2(bottom) distortion modes. (a) Perspective\nview of the tetrahedron. 1 , . . . , 4 label the spins. Arrows in-\ndicate the motion of each spin under the distortion mode. (b)\nTop view of (a). (c)(d) Side view of (a).\nof the two clusters can generate at lowest order the de-\nsired high order spin interactions. In Subsection IV B we\nwill introduce certain magnetic, e.g. Heisenberg-type, in-\nteractions between physical spins of different clusters, at\nlowest order(second order) of perturbation theory the de-\nsired high order spin interactions can be achieved. These\napproaches involve truncation errors in the perturbation\nseries, thus the mapping to low energy effect Hamilto-\nnian will no longer be exact. However the error intro-\nduced may be controlled by small expansion parameters.\nIn this Section we denote the physical spins on cluster\nj(k) as j1, . . . , j 4 ( k1, . . . , k 4), and denote pseudo-spins", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "10\nthis term becomes\n− λ2\n6Jcluster\n· (3/4)[3/16 + ( τx/2 − 1/4)2]\n= − (λ2)/(32Jcluster) · (2 − τx\nk ).\nAnother second order perturbation term r2λ2 Pjk Sk2 ·\n(Sj3 × Sj4)(1 − P jk )[0 − Hcluster j − Hcluster k]−1(1 −\nPjk )Sk2 · (Sj3 × Sj4)Pjk can be computed in the similar\nway and gives the result −(r2 λ2)/(32Jcluster) · (2 − τx\nj ).\nFor one of the cross term\nr λ2 Pjk Sj2 · (Sk3 × Sk4)(1 − Pjk )\n× [0 − Hcluster j − Hcluster k]−1\n× (1 − Pjk )Sk2 · (Sj3 × Sj4)Pjk\nWe can use the previous argument for both cluster j and\nk, so (1 −PAB)[0−Hcluster j −Hcluster k]−1(1−Pjk ) can be\nreplace by c-number ( −2Jcluster)−1. This term becomes\n− r λ2\n2Jcluster\nPjk [Sj2 · (Sk3 × Sk4)][Sk2 · (Sj3 × Sj3)]Pjk .\nSpin rotation symmetry again helps to separate the terms\nfor clusterj and k, and we get −(r λ2)/(32Jcluster)·τz\nj τz\nk .\nThe other cross term r λ2 Pjk Sk2 · (Sj3 × Sj4)(1 −\nPjk )[0 − Hcluster j − Hcluster k]−1(1 − P jk )Sj2 · (Sk3 ×\nSk4)Pjk gives the same result.\nIn summary the second order perturbation from λ[Sj2 ·\n(Sj3 × Sj4) + r Sk2 · (Sj3 × Sj4)] is\n− r λ2\n16Jcluster\n· τz\nj τz\nk + λ2\n32Jcluster\n(τx\nk + r2 τx\nj − 2r2 − 2).\nUsing this result we can choose the following pertur-\nbation on z-links,\nλz Hperturbation, z\n=λz [Sj2 · (Sk3 × Sk4) + sgn( Jz ) · Sk2 · (Sj3 × Sj4)]\n− |Jz|(Sj3 · Sj4 + Sk3 · Sk4)\nwith λz = 4\n√\n|Jz|Jcluster, r = sgn( Jz ) is the sign of Jz.\nThe last term on the right-hand-side is to cancel the non-\ntrivial terms (r2 τx\nj + τx\nk )λ2\nz/(32Jcluster) from the second\norder perturbation of the first term. Up to second order\nperturbation this will produce−Jzτz\nj τz\nk interactions.\nFinally we have been able to reduce the high order\ninteractions to at most three spin terms, the Hamiltonian\nHmagnetic is\nHmagnetic =\n∑\nj\nHcluster j +\n∑\nx−links \nλxHperturbation x\n+\n∑\ny−links \nλyHperturbation y\n+\n∑\nz−links \nλz Hperturbation z\nwhere Hcluster j are given by (2), λx,y,z Hperturbation x,y,z\nare given above. Plug in relevant equations we get (16)\nin Subsection IV B.\n1 Alexei Kitaev, Ann. Phys. (N.Y.) 321, 2 (2006).\n2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys.\nRev. Lett.98, 087204 (2007).\n3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math.\nTheor.41, 075001 (2008).\n4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev.\nLett.99, 196805 (2007).\n5 Yue Yu, Nucl. Phys. B 799, 345 (2008).\n6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84, 57002 (2008).\n7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80,\n125415 (2009).\n8 Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017\n(2009).\n9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett.\n100, 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel,\nPhys. Rev. B 78, 245121 (2008); S. Dusuel, K.P. Schmidt,\nJ. Vidal, and R.L. Zaffino, Phys. Rev. B78, 125102 (2008).\n10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett.99, 247203\n(2007).\n11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76,\n180404(R) (2007).\n12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys.\nRev. Lett.102, 217202 (2009).\n13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79, 214440\n(2009).\n14 Congjun Wu, Daniel Arovas, Hsiang-Hsuan Hung, Phys.\nRev. B79, 134427 (2009).\n15 Shinsei Ryu, Phys. Rev. B 79, 075124 (2009).\n16 G. Baskaran, G. Santhosh, R. Shankar, arXiv:0908.1614\n(2009).\n17 L.-M. Duan, E. Demler, M. D. Lukin, Phys. Rev. Lett. 91,\n090402 (2003).\n18 A. Micheli, G. K. Brennen, P. Zoller, Nature Physics 2,\n341 (2006).\n19 J. Q. You, Xiao-Feng Shi, Xuedong Hu, Franco Nori, Phys.\nRev. B81, 014505 (2010).\n20 G. Jackeli, G. Khaliullin, Phys. Rev. Lett. 102, 017205\n(2009).\n21 A. B. Harris, A. J. Berlinsky, C. Bruder, J. Appl. Phys.\n69, 5200 (1991).\n22 K. A. Chao, J. Spa/suppress lek, A. M. Ole´ s, Phys. Rev. B18, 3453\n(1978).\n23 A. H. MacDonald, S. M. Girvin, D. Yoshioka, Phys. Rev.\nB37, 9753 (1988).\n24 J. T. Chayes, L. Chayes, S. A. Kivelson, Commun. Math.\nPhys.123, 53 (1989).\n25 C. D. Batista, S. A. Trugman, Phys. Rev. Lett. 93, 217202\n(2004).", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0266.pdf" - }, - { - "text": "3\nJcluster limit. So only the singlet sector remains in low\nenergy.\nThe singlet sector is then treated as a pseudo-spin-1/2\nHilbert space. From now on we denote the pseudo-spin-\n1/2 operators asT = (1 /2)⃗ τ, with ⃗ τthe Pauli matri-\nces. It is convenient to choose the following basis of the\npseudo-spin\n|τz = ±1⟩ = 1\n√\n6\n(\n| ↓↓↑↑⟩ + ω−τ z\n| ↓↑↓↑⟩ + ωτ z\n| ↓↑↑↓⟩\n+ | ↑↑↓↓⟩ + ω−τ z\n| ↑↓↑↓⟩ + ωτ z\n| ↑↓↓↑⟩\n)\n(3)\nwhere ω = e2πi/3 is the complex cubic root of unity,\n| ↓↓↑↑⟩ and other states on the right-hand-side(RHS) are\nbasis states of the four-spin system, in terms of Sz quan-\ntum numbers of physical spins 1 , . . . , 4 in sequential or-\nder. This pseudo-spin representation has been used by\nHarriset al. to study magnetic ordering in pyrochlore\nantiferromagnets21.\nWe now consider the effect of Heisenberg-type inter-\nactions Sj · Sk inside the physical singlet sector. Note\nthat since any Sj · Sk within the cluster commutes with\nthe cluster Hamiltonian Hcluster (2), their action do not\nmix physical spin singlet states with states of other total\nphysical spin. This property is also true for the spin-\nchirality operator used later. So the pseudo-spin Hamil-\ntonian constructed below will beexact low energy Hamil-\ntonian, without truncation errors in typical perturbation\nseries expansions.\nIt is simpler to consider the permutation operators\nPjk ≡ 2Sj · Sk + 1 /2, which just exchange the states\nof the two physical spin-1/2 moments j and k (j ̸= k).\nAs an example we consider the action of P34,\nP34|τz = −1⟩ = 1\n√\n6\n(\n| ↓↓↑↑⟩ + ω| ↓↑↑↓⟩ + ω2| ↓↑↓↑⟩\n+ | ↑↑↓↓⟩ + ω| ↑↓↓↑⟩ + ω2| ↑↓↑↓⟩\n)\n= |τz = +1 ⟩\nand similarly P34|τz = −1⟩ = |τz = +1 ⟩. Therefore P34\nis just τx in the physical singlet sector. A complete list\nof all permutation operators is given in TABLE I. We\ncan choose the following representation ofτx and τy ,\nτx = P12 = 2 S1 · S2 + 1/2\nτy = ( P13 − P14)/\n√\n3 = (2 /\n√\n3)S1 · (S3 − S4)\n(4)\nMany other representations are possible as well, because\nseveral physical spin interactions may correspond to the\nsame pseudo-spin interaction in the physical singlet sec-\ntor, and we will take advantage of this later.\nFor τz we can use τz = −iτxτy , where i is the imagi-\nnary unit,\nτz = −i(2/\n√\n3)(2S1 · S2 + 1/2)S1 · (S3 − S4) (5)\nphysical spin pseudo-spin\nP12, and P34 τx\nP13, and P24 − (1/ 2)τx + (\n√\n3/ 2)τy\nP14, and P23 − (1/ 2)τx − (\n√\n3/ 2)τy\n− χ 234, χ 341, − χ 412, and χ 123 (\n√\n3/ 4)τz\nTABLE I: Correspondence between physical spin operators\nand pseudo-spin operators in the physical spin singlet sector of\nthe four antiferromagnetically coupled physical spins. Pjk =\n2Sj ·Sk +1/ 2 are permutation operators, χ jkℓ = Sj ·(Sk × Sℓ)\nare spin-chirality operators. Note that several physical s pin\noperators may correspond to the same pseudo-spin operator.\nHowever there is another simpler representation ofτz ,\nby the spin-chirality operator χjkℓ = Sj · (Sk × Sℓ). Ex-\nplicit calculation shows that the effect of S2 · (S3 × S4) is\n−(\n√\n3/4)τz in the physical singlet sector. This can also\nbe proved by using the commutation relation [ S2 ·S3, S2 ·\nS4] = iS2 · (S3 × S4). A complete list of all chirality\noperators is given in TABLE I. Therefore we can choose\nanother representation ofτz ,\nτz = −χ234/(\n√\n3/4) = −(4/\n√\n3)S2 · (S3 × S4) (6)\nThe above representations of τx,y,z are all invariant under\nglobal spin rotation of the physical spins.\nWith the machinery of equations (4), (5), and (6), it\nwill be straightforward to construct various pseudo-spin-\n1/2 Hamiltonians on various lattices, of the Kitaev vari-\nety and beyond, as the exact low energy effective Hamil-\ntonian of certain spin-1/2 models with spin-rotation sym-\nmetry. In these constructions a pseudo-spin lattice site\nactually represents a cluster of four spin-1/2 moments.\nIII. REALIZATION OF THE KITAEV MODEL.\nIn this Section we will use directly the results of the\nprevious Section to write down a Hamiltonian whose low\nenergy sector is described by the Kitaev model. The", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - }, - { - "text": "7\n-140 -139 -138 -137 -136 -135 -134 -133 -132 -131\ne\n0\n0.5\n1\n P e\n90K\n91K\n92K\n93K\n94K\n95K\n-94 -92 -90 -88 -86 -84 -82 -80 -78\ne\n0\n0.2\n0.4\nP e\n129K\n130K\n131K\n132K\n133K\n134K\nT C (8) = 133.3(3)K\nT N (8) = 92(2)K\n(a)\n(b)\nFIG. 10: (colors online) Equilibrium probability distribu tion\nof the energy for the thickness n = 8 for some temperatures\naround TN (8), (a), and TC (8), (b), respectively.\nopposite magnetization. We can thus confidently assert\nthat, regardless of the underlying lattice structure, by\ndecreasing the number of the out-of-plane interactions,\nfor thicknesses close to the helical bulk pitch, the block\nphase is replaced by a quasi-FM configuration in the in-\ntermediate temperature range TN (n) < T < T C (n) .\nAs a final issue we address the problem of the order\nof the transitions observed at TN (n) and TC (n), respec-\ntively. In particular, we focus our attention to the thick-\nness ranges where the chiral order parameter is relevant,\ni.e. regionsi) and ii) as defined at the beginning of\nthis Section. In Fig. 10 the equilibrium probability dis-\ntribution of the energy for temperatures aroundTN (8)\n(Fig. 10a) and TC (8) (Fig. 10b) is plotted: for both\ntemperatures, no double peak structure is observed, so\nthat we have no direct indication for a first order tran-\nsition even if, according to precedent studies of Loison\nand Diep17,18, the presence of a first-order transition at\nTN (n), cannot be completely excluded, as it could reveal\nitself only when the lateral dimension L are much larger\nthan the largest correlation length. The same conclusion\nabout the order of transition is reached for any other in-\nvestigated film thickness, as the energy probability distri-\nbution shape does not qualitatively change. This findings\nagree with the results we got in previous MC simulations\ndiscussed in Ref. 15, so that we may conclude that the\norder of the observed transitions is not affected by the\nrange of interactions.\n1 Frustrated spin Systems, edited by H. T. Diep (World Sci-\nentific, 2004).\n2 H. Kawamura, J. Phys.: Cond. Matt. 10, 4707 (1998).\n3 T. Kimura et al., Nature (London) 426, 55 (2003).\n4 F. Cinti et al., Phys. Rev. Lett. 100, 057203 (2008).\n5 J.H. Park, S. Onoda, N. Nagaosa, and J. H. Han, Phys.\nRev. Lett.101, 167202 (2008), and references therein.\n6 S. W. Cheong and M. Mostovoy, Nature Materials (Lon-\ndon)6, 13 (2007).\n7 Minhyea Lee, W. Kang, Y. Onose, Y. Tokura, and N. P.\nOng, Phys. Rev. Lett.102, 186601 (2009)\n8 P. Pedrazzini et al., Phys. Rev. Lett. 98, 047204 (2007).\n9 H. Kawamura and M. S. Li, Phys. Rev. Lett. 87, 187204\n(2001).\n10 P. J. Jensen, and A. R. Mackintosh, Rere Earth Mag-\nnetism (Structure and Excitations), Clarendon Press, Ox-\nford (1991).\n11 S. Konings, C. Schuessler-Langeheine, H. Ott, E. Weschke,\nE. Schierle, J. B. Goedkoop, arXiv 0707.2765v2\n12 P.J. Jensen, and K.H. Bennemann, Surface Science Re-\nports61, 129 (2006).\n13 E. Weschke, et al., Phys. Rev. Lett. 93, 157204 (2004).\n14 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 78,\n020402(R) (2008).\n15 F. Cinti, A. Cuccoli, and A. Rettori, Phys. Rev. B 79,\n134420 (2009).\n16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L.\nD’Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien,\nand J. Jensen, Physica B159, 93 (1989).\n17 H. T. Diep, Phys. Rev. B 39, 397 (1989).\n18 D. Loison, Physica A 275, 207 (2000).\n19 N. Metropolis, et al., J. Chem. Phys. 21, 1087 (1953).\n20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58, 2394\n(1987).\n21 D. P. Landau, and K. Binder, A Guide to Monte Carlo\nSimulation in Statistical Physics, Cambridge University\nPress, Cambridge (2000).\n22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Meth-\nods in Statistical Physics, Clarendon Press, Oxford (1999).\n23 B. Efron, The Annals of Statistics 7, 1 (1979).\n24 P. M. Chaikin, T. C. Lubensky Principles of condensed\nmatter physics, Cambridge University Press, New York\n(1995).\n25 K. Binder, Z. Phys. B 43, 119 (1981). K. Binder, Phys.\nRev. Lett. 47, 693 (1981).", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - }, - { - "text": "8\nchirality interactions in cold atom optical lattices has\nbeen proposed38.\nOur model (8) is achieved at second order of the per-\nturbation series. Higher order terms become trunca-\ntion errors but may be controlled by small parameters\nλx,y,z /Jcluster ∼\n√\n|Jx,y,z |/Jcluster.\nV. CONCLUSIONS.\nWe constructed the exactly solvable Kitaev honeycomb\nmodel1 as the exact low energy effective Hamiltonian of\na spin-1/2 model [equations (8) or (9)] with spin-rotation\nand time reversal symmetry. The spin in Kitaev model is\nrepresented as the pseudo-spin in the two-fold degenerate\nspin singlet subspace of a cluster of four antiferromag-\nnetically coupled spin-1/2 moments. The physical spin\nmodel is a honeycomb lattice of such four-spin clusters,\nwith certain inter-cluster interactions. The machinery\nfor the exact mapping to pseudo-spin Hamiltonian was\ndeveloped (see e.g. TABLE I), which is quite general\nand can be used to construct other interesting (exactly\nsolvable) spin-1/2 models from spin rotation invariant\nsystems.\nIn this construction the pseudo-spin correlations in the\nKitaev model will be mapped to dimer or spin-chirality\ncorrelations in the physical spin system. The correspond-\ning picture of the fractionalized Majorana fermion exci-\ntations and Ising vortices still remain to be clarified.\nThis exact construction contains high order physical\nspin interactions, which is undesirable for practical im-\nplementation. We described two possible approaches to\nreduce this problem: generating the high order spin in-\nteractions by perturbative expansion of the coupling to\noptical phonon, or the magnetic coupling between clus-\nters. This perturbative construction will introduce trun-\ncation error of perturbation series, which may be con-\ntrolled by small expansion parameters. Whether these\nconstructions can be experimentally engineered is how-\never beyond the scope of this study. It is conceivable that\nother perturbative expansion can also generate these high\norder spin interactions, but this possibility will be left for\nfuture works.\nAcknowledgments\nThe author thanks Ashvin Vishwanath, Yong-Baek\nKim and Arun Paramekanti for inspiring discussions, and\nTodadri Senthil for critical comments. The author is sup-\nported by the MIT Pappalardo Fellowship in Physics.\nAppendix A: Coupling between Distortions of a\nTetrahedron and the Pseudo-spins\nIn this Appendix we reproduce from Ref. 35 the cou-\nplings of all tetrahedron distortion modes to the spin\nsystem. And convert them to pseudo-spin notation in\nthe physical spin singlet sector.\nConsider a general small distortion of the tetrahedron,\nthe spin Hamiltonian becomes\nHcluster, SL = ( Jcluster/2)(\n∑\nℓ\nSℓ)2 + J′ ∑\nℓ 0,\nΘ( t) = 1 /2 for t = 0, and Θ( t) = 0 for t < 0]. T is the free\ndrift time of the atoms, and τ is the interacting time between\nthe atom and one cavity.\nBy the standard way [25], we can get the Heisenberg-\nLangevin equations of the motion for the single-atom and\nfiled operators. By introducing the macroscopic atomic oper -\nator, M ( t) = −i ∑\nj Γj ( t) σj\n−( t), N a ( t) = ∑\nj Γj ( t) σj\naa ( t), N b ( t) =∑\nj Γj ( t) σj\nbb ( t), the dynamic equations for the field and macro-\nscopic atomic operators yield\n˙a ( t) = −κ\n2 a ( t) +gM ( t) +F κ( t) , (3)\n˙N a ( t) = R (1 −A 0 + A 1 −A 2 ) −( γa +γ′\na ) N a ( t)\n− g [ M †( t) a ( t) +a †( t) M ( t)] +F a ( t) , (4)\n˙N b ( t) = − R ( B 0 − B 1 + B 2 ) −γb N b ( t) +γ′\na N a ( t)\n+ g [ a †( t) M ( t) + M †( t) a ( t)] +F b ( t) , (5)\n˙M ( t) = − R ( C 0 −C 1 +C 2 ) −γab M ( t)\n+ g [ N a ( t) −N b ( t)] a ( t) +F M ( t) , (6)\nwhere the macroscopic noise operators are defined as\nF a ( t) =\n∑\nj\n˙Γj ( t) σj\na ( t) −R (1 −A 0 + A 1 −A 2 ) +\n∑\nj\nΓj ( t) f j\na ( t) ,\nF b ( t) =\n∑\nj\n˙Γj ( t) σj\nb ( t) +R ( B 0 − B 1 + B 2 ) +\n∑\nj\nΓj ( t) f j\nb ( t) ,\nF M ( t) = −i\n∑\nj\n˙Γj ( t) ˜σj\n−( t) +R ( C 0 −C 1 +C 2 ) −i\n∑\nj\nΓj ( t) f j\nσ( t) ,\nwith A 0 =\n⣨\nσj\na ( t j +τ)\n⟩\nq , A 1 =\n⣨\nσj\na ( t j +τ+T )\n⟩\nq ,\nA 2 =\n⣨\nσj\na ( t j +2 τ+T )\n⟩\nq , B 0 =\n⣨\nσj\nb ( t j +τ)\n⟩\nq ,\nB 1 =\n⣨\nσj\nb ( t j +τ+T )\n⟩\nq , B 2 =\n⣨\nσj\nb ( t j +2 τ+T )\n⟩\nq ,\nC 0 =\n⣨\n−iσj\n−( t j +τ)\n⟩\nq , C 1 =\n⣨\n−iσj\n−( t j +τ+T )\n⟩\nq ,\nC 2 =\n⣨\n−iσj\n−( t j +2 τ+T )\n⟩\nq . R is the mean pumping\nrate, which is defined in [26]. It is very easy to check that the\naverage values of the above Langevin forces are all zero.\nBy using the above definitions of the noise operators, we\nfind the correlation functions of macroscopic noise forces c an\nbe generally written in the form\n⟨F k ( t) F l ( t′) ⟩\n= D (0)\nkl δ( t −t′) + D (1)\nkl δ( t −t′ −τ)\n+ D (2)\nkl δ( t −t′ +τ) + D (3)\nkl δ( t −t′ −τ−T )\n+ D (4)\nkl δ( t −t′ +τ+T ) +D (5)\nkl δ( t −t′ −2 τ−T )\n+ D (6)\nkl δ( t −t′ +2 τ+T ) +D (7)\nkl δ( t −t′ −T )\n+ D (8)\nkl δ( t −t′ +T ) , (7)\nwhere D ( i)\nkl ( k ,l = a ,b ,M ,M †; i = 0 ,1 ,2) are the quantum dif-\nfusion coe fficients.\nc-number correlation functions: By choosing some partic-\nular ordering for products of atomic and field operators, one\ncould derive the c-number stochastic Langevin equations from\nthe quantum Langevin equations derived above, and all of the\ndynamic equations for c-number stochastic variables are th e\nsame as in [26]. The di fferences are from the correlation func-\ntions. On the other hand, we convert the quantum noise oper-\nators into the c-number noise variables˜F k ( t)( k = a ,b ,M ,M †),\nwhose correlation functions are expressed as\n⣨˜F k ( t) ˜F k ( t′)\n⟩\n= ˜D (0)\nkl δ( t −t′) + ˜D (1)\nkl δ( t −t′ −τ)\n+ ˜D (2)\nkl δ( t −t′ +τ) + ˜D (3)\nkl δ( t −t′ −τ−T )\n+ ˜D (4)\nkl δ( t −t′ +τ+T ) + ˜D (5)\nkl δ( t −t′ −2 τ−T )\n+ ˜D (6)\nkl δ( t −t′ +2 τ+T ) + ˜D (7)\nkl δ( t −t′ −T )\n+ ˜D (8)\nkl δ( t −t′ +T ) , (8)\nwhere ˜D ( i)\nkl are the c-number Langevin di ffusion coe fficients,\nrelated to quantum Langevin di ffusion coe fficients D ( i)\nkl as in\n[27].\nSteady-state solutions: The steady-state solutions for the\nmean values of the field and atomic variables for laser op-\neration are obtained by dropping the noise terms of the c-\nnumber Langevin equations and setting the time derivatives\nequal to zero. The analytical solutions are very complex, and\none could numerically solve the steady-state equations. In this", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "11\n26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72,\n064413 (2005).\n27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter,\nPhys. Rev. Lett.99, 097202 (2007); R. Thomale, E. Kapit,\nD. F. Schroeter, and M. Greiter, Phys. Rev. B 80, 104406\n(2009).\n28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev.\nLett.88, 067203 (2002).\n29 F. Becca, F. Mila, Phys. Rev. Lett. 89, 037204 (2002).\n30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93,\n197203 (2004).\n31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72, 024449\n(2005).\n32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\nB 74, 060405(R) (2006).\n33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys.\nRev. B74, 134409 (2006).\n34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100,\n077201 (2008).\n35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y.\nTokura, Science291, 2573 (2001).\n37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413\n(1989); X. G. Wen, Phys. Rev. B40, 7387 (1989).\n38 Dimitris I. Tsomokos, Juan Jos´ e Garc´ ıa-Ripoll, Nigel R.\nCooper, Jiannis K. Pachos, Phys. Rev. A77, 012106\n(2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "What is the Oxbridge Academy email?", - "target_page": 59, - "target_passage": "Email: info@oxbridgeacademy.co.za", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Basic English Language Skills Basic English Language Skills\nDid you enjoy reading this book?\nJoin our online social community and share your opinion:\nwww.facebook.com/oxbridgeacademysa\ntwitter.com/oxbridgeEdu\nwww.linkedin.com/company/oxbridge-academy\nOxbridge Academy is an established distance learning college offer-\ning skills courses, national qualifications, and internationally recognised \ncourses to students in South Africa and abroad. \nWith our head office in Stellenbosch in the Western Cape, we cater to our \nstudents’ needs by recruiting industry-expert tutors to provide academic \nassistance via telephone and e-mail, as well as by designing our study \nmaterial in such a way that it is clear, simple, and easy for our students \nto understand. \nWith us, studying from home is easy, affordable, and convenient.\nCONTACT NUMBERS:\nTel: 021 1100 200\nTel:+2721 883 2454 (international)\nFax: 086 111 2121\nFax: +2721 883 2378 (international)\nWhatsapp: 0605671585\nEmail: info@oxbridgeacademy.co.za\nPostal Address:\nPO Box 12723, Die Boord, Stellenbosch, 7613\nWe are registered with the Department of Higher Education and Traini ng as a Private College in terms of Section \n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.\nDeveloped for Oxbridge Academy", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\n• Only include necessary attachments with your e-mails. \nRemember that many e-mail clients have a size limit on attach -\nments, and that attachments over a certain size may cause your \ne-mail to be blocked.\n• Keep it professional. \nDon’t pass on spam e-mails, chain letters, or inappropriate jokes, \nand don’t spread gossip via e-mail.", - "page_start": 53, - "page_end": 53, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\n \nPLEASE REMEMBER TO ATTACH THE FOLLOWING \nDOCUMENTS TO YOUR REGISTRATION FORM:\nA copy of your ID\nProof of your highest grade passed\nProof of any other relevant qualifications you have obtained", - "page_start": 23, - "page_end": 23, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nSTEP 4 – PAY YOUR REGISTRATION FEE AND SEND IN \n YOUR FORM\nDifferent courses have different registration fees. Please check the course \nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to \nfind out how much you need to pay to register for your chosen course, and \npay this amount using the banking details provided at the bottom of the \nregistration form. Remember to attach your proof of payment.\nIf you are under the age of 18, your parent or guardian will need to sign \nthis section of the form to state that they are aware of your registration \nwith Oxbridge Academy, and that they do not have any objections. If you \nare unemployed, you will need a guarantor to sign this section of the \nform. Your parent or guarantor will be held responsible if you miss any of \nyour payments in relation to your course fees.", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nCHAPTER 12:\nLANGUAGE SKILLS AT WORK \nSENDING E-MAILS TO YOUR COLLEAGUES\nIn today’s working environment, it is almost guaranteed that \nyou will be required to communicate with colleagues via e-mail \non a regular basis. And due to the large number of e-mails we \nnow send and receive each day, proper e-mail etiquette is \nmore important than ever.", - "page_start": 51, - "page_end": 51, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nIf you have any questions about your course work, you are always \nwelcome to approach your tutors for help. Just remember that your \ntutors cannot guess what your needs are: you will have to make \ncontact with your tutors and communicate your questions clearly if \nyou want to get the assistance that you need.\nWhen it comes to contacting your tutors, your best option will \nusually be to send an e-mail.\nHere are some important tips to keep in mind when \nrequesting help from a tutor via e-mail:\nUse a relevant and descriptive subject line.\nThis way, your tutor will immediately know what your e-mail is \nabout, and he or she will be more likely to open it. A good subject \nline might read as follows: “Enquiry regarding Assignment 1 for \nSafety Management 101”\nBe polite, and use an appropriate form of address.\nAlways start your e-mail with an appropriate form of address, \nsuch as “Hello Mr/Ms …” and sign it off with your full name and \nstudent number. This will help to give your message a friendly, yet \nprofessional tone.\nBe clear and concise.\nMake sure that your tutor will be able to understand what it is that \nyou are asking.", - "page_start": 33, - "page_end": 33, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nSEND YOUR REGISTRATION FORM\nCHOOSE YOUR COURSE\n1\nFILL IN THE \nREGISTRATION FORM\n2\nThe registration form \nfollows an easy-to-complete \nfour step layout.\n3\n4\n5\nIF YOU ARE REGISTERING \nFOR an ICB, or NATED\nCOURSE\nmake sure to indicate your \npreferred exam centre.\nIF YOU ARE UNDER \n18, OR IF YOU ARE \nUNEMPLOYED\nmake sure that your \nparent/guardian/guarantor \nsigns the form.\nATTACH THE FOLLOWING \nDOCUMENTS\n1. Copy of your ID\n2. Proof of highest\ngrade passed\n3. Proof of other\nqualifications\n4. Proof of payment\nPAY YOUR \nREGISTRATION FEE\nSend your registration form to the \nregistrations office at Oxbridge Academy via \none of the following channels:\nFax: 086 262 5550\nPost: PO Box 12723, Die Boord, 7613\nE-mail: registrar@oxbridgeacademy.co.za\n6\nA Summary of the\nRegistration Process \nat Oxbridge Academy\nAs soon as your details \nhave been captured \non our system you will \nreceive confirmation \nof your registration via \ne-mail or SMS", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nSTEP 1 – SELECT YOUR COURSE\n \nBefore you start filling in the registration form, you need to choose your \ncourse. Once you’ve identified the course that you would like to study, \nremember to check that you meet the entry requirements.\nYou can find the course name and course code for your chosen course on \nthe relevant detailed course information page on our website. Have a look \nat the example in the screenshot below (the course name and course code \nare circled in red):\n \n \nPlease make sure to check the accreditation status of your chosen course. \nSome of our courses are non-credit bearing skills development courses, \nwhich are neither accredited by external bodies nor registered on the NQF. \nPlease go to our website: oxbridgeacademy.co.za for more information \nabout our skills development courses.\n \n \n \nOxbridge Academy Short Course: Marketing Management \nADV101", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nCHAPTER 5:\nTIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a \ndaunting experience. Not only do you need to choose a course, but you \nalso need to make sure that you:\n• meet the entry requirements\n• meet the deadlines\n• fill in the forms correctly\n• send the forms to the right address\n• include all the necessary attachments\nTo make the college registration process easier for you, we’ve compiled a \ncomprehensive guide on how to register at Oxbridge Academy \n(www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general \ntips that will be relevant to the application and registration processes at \nother colleges.\nThere are 4 steps you need to follow when you want to \nregister as a student at Oxbridge Academy:\n1. Select Your Course\n2. Fill in Your Student Details\n3. Select Your Delivery Option\n4. Pay Your Registration Fee and Send in Your Form", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nAll rights reserved. No part of this publication may be reproduced or transmitted \nin any form or by any means, electronic or mechanical, including photocopying, \nrecording, or any information storage or retrieval system, without prior permission in \nwriting from the publisher. Subject to any applicable licensing terms and conditions in \nthe case of electronically supplied publications, a person may engage in fair dealing \nwith a copy of this publication for his or her personal or private use, or his or her \nresearch or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\nThe authors and the publisher have made every effort to obtain permission for and \nto acknowledge the use of copyright material. Should any infringement of copyright \nhave occurred, please contact the publisher, and every effort will be made to rectify \nomissions or errors in the event of a reprint or new edition.\nDeveloped for Oxbridge Academy - 2015", - "page_start": 1, - "page_end": 1, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "When is it necessary to use a host multipathing driver for load balancing?", - "target_page": 340, - "target_passage": "For load balancing and access redundancy on the host side, the use of a host multipathing driver is required in the following situations: Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize system nodes Protection from a host HBA failure (if two HBAs are in use) Protection from fabric failures if the host is connected through two HBAs to two separate fabrics Provide load balancing across the host HBA", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Appendix A. Performance data and statistics gathering 741\n/SM590000Number of paths per host multipath device\nThe maximum supported number of paths per multipath device that is visible on the host is \neight. Although the IBM Subsystem Device Driver Path Control Module (SDDPCM), \nrelated products, and most vendor multipathing software can support more paths, the \nStorwize V7000 expects a maximum of eight paths. In general, you see only an effect on \nperformance from more paths than eight. Although the IBM Spectrum Virtualize can work \nwith more than eight paths, this design is technically unsupported.\n/SM590000Do not intermix dissimilar array types or sizes\nAlthough the IBM Spectrum Virtualize supports an intermix of differing storage within \nstorage pools, it is best to always use the same array model, Redundant Array of \nIndependent Disks (RAID) mode. RAID size (RAID 5 6+P+S does not mix well with RAID 6 \n14+2), and drive speeds. \nRules and guidelines are no substitution for monitoring performance. Monitoring performance \ncan provide a validation that design expectations are met, and identify opportunities for \nimprovement.\nIBM Spectrum Virtualize performance perspectives\nIBM Spectrum Virtualize software was developed by the IBM Research Group. It is designed \nto run on commodity hardware (mass-produced Intel-based processors [CPUs] with \nmass-produced expansion cards) and to provide distributed cache and a scalable cluster \narchitecture. One of the main goals of this design was to use refreshes in hardware. Currently, \nthe Storwize V7000 cluster is scalable up to eight nodes (four control enclosures).\nThe performance is near linear when nodes are added into the cluster until performance \neventually becomes limited by the attached components. Although virtualization provides \nsignificant flexibility in terms of the components that are used, it does not diminish the \nnecessity of designing the system around the components so that it can deliver the level of \nperformance that you want. \nThe key item for planning is your SAN layout. Switch vendors have slightly different planning \nrequirements, but the goal is that you always want to maximize the bandwidth that is available \nto the Storwize V7000 ports. The Storwize V7000 is one of the few devices that can drive \nports to their limits on average; therefore, it is imperative that you put significant thought into \nplanning the SAN layout.\nEssentially, performance improvements are gained by selecting the most appropriate internal \ndisk drive types, spreading the workload across a greater number of back-end resources \nwhen using external storage, and adding more caching. These capabilities are provided by \nthe Storwize V7000 cluster. However, the performance of individual resources eventually \nbecomes the limiting factor.", - "page_start": 762, - "page_end": 762, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 3. Planning 55\n/SM590000Balanced host load across HBA ports\nIf the host has more than one HBA port per fabric, zone each host port with a separate \ngroup of Storwize V7000 ports. \n/SM590000Balanced host load across Storwize V7000 ports\nTo obtain the best overall performance of the subsystem and to prevent overloading, the \nload of each Storwize V7000 port should be equal. Assuming a similar load is generated \nby each host, you can achieve this balance by zoning approximately the same number of \nhost ports to each Storwize V7000 port.\nFigure 3-4 on page 56 shows an example of a balanced zoning configuration that was \ncreated by completing the following steps:\n1. Divide ports on the I/O Group into two disjoint sets, such that each set contains two ports \nfrom each I/O Group node, each connected to a different fabric.\nFor consistency, use the same port number on each I/O Group node. The example that is \nshown in Figure 3-4 on page 56 assigns ports 1 and 4 to one port set, and ports 2 and 3 to \nthe second set. \nBecause the I/O Group nodes have four FC ports each, two port sets are created.\n2. Divide hosts attached to the I/O Group into two equally numerous groups.\nIn general, for I/O Group nodes with more than four ports, divide the hosts into as many \ngroups as you created sets in step 1.\n3. Map each host group to exactly one port set.\n4. Zone all hosts from each group to the corresponding set of I/O Group node ports. \nThe host connections in the example on Figure 3-4 on page 56 are defined in the following \nmanner: \n– Hosts in group one are always zoned to ports 1 and 4 on both nodes.\n– Hosts in group two are always zoned to ports 2 and 3 on both nodes of the I/O Group.\nThe use of this schema provides four paths to one I/O Group for each host, and helps to \nmaintain an equal distribution of host connections on Storwize V7000 ports.\nTip: Create an alias for the I/O Group port set. This step makes it easier to correctly zone \nhosts to the correct set of I/O Group ports. It also makes host group membership visible in \nthe FC switch configuration.\nTip: To maximize performance from the host point of view, distribute volumes that are \nmapped to each host between both I/O Group nodes.", - "page_start": 76, - "page_end": 76, - "source_file": "sg247938.pdf" - }, - { - "text": "56 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nFigure 3-4 Overview of four-path host zoning\nWhen possible, use the minimum number of paths that are necessary to achieve a sufficient \nlevel of redundancy. For the Storwize V7000 environment, no more than four paths per I/O \nGroup are required to accomplish this layout. \nAll paths must be managed by the multipath driver on the host side. Make sure that the \nmultipath driver on each server can handle the number of paths required to access all \nvolumes mapped to the host.\nFor hosts that use four HBAs/ports with eight connections to an I/O Group, use the zoning \nschema that is shown in Figure 3-5 on page 57. You can combine this schema with the \nprevious four-path zoning schema.", - "page_start": 77, - "page_end": 77, - "source_file": "sg247938.pdf" - }, - { - "text": "94 Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\nWhen configuring multiple masters, the cluster installation process supports the native HA \nmethod. This method uses the native HA master capabilities that are built into OpenShift \nContainer Platform and can be combined with any Load Balancing solution.\nIf a host is defined in the [lb] section of the inventory file, Ansible installs and configures \nHAProxy automatically as the load balancing solution. If no host is defined, it is assumed that \nyou pre-configured an external load balancing solution of your choice to balance the master \nAPI (port 8443) on all master hosts.\nDNS\nDNS service is an important component in the Red Hat OpenShift Container Platform \nenvironment. Regardless of the provider of DNS, an organization is required to have certain \nrecords in place to serve the various Red Hat OpenShift Container Platform components.\nConsidering the Load Balancer values for the Red Hat OpenShift Container Platform master \nservice and infrastructure nodes running router Pods are known beforehand, entries must be \nconfigured into the DNS before starting the deployment procedure.\nDNS for OpenShift applications\nApplications that are served by OpenShift are accessible by the router on ports 80/TCP and \n443/TCP. The router uses a wildcard record to map all host names under a specific sub \ndomain to the same IP address without requiring a separate record for each name. This \nprocess allows Red Hat OpenShift Container Platform to add applications with arbitrary \nnames if they are under that sub domain.\nFor example, a wildcard record for *.apps.example.com causes DNS name lookups for \napp1.apps.example.com and app2.apps.example.com to both return the same IP address: \n9.109.x.y. All traffic is forwarded to the OpenShift Infrastructure Nodes (Routers). The \nRouters examine the HTTP headers of the queries and forward them to the correct \ndestination.\nWith a load-balancer host address of 9.109.x.y, the wildcard DNS record for \n*.apps.example.com resolves IP address 9.109.x.y.\nA simple DNS round-robin resolution can be used to spread traffic across infrastructure \nnodes.\nFor production environments, it is recommended to have more advanced load balancing \ncapabilities to distribute the traffic among the OpenShift Routers. In those cases, an external \nLoad Balancer is used.\nOpenShift Software Defined Networking (SDN)\nRed Hat OpenShift Container Platform offers the ability to specify how pods communicate \nwith each other. This process can be done by using Red Hat provided Software-defined \nnetworks (SDN) or a third-party SDN.\nDeciding on the suitable internal network for an Red Hat OpenShift Container Platform step is \na crucial step. Unfortunately, no correct answer exists regarding the suitable pod network to \nchose because this choice varies based on the specific scenario requirements for how a Red \nHat OpenShift Container Platform environment is to be used.\nNote: The HAProxy Load Balancer is intended to demonstrate the API server’s HA mode \nand is not recommended for production environments. If you are deploying to a cloud \nprovider, Red Hat recommends deploying a cloud-native TCP-based Load Balancer or \ntake other steps to provide a highly available load balancer.", - "page_start": 109, - "page_end": 109, - "source_file": "sg248459.pdf" - }, - { - "text": "Chapter 3. Planning 77\nTable 3-5 lists the amount of heartbeat traffic (in megabits per second) that is generated by \nvarious sizes of clustered systems.\nTable 3-5 Intersystem heartbeat traffic in Mbps\nThese numbers estimate the amount of traffic between the two clustered systems when no \nI/O is taking place to mirrored volumes. Half of the data is sent by each of the systems. The \ntraffic is divided evenly over all available intercluster links. Therefore, if you have two \nredundant links, half of this traffic is sent over each link.\nThe bandwidth between sites must be sized to meet the peak workload requirements. You \ncan estimate the peak workload requirement by measuring the maximum write workload \naveraged over a period of 1 minute or less, and adding the heartbeat bandwidth. Statistics \nmust be gathered over a typical application I/O workload cycle, which might be days, weeks, \nor months, depending on the environment in which the Storwize V7000 is used.\nWhen planning the inter-site link, consider also the initial sync and any future resync \nworkloads. It might be worthwhile to secure additional link bandwidth for the initial data \nsynchronization.\nIf the link between the sites is configured with redundancy so that it can tolerate single \nfailures, you must size the link so that the bandwidth and latency requirements are met even \nduring single failure conditions.\nWhen planning the inter-site link, make a careful note whether it is dedicated to the \ninter-cluster traffic or is going to be used to carry any other data. Sharing link with other traffic \n(for example, cross-site IP traffic) might reduce the cost of creating the inter-site connection \nand improve link utilization. However, doing so might affect the links’ ability to provide the \nrequired bandwidth for data replication.\nVerify carefully that the devices that you plan to use to implement the intercluster link are \nsupported. \nCluster configuration\nIf you configure replication services, you might decide to dedicate ports for intercluster \ncommunication, intracluster traffic, or both. In that case, make sure that your cabling and \nzoning reflects that decision. Also, such dedicated ports are inaccessible for host or back-end \nstorage traffic, so plan your volume mappings and hosts and back-end storage connections \naccordingly.\nStorwize V7000 \nSystem 1\nStorwize V7000 System 2\n2 nodes 4 nodes 6 nodes 8 nodes\n2 nodes 5 06 06 06\n4 nodes 61 0 1 1 1 2\n6 nodes 61 1 1 6 1 7\n8 nodes 61 2 1 7 2 1", - "page_start": 98, - "page_end": 98, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 3. Planning 57\nFigure 3-5 Overview of eight-path host zoning\nFor more information, see Chapter 8, “Hosts” on page 317.\n3.6.6 Zoning considerations for Metro Mirror and Global Mirror\nThe SAN configurations that use intercluster Metro Mirror and Global Mirror relationships \nrequire the following other switch zoning considerations: \n/SM590000Review the latest requirements and recommendations at this website.\n/SM590000If two ISLs are connecting the sites, split the ports from each node between the ISLs. That \nis, exactly one port from each node must be zoned across each ISL.\n/SM590000Local clustered system zoning continues to follow the standard requirement for all ports on \nall nodes in a clustered system to be zoned to one another.\nWhen designing zoning for a geographically dispersed solution, consider the effect of the \ncross-site links on the performance of the local system.\nThe use of mixed port speeds for intercluster communication can lead to port congestion, \nwhich can negatively affect the performance and resiliency of the SAN. Therefore, it is not \nsupported.\nImportant: Be careful when you perform the zoning so that ports that are dedicated for \nintra-cluster communication are not used for Host/Storage traffic in the 8-port and 12-port \nconfigurations.", - "page_start": 78, - "page_end": 78, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 12. Scalability, reliability, and availability architectures 291\nFigure 12-4 Horizontal and vertical scaling with multiple LPARs\nThis scenario is in organizations with large systems, such as AIX or z/OS, that are installed \nand that have enough available capacity to support the required Content Manager \nOnDemand workload. One advantage of this configuration is that you can control the priority \nof work and computer resource distribution to each of the LPARs, such as the number of \nprocessors or the processing priority (depending on the computer system/operating system \narchitecture) that is allocated to each of the LPARs. So, for example, load jobs can be \nassigned a low priority during the day when the focus is on data retrieval and a high priority \nduring the night when the focus is on data loading.\nThis setup supports horizontal scalability by using multiple technologies as appropriate. The \nmain constraint is that clients must have access to all systems through TCP/IP . \n12.2.6 Multiple server configuration rules\nThe following general rules apply when you configure multiple Content Manager OnDemand \nservers. In all cases, for additional guidance, see the appropriate Content Manager \nOnDemand documentation or contact Content Manager OnDemand Lab Services.\n/SM590000Each Content Manager OnDemand server has its own set of configuration files. \n/SM590000The parameters in all configuration files must be set so that all of the servers are part of \nthe same instance. \n/SM590000The Content Manager OnDemand clients connect to the IP address listening port of the \nContent Manager OnDemand server (library server module). \n/SM590000The documents are retrieved from the various object servers based on the location \ninformation that is returned by the library server. This retrieval is transparent to the client \nsystems.\n/SM590000Parallel load processes must have separate temp directories.\nFigure 12-5 on page 292 depicts this configuration type.\nLPAR\n1\nLPAR\n2\nLPA R\nn\nSyst em A\nLPAR\n1\nLPAR\n2\nLPAR\nn\nSyste m B\nLi brary\nServer\nObject\nServer\nObject\nServer\n+\nOn D ema nd In sta nc e\nLo ad \nProcess\nLo ad\nProcess\n+\nLPAR\n2\nLPAR\n2", - "page_start": 314, - "page_end": 314, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 3. Planning 71\n3.12.1 Queue depth\nTypically, hosts issue subsequent I/O requests to storage systems without waiting for \ncompletion of previous ones. The number of outstanding requests is called queue depth. \nSending multiple I/O requests in parallel (asynchronous I/O) provides significant performance \nbenefits compared to sending them one-by-one (synchronous I/O). However, if the number of \nqueued requests exceeds the maximum that is supported by the storage controller, you \nexperience performance degradation.\nTherefore, for large storage networks, plan for setting correct SCSI commands queue depth \non your hosts. For this purpose, a large storage network is defined as one that contains at \nleast 1000 volume mappings. For example, a deployment with 50 hosts with 20 volumes \nmapped to each of them is considered a large storage network. For more information about \nthe queue depth calculations, search for “Queue depth in large SANs” at this IBM Knowledge \nCenter web page.\n3.12.2 Offloaded data transfer\nIf your Windows hosts are configured to use Microsoft Offloaded Data Transfer (ODX) to \noffload the copy workload to the storage controller, consider the benefits of this technology \nagainst extra load on storage controllers. The benefits and effects of enabling ODX are \nespecially prominent in Microsoft Hyper-V environments with ODX enabled.\n3.13 Host mapping and LUN masking\nHost mapping is similar in concept to LUN mapping or masking. LUN mapping is the process \nof controlling which hosts have access to specific LUs within the disk controllers. LUN \nmapping is typically done at the storage system level. Host mapping is done at the software \nlevel.\nLUN masking is usually implemented in the device driver software on each host. The host has \nvisibility of more LUNs than it is intended to use. The device driver software masks the LUNs \nthat are not to be used by this host. After the masking is complete, only some disks are visible \nto the operating system. The system can support this type of configuration by mapping all \nvolumes to every host object and by using operating system-specific LUN masking \ntechnology. However, the default (and preferred) system behavior is to map only those \nvolumes that the host is required to access.\nThe act of mapping a volume to a host makes the volume accessible to the WWPNs or iSCSI \nnames such as iSCSI qualified names (IQNs) or extended-unique identifiers (EUIs) that are \nconfigured in the host object.\n3.13.1 Planning for large deployments\nEach I/O Group can have up to 512 host objects defined. This limit is the same whether hosts \nare attached by using FC, iSCSI, or a combination of both. To allow more than 512 hosts to \naccess the storage, you must divide them into groups of 512 hosts or less, and map each \ngroup to single I/O Group only. This approach allows you to configure up to 2048 host objects \non a system with four I/O Groups (eight nodes). \nFor best performance, split each host group into two sets. For each set, configure the \npreferred access node for volumes presented to the host set to one of the I/O Group nodes. \nThis approach helps to evenly distribute load between the I/O Group nodes.", - "page_start": 92, - "page_end": 92, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 10. Advanced features for storage efficiency 419\nan increase in response times on volumes that use the same storage. Also, host formatting \ntime is likely to increase, compared to a system that does not advertise support the SCSI \nUnmap command.\nIf you use Data Reduction Pools, thin-provisioned back-end that supports Unmap, or Flash \nCore Modules, it is recommended to turn on SCSI Unmap support. \nIf only standard pools are configured and back-end is traditional (fully provisioned), you might \nconsider keeping host Unmap support switched off because you do not see any \nimprovement.\nTo check and modify current setting for host SCSI Unmap support, use the lssystem and \nchsystem CLI commands, as shown in Example 10-8.\nExample 10-8 Turning host unmap support on\nIBM_Storwize:ITSOV7K:superuser>lssystem | grep host_unmap\nhost_unmap off\nIBM_Storwize:ITSOV7K:superuser>chsystem -hostunmap on\nIBM_Storwize:ITSOV7K:superuser>\n10.3.4 Offload IO throttle\nThrottles are a mechanism to control the amount of resources that are used when the system \nis processing I/Os on supported objects. If a throttle limit is defined, the system processes the \nI/O for that object, or delays the processing of the I/O to free resources for more critical I/O \noperations. \nSCSI offload commands, such as Unmap and Xcopy, are used by hosts to format new file \nsystems, or copy volumes without the host needing to read and then write data. \nSome host types might request large amounts of I/O on the storage system by issuing Write \nSame/Unmap commands. If the underlying storage cannot handle the amount of I/O that is \ngenerated, the performance of volumes can be affected. \nSpectrum Virtualize offload throttling limits the concurrent I/O that can be generated by such \ncommands, which can prevent the MDisk overloading. This limits the rate at which host \nfeatures, such as VMware VMotion, can copy data. \nNote: You can switch host Unmap support on and off nondisruptively on the system side. \nHowever, hosts might need to rediscover storage, or (in the worst case) be restarted. \nNote: For systems that fee managing any nearline storage, it might be recommended to \nset the offload throttle to 100 MBps.", - "page_start": 440, - "page_end": 440, - "source_file": "sg247938.pdf" - }, - { - "text": "562 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nTwo 2-node systems with two inter-site links, as shown in Figure 11-102 (configuration 5).\nFigure 11-102 Dual links with two remote copy groups on each system configured\nAs shown in Figure 11-102, remote copy port groups 1 and 2 are configured on the nodes \nin System A and System B because two inter-site links are available. In this configuration, \nthe failover ports are not configured on partner nodes in the I/O group. Instead, the ports \nare maintained in different remote copy port groups on both of the nodes. They remain \nactive and participate in IP partnership by using both of the links. \nHowever, if either of the nodes in the I/O group fail (that is, if Node A1 on System A fails), \nthe IP partnership continues only from the available IP port that is configured in remote \ncopy port group 2. Therefore, the effective bandwidth of the two links is reduced to 50% \nbecause only the bandwidth of a single link is available until the failure is resolved. \nThis configuration has the following characteristics: \n– Two inter-site links and two remote copy port groups are configured. \n– Each node has only one IP port in remote copy port group 1 or 2. \n– Both the IP ports in the two remote copy po rt groups participate simultaneously in IP \npartnerships. Therefore, both of the links are used.\n– During node failure or link failure, the IP partnership traffic continues from the other \navailable link and the port group. Therefore, if two links of 10 Mbps each are available \nand you have 20 Mbps of effective link bandwidth, bandwidth is reduced to 10 Mbps \nonly during a failure. \n– After the node failure or link failure is resolved and failback happens, the entire \nbandwidth of both of the links is available as before.", - "page_start": 583, - "page_end": 583, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "Which orbiting instrument provides near-continuous full-sky coverage in the hard X-ray/low-energy gamma-ray range?", - "target_page": 1, - "target_passage": "Gamma ray Burst Monitor", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nObservations of Soft Gamma Ray Sources> 100 keV Using Earth Occultation\nwith GBM\nG.L. Case, M.L. Cherry, J. Rodi\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\nA. Camero-Arranz\nFundaci´ on Espa˜ nola de Ciencia y Tecnolog´ ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\nE. Beklen\nMiddle East Technical University (METU), 06531, Ankara, Turkey\nC. A. Wilson-Hodge\nNASA Marshall Space Flight Center, Huntsville, AL 35812\nP. Jenke\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece\nUniversity of Alabama in Huntsville, Huntsville, AL 35899\nM.H. Finger\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being\nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth\noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma\nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient\noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage\nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies\nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results\nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected:\nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source\nXTE J1752-223.\nI. INTRODUCTION\nThe Gamma ray Burst Monitor (GBM) on Fermi is\ncurrently the only instrument in orbit providing nearly\ncontinuous full sky coverage in the hard X-ray/low\nenergy gamma ray energy range. The Earth occul-\ntation technique, used very successfully on BATSE,\nhas been adapted to GBM. An initial catalog of 64\nsources is currently being monitored and continuously\naugmented. At energies above 100 keV, six steady\nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, GRS 1915+105) and one transient\nsource (XTE J1752-223) have been detected in the\nfirst year of observation. We describe the instrument,\noutline the technique, and present light curves for the\nseven sources.\nII. GBM AND THE EARTH OCCULTATION\nOBSERVATIONAL TECHNIQUE\nThe Gamma ray Burst Monitor is the secondary\ninstrument onboard the Fermi satellite [1, 2]. It con-\nsists of 12 NaI detectors 5 ′′in diameter by 0.5 ′′thick\nmounted on the corners of the spacecraft and oriented\nsuch that they view the entire sky not occulted by the\nEarth. GBM also contains 2 BGO detectors 5 ′′in di-\nameter by 5 ′′ thick located on opposite sides of the\nspacecraft. None of the GBM detectors have direct\nimaging capability.\nKnown sources of gamma ray emission can be mon-\nitored with non-imaging detectors using the Earth oc-\ncultation technique, as was successfully demonstrated\nwith BATSE [3, 4]. When a source of gamma rays\nis occulted by the Earth, the count rate measured by\nthe detector will drop, producing a step-like feature.\nWhen the source reappears from behind the Earths\nlimb, the count rate will increase, producing another\nstep. The diameter of the Earth seen from Fermi is\n∼ 140◦, so roughly 30% of the sky is occulted by the\nEarth at any one time. Coupled with the ±35◦slew-\ning of the pointing direction every orbit, this means\nthat the entire sky is occulted every two orbits. With\nan altitude of 565 km, a period of 96 minutes, and\nan orbital inclination of 26 .5◦, individual occultation\nsteps last for ∼10 seconds (Fig. 1).\neConf C091122\narXiv:1001.0955v2 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "servations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-\nphysical sources [4]. VERITAS began scientific obser-\nvations with a partial array in September 2006 and has\nroutinely observed with the full array since Septem-\nber 2007. The performance metrics of VERITAS in-\nclude an energy threshold of∼ 100 GeV, an energy\nresolution of ∼ 15%, an angular resolution of ∼ 0.1◦,\nand a sensitivity yielding a 5 σ detection of a 1% Crab\nNebula flux object in <30 hours 1. VERITAS has an\nactive maintenance program (e.g. frequent mirror re-\ncoating and alignment) to ensure its continued high\nperformance over time, and an upgrade improving\nboth the camera (higher quantum-efficiency PMTs)\nand the trigger system has been proposed to the fund-\ning agencies.\n1A VERITAS telescope was relocated during Summer 2009,\nincreasing the array’s sensitivity by a factor ∼ 1.3.\neConf C091122", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFIG. 1: Single Crab occultation step in a single GBM NaI\ndetector. Horizontal scale is in seconds centered on the\noccultation time. Vertical scale is in measured counts.\nThe shape of the individual occultation steps de-\npends on energy and occultation angle. Transmis-\nsion as a function of time is modeled as T(t) =\nexp[−µ(E)A(h)], where µ(E) is the mass attenuation\ncoefficient of gamma rays at energy E in air and A(h)\nis the air mass along the line of sight at a given alti-\ntude h(t). Account is taken of the detector response\nas it changes as a function of angle across the fit win-\ndow. For each source, occultation times are predicted.\nEach step is fit over a 4-minute window along with a\nquadratic background and using an assumed spectrum\nto determine the detector count rate due to the source.\nThe instrument response is used to convert the count\nrate to a flux. Up to 31 steps are possible for a given\nsource in a day, and these steps are summed to get a\nsingle daily average flux. The GBM occultation sensi-\ntivity exceeds that of BATSE at energies below ∼ 25\nkeV and above ∼ 1.5 MeV [5].\nThis work uses the GBM CTIME data, with its\n8 broad energy channels and 0.256-second resolution,\nrebinned to 2-second resolution. The occultation tech-\nnique relies on an input catalog of known sources.\nCurrently, we are monitoring 64 sources. Of these\n64 sources, 6 steady sources are detected above 100\nkeV with a significance of at least 5σafter ∼ 490 days\nof observations, and one transient source.\nIII. RESULTS\nThe results presented here are preliminary. We\nhave not completed the fine tuning of our algorithms,\nthough the average fluxes are not expected to change\nmuch. Future work will include using the GBM\nCSPEC data, with its finer energy binning, to exam-\nine the detailed spectra for these sources.\nThe measured 20 - 50 keV GBM light curves are\ncompared to Swift’s 15 - 50 keV light curves for sev-\nFIG. 2: Crab light curve. Horizontal scale is in modified\nJulian days over the 490 day GBM exposure period. Ver-\ntical scale is in photons/cm 2/sec/keV averaged over daily\nintervals. Horizontal lines show the average flux in each of\nfive energy bands increasing from top to bottom\neral sources over the same time intervals in ref. [2],\nwhere it is seen that the results measured by the two\ninstruments compare well. At energies above the up-\nper energy limit of ∼ 195 keV of the Swift 22-month\ncatalog [6], however, the GBM observations provide\nthe only wide-field monitor available of the low en-\nergy gamma ray sky.\nA. Steady Sources\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, and GRS 1915+105 are detected by\nGBM at energies above 100 keV. We show GBM light\ncurves generated from the Earth occultation analysis\nin several energy bands with one day resolution for\nthese six sources in Figures 2 - 7.\nTable I gives the fluxes and significances averaged\nover all the days from Aug. 12, 2008 (the beginning of\nscience operations) to Dec. 15, 2009, approximately\n490 days.\nThe Crab (Fig. 2) spectrum in the hard x-ray/low\nenergy gamma-ray region can be described by a bro-\nken power law, with the spectrum steepening at 100\nkeV and then hardening at 650 keV [7, 8]. While the\nGBM CTIME data do not have the spectral resolution\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\n3. VERITAS Blazar KSP\nVERITAS observes for ∼ 750 h and ∼ 250 h each\nyear during periods of astronomical darkness and par-\ntial moonlight, respectively. The moonlight observa-\ntions are almost exclusively used for a blazar discovery\nprogram, and a large fraction of the dark time is used\nfor the blazar KSP, which consists of:\n• A VHE blazar discovery program ( ∼ 200 h / yr):\nEach year ∼ 10 targets are selected to receive\n∼ 10 h of observations each during astronomi-\ncal darkness. These data are supplemented by\ndiscovery observations during periods of partial\nmoonlight.\n• A target-of-opportunity (ToO) observation pro-\ngram (∼ 50 h / yr): VERITAS blazar obser-\nvations can be triggered by either a VERI-\nTAS blazar discovery, a VHE flaring alert (>2\nCrab) from the blazar monitoring program of\nthe Whipple 10-m telescope or from another\nVHE instrument, or a lower-energy flaring alert\n(optical, X-ray or Fermi-LAT). Should the guar-\nanteed allocation be exhausted, further time can\nbe requested from a pool of director’s discre-\ntionary time.\n• Multi-wavelength (MWL) studies of VHE\nblazars (∼ 50 h / yr + ToO): Each year one\nblazar receives a deep exposure in a pre-planned\ncampaign of extensive, simultaneous MWL (X-\nray, optical, radio) measurements. ToO observa-\ntion proposals for MWL measurements are also\nsubmitted to lower-energy observatories (e.g.\nSwift) and are triggered by a VERITAS discov-\nery or flaring alert.\n• Distant VHE blazar studies to constrain the ex-\ntragalactic background light (EBL): Here dis-\ntant targets are given a higher priority in the\nblazar discovery program, as well as for the\nMWL observations of known VHE blazars, par-\nticularly those with hard VHE spectra.\n4. Blazar Discovery Program\nThe blazars observed in the discovery program are\nlargely high-frequency-peaked BL Lac objects. How-\never, the program also includes IBLs (intermediate-\npeaked) and LBLs (low-peaked), as well as flat spec-\ntrum radio quasars (FSRQs), in an attempt to in-\ncrease the types of blazars known to emit VHEγ-rays.\nThe observed targets are drawn from a target listcon-\ntaining objects visible to the telescopes at reasonable\nzenith angles (− 8◦ < δ < 72◦), without a previously\npublished VHE limit below 1.5% Crab, and with a\nmeasured redshiftz < 0. 3. To further the study of the\nEBL a few objects having a large ( z > 0. 3) are also\nincluded in the target list. The target list includes:\n• All nearby ( z < 0. 3) HBL and IBL recom-\nmended as potential VHE emitters in [5, 6, 7].\n• The X-ray brightest HBL ( z < 0. 3) in the recent\nSedentary [8] and ROXA [9] surveys.\n• Four distant ( z > 0. 3) BL Lac objects recom-\nmended by [5, 10].\n• Several FSRQ recommended as potential VHE\nemitters in [6, 11].\n• All nearby ( z < 0. 3) blazars detected by\nEGRET [12].\n• All nearby ( z < 0. 3) blazars contained in the\nFermi-LAT Bright AGN Sample [13].\n• All sources ( |b| > 10◦) detected by Fermi-LAT\nwhere extrapolations of their MeV-GeV γ-ray\nspectrum (including EBL absorption; assuming\nz = 0.3 if the redshift is unknown) indicates a\npossible VERITAS detection in less than 20 h.\nThis criteria is the focus of the 2009-10 VERI-\nTAS blazar discovery program.\n5. VERITAS AGN Detections\nVERITAS has detected VHE γ-ray emission from\n16 AGN (15 blazars), including 8 VHE discoveries.\nThese AGN are shown in Table I, and each has been\ndetected by the Large Area Telescope (LAT) instru-\nment aboard the Fermi Gamma-ray Space Telescope.\nEvery blazar discovered by VERITAS was the sub-\nject of ToO MWL observations to enable modeling of\nits simultaneously-measured SED. The known VHE\nblazars detected by VERITAS were similarly the tar-\ngets of MWL observations.\n5.1. Recent VERITAS Blazar Discoveries\nPrior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nTABLE I: Fluxes and Significance in High Energy Bands\n50 - 100 keV 100 - 300 keV 300 - 500 keV\nFlux Error Signif. Flux Error Signif. Flux Error Signif.\n(mCrab) (mCrab) (σ) (mCrab) (mCrab) (σ) (mCrab) (mCrab) (σ)\nCrab 1000 3 336 1000 6 182 1000 47 21.2\nCen A 72 4 18 108 7 15 42 47 0.9\nCyg X-1 1130 4 283 1094 8 137 474 50 9.5\nGRS 1915+105 121 4 30 49 7 7 41 52 0.8\n1E 1740-29 113 5 23 96 10 10 97 68 1.4\nSWIFT 1753.5-0127 135 5 27 151 9 17 131 64 2.0\nXTE J1752-223 770 16 48 622 30 21 132 218 0.6\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod-\nified Julian days.\nwill use the GBM CSPEC data with their finer energy\nbins to obtain a fit to the spectrum and compare the\npower law index to that measured by Integral.\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with\nthe compact object likely being a black hole. Swift\ndiscovered this source when it observed a large flare\nin July of 2005. The source did not return to qui-\nescence but settled into a low intensity hard state\n[14]. BATSE occultation measurements from 1991-\n2000 showed no significant emission from this source\nabove 25 keV [15]. The GBM results show that this\nsource is still in a hard state, with significant emis-\nsion above 100 keV. We will continue to monitor this\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale\nis in modified Julian days.\nsource while it is in the hard state, with longer obser-\nvations potentially verifying significant emission above\n300 keV.\nB. Transient Source\nThe new transient black hole candidate XTE\nJ1752-223 rose from undetectable on 2009 October\n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab\n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and\n330 ± 100 mCrab (100 - 300 keV) on 2009 November\n2 [2, 16]. The light curve is variable, especially in the\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nFIG. 3: Cen A light curve. Horizontal scale is in modified\nJulian days.\nto observe these breaks, GBM is able to see significant\nemission above 300 keV, consistent with the canonical\nhard spectrum.\nCen A(Fig. 3) is a Sy 2 galaxy that is the brightest\nAGN in hard x-rays/low energy gamma rays. It has\na hard spectrum (Γ = 1 .8) and has been observed at\nenergies > 1 MeV [9]. The GBM results are consis-\ntent with this hard spectrum, though GBM does not\nhave the sensitivity to determine if the hard spectrum\ncontinues beyond 300 keV or if the spectrum cuts off.\nCyg X-1 (Fig. 4) is a HMXB and one of the\nfirst systems determined to contain a black hole. It\nhas been observed to emit significant emission above\n100 keV including a power law tail extending out to\ngreater than 1 MeV [10, 11]. The GBM results show\nsignificant emission above 300 keV, consistent with\nthe power law tail observed when Cyg X-1 is in its\nhard state.\nGRS 1915+105(Fig. 5) is a LMXB with the com-\npact object being a massive black hole. Evidence for\nemission above 100 keV has been seen previously [12]\nwith BATSE. The GBM light curve integrated over\n490 days shows significant emission above 100 keV.\n1E 1740-29 (Fig. 6) is a LMXB very near the\nGalactic Center. It is a microquasar, and spends most\nof its time in the low/hard state. Integral observa-\ntions indicate the presence of a power law tail above\n200 keV [13]. The present GBM results are consis-\ntent with this high energy emission. In the future, we\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\nfied Julian days.\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\nmodified Julian days.\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\ntion of correlated VHE and X-ray flux variability, as\nwell as correlated spectral hardening in both the VHE\nand X-ray bands. The VHE MWL observations were\nperformed in both ”quiescent” and flaring states for\nsome of the observed blazars. For the observed HBL\nobjects, the SEDs can be well described by a simple\nSSC model in both high and low states. However, an\nadditional external Compton component is necessary\nto adequately fit the SEDs of the IBL objects.\nThe Fermi-LAT is already having a significant im-\npact on the blazar KSP. In future seasons, the VER-\nITAS blazar discovery program will focus its dis-\ncovery program on hard-spectrum blazars detected\nby Fermi-LAT, and will likely have a greater focus\non high-risk/high-reward objects at larger redshifts\n(0. 3 < z < 0. 7). In addition, the number of VHE\nblazars studied in pre-planned MWL campaigns will\nincrease as data from the Fermi-LAT will be publicly\navailable. In particular, the extensive pre-planned\nMWL campaigns will focus on objects that are note-\nworthy for the impact their data may have on under-\nstanding the EBL. The simultaneous observations of\nblazars by VERITAS and Fermi-LAT will completely\nresolve the higher-energy SED peak, often for the first\ntime, enabling unprecedented constraints on the un-\nderlying blazar phenomena to be derived.\nAcknowledgments\nThis research is supported by grants from the US\nDepartment of Energy, the US National Science Foun-\ndation, and the Smithsonian Institution, by NSERC in\nCanada, by Science Foundation Ireland, and by STFC\nin the UK. We acknowledge the excellent work of the\ntechnical support staff at the FLWO and the collab-\norating institutions in the construction and operation\nof the instrument.\nReferences\n[1] F. Aharonian et al. 2007,ApJ, 664, L71\n[2] F. Aharonian et al. 2006, Nature, 440, 1018\n[3] F. Aharonian et al. 2007, A&A, 475, L9\n[4] J. Holder, et al. 2008, AIPC, 1085, 657\n[5] L. Costamante & G. Ghisellini 2002, A&A, 384,\n56\n[6] E.S. Perlman 2000, AIPC, 515, 53\n[7] F.W. Stecker et al. 1996, ApJ, 473, L75\n[8] P. Giommi et al. 2005, A&A, 434, 385\n[9] S. Turriziani et al. 2007, A&A, 472, 699\n[10] L. Costamante 2006, arXiv:0612709\n[11] P. Padovani et al. 2002,ApJ, 581, 895\n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n[13] A.A. Abdo et al. 2009, ApJ, 700, 597\n[14] V.A. Acciari et al. 2008, ApJ, 684, L73\n[15] V.A. Acciari et al. 2009, ApJ, 707, 612\n[16] V.A. Acciari et al. 2009, ApJ, 690, L126\n[17] V.A. Acciari et al. 2009, ApJ, 693, L104\n[18] L.C. Reyes 2009, arXiv:0907.5175\n[19] R.A. Ong 2009,ATel, 1941\n[20] R.A. Ong et al. 2009, ATel, 2272\n[21] V.A. Acciari et al. 2009, ApJ, 708, L100\n[22] R.A. Ong et al. 2009, ATel, 2301\n[23] R.A. Ong et al. 2009, ATel, 2260\n[24] R.A. Ong et al. 2009, ATel, 2309\n[25] W. Benbow 2009, arXiv:0908.1412\n[26] V.A. Acciari et al. 2009,ApJ, submitted\n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n[28] V.A. Acciari et al. 2009, ApJ, in press\n[29] J. Grube 2009, arXiv:0907.4862\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe first two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\nFigure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n•BL Lacs and FSRQs do not exhibit significant\ndifferences in amplitude of submillimeter vari-\nability or characteristic timescale, but our sam-\nple of BL Lacs may be dominated by high-\npeaked BL Lacs (HBLs), which exhibit obser-\nvational similarities with FSRQs.\n•Blazar submillimeter light curves are consistent\nwith being produced by a single process that ac-\ncounts for both high and low states, with char-\nacteristic timescales 10 <τrest < 500 days.\n•The blazars detected byFermi have synchrotron\npeaks at higher frequencies, regardless of sub-\nmillimeter luminosity.\n•FSRQs exhibit higher ratios of γ-ray to sub-\nmillimeter luminosity than BL Lacs (Figure 5),\nbut all objects inhabit a region of parameter\nspace suggesting transitions between states dur-\ning flaring epochs.\nAs Fermi continues to observe fainter sources, the\nsample of objects for which we can perform this type of\nanalysis will increase and provide better limits on our\nresults. To understand the physical relevance of these\nresults, however, it is important to be able to distin-\nguish between the difference in variability between BL\nLacs and FSRQs. One avenue for exploring this dif-\nference is to monitor changing submillimeter energy\nspectral index and the ratio of γ-ray to submillime-\nter luminosity as functions of time. The full mean-\ning of the results of our autoregressive method is not\nyet clear, and will require better-sampled blazar light\ncurves and the comparison between τrest with physical\ntimescales such as the synchrotron cooling timescale.\nThese analyses would allow us to place constraints\non the processes occurring near the base of the jet in\nblazars and further understand the intimate connec-\ntion between them.\nAcknowledgments\nThis work was supported in part by the NSF\nREU and DoD ASSURE programs under Grant no.\n0754568 and by the Smithsonian Institution. Par-\ntial support was also provided by NASA contract\nNAS8-39073 and NASA grant NNX07AQ55G. We\nhave made use of the SIMBAD database, operated at\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\ntragalactic Database (NED) which is operated by the\nJPL, Caltech, under contract with NASA.\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What is Cyg X-1?", - "target_page": 3, - "target_passage": "is a HMXB and one of the first systems determined to contain a black hole", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nFIG. 3: Cen A light curve. Horizontal scale is in modified\nJulian days.\nto observe these breaks, GBM is able to see significant\nemission above 300 keV, consistent with the canonical\nhard spectrum.\nCen A(Fig. 3) is a Sy 2 galaxy that is the brightest\nAGN in hard x-rays/low energy gamma rays. It has\na hard spectrum (Γ = 1 .8) and has been observed at\nenergies > 1 MeV [9]. The GBM results are consis-\ntent with this hard spectrum, though GBM does not\nhave the sensitivity to determine if the hard spectrum\ncontinues beyond 300 keV or if the spectrum cuts off.\nCyg X-1 (Fig. 4) is a HMXB and one of the\nfirst systems determined to contain a black hole. It\nhas been observed to emit significant emission above\n100 keV including a power law tail extending out to\ngreater than 1 MeV [10, 11]. The GBM results show\nsignificant emission above 300 keV, consistent with\nthe power law tail observed when Cyg X-1 is in its\nhard state.\nGRS 1915+105(Fig. 5) is a LMXB with the com-\npact object being a massive black hole. Evidence for\nemission above 100 keV has been seen previously [12]\nwith BATSE. The GBM light curve integrated over\n490 days shows significant emission above 100 keV.\n1E 1740-29 (Fig. 6) is a LMXB very near the\nGalactic Center. It is a microquasar, and spends most\nof its time in the low/hard state. Integral observa-\ntions indicate the presence of a power law tail above\n200 keV [13]. The present GBM results are consis-\ntent with this high energy emission. In the future, we\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\nfied Julian days.\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\nmodified Julian days.\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "tection are λF Y ≈ 100 nm and λT EY ≈ 3 nm. In the\ncurrent experiment, the Mn XMCD measured using FY\nand TEY are thus sensitive to the bulk of the (Ga,Mn)As\nfilm and the near-interface layers, respectively.\nFigure 2(a)-(c) shows the magnetic field dependence of\nXMCD asymmetry, defined as ( Il − Ir)/ (Il + Ir) where\nIl(r) is the absorption for left- (right-) circularly polarized\nx-rays. This is measured at the Fe and Mn L3 absorption\npeaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K.\nThe external field is applied along the photon incidence\ndirection, which is at 70◦ to the surface normal with\nan in-plane projection along the [110] axis. The XMCD\ndata show that the Fe film displays a square hysteresis\nloop with a single magnetization switch, as expected for\na monocrystalline Fe film with strong uniaxial magnetic\nanisotropy. The Mn XMCD shows a more complicated\nloop due to the effect of the interlayer coupling. The pro-\njected Mn moment aligns antiparallel to the Fe moment\nat remanence, and undergoes a magnetization reversal of\nopposite sign to the Fe. With further increase of the ex-\nternal magnetic field, the Mn moment gradually rotates\naway from antiparallel alignment with the Fe layer, and\ninto the field direction. Qualitatively similar behavior\nis observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sam-\nple: the (Ga,Mn)As layer is aligned antiparallel to the\nFe layer at zero field, although the bias field is lower by\napproximately a factor of two.\nClear differences are observed between the Mn XMCD\nhysteresis loops obtained using TEY and FY detection\nmodes. For FY the magnitude of the XMCD is similar\n(but of opposite sign) at remanence and at high mag-\nnetic fields, whereas for TEY at remanence it is approx-\nimately a factor of two larger than at 1000 Oe. The\nMnL2,3 XMCD spectra recorded at remanence and at\n1000 Oe, shown in Fig. 3, confirm this result. At re-\nmanence the FY and TEY detected XMCD have similar\nmagnitudes. However, under a large external field the\nXMCD is substantially smaller in TEY than in FY, con-\nfirming that the net magnetization of the Mn ions near\nthe interface is significantly less than in the bulk of the\n(Ga,Mn)As film. This is the case even up to the high-\nest field applied (20 kOe). By applying the XMCD sum\nrules14 to the TEY data, and by comparing the spectra to\nprevious measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nObservations of Soft Gamma Ray Sources> 100 keV Using Earth Occultation\nwith GBM\nG.L. Case, M.L. Cherry, J. Rodi\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\nA. Camero-Arranz\nFundaci´ on Espa˜ nola de Ciencia y Tecnolog´ ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\nE. Beklen\nMiddle East Technical University (METU), 06531, Ankara, Turkey\nC. A. Wilson-Hodge\nNASA Marshall Space Flight Center, Huntsville, AL 35812\nP. Jenke\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece\nUniversity of Alabama in Huntsville, Huntsville, AL 35899\nM.H. Finger\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being\nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth\noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma\nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient\noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage\nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies\nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results\nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected:\nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source\nXTE J1752-223.\nI. INTRODUCTION\nThe Gamma ray Burst Monitor (GBM) on Fermi is\ncurrently the only instrument in orbit providing nearly\ncontinuous full sky coverage in the hard X-ray/low\nenergy gamma ray energy range. The Earth occul-\ntation technique, used very successfully on BATSE,\nhas been adapted to GBM. An initial catalog of 64\nsources is currently being monitored and continuously\naugmented. At energies above 100 keV, six steady\nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, GRS 1915+105) and one transient\nsource (XTE J1752-223) have been detected in the\nfirst year of observation. We describe the instrument,\noutline the technique, and present light curves for the\nseven sources.\nII. GBM AND THE EARTH OCCULTATION\nOBSERVATIONAL TECHNIQUE\nThe Gamma ray Burst Monitor is the secondary\ninstrument onboard the Fermi satellite [1, 2]. It con-\nsists of 12 NaI detectors 5 ′′in diameter by 0.5 ′′thick\nmounted on the corners of the spacecraft and oriented\nsuch that they view the entire sky not occulted by the\nEarth. GBM also contains 2 BGO detectors 5 ′′in di-\nameter by 5 ′′ thick located on opposite sides of the\nspacecraft. None of the GBM detectors have direct\nimaging capability.\nKnown sources of gamma ray emission can be mon-\nitored with non-imaging detectors using the Earth oc-\ncultation technique, as was successfully demonstrated\nwith BATSE [3, 4]. When a source of gamma rays\nis occulted by the Earth, the count rate measured by\nthe detector will drop, producing a step-like feature.\nWhen the source reappears from behind the Earths\nlimb, the count rate will increase, producing another\nstep. The diameter of the Earth seen from Fermi is\n∼ 140◦, so roughly 30% of the sky is occulted by the\nEarth at any one time. Coupled with the ±35◦slew-\ning of the pointing direction every orbit, this means\nthat the entire sky is occulted every two orbits. With\nan altitude of 565 km, a period of 96 minutes, and\nan orbital inclination of 26 .5◦, individual occultation\nsteps last for ∼10 seconds (Fig. 1).\neConf C091122\narXiv:1001.0955v2 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "Nordstrom, Inc. and subsidiaries 1\nUNITED STATES\nSECURITIES AND EXCHANGE COMMISSION\nWashington, D.C. 20549\nFORM 10-K\n(Mark One)\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\nFor the fiscal year ended January 31, 2015 \nor\nTRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\nFor the transition period from ___________ to___________\nCommission file number 001-15059\nNORDSTROM, INC.\n(Exact name of registrant as specified in its charter)\nWashington 91-0515058\n(State or other jurisdiction of\nincorporation or organization)\n(I.R.S. Employer\nIdentification No.)\n1617 Sixth Avenue, Seattle, Washington 98101\n(Address of principal executive offices) (Zip Code)\nRegistrant’s telephone number, including area code 206-628-2111\nSecurities registered pursuant to Section 12(b) of the Act:\nTitle of each class Name of each exchange on which registered\nCommon stock, without par value New York Stock Exchange\nSecurities registered pursuant to Section 12(g) of the Act: None\nIndicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES \n NO \nIndicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. 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YES \n NO \nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be \ncontained, to the best of registrant’s knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form \n10-K or any amendment to this Form 10-K. \nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting \ncompany. See the definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange \nAct.\nLarge accelerated filer \n Accelerated filer \nNon-accelerated filer \n (Do not check if a smaller reporting company) Smaller reporting company \nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). YES \n NO \nAs of August 1, 2014 the aggregate market value of the Registrant’s voting and non-voting stock held by non-affiliates of the Registrant was \napproximately $10.6 billion using the closing sales price on that day of $68.95. On March 2, 2015, 190,405,729 shares of common stock \nwere outstanding.\nDOCUMENTS INCORPORATED BY REFERENCE\nPortions of the Proxy Statement for the 2015 Annual Meeting of Shareholders scheduled to be held on May 5, 2015 are incorporated into \nPart III.", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "parsec-scale jet region and the population of external\nphotons that is being upscattered to γ-rays.\nIn Figure 5, the ratio between Lγ and νLν,1mm re-\nflects the division between BL Lacs and FSRQs as well\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0806.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFIG. 1: Single Crab occultation step in a single GBM NaI\ndetector. Horizontal scale is in seconds centered on the\noccultation time. Vertical scale is in measured counts.\nThe shape of the individual occultation steps de-\npends on energy and occultation angle. Transmis-\nsion as a function of time is modeled as T(t) =\nexp[−µ(E)A(h)], where µ(E) is the mass attenuation\ncoefficient of gamma rays at energy E in air and A(h)\nis the air mass along the line of sight at a given alti-\ntude h(t). Account is taken of the detector response\nas it changes as a function of angle across the fit win-\ndow. For each source, occultation times are predicted.\nEach step is fit over a 4-minute window along with a\nquadratic background and using an assumed spectrum\nto determine the detector count rate due to the source.\nThe instrument response is used to convert the count\nrate to a flux. Up to 31 steps are possible for a given\nsource in a day, and these steps are summed to get a\nsingle daily average flux. The GBM occultation sensi-\ntivity exceeds that of BATSE at energies below ∼ 25\nkeV and above ∼ 1.5 MeV [5].\nThis work uses the GBM CTIME data, with its\n8 broad energy channels and 0.256-second resolution,\nrebinned to 2-second resolution. The occultation tech-\nnique relies on an input catalog of known sources.\nCurrently, we are monitoring 64 sources. Of these\n64 sources, 6 steady sources are detected above 100\nkeV with a significance of at least 5σafter ∼ 490 days\nof observations, and one transient source.\nIII. RESULTS\nThe results presented here are preliminary. We\nhave not completed the fine tuning of our algorithms,\nthough the average fluxes are not expected to change\nmuch. Future work will include using the GBM\nCSPEC data, with its finer energy binning, to exam-\nine the detailed spectra for these sources.\nThe measured 20 - 50 keV GBM light curves are\ncompared to Swift’s 15 - 50 keV light curves for sev-\nFIG. 2: Crab light curve. Horizontal scale is in modified\nJulian days over the 490 day GBM exposure period. Ver-\ntical scale is in photons/cm 2/sec/keV averaged over daily\nintervals. Horizontal lines show the average flux in each of\nfive energy bands increasing from top to bottom\neral sources over the same time intervals in ref. [2],\nwhere it is seen that the results measured by the two\ninstruments compare well. At energies above the up-\nper energy limit of ∼ 195 keV of the Swift 22-month\ncatalog [6], however, the GBM observations provide\nthe only wide-field monitor available of the low en-\nergy gamma ray sky.\nA. Steady Sources\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, and GRS 1915+105 are detected by\nGBM at energies above 100 keV. We show GBM light\ncurves generated from the Earth occultation analysis\nin several energy bands with one day resolution for\nthese six sources in Figures 2 - 7.\nTable I gives the fluxes and significances averaged\nover all the days from Aug. 12, 2008 (the beginning of\nscience operations) to Dec. 15, 2009, approximately\n490 days.\nThe Crab (Fig. 2) spectrum in the hard x-ray/low\nenergy gamma-ray region can be described by a bro-\nken power law, with the spectrum steepening at 100\nkeV and then hardening at 650 keV [7, 8]. While the\nGBM CTIME data do not have the spectral resolution\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "the 20 mg/L CNTOT standard. The highest \nmonthly reading obtained was 12.0 mg/L CNTOT \nwith an annual average of 8.4 mg/L CNTOT.\nBirds continue to nest and breed near the tail-\nings storage facility, confirming that our cyanide \ndischarge presents no environmental hazard. \nOngoing cyanide destruction is also assisted by \nnumerous introduced micro-organisms which \nare able to degrade free cyanide to carbon \ndioxide and ammonia.\nDust Management\nChatree’s aim is to produce minimal dust and \nnoise and thereby reduce neighbouring concerns \nby maintaining all mine roadways in good order \nthrough regular gravel sheeting and watering. \nEffective noise bunds have been developed \naround operations. In some circumstances, \noperations have been restricted to daylight \nhours. Dust monitoring stations have been \nestablished in nine surrounding villages. All \nresults from the regular monitoring and \nsampling program have been within required \nquality standards.\nIncident Reporting\nThere were 66 environmental events during the \nyear. All were minor and there were no report-\nable incidents. \nOperations Report\ncontinued\nu\nOperations Report", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "aggressive goals for both sales and profit growth for 2003. The\ntime is right for these businesses to lead the way to our return\nto profitability — particularly our liquid-crystal display, envi-\nronmental and semiconductor optics businesses. These are\nstrong businesses which continue to set the standard for their\nmarkets and have plenty of growth potential. If the industries\nin which we participate expand as we expect, we have every\nconfidence these businesses will be able to meet their goals.\nWe are also well on our way toward getting our optical fiber\nand cable operations back to profitability as we reduce our\nfixed cost structure. In October, we announced plans to\nclose several of our fiber plants and to streamline our cable\n2001\nWORLDWIDE REVENUES\nC ORNING T ELECOMMUNICA TIONS 74%\nC ORNING T ECHNOLOGIES 26%\n2", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "1 ea.\n(spare)\nName Qty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n12V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1\nDust Cover1\nSpecifications 1\nPacking Slip 1\nQuality Inspection Certificate1\n1 ea.\n(spare)", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "NAVWEPS 00-BOT-80 \nSTABILITY AND CONTROL \n4 STABLE, POSITIVE CyAC \nCM .ICl-2A-rI\\,C C~ I IDIIETAIPI e \nI ai* \nSTABLE, NEGATIVE f&AC \n) =3=Ez.,. \nCM + CL \n\\ \nSUBSONIC - \n\\ \nSUPERSONIC \nFigure 4.7. Effect of CM~~ C. G. Position and Mach Nimber \n255", - "page_start": 272, - "page_end": 272, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What satellite is the Gamma Ray Burst Observatory on?", - "target_page": 1, - "target_passage": " Fermi satellite", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nObservations of Soft Gamma Ray Sources> 100 keV Using Earth Occultation\nwith GBM\nG.L. Case, M.L. Cherry, J. Rodi\nDept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\nA. Camero-Arranz\nFundaci´ on Espa˜ nola de Ciencia y Tecnolog´ ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\nE. Beklen\nMiddle East Technical University (METU), 06531, Ankara, Turkey\nC. A. Wilson-Hodge\nNASA Marshall Space Flight Center, Huntsville, AL 35812\nP. Jenke\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece\nUniversity of Alabama in Huntsville, Huntsville, AL 35899\nM.H. Finger\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being\nused for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth\noccultation technique demonstrated previously by the BATSE instrument on the Compton Gamma\nRay Observatory, GBM produces multiband light curves and spectra for known sources and transient\noutbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage\nof the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies\nbelow ∼ 25 keV and above ∼ 1.5 MeV. We describe the technique and present preliminary results\nafter the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected:\nthe Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source\nXTE J1752-223.\nI. INTRODUCTION\nThe Gamma ray Burst Monitor (GBM) on Fermi is\ncurrently the only instrument in orbit providing nearly\ncontinuous full sky coverage in the hard X-ray/low\nenergy gamma ray energy range. The Earth occul-\ntation technique, used very successfully on BATSE,\nhas been adapted to GBM. An initial catalog of 64\nsources is currently being monitored and continuously\naugmented. At energies above 100 keV, six steady\nsources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, GRS 1915+105) and one transient\nsource (XTE J1752-223) have been detected in the\nfirst year of observation. We describe the instrument,\noutline the technique, and present light curves for the\nseven sources.\nII. GBM AND THE EARTH OCCULTATION\nOBSERVATIONAL TECHNIQUE\nThe Gamma ray Burst Monitor is the secondary\ninstrument onboard the Fermi satellite [1, 2]. It con-\nsists of 12 NaI detectors 5 ′′in diameter by 0.5 ′′thick\nmounted on the corners of the spacecraft and oriented\nsuch that they view the entire sky not occulted by the\nEarth. GBM also contains 2 BGO detectors 5 ′′in di-\nameter by 5 ′′ thick located on opposite sides of the\nspacecraft. None of the GBM detectors have direct\nimaging capability.\nKnown sources of gamma ray emission can be mon-\nitored with non-imaging detectors using the Earth oc-\ncultation technique, as was successfully demonstrated\nwith BATSE [3, 4]. When a source of gamma rays\nis occulted by the Earth, the count rate measured by\nthe detector will drop, producing a step-like feature.\nWhen the source reappears from behind the Earths\nlimb, the count rate will increase, producing another\nstep. The diameter of the Earth seen from Fermi is\n∼ 140◦, so roughly 30% of the sky is occulted by the\nEarth at any one time. Coupled with the ±35◦slew-\ning of the pointing direction every orbit, this means\nthat the entire sky is occulted every two orbits. With\nan altitude of 565 km, a period of 96 minutes, and\nan orbital inclination of 26 .5◦, individual occultation\nsteps last for ∼10 seconds (Fig. 1).\neConf C091122\narXiv:1001.0955v2 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "servations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-\nphysical sources [4]. VERITAS began scientific obser-\nvations with a partial array in September 2006 and has\nroutinely observed with the full array since Septem-\nber 2007. The performance metrics of VERITAS in-\nclude an energy threshold of∼ 100 GeV, an energy\nresolution of ∼ 15%, an angular resolution of ∼ 0.1◦,\nand a sensitivity yielding a 5 σ detection of a 1% Crab\nNebula flux object in <30 hours 1. VERITAS has an\nactive maintenance program (e.g. frequent mirror re-\ncoating and alignment) to ensure its continued high\nperformance over time, and an upgrade improving\nboth the camera (higher quantum-efficiency PMTs)\nand the trigger system has been proposed to the fund-\ning agencies.\n1A VERITAS telescope was relocated during Summer 2009,\nincreasing the array’s sensitivity by a factor ∼ 1.3.\neConf C091122", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nTABLE I: Fluxes and Significance in High Energy Bands\n50 - 100 keV 100 - 300 keV 300 - 500 keV\nFlux Error Signif. Flux Error Signif. Flux Error Signif.\n(mCrab) (mCrab) (σ) (mCrab) (mCrab) (σ) (mCrab) (mCrab) (σ)\nCrab 1000 3 336 1000 6 182 1000 47 21.2\nCen A 72 4 18 108 7 15 42 47 0.9\nCyg X-1 1130 4 283 1094 8 137 474 50 9.5\nGRS 1915+105 121 4 30 49 7 7 41 52 0.8\n1E 1740-29 113 5 23 96 10 10 97 68 1.4\nSWIFT 1753.5-0127 135 5 27 151 9 17 131 64 2.0\nXTE J1752-223 770 16 48 622 30 21 132 218 0.6\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in mod-\nified Julian days.\nwill use the GBM CSPEC data with their finer energy\nbins to obtain a fit to the spectrum and compare the\npower law index to that measured by Integral.\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with\nthe compact object likely being a black hole. Swift\ndiscovered this source when it observed a large flare\nin July of 2005. The source did not return to qui-\nescence but settled into a low intensity hard state\n[14]. BATSE occultation measurements from 1991-\n2000 showed no significant emission from this source\nabove 25 keV [15]. The GBM results show that this\nsource is still in a hard state, with significant emis-\nsion above 100 keV. We will continue to monitor this\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale\nis in modified Julian days.\nsource while it is in the hard state, with longer obser-\nvations potentially verifying significant emission above\n300 keV.\nB. Transient Source\nThe new transient black hole candidate XTE\nJ1752-223 rose from undetectable on 2009 October\n24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab\n(25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and\n330 ± 100 mCrab (100 - 300 keV) on 2009 November\n2 [2, 16]. The light curve is variable, especially in the\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nFIG. 3: Cen A light curve. Horizontal scale is in modified\nJulian days.\nto observe these breaks, GBM is able to see significant\nemission above 300 keV, consistent with the canonical\nhard spectrum.\nCen A(Fig. 3) is a Sy 2 galaxy that is the brightest\nAGN in hard x-rays/low energy gamma rays. It has\na hard spectrum (Γ = 1 .8) and has been observed at\nenergies > 1 MeV [9]. The GBM results are consis-\ntent with this hard spectrum, though GBM does not\nhave the sensitivity to determine if the hard spectrum\ncontinues beyond 300 keV or if the spectrum cuts off.\nCyg X-1 (Fig. 4) is a HMXB and one of the\nfirst systems determined to contain a black hole. It\nhas been observed to emit significant emission above\n100 keV including a power law tail extending out to\ngreater than 1 MeV [10, 11]. The GBM results show\nsignificant emission above 300 keV, consistent with\nthe power law tail observed when Cyg X-1 is in its\nhard state.\nGRS 1915+105(Fig. 5) is a LMXB with the com-\npact object being a massive black hole. Evidence for\nemission above 100 keV has been seen previously [12]\nwith BATSE. The GBM light curve integrated over\n490 days shows significant emission above 100 keV.\n1E 1740-29 (Fig. 6) is a LMXB very near the\nGalactic Center. It is a microquasar, and spends most\nof its time in the low/hard state. Integral observa-\ntions indicate the presence of a power law tail above\n200 keV [13]. The present GBM results are consis-\ntent with this high energy emission. In the future, we\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modi-\nfied Julian days.\nFIG. 5: GRS 1915+105 light curve. Horizontal scale is in\nmodified Julian days.\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFIG. 1: Single Crab occultation step in a single GBM NaI\ndetector. Horizontal scale is in seconds centered on the\noccultation time. Vertical scale is in measured counts.\nThe shape of the individual occultation steps de-\npends on energy and occultation angle. Transmis-\nsion as a function of time is modeled as T(t) =\nexp[−µ(E)A(h)], where µ(E) is the mass attenuation\ncoefficient of gamma rays at energy E in air and A(h)\nis the air mass along the line of sight at a given alti-\ntude h(t). Account is taken of the detector response\nas it changes as a function of angle across the fit win-\ndow. For each source, occultation times are predicted.\nEach step is fit over a 4-minute window along with a\nquadratic background and using an assumed spectrum\nto determine the detector count rate due to the source.\nThe instrument response is used to convert the count\nrate to a flux. Up to 31 steps are possible for a given\nsource in a day, and these steps are summed to get a\nsingle daily average flux. The GBM occultation sensi-\ntivity exceeds that of BATSE at energies below ∼ 25\nkeV and above ∼ 1.5 MeV [5].\nThis work uses the GBM CTIME data, with its\n8 broad energy channels and 0.256-second resolution,\nrebinned to 2-second resolution. The occultation tech-\nnique relies on an input catalog of known sources.\nCurrently, we are monitoring 64 sources. Of these\n64 sources, 6 steady sources are detected above 100\nkeV with a significance of at least 5σafter ∼ 490 days\nof observations, and one transient source.\nIII. RESULTS\nThe results presented here are preliminary. We\nhave not completed the fine tuning of our algorithms,\nthough the average fluxes are not expected to change\nmuch. Future work will include using the GBM\nCSPEC data, with its finer energy binning, to exam-\nine the detailed spectra for these sources.\nThe measured 20 - 50 keV GBM light curves are\ncompared to Swift’s 15 - 50 keV light curves for sev-\nFIG. 2: Crab light curve. Horizontal scale is in modified\nJulian days over the 490 day GBM exposure period. Ver-\ntical scale is in photons/cm 2/sec/keV averaged over daily\nintervals. Horizontal lines show the average flux in each of\nfive energy bands increasing from top to bottom\neral sources over the same time intervals in ref. [2],\nwhere it is seen that the results measured by the two\ninstruments compare well. At energies above the up-\nper energy limit of ∼ 195 keV of the Swift 22-month\ncatalog [6], however, the GBM observations provide\nthe only wide-field monitor available of the low en-\nergy gamma ray sky.\nA. Steady Sources\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E\n1740-29, Cen A, and GRS 1915+105 are detected by\nGBM at energies above 100 keV. We show GBM light\ncurves generated from the Earth occultation analysis\nin several energy bands with one day resolution for\nthese six sources in Figures 2 - 7.\nTable I gives the fluxes and significances averaged\nover all the days from Aug. 12, 2008 (the beginning of\nscience operations) to Dec. 15, 2009, approximately\n490 days.\nThe Crab (Fig. 2) spectrum in the hard x-ray/low\nenergy gamma-ray region can be described by a bro-\nken power law, with the spectrum steepening at 100\nkeV and then hardening at 650 keV [7, 8]. While the\nGBM CTIME data do not have the spectral resolution\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample,\nwhere the blazars are more distributed around αS ∼ 0.\nas the presence of SSC versus ERC. Here, we use sub-\nmillimeter luminosity as a proxy for jet power, which\nis correlated with the integrated luminosity of the syn-\nchrotron component. Elevated γ-ray luminosity with\nrespect to the synchrotron component (which is often\nseen in FSRQs) suggests the upscattering of external\nphotons off the synchrotron-emitting electrons. These\nobjects should occupy the upper right of the ratio/jet\npower plot, and BL Lacs, which generally exhibit com-\nponents with roughly comparable luminosities, should\noccupy the lower left. It is clear from the figure, how-\never, that many FSRQs exhibit ratios similar to those\nof the BL Lacs and vis versa.\nSikora et al. [10] report that, during its flaring\nepochs, 3C 454.3 transitions from its typical FSRQ\nstate to a more BL Lac-like state, where the syn-\nchrotron component emits much more strongly com-\npared to the γ-ray component than during its “low\nstate”. 3C 454.3, which is the highest submillime-\nter luminosity FSRQ in our sample, would then shift\ndown and to the right in Figure 5 when it enters a\nflaring period. For the first three months of the Fermi\nmission, 3C 454.3 was not flaring, which may explain\nits present location in Figure 5. The three objects for\nwhich there is a type discrepancy between CGRaBS\nand LBAS are all FSRQs (in CGRaBS) and exhibit\nlow luminosity ratios and high luminosity, which sug-\ngest they may be undergoing the same changes as 3C\n454.3. A possible interpretation of the elevated lumi-\nnosity ratios observed in some BL Lacs objects is that\nthere has been a dramatic increase in γ-ray luminos-\nity due to ERC, which would not be reflected in the\nsynchrotron component.\n5. CONCLUSIONS\nThe motivation for observing blazars in the sub-\nmillimeter is to study behavior close to the central\nengine, where the jet material is presumably still be-\ning accelerated. The separate emission processes that\ncontribute to overall SED may present differently in\nBL Lacs and FSRQs, allowing us to understand the\nsimilarities and differences between blazar types. We\nhave investigated these differences between objects in\nterms of submillimeter behavior and, in conclusion,\nfind that\n•The SMA blazars exhibit submillimeter energy\nspectral indexes that follow the spectral se-\nquence interpretation of blazars.\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe first two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\n3. VERITAS Blazar KSP\nVERITAS observes for ∼ 750 h and ∼ 250 h each\nyear during periods of astronomical darkness and par-\ntial moonlight, respectively. The moonlight observa-\ntions are almost exclusively used for a blazar discovery\nprogram, and a large fraction of the dark time is used\nfor the blazar KSP, which consists of:\n• A VHE blazar discovery program ( ∼ 200 h / yr):\nEach year ∼ 10 targets are selected to receive\n∼ 10 h of observations each during astronomi-\ncal darkness. These data are supplemented by\ndiscovery observations during periods of partial\nmoonlight.\n• A target-of-opportunity (ToO) observation pro-\ngram (∼ 50 h / yr): VERITAS blazar obser-\nvations can be triggered by either a VERI-\nTAS blazar discovery, a VHE flaring alert (>2\nCrab) from the blazar monitoring program of\nthe Whipple 10-m telescope or from another\nVHE instrument, or a lower-energy flaring alert\n(optical, X-ray or Fermi-LAT). Should the guar-\nanteed allocation be exhausted, further time can\nbe requested from a pool of director’s discre-\ntionary time.\n• Multi-wavelength (MWL) studies of VHE\nblazars (∼ 50 h / yr + ToO): Each year one\nblazar receives a deep exposure in a pre-planned\ncampaign of extensive, simultaneous MWL (X-\nray, optical, radio) measurements. ToO observa-\ntion proposals for MWL measurements are also\nsubmitted to lower-energy observatories (e.g.\nSwift) and are triggered by a VERITAS discov-\nery or flaring alert.\n• Distant VHE blazar studies to constrain the ex-\ntragalactic background light (EBL): Here dis-\ntant targets are given a higher priority in the\nblazar discovery program, as well as for the\nMWL observations of known VHE blazars, par-\nticularly those with hard VHE spectra.\n4. Blazar Discovery Program\nThe blazars observed in the discovery program are\nlargely high-frequency-peaked BL Lac objects. How-\never, the program also includes IBLs (intermediate-\npeaked) and LBLs (low-peaked), as well as flat spec-\ntrum radio quasars (FSRQs), in an attempt to in-\ncrease the types of blazars known to emit VHEγ-rays.\nThe observed targets are drawn from a target listcon-\ntaining objects visible to the telescopes at reasonable\nzenith angles (− 8◦ < δ < 72◦), without a previously\npublished VHE limit below 1.5% Crab, and with a\nmeasured redshiftz < 0. 3. To further the study of the\nEBL a few objects having a large ( z > 0. 3) are also\nincluded in the target list. The target list includes:\n• All nearby ( z < 0. 3) HBL and IBL recom-\nmended as potential VHE emitters in [5, 6, 7].\n• The X-ray brightest HBL ( z < 0. 3) in the recent\nSedentary [8] and ROXA [9] surveys.\n• Four distant ( z > 0. 3) BL Lac objects recom-\nmended by [5, 10].\n• Several FSRQ recommended as potential VHE\nemitters in [6, 11].\n• All nearby ( z < 0. 3) blazars detected by\nEGRET [12].\n• All nearby ( z < 0. 3) blazars contained in the\nFermi-LAT Bright AGN Sample [13].\n• All sources ( |b| > 10◦) detected by Fermi-LAT\nwhere extrapolations of their MeV-GeV γ-ray\nspectrum (including EBL absorption; assuming\nz = 0.3 if the redshift is unknown) indicates a\npossible VERITAS detection in less than 20 h.\nThis criteria is the focus of the 2009-10 VERI-\nTAS blazar discovery program.\n5. VERITAS AGN Detections\nVERITAS has detected VHE γ-ray emission from\n16 AGN (15 blazars), including 8 VHE discoveries.\nThese AGN are shown in Table I, and each has been\ndetected by the Large Area Telescope (LAT) instru-\nment aboard the Fermi Gamma-ray Space Telescope.\nEvery blazar discovered by VERITAS was the sub-\nject of ToO MWL observations to enable modeling of\nits simultaneously-measured SED. The known VHE\nblazars detected by VERITAS were similarly the tar-\ngets of MWL observations.\n5.1. Recent VERITAS Blazar Discoveries\nPrior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "When in present-day Poland did the first shift away from earlier ancestry occur?", - "target_page": 3, - "target_passage": "in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Fig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing \nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup-\nplementary Table 3).\nIn the region of present-day Poland, our analysis suggests several \nclear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce \nto 1000 bce), we observe a clear shift away from preceding ancestry \noriginally associated with Corded Ware cultures55 (Fig. 3a). Second, \nin the first to fifth century ce, individuals associated with Wielbark \nculture5,12 show an additional strong shift away from the preceding \nBronze Age groups, and can only be modelled with a >75% component \nattributed to the EIA Scandinavian Peninsula. Multiple individuals, \nespecially from earlier Wielbark cemeteries, have approximately 100%", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "122 | Nature | Vol 637 | 2 January 2025\nArticle\nmedieval individuals (P ≪ 1 × 10−32). Instead, the majority of individuals \nfrom medieval Poland can be modelled only as a mixture of ancestries \nrelated to Roman Iron Age Lithuania, which is similar to ancestries of \nindividuals from middle to late Bronze Age Poland (44%, 95% confidence \ninterval 36–51%), an ancestry component related to Hungarian Scyth-\nians or Slovakian La T ène individuals (49%, 95% confidence interval \n41–57%) and potentially a minority component of ancestry related to \nSarmatians from the Caucasus (P = 0.13) (Fig. 2c). Four out of twelve \nindividuals from medieval Poland, three of whom are from the late \nViking Age6, carried detectable Scandinavian-related ancestry. Some \nof the ancestry detected in individuals from later medieval Poland may \nhave persisted during the late first millennium ce in the cremating \nportion of the population, but regardless, this points to large-scale \nancestry transformation in medieval Poland (Fig. 3a). Future data could \nshed light on the extent to which this reflects the influence of groups \nspeaking Slavic languages in the region.\nIn present-day Slovakia, individuals associated with the Iron \nAge La T ène period appear close to Hungarian Scythians in the two \ndimensions of our MDS analysis, and are modelled as a mixture of \ncentral and eastern European ancestry. However, a first-century ce \nburial of a 50–60-year-old woman from Zohor is modelled only with \nScandinavian-related ancestry, providing evidence of ancestry related \nto the Scandinavian EIA appearing southwest of the range of the Wiel-\nbark archaeological complex5,57 (Fig. 3b). Later early medieval individu-\nals from Slovakia have partial Scandinavian-related ancestry, providing \nevidence for the integration between expanding and local groups.\nNearby, in present-day Hungary, we observe Scandinavian-related \nancestry components in several burials dating to the sixth century \nce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). \nThis is consistent with the original study10, which reported affinity to \npresent-day groups from northwestern Europe (GBR, CEU and FIN in \nthe 1000 Genomes Project (1000GP))10 but which we can resolve with \n3000 BCE 2000 BCE 1000 BCE 1000 CE 2000 CE\nScandinavia\nSouthern Europe\nBritain\nCentral\nEurope\nEastern Europe\nBA\nItaly\nCentral Europe\n3000 BCE 2000 BCE\nEBA\n1000 BCE\nTime\n01 000 CE 2000 CE\nMLBA Wielbark Middle Ages\nLate Roman/Ottoman\nEarly Medieval\nBaiuvarii\nMedieval/present day\nEarly Medieval/LongobardIron Roman\nPresent day\nPresent dayBA/Scythian\nBell Beaker/EBA\nZohor\nSoutheastern Europe\nPoland\nBritain and Ireland\nScandinavia\ne\nf\nd\nc\nb\na\nIron Roman\nIron/Republic Imperial Late Antiquity (Early) Medieval\nEarly Medieval\nPresent day\nPresent dayMedievalIron RomanBA\nBA EIA Viking AgeM edieval Present day\nDrif/f_ield\nTerrace\nTarquinia\nLate Etruscan\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n2000 BCE 0\n3000 BCE 2000 BCE 1000 BCE 01 000 CE 2000 CE\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n3000 BCE 2000 BCE 1000 BCE 01 000 CE 2000 CE\nFig. 3 | Time transects across six geographical regions in Europe. \na–f, Ancestry change visualized over a time transect spanning from the Bronze \nAge to the present day in Poland (a), southeastern Europe ( b), central Europe \n(c), Italy (d), Britain and Ireland (e) and Scandinavia (f). The maps show sample \nlocations of all available ancient genomes with at least 0.5× coverage from \nthese regions (Supplementary Table 1). Their ancestry is shown on the same \nMDS model as in Fig.  2a for each time period. For each geographic region, \nthe early medieval period is highlighted in orange and the area in the MDS \ncorresponding to Scandinavian and central European ancestries is highlighted \nin an orange box.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "enslaved gladiators63,64.\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early \nmedieval groups from present-day Poland and Slovakia carry spe -\ncific ancestry from one of the Scandinavian EIA groups—the one with \nindividuals primarily from the northern parts of Scandinavia in the \nEIA—with no evidence of ancestry related to the other primary group \nin more southern Scandinavia (Fig. 2d). By contrast, in southern and \nwestern Europe, Scandinavian-related ancestry either derives from \nEIA southern Scandinavia—as in the cases of the probable Baiuvarii \nin Germany, Longobard-associated burials in Italy and early medieval \nburials in southern Britain—or cannot be resolved to a specific region \nin Scandinavia. If these expansions are indeed linked to language, this \npattern is remarkably concordant with the main branches of Germanic \nlanguages, with the now-extinct eastern Germanic spoken by Goths in \nUkraine on the one hand, and western Germanic languages such as Old \nEnglish and Old High German recorded in the early medieval period \non the other hand.\nInflux into pre-Viking Age Scandinavia\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo-\ngeneity. Specifically, individuals from Denmark (100 ce–300 ce) were \nindistinguishable from contemporary people in the Scandinavian Pen-\ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry \nalready in the eighth century ce (Late Iron Age/early Viking Age) on \nZealand (present-day Denmark) for which a 100% EIA ancestry model \nis rejected (P = 1 × 10−17 using Twigstats; P = 7.5 × 10−4 without). This \nshift in ancestry persists among later Viking Age groups in Denmark, \nwhere all groups are modelled with varying proportions of ancestry \nrelated to Iron Age continental groups in central Europe (Figs.  3f \nand 4c). A non-parametric MDS of Viking Age individuals suggests \nthat variation between individuals forms a cline spanning from the \nEIA Scandinavian Peninsula individuals to ancestry characteristic of \ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark \ncannot be confounded by potentially earlier unknown gene flow into \nIron Age source groups in Austria, France and Germany, but such gene \nflow could affect the exact ancestry proportions.\nThese patterns are consistent with northward expansion of ancestry, \npotentially starting before the Viking Age, into the Jutland peninsula \nand Zealand island towards southern Sweden. The geographical ori-\ngin of this ancestry is currently difficult to discern, as the available \nsamples from Iron Age central Europe remain sparse. The timing \nof this expansion is constrained only by the samples available: this \nancestry is not observed in individuals from the Copenhagen area of \nDenmark (around 100 ce–300 ce)6, an individual from the southern tip \nof Sweden (around 500 ce)16, individuals from the Sandby Borg mas-\nsacre site on Öland in present-day Sweden (around 500 ce)7 and 31 indi-\nviduals from the mid-eighth century Salme ship burials in present-day \nEstonia (Extended Data Fig. 9), who probably originated in central \nSweden6. Therefore, this ancestry transformation most likely post- \ndated these individuals in each particular region and mostly occurred \nin the second half of the first millennium ce.\nT o assess the full extent of the impact of this ancestry influx into \nScandinavia, we next aimed to understand the ancestry of individu-\nals in Scandinavia during the Viking Age. Previous studies have sug-\ngested that there was a diversity of ancestries in Scandinavia during this \nperiod6,7,65, due to increased maritime mobility, but have not reported \nper-individual ancestry estimates based on preceding ancestry. We \nanalysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "118 | Nature | Vol 637 | 2 January 2025\nArticle\nHigh-resolution genomic history of early \nmedieval Europe\nLeo Speidel1,2,3 ✉, Marina Silva1, Thomas Booth1, Ben Raffield4, Kyriaki Anastasiadou1, \nChristopher Barrington5, Anders Götherström6,7, Peter Heather8 & Pontus Skoglund1 ✉\nMany known and unknown historical events have remained below detection thresholds \nof genetic studies because subtle ancestry changes are challenging to reconstruct. \nMethods based on shared haplotypes1,2 and rare variants3,4 improve power but are not \nexplicitly temporal and have not been possible to adopt in unbiased ancestry models. \nHere we develop Twigstats, an approach of time-stratified ancestry analysis that can \nimprove statistical power by an order of magnitude by focusing on coalescences in \nrecent times, while remaining unbiased by population-specific drift. We apply this \nframework to 1,556 available ancient whole genomes from Europe in the historical \nperiod. We are able to model individual-level ancestry using preceding genomes to \nprovide high resolution. During the first half of the first millennium ce, we observe \nat least two different streams of Scandinavian-related ancestry expanding across \nwestern, central and eastern Europe. By contrast, during the second half of the first \nmillennium ce, ancestry patterns suggest the regional disappearance or substantial \nadmixture of these ancestries. In Scandinavia, we document a major ancestry influx \nby approximately 800 ce, when a large proportion of Viking Age individuals carried \nancestry from groups related to central Europe not seen in individuals from the early \nIron Age. Our findings suggest that time-stratified ancestry analysis can provide a \nhigher-resolution lens for genetic history.\nAncient genome sequencing has revolutionized our ability to recon-\nstruct expansions, migrations and admixture events in the ancient past \nand understand their impact on human genetic variation today. How-\never, tracing history using genetic ancestry has remained challenging, \nparticularly in historical periods for which the richest comparative \ninformation from history and archaeology often exists. This is because \nancestries in many geographical regions are often so similar as to be \nstatistically indistinguishable with current approaches. One example is \nnorthern and central Europe since the start of the Iron Age around 500 \nbce, a period for which many long-standing questions remain, such as \nthe nature of large-scale patterns of human migration during the fourth \nto sixth centuries ce, their impact on the Mediterranean world and later \npatterns of human mobility during the Viking Age (around 750–1050 ce).\nSeveral recent studies have documented substantial mobility and \ngenetic diversity in these time periods, suggesting stable population \nstructure despite high mobility5, and have revealed genetic variation \nin Viking Age Scandinavia6–8, early medieval England3,9, early medieval \nHungary10,11 and Iron Age and medieval Poland12. However, previous \nstudies mostly used large modern cohorts to study ancestry change \nthrough time and space. This is because the differentiation between \nIron Age groups in central and northern Europe is an order of magnitude \nlower (fixation index (FST) = 0.1–0.7%; Extended Data Fig. 1) than, for \nexample, the more commonly studied hunter-gatherer, early farmer \nand steppe-pastoralist groups that shaped the ancestry landscape of \nStone Age and Bronze Age Europe13–16 (FST = 5–9% (refs. 13,17)). Modern \npopulations provide more power to detect differences, but their genetic \naffinity to ancient individuals may be confounded by later gene flow, \nthat is, after the time of the ancient individual(s)18. The most principled \napproach is thus to build ancestry models in which source and ‘out-\ngroup/reference’ populations are older than, or at least contemporary \nwith, the target genome or group that we are trying to model18. However,", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 123\nhigher resolution using earlier genomes. Several other individuals from \nthese Longobard burials (Longobard_earlyMED(II)) show no detectable \nancestry from northern Europe and, instead, are more closely related to \nIron Age groups in continental central Europe, putatively representing \ndescendants of local people buried in a Longobard style. Our results are \nconsistent with attestations that the Longobards originated in the areas \nof present-day northern Germany or Denmark, but that by the sixth \ncentury ce they incorporated multiple different cultural identities, and \nmixed ancestries. Present-day populations of Hungary do not appear \nto derive detectable ancestry from early medieval individuals from \nLongobard contexts, and are instead more similar to Scythian-related \nancestry sources (Extended Data Fig. 6), consistent with the later impact \nof Avars, Magyars and other eastern groups58.\nIn southern Germany, the genetic ancestry of individuals from \nearly medieval Bavaria probably associated with the historical \nGermanic-language-speaking Baiuvarii59 cannot be modelled as deriv-\ning ancestry solely from earlier groups in Iron Age central Germany \n(P ≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the \nfifth century ce59, but their origins remain unresolved. Our current \nbest model indicates a mixture with ancestry derived from EIA Pen-\ninsular Scandinavia and central Europe, suggesting an expansion of \nScandinavian-related ancestry producing a regional ancestry shift \n(Figs. 2c and 3c).\nIn Italy, southward expansions of northern and central European ances-\ntries appear by the Late Antiquity (approximately fourth century ce), \nwhere a clear diversification of ancestry can be observed compared \nwith preceding time periods (Fig. 3d). However, no individuals with \nnear 100% Scandinavian ancestry can be observed in the sampling \ndata available so far.\nIn Britain, the ancestries of Iron Age and Roman individuals form a \ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available \npreceding Bronze Age individuals from Ireland and Orkney, and adja-\ncent to, but distinct from, available individuals in Iron Age and Roman \ncentral Europe. However, two first- to second-century ce burials from a \nRoman military fortress site in Austria (Klosterneuburg)5 carry ancestry \nthat is currently indistinguishable from Iron Age or Roman popula-\ntions of Britain, to the exclusion of other groups (qpWave cladality \nP = 0.11). One option is that they had ancestry from Britain; alternatively, \ncurrently unsampled populations from western continental Europe \ncarried ancestries similar to Iron Age southern Britain.\nTwigstats substantially improves models of admixture between \nancestries from Iron Age Britain and northern Europe in early medi-\neval England9, halving standard errors from 9% with SNPs to 4% when \nusing time stratification (point estimates 80% and 79% Iron Age \nBritain-related ancestry, respectively). We used this improved reso-\nlution to demonstrate that an earlier Roman individual (6DT3) dating \nto approximately second to fourth century ce from the purported \ngladiator or military cemetery at Driffield T errace in York (Roman \nEboracum), England60, who was previously identified as an ancestry \noutlier61,62, specifically carried approximately 25% EIA Scandinavian \nPeninsula-related ancestry (Fig. 2c). This documents that people with \nScandinavian-related ancestry already were in Britain before the fifth \ncentury ce, after which there was a substantial influx associated with \nAnglo-Saxon migrations9. Although it is uncertain whether this indi-\nvidual was a gladiator or soldier, individuals and groups from northern \nEurope are indeed recorded in Roman sources both as soldiers and as \nenslaved gladiators63,64.\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "admixture (Extended Data Fig. 5d). Application of Twigstats on empiri-\ncal whole genomes produces results inconsistent with deep substruc-\nture alone, but consistent with punctual admixture.\nAncestry models of early medieval Europe\nHaving demonstrated that the Twigstats approach can effectively \nimprove resolution and statistical power to test ancestry models and \nestimate proportions, we turn to the history of early medieval Europe. \nIn the first half of the first millennium ce, Roman historians such as \nTacitus and Ammianus Marcellinus described the geographical dis-\ntribution and movements of groups beyond the imperial frontier and \nsuggested a potential role for them in the fall of the western Roman \nEmpire52. However, the exact nature and scale of these historically \nattested demographic phenomena—and their genetic impact—\nhave been questioned53, and have been difficult to test with genetic \napproaches owing to the close relations shared between many groups \nthat were ostensibly involved. Less is understood at further distances \nfrom the Roman frontier owing to a lack of historical accounts. The \nimproved statistical power of time-restricted ancestry in Twigstats \nthus offers an opportunity to revisit these questions.\nT o develop an ancestry model for early medieval individuals (Supple-\nmentary Table 1), we first need a broad characterization of the ancestry \nof the earlier sources from the early Iron Age (EIA) and Roman periods. \nWe use hierarchical UPGMA clustering based on pairwise clade testing \nbetween all individuals, and formally test the cladality of proposed \nancestry groups with qpWave5 (cladality in this sense means whether \nthey are consistent with being symmetrically related to all other tested \ngroups; Methods). This resulted in a set of model ancestry sources \nthat included Iron Age and Roman Britain (n = 11), the Iron Age of cen-\ntral European regions of mostly Germany, Austria and France (n = 10), \nRoman Portugal (n = 4), Roman Italy (n = 10), Iron Age Lithuania (n = 5), \nthe EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several \nother more eastern groups dating to the Bronze Age and EIA (n = 25) \n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm \napproach54 to narrow down the set of contributing sources from this \nlarger pool of putative sources.\nWe additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-f3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-f3 sta-\ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig.  2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured.\nExpansions of Scandinavian-like ancestry\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 121\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul-\nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce 56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record).\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre-\nceding Iron Age or Bronze Age group providing a reasonable fit for the \na\nScandinavian Peninsula EIA\nBritain\nCentral Europe\nPortugal\nHungary and Slovakia\nEastern Europe\nItaly\n0.002\n0\n–0.002 Dimension 1\n–0.004\n–0.002 –0.001 0 0.001\nDimension 2\n0.002 0.003 0.004\nTwigstats f3-statistics\nScandinavian Peninsula EIA\nDenmark IA\nEarly medieval,\nincluding Wielbark,\nBaiuvarii,\nLongobards,\nEngland earlyMED,\nSlovakia earlyMED\nEngland Dif/f_ield Terrace\nRegular f3-statistics\nDrif/f_ield Terrace\nRoman outlier (second to\nfourth century CE)\n1\nAnatolia_EBA\nAustria_Klosterneuburg_Roman\nBaiuvari_earlyMED\nBritain.lronRoman\nCentraIEurope.IronRoman(l)\nCentraIEurope.IronRoman(Il)\nCentraIEurope.IronRoman(IIl)\nCordedWare_EBA\nCroatia.IronRoman_oNorthEurope\nDenmark_BA IrelandOrkney_BA\nHungarySlovakia.lronRoman\nHungary_earlyMED(II)\nHungary_earlyMED(I)\nEngland.Drif/f_ield.Terrace.Scandinavia\nEngland_earlyMED_midCNE\nEngland_earlyMED_lowCNE\nEngland_earlyMED_highCNE\nDenmark_IA\nDenmark_EVA\nDimension 2\n0.002 0.003\nTwigstats f3-statistics\n0.004\nPoland_BA Saami\nRussia_Sarmatian\nPortugal.lronRoman\nPolandUkraine_MLBA(II)\nPolandUkraine_MLBA(I)\nPoland_Wielbark(III)\nPoland_Wielbark(II)\nPoland_Wielbark(I)\nPoland_Middle_Ages(II)\nPoland_Middle_Ages(I) Scandinavian_Peninsula_EIA(I)\nScandinavian_Peninsula_EIA(II)\nSlovakia_Zohor_Germanic_Roman\nSlovakia_earlyMED\nSlovenia.lronRoman\nSlovenia.Roman.oNorthEurope\nNetherlands_Friesland_earlyMED\nMontenegro_earlyMED\nLongobard_earlyMED(II)\nLongobard_earlyMED(I)\nLithuania.lronRoman\nKyrgyzstan_TianShanHun\nltaly.lronRepublic\nltaly.lmperial(ll)\nItaly.lmperial(l)\n0.0010–0.001–0.002\n–0.004\n–0.002\n0\nItaly\n0.002Dimension 1\nPortugal\nCentral\nEurope\nBritain\nHungary and Slovakia\nEastern Europe\n28\n2\n3 13\n3.3\nI II III 6\nWielbark, Poland\n(/f_irst to third century CE)\nMedieval Poland (tenth\nto eleventh century CE)\n2\nIron Age, Denmark\n(/f_irst to third century CE)\nFriesland, the Netherlands\n(/f_ifth to sixth century CE)\nBaiuvarii\n(/f_ifth century CE)\nLongobard\n(sixth century CE)\nEarly medieval\nSlovakia\n(third to /f_ifth century CE)\nZohor, Slovakia\n(/f_irst to second\ncentury CE)\nLa Tène, Slovakia\n(/f_irst century BCE\nto /f_irst century CE)\n2.1\nLow CNE Mid CNE High CNE\nEarly medieval England\n(/f_ifth to eighth century CE)\n9\nII I 7\n4.7\n1\n3\nbc\nd\nIron Age, Denmark Early Viking, Salme\nDrif/f_ield Terrace\nRoman outlier\nEarly\nmedieval England\nWielbark, Poland\nEarly medievalZohor\nLongobardBaiuvarii\nFriesland, the\nNetherlandsMid CNELow CNE\nI II\nFig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. \na, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \nf3 statistics (outgroup: Han Chinese people). These are calculated using", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 125\n(including one with ancestry related to Britain) are part of the majority \nstrontium values, consistent with them having grown up locally. By \ncontrast, the six most clearly non-local individuals based on the sta-\nble isotopes all have 50% or more EIA Scandinavian Peninsula-related \nancestry, although three individuals with wholly EIA Scandinavian \nPeninsula-related ancestry also had local values. This suggests that \nthe presence of central European-related ancestry was not a transient \nphenomenon, but an ancestry shift that occurred at some point after \nabout 500 ce, the period to which individuals from the massacre site \nat Sandby Borg ringfort on Öland were dated; these individuals all have \nstrictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is \nthat the massacre at Sandby Borg could represent conflict associated \nwith movements of people that contributed to later ancestry change, \nalthough other scenarios are possible and further synthesis of biomo-\nlecular and archaeological data is necessary to test this hypothesis.\nViking Age mobility into Scandinavia\nPrevious studies had suggested a major influx of ancestry related to \nBritain into Viking Age Scandinavia 6,7. Although we detect this ances-\ntry in some individuals (7 individuals in Norway, 14 in Denmark and \n14 in Sweden), including some individuals whose ancestry appears to \nbe entirely derived from Iron Age Britain, its overall impact appears \nreduced compared with previous reports. Our analysis indicates a pro-\nportionally larger impact of ancestry from Iron Age Britain in northern \nNorway, with southern Scandinavia predominantly influenced by \ncontinental central European ancestries (Fig.  4d). We hypothesize \nthat our estimates of ancestry from Britain are reduced relative to \nprevious studies because ancestry related to Britain and continen-\ntal central Europe may have been indistinguishable. This could be \ndue to a lack of statistical power to distinguish these closely related \nsources with standard methods, as well as through potential biases \nintroduced by using modern surrogate populations that have since \nbeen influenced by later gene flow (such as gene flow into Britain). \nWe illustrate this by replicating the analyses previously described 6,7 \n(Extended Data Fig. 8).\nSimilarly, a previous study has suggested that individuals at sites such \nas Kärda in southern Sweden carried ancestry from southern Europe6. \nIn our models, two Kärda individuals fit with central European-related \nancestry, but none of the individuals has a substantial proportion of \nancestry related to southern European sources (Extended Data Fig. 9). \nInstead, we detect ancestry from southern European sources in only \nthree individuals from Scandinavia, and in relatively small propor -\ntions (Fig. 4a).\nInterestingly, we detect ancestry from Bronze and Iron Age sources \nfrom Eastern Europe (present-day Lithuania and Poland), concentrated \nin southeastern parts of Sweden, particularly the island of Gotland \n(14 individuals; Fig.  4a). This is consistent with previous genetic \nstudies6,7. We find that this ancestry is enriched in male individuals \n(Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. \nThe closest match tends to be Roman Iron Age Lithuanian genomes \nassociated with Balts, which would be consistent with mobility across \nthe Baltic Sea, but we caution that the geographical representation of \navailable genomes is still limited.\nViking Age expansion from Scandinavia\nTraditionally, historical perspectives on what is now often referred \nto as the Viking diaspora placed an emphasis on the movements and \nsettlements of population groups from various parts of Scandinavia67. \nOur explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "Our explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10).\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \nCollege, Oxford6, show ancestries typical of those seen in Viking Age \nsouthern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age \nindividuals in the Faroe Islands, Iceland and Greenland carry ancestry \nfrom the Scandinavian Peninsula, with several individuals showing the \ncontinental central Europe-related ancestry signal found in south -\nern Scandinavia (Fig. 4f ) and others who share substantial ancestry \nwith Iron Age Britain. In contrast to previous hypotheses68, we found \na marginal enrichment of ancestry related to Britain and Ireland in \nmen (15 out of 17 men and 3 out of 6 women with at least one accepted \nmodel involving Iron or Roman Age Britain as source; Fisher’s exact \ntest P = 0.089) (Extended Data Fig. 7c,e). However, sampling of addi-\ntional individuals to improve distinction between early English- and \nNorse-related ancestries would be required to fully test this hypothesis.\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking \nAge burial from Ukraine, and these ancestries are overrepresented \nin Viking Age burials from present-day Russia. At Staraya Ladoga in \nwestern Russia, we observe several individuals with EIA Scandinavian \nPeninsula-related ancestry and at least one individual dated to the \neleventh century with apparent ancestry related to Iron Age Britain. \nThe relative absence of Iron Age central European ancestry, which was \nlargely restricted to southern Scandinavia during the Viking Age, is thus \nindicative that these individuals may have originated in the central/\nnorthern parts of Sweden or Norway, where Viking Age individuals \nshow the most similar ancestry profiles to them.\nConclusions\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica -\nble to f-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi-\ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world.\nOnline content\nAny methods, additional references, Nature Portfolio reporting summa-\nries, source data, extended data, supplementary information, acknowl-\nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2.\n1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data. PLoS Genet. 8, 11–17 (2012).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason \nwhy this is a principled approach despite the 1000GP groups post-dating \nthe ancient individuals is that if a group of ancient individuals are truly \nhomogeneous, they will be so also with respect to later individuals.\nWe then define clusters by running UPGMA (unweighted pair group \nmethod with arithmetic mean) on −log 10[P values] obtained from \nqpwave between all pairs of individuals and cut the resulting dendro-\ngram at a height corresponding to a P value of 0.01. We then further \nsubdivide clusters by requiring all samples to be within 500 years of \nthe mean cluster age.\nT o choose the source groups shown in Fig. 2a and Extended Data \nFig. 1d, we run this algorithm on samples from Iron and Roman Age \nEurope (Supplementary Table 1). We retain groups that have at least \nthree individuals and, therefore, exclude clusters of size one or two.\nThis approach results in two clusters in the Scandinavian Penin -\nsula, approximately separating northern from southern Scandinavia, \nthree clusters in Poland and Ukraine that separate samples tempo-\nrally between the early and later Bronze Age, a cluster combining the \nHungarian Scythian and Slovakian La T ène-associated individuals, \nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu-\nania. In present-day Austria, Germany and France, this approach \nidentifies three clusters, with each cluster spanning multiple archae-\nological sites in different countries, indicating genetic diversity in \nthis region in the first millennium ce. Encouragingly, these clusters \nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that \nwe are capturing real genetic differences between groups using this \napproach.\nFine-scale structure in Neolithic Europe. T o quantify fine-scale struc-\nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select \nindividuals in Neolithic Europe who have not yet been affected by the \narrival of Steppe ancestry and do not show excess hunter-gatherer \nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and \nWestern Hunter-gatherers as source groups and reference groups \naccording to a previously proposed qpAdm setup46 (Supplementary \nTable 1). For this analysis, we infer ancestry using qpAdm applied to \n1.2 million SNP sites of imputed genomes. We retain only Neolithic \nindividuals with P  > 0.01, z < 2 for Yamnaya ancestry, and z  < 2 or \nproportion <0.25 for Western Hunter-gatherer ancestry.\nReporting summary\nFurther information on research design is available in the Nature Port-\nfolio Reporting Summary linked to this article.\nData availability\nAll aDNA data used in this study were publicly available, and accession \ncodes are listed in Supplementary Table 1.\nCode availability\nTwigstats is freely available under an MIT licence through GitHub \n(https://github.com/leospeidel/twigstats), and detailed documenta-\ntion, as well as example data, is available at https://leospeidel.github.\nio/twigstats/. The code has also been deposited at Zenodo (https://\nzenodo.org/records/13833120)76. All scripts to reproduce simulations, \nand to run Relate on imputed ancient genomes, and downstream \nanalyses, including computation of f-statistics and running qpAdm \nmodels, are available through GitHub (https://github.com/leospeidel/ \ntwigstats_paper).\n \n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting \ncomplex models of population history to f-statistics. eLife 12, e85492 (2023).\n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and \ngenealogical analysis for large sample sizes. PLoS Comput. Biol. 12, e1004842 \n(2016).\n72. da Mota, B. S. et al. Imputation of ancient human genomes. Nat. Commun. 14, 3660 \n(2023).\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation \nof low-coverage sequencing data using large reference panels. Nat. Genet. 53, 120–126", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "How many clusters has the Scandinavian peninsula been divided into thanks to Twigstats?", - "target_page": 12, - "target_passage": "This approach results in two clusters in the Scandinavian Penin- sula, approximately separating northern from southern Scandinavia", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "analysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted \nto recent coalescences with Twigstats (more than 80% of accepted \none-source models in Twigstats were also accepted one-source models \nusing all SNPs, compared with less than 17% for the inverse).\nWe investigated regional differences in non-local ancestry across \nScandinavia. In Denmark, 25 out of 53 Viking Age individuals had detect-\nable (z-score > 1) central European-related ancestry (CentralEurope.\nIronRoman or Portugal.IronRoman) in their best accepted qpAdm \nmodels. In Sweden 20 out of 62 individuals had detectable central \nEuropean-related ancestry, concentrated almost entirely in southern \nregions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed \nin only 2 out of 24 individuals, indicating a wide-ranging impact of \nincoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "Article\nExtended Data Fig. 5 | Three examples of applying Twigstats. a Fine-scale \npopulation structure simulation emulating ref. 39 (see Methods for simulation \ndetails). First two principal components are computed from pairwise outgroup \nf3 statistics on the genotypes directly and on Relate trees inferred from the \n50 target individuals. Labels in plots show the average coordinates of members \nof that population. For each panel, we calculate a separation index (SI) as in 39, \nwhich we define as the proportion of individuals for which the closest \nindividual (by the Euclidean distance in PC space) is in the same population. \nb, Fine-scale genetic structure in Neolithic Europe quantified using an MDS \ncalculated on a symmetric matrix that contains all pairwise outgroup f 3 \nstatistics (outgroup: YRI) between individuals. These are either calculated \ndirectly on genotypes or calculated using Twigstats on Relate genealogies \nwith a cutoff of 1000 generations. Individuals were selected by filtering based \non Steppe and Western Hunter-gatherer ancestry (Methods). c , Admixture \nproportions inferred using qpAdm with three distal sources of Western \nHunter-gatherers, early European farmers, and Yamnaya Steppe people 46. \nWe show results for Twigstats-5000. Bias is measured as the difference in \nadmixture proportions obtained from Twigstats-5000 and all SNPs, and \nwe show standard errors of the latter. We plot two standard errors around \nthe mean. The standard error improvement shown is one minus the ratio of \nstandard errors obtained from Twigstats-5000 and using all SNPs. d, Neanderthal \nadmixture proportion inferred using an f 4-ratio of the form f4(outgroup, Altai, \ntarget, Mbuti)/ f4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic \nvariation data from the Simon’s Genome Diversity Project (SGDP) 75 and use the \nhigh-coverage Altai and Vindija Neanderthals 78,79. We also compute equivalent \nf4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years \nago and a second simulation involving no Neanderthal admixture but deep \nstructure that leads to a similar inference unless deep coalescences are ignored \nby Twigstats. We plot two standard errors around the mean.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed3.pdf" - }, - { - "text": "admixture (Extended Data Fig. 5d). Application of Twigstats on empiri-\ncal whole genomes produces results inconsistent with deep substruc-\nture alone, but consistent with punctual admixture.\nAncestry models of early medieval Europe\nHaving demonstrated that the Twigstats approach can effectively \nimprove resolution and statistical power to test ancestry models and \nestimate proportions, we turn to the history of early medieval Europe. \nIn the first half of the first millennium ce, Roman historians such as \nTacitus and Ammianus Marcellinus described the geographical dis-\ntribution and movements of groups beyond the imperial frontier and \nsuggested a potential role for them in the fall of the western Roman \nEmpire52. However, the exact nature and scale of these historically \nattested demographic phenomena—and their genetic impact—\nhave been questioned53, and have been difficult to test with genetic \napproaches owing to the close relations shared between many groups \nthat were ostensibly involved. Less is understood at further distances \nfrom the Roman frontier owing to a lack of historical accounts. The \nimproved statistical power of time-restricted ancestry in Twigstats \nthus offers an opportunity to revisit these questions.\nT o develop an ancestry model for early medieval individuals (Supple-\nmentary Table 1), we first need a broad characterization of the ancestry \nof the earlier sources from the early Iron Age (EIA) and Roman periods. \nWe use hierarchical UPGMA clustering based on pairwise clade testing \nbetween all individuals, and formally test the cladality of proposed \nancestry groups with qpWave5 (cladality in this sense means whether \nthey are consistent with being symmetrically related to all other tested \ngroups; Methods). This resulted in a set of model ancestry sources \nthat included Iron Age and Roman Britain (n = 11), the Iron Age of cen-\ntral European regions of mostly Germany, Austria and France (n = 10), \nRoman Portugal (n = 4), Roman Italy (n = 10), Iron Age Lithuania (n = 5), \nthe EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several \nother more eastern groups dating to the Bronze Age and EIA (n = 25) \n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm \napproach54 to narrow down the set of contributing sources from this \nlarger pool of putative sources.\nWe additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-f3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-f3 sta-\ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig.  2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured.\nExpansions of Scandinavian-like ancestry\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "computed jointly with individuals from later periods using pairwise outgroup \nf3 statistics (outgroup: Han Chinese people). These are calculated using \nTwigstats on Relate genealogies with a cut-off of 1,000 generations. The \ngeographical map shows sampling locations of these individuals. b , The \ngenetic structure of ancient groups predominantly from early medieval \ncontexts shown on the same MDS as in a . The magnified inset shows an MDS \ncomputed without Twigstats on the same samples as the Twigstats MDS and \nfocusing on early medieval or later individuals. c, Ancestry models of early \nmedieval (EM) groups across Europe computed using qpAdm. Sample sizes are \nshown in black boxes. Sources are highlighted in a and marked as bold in the \nkey, and were used in a rotational qpAdm scheme. For each target group, we \nremove models with infeasible admixture proportions (falling outside [0, 1]) \nand use a Twigstats cut-off of 1,000 generations. All models satisfy P > 0.01, \nunless a −log10[P value] is shown next to the model. If models satisfy P > 0.05, \nwe show all such models; otherwise, we show only the model with the largest \nP value. d, The ancestry proportion derived from EIA Scandinavia in groups \nwith a non-zero component of this ancestry. We show groups modelled in c \nthat have a feasible model (P > 0.01). In c,d, we show one s.e. BA, Bronze Age; \nCNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking \nAge; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "Article\nExtended Data Fig. 9 | Ancestry models of Viking Age individuals in \nScandinavia. a, MDS of each Scandinavian Viking group plotted on top of \npreceding Iron age and Roman individuals. b, All accepted qpAdm models using \nTwigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, \nand Norway, computed in a rotational qpAdm with source groups identical to \nFig. 4. We only retain models with feasible admixture proportions, standard \nerrors of <0.25, and show models with 1 source and a p-value greater than 0.01 \nor otherwise with 2 sources and a p-value greater than 0.01. If several models \nsatisfy p > 0.05, we show all such models, otherwise we select the model with \nthe largest p-value. The -log10 p-values are shown to the left of each model. \nWe combine models involving related sources, if they exist, by averaging their \nrespective admixture proportions, standard errors, and p-values. We plot one \nstandard error.", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed3.pdf" - }, - { - "text": "Our explorative MDS analysis again indicates mixed ancestries related \nto the Scandinavian EIA, with regional differences that point to varied \nlocal admixture (Fig. 4e and Extended Data Fig. 10).\nIn Britain, most of the individuals recovered from the two late Viking \nAge mass graves identified at Ridgeway Hill, Dorset, and St John’s \nCollege, Oxford6, show ancestries typical of those seen in Viking Age \nsouthern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age \nindividuals in the Faroe Islands, Iceland and Greenland carry ancestry \nfrom the Scandinavian Peninsula, with several individuals showing the \ncontinental central Europe-related ancestry signal found in south -\nern Scandinavia (Fig. 4f ) and others who share substantial ancestry \nwith Iron Age Britain. In contrast to previous hypotheses68, we found \na marginal enrichment of ancestry related to Britain and Ireland in \nmen (15 out of 17 men and 3 out of 6 women with at least one accepted \nmodel involving Iron or Roman Age Britain as source; Fisher’s exact \ntest P = 0.089) (Extended Data Fig. 7c,e). However, sampling of addi-\ntional individuals to improve distinction between early English- and \nNorse-related ancestries would be required to fully test this hypothesis.\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking \nAge burial from Ukraine, and these ancestries are overrepresented \nin Viking Age burials from present-day Russia. At Staraya Ladoga in \nwestern Russia, we observe several individuals with EIA Scandinavian \nPeninsula-related ancestry and at least one individual dated to the \neleventh century with apparent ancestry related to Iron Age Britain. \nThe relative absence of Iron Age central European ancestry, which was \nlargely restricted to southern Scandinavia during the Viking Age, is thus \nindicative that these individuals may have originated in the central/\nnorthern parts of Sweden or Norway, where Viking Age individuals \nshow the most similar ancestry profiles to them.\nConclusions\nOur approach, Twigstats, transfers the power advantage of haplotype- \nbased approaches to a fully temporal framework, which is applica -\nble to f-statistics and enables previously unavailable unbiased and \ntime-stratified analyses of admixture. We demonstrated that Twigstats \nenables fine-scale quantitative modelling of ancestry proportions, \nrevealing wide-ranging ancestry changes that affect northern and \ncentral Europe during the Iron, Roman and Viking ages. We reveal evi-\ndence of the southward and/or eastward expansion of individuals who \nprobably spoke Germanic languages and who had Scandinavian-related \nancestry in the first half of the first millennium ce. We note that \n‘Scandinavian-related’ in this context relates to the ancient genomes \navailable, and so it is entirely possible that these processes were driven, \nfor example, from regions in northern-central Europe. This could be \nconsistent with the attraction of the greater wealth, which tended to \nbuild up among Rome’s immediate neighbours and may have played \na major role in vectors of migration internal to communities in Europe \nwho lived beyond the Roman frontier52. Later, patterns of gene flow \nseem to have turned northwards, with the spread of Iron Age Central \nEurope-related ancestry into Scandinavia. Overall, our approach can \nbe used for the reconstruction of new high-resolution genetic histories \naround the world.\nOnline content\nAny methods, additional references, Nature Portfolio reporting summa-\nries, source data, extended data, supplementary information, acknowl-\nedgements, peer review information; details of author contributions \nand competing interests; and statements of data and code availability \nare available at https://doi.org/10.1038/s41586-024-08275-2.\n1. Lawson, D. J., Hellenthal, G., Myers, S. & Falush, D. Inference of population structure using \ndense haplotype data. PLoS Genet. 8, 11–17 (2012).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "Extended Data Fig. 10 | Ancestry models of farflung Viking individuals. \na, MDS of each farflung Viking group plotted on top of preceding Iron age and \nRoman individuals. b , All accepted qpAdm models using Twigstats-1000 for \nevery non-Scandinavian Viking individual computed in a rotational qpAdm \nwith source groups identical to Fig.  4. We plot one standard error.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed3.pdf" - }, - { - "text": "enslaved gladiators63,64.\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early \nmedieval groups from present-day Poland and Slovakia carry spe -\ncific ancestry from one of the Scandinavian EIA groups—the one with \nindividuals primarily from the northern parts of Scandinavia in the \nEIA—with no evidence of ancestry related to the other primary group \nin more southern Scandinavia (Fig. 2d). By contrast, in southern and \nwestern Europe, Scandinavian-related ancestry either derives from \nEIA southern Scandinavia—as in the cases of the probable Baiuvarii \nin Germany, Longobard-associated burials in Italy and early medieval \nburials in southern Britain—or cannot be resolved to a specific region \nin Scandinavia. If these expansions are indeed linked to language, this \npattern is remarkably concordant with the main branches of Germanic \nlanguages, with the now-extinct eastern Germanic spoken by Goths in \nUkraine on the one hand, and western Germanic languages such as Old \nEnglish and Old High German recorded in the early medieval period \non the other hand.\nInflux into pre-Viking Age Scandinavia\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo-\ngeneity. Specifically, individuals from Denmark (100 ce–300 ce) were \nindistinguishable from contemporary people in the Scandinavian Pen-\ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry \nalready in the eighth century ce (Late Iron Age/early Viking Age) on \nZealand (present-day Denmark) for which a 100% EIA ancestry model \nis rejected (P = 1 × 10−17 using Twigstats; P = 7.5 × 10−4 without). This \nshift in ancestry persists among later Viking Age groups in Denmark, \nwhere all groups are modelled with varying proportions of ancestry \nrelated to Iron Age continental groups in central Europe (Figs.  3f \nand 4c). A non-parametric MDS of Viking Age individuals suggests \nthat variation between individuals forms a cline spanning from the \nEIA Scandinavian Peninsula individuals to ancestry characteristic of \ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark \ncannot be confounded by potentially earlier unknown gene flow into \nIron Age source groups in Austria, France and Germany, but such gene \nflow could affect the exact ancestry proportions.\nThese patterns are consistent with northward expansion of ancestry, \npotentially starting before the Viking Age, into the Jutland peninsula \nand Zealand island towards southern Sweden. The geographical ori-\ngin of this ancestry is currently difficult to discern, as the available \nsamples from Iron Age central Europe remain sparse. The timing \nof this expansion is constrained only by the samples available: this \nancestry is not observed in individuals from the Copenhagen area of \nDenmark (around 100 ce–300 ce)6, an individual from the southern tip \nof Sweden (around 500 ce)16, individuals from the Sandby Borg mas-\nsacre site on Öland in present-day Sweden (around 500 ce)7 and 31 indi-\nviduals from the mid-eighth century Salme ship burials in present-day \nEstonia (Extended Data Fig. 9), who probably originated in central \nSweden6. Therefore, this ancestry transformation most likely post- \ndated these individuals in each particular region and mostly occurred \nin the second half of the first millennium ce.\nT o assess the full extent of the impact of this ancestry influx into \nScandinavia, we next aimed to understand the ancestry of individu-\nals in Scandinavia during the Viking Age. Previous studies have sug-\ngested that there was a diversity of ancestries in Scandinavia during this \nperiod6,7,65, due to increased maritime mobility, but have not reported \nper-individual ancestry estimates based on preceding ancestry. We \nanalysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "124 | Nature | Vol 637 | 2 January 2025\nArticle\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When \nconsidered collectively, the individuals who show evidence of central \nEuropean-related ancestry are mostly observed in regions histori -\ncally within the Danish sphere of influence and rule. Currently, no such \nindividuals, for example, are noted in eastern central Sweden, which \nwas a focus of regional power of the Svear (Fig. 4a). The difference in \ndistribution could suggest that the central European-related ancestry \nwas more common in regions dominated by the historical Götar and \ngroups inhabiting the lands on the borders of the Danish kingdom.\nT o test the extent to which the variation in ancestry was consistent \nwith mobility during the lifetime of the individuals or, alternatively, \nthat of established groups, we focused on the island of Öland in south-\neast Sweden, where 23 individuals for whom we could reconstruct \nancestry portraits also had associated strontium stable isotope data66. \nStrontium isotope data from dental enamel reflect the geology of the \nregion where an individual grew to maturity, and there are considerable \ndifferences in expectations between Öland and many other regions \nin northern Europe. The full range of strontium isotope ratios in 109 \nindividuals show two modes, a majority group with low ratios and a \nsecond minority group with high ratios falling outside the expected \nrange of local fauna (Fig. 4b). Among 23 individuals with genomes in \nour data, all 5 individuals with 100% ancestry relating to central Europe \nSouthern Europe\nScandinavian Peninsula EIA\nCentral\nEurope\nEastern Europe\nBritain\nSouthern Europe\nScandinavian Peninsula EIA\nCentral\nEurope\nEastern Europe\nBritain\nSouthern Europe\nScandinavian Peninsula EIA\nCentral\nEurope\nEastern Europe\nBritain\nSouthern Europe\nScandinavian Peninsula EIA\nCentral\nEurope\nEastern Europe\nBritain\nProportion of ancestry\nScandinavian Peninsula\n70.5\n87Srf/86Sr\n0.71 0.72 0.73 0.74 0\n0.5\n1.0\n0\n0.5\n1.0\n1 2 1\n3.2\n3.1\n17.0\n1.7\n15.7\n6.1\n20.8\n17.5\n1.6\n2\n0\n0.25\n0.50\n0.75\n1.00\nb\n0\n10\n20\n30\n40\n50Stable isotope histogram counts\nAncestry proportion\nContinental-related ancestry\n67.5\n64.5\n61.5\n58.5\n55.5\nCentral Europe Britain\nNorway_VA\nLatitude\nDenmark_VA Far/f_lung_VA\nSweden_VA\n0\n0.25 0.50 0.75 1.00\n1 2 1 2 1 2\nAll SNPs\nTwigstats 1,000\nFaroes\nIreland\nIsle of Man\nOrkney_VA\nOxford_VA\nZealand_VA(7)Langeland_VA(18)Jutland_VA(13)Funen_VA(12)Denmark_EVA(3)\nc\nd\ne\nf\na\nScandinavian Peninsula EIA Central Europe Iron Roman Britain Iron RomanS outhern Europe Eastern Europe\nDorset_VA\nIceland\nGreenland\nSlovenia.Roman.oNorthEurope\nSlovenia.lronRoman\nSlovakia.MigrationPeriod\nSlovakia_Zohor_Germanic_Roman\nScandinavian_Peninsula_EIA(II)\nScandinavian_Peninsula_EIA(I)\nSaami\nRussia_Sarmatian\nPortugal.lronRoman\nPolandUkraine_MLBA(II)\nPolandUkraine_MLBA(I)\nPoland_Wielbark(III)\nPoland_Wielbark(II)\nPoland_Wielbark(I)\nPoland_Middle_Ages(II)\nPoland_BA\nNetherlands_Friesland_Saxon\nLongobard_EMED(II)\nMontenegro_EM\nLongobard_EMED(I)\nLithuania.lronRoman\nKyrgyzstan_TianShanHun\nltaly.lronRepublic\nltaly.lmperial(lI)\nItaly.lmperial(l)\nIrelandOrkney_BA\nHungarySlovakia.lronRoman\nHungary_EM(II)\nHungary_EM(I)\nEngland.Roman.Gladiator.Scandinavia\nEngland_Saxon_midCNE\nEngland_Saxon_lowCNE\nEngland_Saxon_highCNE\nDenmark_IA\nDenmark_EVA\nDenmark_BA\nCroatia.lronRoman_oNorthEurope\nCordedWare_EBA\nCentraIEurope.IronRoman(lII)\nCentraIEurope.lronRoman(lI)\nCentraIEurope.lronRoman(l)\nBritain.lronRoman\nBaiuvarii_EMED\nAustria_Klosterneuburg_Roman\nAnatolia EBA\nPoland_Middle_Ages(I)\nRussia\nUkraine\n0\n0.25 0.50 0.75 1.00\n0\n0.25 0.50 0.75 1.00\nFig. 4 | Ancestry in the Viking world. a, Map showing ancestry carried by \nScandinavian Viking Age individuals as inferred using the best-fitting qpAdm \nmodel. These are chosen by either choosing the one-source model with largest \nP value and P > 0.01 or the two-source model with the largest P value and P > 0.01.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed3.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 121\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul-\nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce 56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record).\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre-\nceding Iron Age or Bronze Age group providing a reasonable fit for the \na\nScandinavian Peninsula EIA\nBritain\nCentral Europe\nPortugal\nHungary and Slovakia\nEastern Europe\nItaly\n0.002\n0\n–0.002 Dimension 1\n–0.004\n–0.002 –0.001 0 0.001\nDimension 2\n0.002 0.003 0.004\nTwigstats f3-statistics\nScandinavian Peninsula EIA\nDenmark IA\nEarly medieval,\nincluding Wielbark,\nBaiuvarii,\nLongobards,\nEngland earlyMED,\nSlovakia earlyMED\nEngland Dif/f_ield Terrace\nRegular f3-statistics\nDrif/f_ield Terrace\nRoman outlier (second to\nfourth century CE)\n1\nAnatolia_EBA\nAustria_Klosterneuburg_Roman\nBaiuvari_earlyMED\nBritain.lronRoman\nCentraIEurope.IronRoman(l)\nCentraIEurope.IronRoman(Il)\nCentraIEurope.IronRoman(IIl)\nCordedWare_EBA\nCroatia.IronRoman_oNorthEurope\nDenmark_BA IrelandOrkney_BA\nHungarySlovakia.lronRoman\nHungary_earlyMED(II)\nHungary_earlyMED(I)\nEngland.Drif/f_ield.Terrace.Scandinavia\nEngland_earlyMED_midCNE\nEngland_earlyMED_lowCNE\nEngland_earlyMED_highCNE\nDenmark_IA\nDenmark_EVA\nDimension 2\n0.002 0.003\nTwigstats f3-statistics\n0.004\nPoland_BA Saami\nRussia_Sarmatian\nPortugal.lronRoman\nPolandUkraine_MLBA(II)\nPolandUkraine_MLBA(I)\nPoland_Wielbark(III)\nPoland_Wielbark(II)\nPoland_Wielbark(I)\nPoland_Middle_Ages(II)\nPoland_Middle_Ages(I) Scandinavian_Peninsula_EIA(I)\nScandinavian_Peninsula_EIA(II)\nSlovakia_Zohor_Germanic_Roman\nSlovakia_earlyMED\nSlovenia.lronRoman\nSlovenia.Roman.oNorthEurope\nNetherlands_Friesland_earlyMED\nMontenegro_earlyMED\nLongobard_earlyMED(II)\nLongobard_earlyMED(I)\nLithuania.lronRoman\nKyrgyzstan_TianShanHun\nltaly.lronRepublic\nltaly.lmperial(ll)\nItaly.lmperial(l)\n0.0010–0.001–0.002\n–0.004\n–0.002\n0\nItaly\n0.002Dimension 1\nPortugal\nCentral\nEurope\nBritain\nHungary and Slovakia\nEastern Europe\n28\n2\n3 13\n3.3\nI II III 6\nWielbark, Poland\n(/f_irst to third century CE)\nMedieval Poland (tenth\nto eleventh century CE)\n2\nIron Age, Denmark\n(/f_irst to third century CE)\nFriesland, the Netherlands\n(/f_ifth to sixth century CE)\nBaiuvarii\n(/f_ifth century CE)\nLongobard\n(sixth century CE)\nEarly medieval\nSlovakia\n(third to /f_ifth century CE)\nZohor, Slovakia\n(/f_irst to second\ncentury CE)\nLa Tène, Slovakia\n(/f_irst century BCE\nto /f_irst century CE)\n2.1\nLow CNE Mid CNE High CNE\nEarly medieval England\n(/f_ifth to eighth century CE)\n9\nII I 7\n4.7\n1\n3\nbc\nd\nIron Age, Denmark Early Viking, Salme\nDrif/f_ield Terrace\nRoman outlier\nEarly\nmedieval England\nWielbark, Poland\nEarly medievalZohor\nLongobardBaiuvarii\nFriesland, the\nNetherlandsMid CNELow CNE\nI II\nFig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. \na, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \nf3 statistics (outgroup: Han Chinese people). These are calculated using", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "What are the cultures with which the Wielbark culture is associated?", - "target_page": 4, - "target_passage": "linked to the later Chernyakhov cul- ture to the southeast and to early Goths", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Nature | Vol 637 | 2 January 2025 | 121\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark \narchaeological complex has been linked to the later Chernyakhov cul-\nture to the southeast and to early Goths, an historical Germanic group \nthat flourished in the second to fifth centuries ce 56. Our modelling \nsupports the idea that some groups that probably spoke Germanic \nlanguages from Scandinavia expanded south across the Baltic into \nthe area between the Oder and Vistula rivers in the early centuries ce, \nalthough whether these expansions can be linked specifically with \nhistorical Goths is still debatable. Moreover, since a considerable \nproportion of Wielbark burials during this period were cremations, \nthe possible presence of individuals with other ancestries cannot be \nstrictly rejected if they were exclusively cremated (and are therefore \ninvisible in the aDNA record).\nA previous study could not reject continuity in ancestry from the \nWielbark-associated individuals to later medieval individuals from \na similar region12. With the improved power of Twigstats, models of \ncontinuity are strongly rejected, with no one-source model of any pre-\nceding Iron Age or Bronze Age group providing a reasonable fit for the \na\nScandinavian Peninsula EIA\nBritain\nCentral Europe\nPortugal\nHungary and Slovakia\nEastern Europe\nItaly\n0.002\n0\n–0.002 Dimension 1\n–0.004\n–0.002 –0.001 0 0.001\nDimension 2\n0.002 0.003 0.004\nTwigstats f3-statistics\nScandinavian Peninsula EIA\nDenmark IA\nEarly medieval,\nincluding Wielbark,\nBaiuvarii,\nLongobards,\nEngland earlyMED,\nSlovakia earlyMED\nEngland Dif/f_ield Terrace\nRegular f3-statistics\nDrif/f_ield Terrace\nRoman outlier (second to\nfourth century CE)\n1\nAnatolia_EBA\nAustria_Klosterneuburg_Roman\nBaiuvari_earlyMED\nBritain.lronRoman\nCentraIEurope.IronRoman(l)\nCentraIEurope.IronRoman(Il)\nCentraIEurope.IronRoman(IIl)\nCordedWare_EBA\nCroatia.IronRoman_oNorthEurope\nDenmark_BA IrelandOrkney_BA\nHungarySlovakia.lronRoman\nHungary_earlyMED(II)\nHungary_earlyMED(I)\nEngland.Drif/f_ield.Terrace.Scandinavia\nEngland_earlyMED_midCNE\nEngland_earlyMED_lowCNE\nEngland_earlyMED_highCNE\nDenmark_IA\nDenmark_EVA\nDimension 2\n0.002 0.003\nTwigstats f3-statistics\n0.004\nPoland_BA Saami\nRussia_Sarmatian\nPortugal.lronRoman\nPolandUkraine_MLBA(II)\nPolandUkraine_MLBA(I)\nPoland_Wielbark(III)\nPoland_Wielbark(II)\nPoland_Wielbark(I)\nPoland_Middle_Ages(II)\nPoland_Middle_Ages(I) Scandinavian_Peninsula_EIA(I)\nScandinavian_Peninsula_EIA(II)\nSlovakia_Zohor_Germanic_Roman\nSlovakia_earlyMED\nSlovenia.lronRoman\nSlovenia.Roman.oNorthEurope\nNetherlands_Friesland_earlyMED\nMontenegro_earlyMED\nLongobard_earlyMED(II)\nLongobard_earlyMED(I)\nLithuania.lronRoman\nKyrgyzstan_TianShanHun\nltaly.lronRepublic\nltaly.lmperial(ll)\nItaly.lmperial(l)\n0.0010–0.001–0.002\n–0.004\n–0.002\n0\nItaly\n0.002Dimension 1\nPortugal\nCentral\nEurope\nBritain\nHungary and Slovakia\nEastern Europe\n28\n2\n3 13\n3.3\nI II III 6\nWielbark, Poland\n(/f_irst to third century CE)\nMedieval Poland (tenth\nto eleventh century CE)\n2\nIron Age, Denmark\n(/f_irst to third century CE)\nFriesland, the Netherlands\n(/f_ifth to sixth century CE)\nBaiuvarii\n(/f_ifth century CE)\nLongobard\n(sixth century CE)\nEarly medieval\nSlovakia\n(third to /f_ifth century CE)\nZohor, Slovakia\n(/f_irst to second\ncentury CE)\nLa Tène, Slovakia\n(/f_irst century BCE\nto /f_irst century CE)\n2.1\nLow CNE Mid CNE High CNE\nEarly medieval England\n(/f_ifth to eighth century CE)\n9\nII I 7\n4.7\n1\n3\nbc\nd\nIron Age, Denmark Early Viking, Salme\nDrif/f_ield Terrace\nRoman outlier\nEarly\nmedieval England\nWielbark, Poland\nEarly medievalZohor\nLongobardBaiuvarii\nFriesland, the\nNetherlandsMid CNELow CNE\nI II\nFig. 2 | Ancestry from the Iron Age to the early medieval period in Europe. \na, Source groups used for qpAdm modelling of early medieval Europe. MDS is \ncomputed jointly with individuals from later periods using pairwise outgroup \nf3 statistics (outgroup: Han Chinese people). These are calculated using", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "Fig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing \nacross Europe as early as the first century ce (Figs. 2b,c and 3 and Sup-\nplementary Table 3).\nIn the region of present-day Poland, our analysis suggests several \nclear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 bce \nto 1000 bce), we observe a clear shift away from preceding ancestry \noriginally associated with Corded Ware cultures55 (Fig. 3a). Second, \nin the first to fifth century ce, individuals associated with Wielbark \nculture5,12 show an additional strong shift away from the preceding \nBronze Age groups, and can only be modelled with a >75% component \nattributed to the EIA Scandinavian Peninsula. Multiple individuals, \nespecially from earlier Wielbark cemeteries, have approximately 100%", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "Nature | Vol 637 | 2 January 2025 | 123\nhigher resolution using earlier genomes. Several other individuals from \nthese Longobard burials (Longobard_earlyMED(II)) show no detectable \nancestry from northern Europe and, instead, are more closely related to \nIron Age groups in continental central Europe, putatively representing \ndescendants of local people buried in a Longobard style. Our results are \nconsistent with attestations that the Longobards originated in the areas \nof present-day northern Germany or Denmark, but that by the sixth \ncentury ce they incorporated multiple different cultural identities, and \nmixed ancestries. Present-day populations of Hungary do not appear \nto derive detectable ancestry from early medieval individuals from \nLongobard contexts, and are instead more similar to Scythian-related \nancestry sources (Extended Data Fig. 6), consistent with the later impact \nof Avars, Magyars and other eastern groups58.\nIn southern Germany, the genetic ancestry of individuals from \nearly medieval Bavaria probably associated with the historical \nGermanic-language-speaking Baiuvarii59 cannot be modelled as deriv-\ning ancestry solely from earlier groups in Iron Age central Germany \n(P ≪ 1 × 10−36). The Baiuvarii probably appeared in the region in the \nfifth century ce59, but their origins remain unresolved. Our current \nbest model indicates a mixture with ancestry derived from EIA Pen-\ninsular Scandinavia and central Europe, suggesting an expansion of \nScandinavian-related ancestry producing a regional ancestry shift \n(Figs. 2c and 3c).\nIn Italy, southward expansions of northern and central European ances-\ntries appear by the Late Antiquity (approximately fourth century ce), \nwhere a clear diversification of ancestry can be observed compared \nwith preceding time periods (Fig. 3d). However, no individuals with \nnear 100% Scandinavian ancestry can be observed in the sampling \ndata available so far.\nIn Britain, the ancestries of Iron Age and Roman individuals form a \ntight cluster in our MDS analysis (Fig. 3e), shifted relative to available \npreceding Bronze Age individuals from Ireland and Orkney, and adja-\ncent to, but distinct from, available individuals in Iron Age and Roman \ncentral Europe. However, two first- to second-century ce burials from a \nRoman military fortress site in Austria (Klosterneuburg)5 carry ancestry \nthat is currently indistinguishable from Iron Age or Roman popula-\ntions of Britain, to the exclusion of other groups (qpWave cladality \nP = 0.11). One option is that they had ancestry from Britain; alternatively, \ncurrently unsampled populations from western continental Europe \ncarried ancestries similar to Iron Age southern Britain.\nTwigstats substantially improves models of admixture between \nancestries from Iron Age Britain and northern Europe in early medi-\neval England9, halving standard errors from 9% with SNPs to 4% when \nusing time stratification (point estimates 80% and 79% Iron Age \nBritain-related ancestry, respectively). We used this improved reso-\nlution to demonstrate that an earlier Roman individual (6DT3) dating \nto approximately second to fourth century ce from the purported \ngladiator or military cemetery at Driffield T errace in York (Roman \nEboracum), England60, who was previously identified as an ancestry \noutlier61,62, specifically carried approximately 25% EIA Scandinavian \nPeninsula-related ancestry (Fig. 2c). This documents that people with \nScandinavian-related ancestry already were in Britain before the fifth \ncentury ce, after which there was a substantial influx associated with \nAnglo-Saxon migrations9. Although it is uncertain whether this indi-\nvidual was a gladiator or soldier, individuals and groups from northern \nEurope are indeed recorded in Roman sources both as soldiers and as \nenslaved gladiators63,64.\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "enslaved gladiators63,64.\nAcross Europe, we see regional differences in the southeastern and \nsouthwestern expansions of Scandinavian-related ancestries. Early \nmedieval groups from present-day Poland and Slovakia carry spe -\ncific ancestry from one of the Scandinavian EIA groups—the one with \nindividuals primarily from the northern parts of Scandinavia in the \nEIA—with no evidence of ancestry related to the other primary group \nin more southern Scandinavia (Fig. 2d). By contrast, in southern and \nwestern Europe, Scandinavian-related ancestry either derives from \nEIA southern Scandinavia—as in the cases of the probable Baiuvarii \nin Germany, Longobard-associated burials in Italy and early medieval \nburials in southern Britain—or cannot be resolved to a specific region \nin Scandinavia. If these expansions are indeed linked to language, this \npattern is remarkably concordant with the main branches of Germanic \nlanguages, with the now-extinct eastern Germanic spoken by Goths in \nUkraine on the one hand, and western Germanic languages such as Old \nEnglish and Old High German recorded in the early medieval period \non the other hand.\nInflux into pre-Viking Age Scandinavia\nIn EIA Scandinavia (<500 ce), we find evidence for broad genetic homo-\ngeneity. Specifically, individuals from Denmark (100 ce–300 ce) were \nindistinguishable from contemporary people in the Scandinavian Pen-\ninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry \nalready in the eighth century ce (Late Iron Age/early Viking Age) on \nZealand (present-day Denmark) for which a 100% EIA ancestry model \nis rejected (P = 1 × 10−17 using Twigstats; P = 7.5 × 10−4 without). This \nshift in ancestry persists among later Viking Age groups in Denmark, \nwhere all groups are modelled with varying proportions of ancestry \nrelated to Iron Age continental groups in central Europe (Figs.  3f \nand 4c). A non-parametric MDS of Viking Age individuals suggests \nthat variation between individuals forms a cline spanning from the \nEIA Scandinavian Peninsula individuals to ancestry characteristic of \ncentral Europe (Fig. 4e). The observed shift in ancestry in Denmark \ncannot be confounded by potentially earlier unknown gene flow into \nIron Age source groups in Austria, France and Germany, but such gene \nflow could affect the exact ancestry proportions.\nThese patterns are consistent with northward expansion of ancestry, \npotentially starting before the Viking Age, into the Jutland peninsula \nand Zealand island towards southern Sweden. The geographical ori-\ngin of this ancestry is currently difficult to discern, as the available \nsamples from Iron Age central Europe remain sparse. The timing \nof this expansion is constrained only by the samples available: this \nancestry is not observed in individuals from the Copenhagen area of \nDenmark (around 100 ce–300 ce)6, an individual from the southern tip \nof Sweden (around 500 ce)16, individuals from the Sandby Borg mas-\nsacre site on Öland in present-day Sweden (around 500 ce)7 and 31 indi-\nviduals from the mid-eighth century Salme ship burials in present-day \nEstonia (Extended Data Fig. 9), who probably originated in central \nSweden6. Therefore, this ancestry transformation most likely post- \ndated these individuals in each particular region and mostly occurred \nin the second half of the first millennium ce.\nT o assess the full extent of the impact of this ancestry influx into \nScandinavia, we next aimed to understand the ancestry of individu-\nals in Scandinavia during the Viking Age. Previous studies have sug-\ngested that there was a diversity of ancestries in Scandinavia during this \nperiod6,7,65, due to increased maritime mobility, but have not reported \nper-individual ancestry estimates based on preceding ancestry. We \nanalysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "122 | Nature | Vol 637 | 2 January 2025\nArticle\nmedieval individuals (P ≪ 1 × 10−32). Instead, the majority of individuals \nfrom medieval Poland can be modelled only as a mixture of ancestries \nrelated to Roman Iron Age Lithuania, which is similar to ancestries of \nindividuals from middle to late Bronze Age Poland (44%, 95% confidence \ninterval 36–51%), an ancestry component related to Hungarian Scyth-\nians or Slovakian La T ène individuals (49%, 95% confidence interval \n41–57%) and potentially a minority component of ancestry related to \nSarmatians from the Caucasus (P = 0.13) (Fig. 2c). Four out of twelve \nindividuals from medieval Poland, three of whom are from the late \nViking Age6, carried detectable Scandinavian-related ancestry. Some \nof the ancestry detected in individuals from later medieval Poland may \nhave persisted during the late first millennium ce in the cremating \nportion of the population, but regardless, this points to large-scale \nancestry transformation in medieval Poland (Fig. 3a). Future data could \nshed light on the extent to which this reflects the influence of groups \nspeaking Slavic languages in the region.\nIn present-day Slovakia, individuals associated with the Iron \nAge La T ène period appear close to Hungarian Scythians in the two \ndimensions of our MDS analysis, and are modelled as a mixture of \ncentral and eastern European ancestry. However, a first-century ce \nburial of a 50–60-year-old woman from Zohor is modelled only with \nScandinavian-related ancestry, providing evidence of ancestry related \nto the Scandinavian EIA appearing southwest of the range of the Wiel-\nbark archaeological complex5,57 (Fig. 3b). Later early medieval individu-\nals from Slovakia have partial Scandinavian-related ancestry, providing \nevidence for the integration between expanding and local groups.\nNearby, in present-day Hungary, we observe Scandinavian-related \nancestry components in several burials dating to the sixth century \nce associated with Longobards (Longobard_earlyMED(I))10 (Fig. 2c). \nThis is consistent with the original study10, which reported affinity to \npresent-day groups from northwestern Europe (GBR, CEU and FIN in \nthe 1000 Genomes Project (1000GP))10 but which we can resolve with \n3000 BCE 2000 BCE 1000 BCE 1000 CE 2000 CE\nScandinavia\nSouthern Europe\nBritain\nCentral\nEurope\nEastern Europe\nBA\nItaly\nCentral Europe\n3000 BCE 2000 BCE\nEBA\n1000 BCE\nTime\n01 000 CE 2000 CE\nMLBA Wielbark Middle Ages\nLate Roman/Ottoman\nEarly Medieval\nBaiuvarii\nMedieval/present day\nEarly Medieval/LongobardIron Roman\nPresent day\nPresent dayBA/Scythian\nBell Beaker/EBA\nZohor\nSoutheastern Europe\nPoland\nBritain and Ireland\nScandinavia\ne\nf\nd\nc\nb\na\nIron Roman\nIron/Republic Imperial Late Antiquity (Early) Medieval\nEarly Medieval\nPresent day\nPresent dayMedievalIron RomanBA\nBA EIA Viking AgeM edieval Present day\nDrif/f_ield\nTerrace\nTarquinia\nLate Etruscan\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n2000 BCE 0\n3000 BCE 2000 BCE 1000 BCE 01 000 CE 2000 CE\n3000 BCE 2000 BCE 1000 BCE 0 1000 CE 2000 CE\n3000 BCE 2000 BCE 1000 BCE 01 000 CE 2000 CE\nFig. 3 | Time transects across six geographical regions in Europe. \na–f, Ancestry change visualized over a time transect spanning from the Bronze \nAge to the present day in Poland (a), southeastern Europe ( b), central Europe \n(c), Italy (d), Britain and Ireland (e) and Scandinavia (f). The maps show sample \nlocations of all available ancient genomes with at least 0.5× coverage from \nthese regions (Supplementary Table 1). Their ancestry is shown on the same \nMDS model as in Fig.  2a for each time period. For each geographic region, \nthe early medieval period is highlighted in orange and the area in the MDS \ncorresponding to Scandinavian and central European ancestries is highlighted \nin an orange box.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason \nwhy this is a principled approach despite the 1000GP groups post-dating \nthe ancient individuals is that if a group of ancient individuals are truly \nhomogeneous, they will be so also with respect to later individuals.\nWe then define clusters by running UPGMA (unweighted pair group \nmethod with arithmetic mean) on −log 10[P values] obtained from \nqpwave between all pairs of individuals and cut the resulting dendro-\ngram at a height corresponding to a P value of 0.01. We then further \nsubdivide clusters by requiring all samples to be within 500 years of \nthe mean cluster age.\nT o choose the source groups shown in Fig. 2a and Extended Data \nFig. 1d, we run this algorithm on samples from Iron and Roman Age \nEurope (Supplementary Table 1). We retain groups that have at least \nthree individuals and, therefore, exclude clusters of size one or two.\nThis approach results in two clusters in the Scandinavian Penin -\nsula, approximately separating northern from southern Scandinavia, \nthree clusters in Poland and Ukraine that separate samples tempo-\nrally between the early and later Bronze Age, a cluster combining the \nHungarian Scythian and Slovakian La T ène-associated individuals, \nand a cluster each for Iron and Roman Age Portugal, Italy and Lithu-\nania. In present-day Austria, Germany and France, this approach \nidentifies three clusters, with each cluster spanning multiple archae-\nological sites in different countries, indicating genetic diversity in \nthis region in the first millennium ce. Encouragingly, these clusters \nseparate in our non-parametric MDS analysis (Fig. 2a), indicating that \nwe are capturing real genetic differences between groups using this \napproach.\nFine-scale structure in Neolithic Europe. T o quantify fine-scale struc-\nture in Neolithic Europe (Extended Data Fig. 5b), we aimed to select \nindividuals in Neolithic Europe who have not yet been affected by the \narrival of Steppe ancestry and do not show excess hunter-gatherer \nancestry. We infer distal ancestry sources using Balkan_N, Yamnaya and \nWestern Hunter-gatherers as source groups and reference groups \naccording to a previously proposed qpAdm setup46 (Supplementary \nTable 1). For this analysis, we infer ancestry using qpAdm applied to \n1.2 million SNP sites of imputed genomes. We retain only Neolithic \nindividuals with P  > 0.01, z < 2 for Yamnaya ancestry, and z  < 2 or \nproportion <0.25 for Western Hunter-gatherer ancestry.\nReporting summary\nFurther information on research design is available in the Nature Port-\nfolio Reporting Summary linked to this article.\nData availability\nAll aDNA data used in this study were publicly available, and accession \ncodes are listed in Supplementary Table 1.\nCode availability\nTwigstats is freely available under an MIT licence through GitHub \n(https://github.com/leospeidel/twigstats), and detailed documenta-\ntion, as well as example data, is available at https://leospeidel.github.\nio/twigstats/. The code has also been deposited at Zenodo (https://\nzenodo.org/records/13833120)76. All scripts to reproduce simulations, \nand to run Relate on imputed ancient genomes, and downstream \nanalyses, including computation of f-statistics and running qpAdm \nmodels, are available through GitHub (https://github.com/leospeidel/ \ntwigstats_paper).\n \n70. Maier, R., Flegontov, P., Flegontova, O., Changmai, P. & Reich, D. On the limits of fitting \ncomplex models of population history to f-statistics. eLife 12, e85492 (2023).\n71. Kelleher, J., Etheridge, A. M. & McVean, G. Efficient coalescent simulation and \ngenealogical analysis for large sample sizes. PLoS Comput. Biol. 12, e1004842 \n(2016).\n72. da Mota, B. S. et al. Imputation of ancient human genomes. Nat. Commun. 14, 3660 \n(2023).\n73. Rubinacci, S., Ribeiro, D. M., Hofmeister, R. & Delaneau, O. Efficient phasing and imputation \nof low-coverage sequencing data using large reference panels. Nat. Genet. 53, 120–126", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - }, - { - "text": "admixture (Extended Data Fig. 5d). Application of Twigstats on empiri-\ncal whole genomes produces results inconsistent with deep substruc-\nture alone, but consistent with punctual admixture.\nAncestry models of early medieval Europe\nHaving demonstrated that the Twigstats approach can effectively \nimprove resolution and statistical power to test ancestry models and \nestimate proportions, we turn to the history of early medieval Europe. \nIn the first half of the first millennium ce, Roman historians such as \nTacitus and Ammianus Marcellinus described the geographical dis-\ntribution and movements of groups beyond the imperial frontier and \nsuggested a potential role for them in the fall of the western Roman \nEmpire52. However, the exact nature and scale of these historically \nattested demographic phenomena—and their genetic impact—\nhave been questioned53, and have been difficult to test with genetic \napproaches owing to the close relations shared between many groups \nthat were ostensibly involved. Less is understood at further distances \nfrom the Roman frontier owing to a lack of historical accounts. The \nimproved statistical power of time-restricted ancestry in Twigstats \nthus offers an opportunity to revisit these questions.\nT o develop an ancestry model for early medieval individuals (Supple-\nmentary Table 1), we first need a broad characterization of the ancestry \nof the earlier sources from the early Iron Age (EIA) and Roman periods. \nWe use hierarchical UPGMA clustering based on pairwise clade testing \nbetween all individuals, and formally test the cladality of proposed \nancestry groups with qpWave5 (cladality in this sense means whether \nthey are consistent with being symmetrically related to all other tested \ngroups; Methods). This resulted in a set of model ancestry sources \nthat included Iron Age and Roman Britain (n = 11), the Iron Age of cen-\ntral European regions of mostly Germany, Austria and France (n = 10), \nRoman Portugal (n = 4), Roman Italy (n = 10), Iron Age Lithuania (n = 5), \nthe EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several \nother more eastern groups dating to the Bronze Age and EIA (n = 25) \n(Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm \napproach54 to narrow down the set of contributing sources from this \nlarger pool of putative sources.\nWe additionally perform non-parametric multidimensional scaling \n(MDS) on outgroup-f3 statistics44 computed using Twigstats, the results \nof which do not depend on any modelling assumptions and which show \nincreased resolution compared with conventional outgroup-f3 sta-\ntistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). \nEncouragingly, the MDS model supports regional fine-scale genetic \nstructures reflected in our source groups, such as the separation of \npredominantly Norwegian and northern Swedish EIA individuals from \nsouthern Peninsular Scandinavia (Fig.  2a); this relationship is not \ndetected without Twigstats. In this MDS analysis, we note a close affinity \nof wide-ranging individuals from Portugal, France, Germany, Austria \nand Britain. We hypothesize that this corresponds to areas associated \nwith the Celtic-speaking world, and that their close genetic affinity is \ndue to earlier expansions. Sparse sampling limits our understanding \nof the full extent of regional ancestry variation in central Europe and \nsome other regions, but the continental ancestries differentiated in \nthe MDS model suggests that major ancestry variation across Europe \nin this period is relatively well captured.\nExpansions of Scandinavian-like ancestry\nWe assembled time transects using available aDNA data across several \ngeographical regions in Europe, and infer their ancestry using a model \nwith the EIA or Roman Iron Age sources previously defined (shown in \nFig. 2a). Our modelling provides direct evidence of individuals with \nancestry originating in northern Germany or Scandinavia appearing", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin \nand rapid trans-Eurasian migration of 7th century Avar elites. Cell 185, 1402–1413 (2022).\n59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive \nfemale-biased immigration in Early Medieval Bavaria. Proc. Natl Acad. Sci. USA 115, \n3494–3499 (2018).\n60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the \nAnglo-Saxons. Nat. Commun. 7, 10326 (2016).\n61. Schiffels, S. & Sayer, D. in Migration and Integration From Prehistory to the Middle Ages \n(eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, \n2017).\n62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early \nmedieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and \nthe modern people of the UK. PLoS Genet. 19, e1010360 (2023).\n63. Symmachus, Letters 2. 46.1-2. WordPress https://aleatorclassicus.wordpress.com/2011/08/ \n19/symmachus-letters-2-46-1-2/ (2011).\n64. Emperor, J. The Works of the Emperor Julian (translator Wright, W. C.) Vol. 1 (Project \nGutenberg, 2015); https://www.gutenberg.org/ebooks/48664.\n65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration \npatterns in a Viking Age town. Curr. Biol. 28, 2730–2738 (2018).\n66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the \nIron Age. J. Archaeol. Sci. Rep. 12, 183–196 (2017).\n67. Sawyer, P. H. The Age of the Vikings (St. Martin’s Press, 1972).\n68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of \nIceland. Am. J. Hum. Genet. 67, 697–717 (2000).\n69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment \nof strontium by means of Bayesian mixing analysis. J. Archaeol. Sci. 64, 30–45 (2015).\nPublisher’s note Springer Nature remains neutral with regard to jurisdictional claims in \npublished maps and institutional affiliations.\nOpen Access This article is licensed under a Creative Commons Attribution \n4.0 International License, which permits use, sharing, adaptation, distribution \nand reproduction in any medium or format, as long as you give appropriate \ncredit to the original author(s) and the source, provide a link to the Creative Commons licence, \nand indicate if changes were made. The images or other third party material in this article are \nincluded in the article’s Creative Commons licence, unless indicated otherwise in a credit line \nto the material. If material is not included in the article’s Creative Commons licence and your \nintended use is not permitted by statutory regulation or exceeds the permitted use, you will \nneed to obtain permission directly from the copyright holder. To view a copy of this licence, \nvisit http://creativecommons.org/licenses/by/4.0/.\n© The Author(s) 2025", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed3.pdf" - }, - { - "text": "alogies of SGDP modern and imputed ancient genomes in our qpAdm \nmodelling and first compute f2-statistics using the Twigstats function \nf2_blocks_from_Relate between all populations involved, which we then \nfeed to the ADMIXTOOLS2 package70.\nClustering using qpwave. T o overcome challenges with hand-curating \nsource groups used in qpAdm modelling, we follow ref. 5 and run \nqpwave using Twigstats between pairs of ancient individuals. We use \nHan Chinese individuals from Beijing and five European populations \nfrom the 1000GP as reference groups. This approach tests whether two", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed3.pdf" - }, - { - "text": "analysed each individual’s ancestry using a rotational qpAdm scheme \n(Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which \nshowed increased power in distinguishing models when restricted \nto recent coalescences with Twigstats (more than 80% of accepted \none-source models in Twigstats were also accepted one-source models \nusing all SNPs, compared with less than 17% for the inverse).\nWe investigated regional differences in non-local ancestry across \nScandinavia. In Denmark, 25 out of 53 Viking Age individuals had detect-\nable (z-score > 1) central European-related ancestry (CentralEurope.\nIronRoman or Portugal.IronRoman) in their best accepted qpAdm \nmodels. In Sweden 20 out of 62 individuals had detectable central \nEuropean-related ancestry, concentrated almost entirely in southern \nregions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed \nin only 2 out of 24 individuals, indicating a wide-ranging impact of \nincoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "What do the timescales during which high-amplitude flaring events occur in blazars indicate?", - "target_page": 1, - "target_passage": "that much of the en- ergy is being produced deep within the jet on small, sub-parsec scales", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample,\nwhere the blazars are more distributed around αS ∼ 0.\nas the presence of SSC versus ERC. Here, we use sub-\nmillimeter luminosity as a proxy for jet power, which\nis correlated with the integrated luminosity of the syn-\nchrotron component. Elevated γ-ray luminosity with\nrespect to the synchrotron component (which is often\nseen in FSRQs) suggests the upscattering of external\nphotons off the synchrotron-emitting electrons. These\nobjects should occupy the upper right of the ratio/jet\npower plot, and BL Lacs, which generally exhibit com-\nponents with roughly comparable luminosities, should\noccupy the lower left. It is clear from the figure, how-\never, that many FSRQs exhibit ratios similar to those\nof the BL Lacs and vis versa.\nSikora et al. [10] report that, during its flaring\nepochs, 3C 454.3 transitions from its typical FSRQ\nstate to a more BL Lac-like state, where the syn-\nchrotron component emits much more strongly com-\npared to the γ-ray component than during its “low\nstate”. 3C 454.3, which is the highest submillime-\nter luminosity FSRQ in our sample, would then shift\ndown and to the right in Figure 5 when it enters a\nflaring period. For the first three months of the Fermi\nmission, 3C 454.3 was not flaring, which may explain\nits present location in Figure 5. The three objects for\nwhich there is a type discrepancy between CGRaBS\nand LBAS are all FSRQs (in CGRaBS) and exhibit\nlow luminosity ratios and high luminosity, which sug-\ngest they may be undergoing the same changes as 3C\n454.3. A possible interpretation of the elevated lumi-\nnosity ratios observed in some BL Lacs objects is that\nthere has been a dramatic increase in γ-ray luminos-\nity due to ERC, which would not be reflected in the\nsynchrotron component.\n5. CONCLUSIONS\nThe motivation for observing blazars in the sub-\nmillimeter is to study behavior close to the central\nengine, where the jet material is presumably still be-\ning accelerated. The separate emission processes that\ncontribute to overall SED may present differently in\nBL Lacs and FSRQs, allowing us to understand the\nsimilarities and differences between blazar types. We\nhave investigated these differences between objects in\nterms of submillimeter behavior and, in conclusion,\nfind that\n•The SMA blazars exhibit submillimeter energy\nspectral indexes that follow the spectral se-\nquence interpretation of blazars.\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\ndetailed variability analysis for one of two reasons:\n(1) too few data points or (2) flux measurement un-\ncertainties on the order of the amplitude of observed\nvariability. It is important to note that, due to dis-\ncrepancies between the sampling frequency in both\nbands, the variability indices for the 850µm band may\nbe artificially depressed due to the fact that there are\nnot always corresponding measurements at higher fre-\nquencies during flaring epochs.\n3.2. First-Order Continuous\nAutoregression\nWe follow the method of Kelly et al. [9], who model\nquasar optical light curves as a continuous time first-\norder autoregressive process (CAR(1)) in order to ex-\ntract characteristic time scales and the amplitude of\nflux variations. Although flaring behavior is not typi-\ncally thought of as an autoregressive process, we find\nthat the light curves are well-fit by the models and\ntherefore adopt the method here to study blazar sub-\nmillimeter light curves.\nThe CAR(1) process is described by a stochastic\ndifferential equation [9],\ndS(t) = 1\nτS(t) dt+ σ\n√\ndtϵ (t) + bdt, (3)\nassociated with a power spectrum of the form\nPX(f) = 2σ2τ2\n1 + (2πτf)2 . (4)\nIn equations 3 and 4, τ is called the “relaxation\ntime” of the process S(t) and is identified by the\nbreak in PX(f). The power spectrum appears flat\nfor timescales longer than this and falls off as 1/f2 for\ntimescales shorter than the characteristic timescale of\nthe process.\nTaking the logarithm of the blazar light curve (in\nJy) to be S(t), we adopt τ (in days) as the character-\nistic timescale of variability, after which the physical\nprocess “forgets” about what has happened at time\nlags of greater than τ. The two other relevant pa-\nrameters, σ and µ = b/a, are the overall amplitude\nof variability and the logarithm of mean value of the\nlight curve, respectively.\nIn the routine, we construct an autoregressive\nmodel for the light curves for a minimum of 100,000\niterations and calculate the value of τ from the break\nin the power spectrum in each instance. Due to the\nlimited number of observations in the 850 µm band,\nwe performed this autoregressive analysis only for the\n1mm light curves, which typically have more than 10\npoints per light curve.\nThis method yielded some surprising results. In\nFigure 3, we see that the BL Lacs and FSRQs exhibit\nvirtually no difference in characteristic timescale, with\nFigure 3: Characteristic timescale (days) versus\nsubmillimeter luminosity (erg s−1) in the 1mm band for\nall objects. Physically, τ represents a “relaxation\ntimescale”, the timescale beyond which events are no\nlonger correlated.\nboth classes extending across a large range in τ. Be-\ncause of the uncertainty for objects with shorter char-\nacteristic timescales, it is hard to draw any definitive\nconclusions about the differences between classes. It\nis important to note that τ does not necessarily rep-\nresent a flaring timescale, which is a behavior that\ntypically operates on a scale of ∼10–100 days and not\non the longer timescales we see in τ.\n4. CONNECTION WITH GAMMA-RAYS\nIn general, we find that in the submillimeter, we\nare observing these blazars at or near the peak of the\nsynchrotron component ( αS ∼ 0), but that Fermi-\ndetected sources have more negative energy spectral\nindices overall than Fermi-nondetected sources. In\nFigure 4, we see that while the majority of Fermi\nblazars are observed on the rising part of the syn-\nchrotron component (at lower energies than the peak),\nall of the objects have very steeply fallingγ-ray energy\nspectral indexes, putting the γ-ray peak at lower en-\nergies than the observed Fermi band. Knowing that\nwe are not observing the synchrotron and γ-ray com-\nponents at analagous points in the spectrum may al-\nlow us to better understand the magnetic field in the\nparsec-scale jet region and the population of external\nphotons that is being upscattered to γ-rays.\nIn Figure 5, the ratio between Lγ and νLν,1mm re-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\ntion of correlated VHE and X-ray flux variability, as\nwell as correlated spectral hardening in both the VHE\nand X-ray bands. The VHE MWL observations were\nperformed in both ”quiescent” and flaring states for\nsome of the observed blazars. For the observed HBL\nobjects, the SEDs can be well described by a simple\nSSC model in both high and low states. However, an\nadditional external Compton component is necessary\nto adequately fit the SEDs of the IBL objects.\nThe Fermi-LAT is already having a significant im-\npact on the blazar KSP. In future seasons, the VER-\nITAS blazar discovery program will focus its dis-\ncovery program on hard-spectrum blazars detected\nby Fermi-LAT, and will likely have a greater focus\non high-risk/high-reward objects at larger redshifts\n(0. 3 < z < 0. 7). In addition, the number of VHE\nblazars studied in pre-planned MWL campaigns will\nincrease as data from the Fermi-LAT will be publicly\navailable. In particular, the extensive pre-planned\nMWL campaigns will focus on objects that are note-\nworthy for the impact their data may have on under-\nstanding the EBL. The simultaneous observations of\nblazars by VERITAS and Fermi-LAT will completely\nresolve the higher-energy SED peak, often for the first\ntime, enabling unprecedented constraints on the un-\nderlying blazar phenomena to be derived.\nAcknowledgments\nThis research is supported by grants from the US\nDepartment of Energy, the US National Science Foun-\ndation, and the Smithsonian Institution, by NSERC in\nCanada, by Science Foundation Ireland, and by STFC\nin the UK. We acknowledge the excellent work of the\ntechnical support staff at the FLWO and the collab-\norating institutions in the construction and operation\nof the instrument.\nReferences\n[1] F. Aharonian et al. 2007,ApJ, 664, L71\n[2] F. Aharonian et al. 2006, Nature, 440, 1018\n[3] F. Aharonian et al. 2007, A&A, 475, L9\n[4] J. Holder, et al. 2008, AIPC, 1085, 657\n[5] L. Costamante & G. Ghisellini 2002, A&A, 384,\n56\n[6] E.S. Perlman 2000, AIPC, 515, 53\n[7] F.W. Stecker et al. 1996, ApJ, 473, L75\n[8] P. Giommi et al. 2005, A&A, 434, 385\n[9] S. Turriziani et al. 2007, A&A, 472, 699\n[10] L. Costamante 2006, arXiv:0612709\n[11] P. Padovani et al. 2002,ApJ, 581, 895\n[12] R. Muhkerjee et al. 2001, AIPC, 558, 324\n[13] A.A. Abdo et al. 2009, ApJ, 700, 597\n[14] V.A. Acciari et al. 2008, ApJ, 684, L73\n[15] V.A. Acciari et al. 2009, ApJ, 707, 612\n[16] V.A. Acciari et al. 2009, ApJ, 690, L126\n[17] V.A. Acciari et al. 2009, ApJ, 693, L104\n[18] L.C. Reyes 2009, arXiv:0907.5175\n[19] R.A. Ong 2009,ATel, 1941\n[20] R.A. Ong et al. 2009, ATel, 2272\n[21] V.A. Acciari et al. 2009, ApJ, 708, L100\n[22] R.A. Ong et al. 2009, ATel, 2301\n[23] R.A. Ong et al. 2009, ATel, 2260\n[24] R.A. Ong et al. 2009, ATel, 2309\n[25] W. Benbow 2009, arXiv:0908.1412\n[26] V.A. Acciari et al. 2009,ApJ, submitted\n[27] V.A. Acciari et al. 2009, ApJ, 695, 1370\n[28] V.A. Acciari et al. 2009, ApJ, in press\n[29] J. Grube 2009, arXiv:0907.4862\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\nFigure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n•BL Lacs and FSRQs do not exhibit significant\ndifferences in amplitude of submillimeter vari-\nability or characteristic timescale, but our sam-\nple of BL Lacs may be dominated by high-\npeaked BL Lacs (HBLs), which exhibit obser-\nvational similarities with FSRQs.\n•Blazar submillimeter light curves are consistent\nwith being produced by a single process that ac-\ncounts for both high and low states, with char-\nacteristic timescales 10 <τrest < 500 days.\n•The blazars detected byFermi have synchrotron\npeaks at higher frequencies, regardless of sub-\nmillimeter luminosity.\n•FSRQs exhibit higher ratios of γ-ray to sub-\nmillimeter luminosity than BL Lacs (Figure 5),\nbut all objects inhabit a region of parameter\nspace suggesting transitions between states dur-\ning flaring epochs.\nAs Fermi continues to observe fainter sources, the\nsample of objects for which we can perform this type of\nanalysis will increase and provide better limits on our\nresults. To understand the physical relevance of these\nresults, however, it is important to be able to distin-\nguish between the difference in variability between BL\nLacs and FSRQs. One avenue for exploring this dif-\nference is to monitor changing submillimeter energy\nspectral index and the ratio of γ-ray to submillime-\nter luminosity as functions of time. The full mean-\ning of the results of our autoregressive method is not\nyet clear, and will require better-sampled blazar light\ncurves and the comparison between τrest with physical\ntimescales such as the synchrotron cooling timescale.\nThese analyses would allow us to place constraints\non the processes occurring near the base of the jet in\nblazars and further understand the intimate connec-\ntion between them.\nAcknowledgments\nThis work was supported in part by the NSF\nREU and DoD ASSURE programs under Grant no.\n0754568 and by the Smithsonian Institution. Par-\ntial support was also provided by NASA contract\nNAS8-39073 and NASA grant NNX07AQ55G. We\nhave made use of the SIMBAD database, operated at\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\ntragalactic Database (NED) which is operated by the\nJPL, Caltech, under contract with NASA.\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nσ−5 −4 −3 −2 −1 0 1 2 3 4 5\nEntries\n0\n2\n4\n6\n8\n10\n12\nCrab Flux %0 2 4 6 8 10 12 14\nEntries\n0\n2\n4\n6\n8\n10\n12\n14\n16\n18\nFigure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard\nanalysis cuts. The curve shows a Gaussian distribution, wit h mean zero and standard deviation one, normalized to the\nnumber of blazars. A similar result is obtained using analys is cuts optimized for soft-spectrum sources. (Right) The\ndistribution of flux upper limits for the non-detected blaza rs in percentage of Crab Nebula flux above the observation\nthreshold. The time-weighted average limit is less than ∼ 2% Crab flux.\nsince the launch of Fermi include LAT detections. In\naddition, several MWL campaigns on the well-studied\nVHE blazars Mkn 421 and Mkn 501 (please see the\ncontributions of D. Gall and A. Konopelko in these\nproceedings) were also performed. Highlights of these\ncampaigns include:\n• 1ES 2344+514: A major (50% Crab) VHE flare,\nalong with correlations of the VHE and X-ray\nflux were observed from this HBL. The VHE\nand X-ray spectra harden during bright states,\nand a synchrotron self-Compton (SSC) model\ncan explain the observed SED in both the high\nand low states [26].\n• 1ES 1218+304: This HBL flared during VER-\nITAS MWL observations. Its unusually hard\nVHE spectrum strongly constrains the EBL.\nThe observed flaring rules out kpc-scale jet emis-\nsion as the explanation of the spectral hardness\nand places the EBL constraints on more solid-\nfooting [27, 28].\n• 1ES 0806+524: The observed SED of this new\nVHE HBL can be explained by an SSC model\n[16].\n• W Comae: This IBL, the first discovered at\nVHE, flared twice in 2008 [14, 15]. Modeling of\nthe SED is improved by including an external-\nCompton (EC) component in an SSC interpre-\ntation.\n• 3C 66A: This IBL flared at VHE and MeV-GeV\nenergies in 2008[17, 18]. Similar to W Comae\nand PKS 1424+240, modeling of observed SED\nsuggests a strong EC component in addition to\nan SSC component.\n• Mkn 421: This HBL exhibited major flaring be-\nhavior for several months in 2008. Correlations\nof the VHE and X-ray flux were observed, along\nwith spectral hardening with increased flux in\nboth bands [29].\n• RGB J0710+591: Modeling the SED of this\nHBL with an SSC model yields a good fit to\nthe data. The inclusion of an external Compton\ncomponent does not improve the fit.\n• PKS 1424+240: The broadband SED of this IBL\n(at unknown redshift) is well described by an\nSSC model favoring a redshift of less than 0.1\n[21]. Using the photon index measured with\nFermi-LAT in combination with recent EBL ab-\nsorption models, the VERITAS data indicate\nthat the redshift of PKS 1424+240 is less than\n0.66.\n8. Conclusions\nThe first two years of the VERITAS blazar KSP\nwere highly successful. Highlights include the detec-\ntion of more than a 16 VHE blazars with the obser-\nvations almost always having contemporaneous MWL\ndata. Among these detections are 8 VHE blazar dis-\ncoveries, including the first three IBLs known to emit\nVHEγ-rays. All but a handful of the blazars on the\ninitial VERITAS discovery target list were observed,\nand the flux limits generated for those not VHE de-\ntected are generally the most-constraining ever. The\nexcess seen in the stacked blazar analysis suggests\nthat the initial direction of the VERITAS discovery\nprogram was well justified, and that follow-up obser-\nvations of many of these initial targets will result in\nVHE discoveries. In addition, the Fermi-LAT is iden-\ntifying many new compelling targets for the VERITAS\nblazar discovery program. These new candidates have\nalready resulted in 3 VHE blazar discoveries. The\nfuture of the VERITAS blazar discovery program is\nclearly very bright.\nThe MWL aspect of the VERITAS blazar KSP has\nalso been highly successful. Every VERITAS obser-\nvation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 1: The SMA light curves for 3C 454.3. The open\ncircles represent the 850µm observations, and the open\ntriangles represent the 1mm observations.\nJ1751+096) which have conflicting classifications be-\ntween Fermi and CGRaBS. Some blazars found in the\ncalibrator list have been studied extensively (e.g., 3C\n279 and 3C 454.3) but the SMA blazars have not been\nstudied collectively.\nForty-four of the objects in our total blazar sample\nwere detected by Fermi and can be found in the cata-\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\nal. [7]. J0050-094 has no redshift in either the LBAS\ncatalog or CGRaBS and is not included in our study.\nOf the 43 remaining sources, 14 are BL Lac objects\nand 29 are FSRQs, with 0 .03 ≤z≤2.19.\nWe examined submillimeter light curves for all of\nthe SMA blazars, with observations beginning in ap-\nproximately 2003 (see Figure 1). Typically, the 1mm\nband is much more well-sampled in comparison to the\n850m band, but visual inspection reveals that the reg-\nularity and quality of observations vary greatly from\nsource to source. Many of the objects exhibit non-\nperiodic variability, either in the form of persistent,\nlow-amplitude fluctuations or higher amplitude flar-\ning behavior.\n2.1. Submillimeter Properties\nSubmillimeter Luminosities. Since we are pri-\nmarily concerned with comparisons to Fermi observa-\ntions, we note that only 129 of theSMA blazars (23 BL\nLacs and 106 FSRQs) were observed by the SMA in\neither band during the three months August-October\n2008. For these objects, submillimeter luminosities\nare calculated in the standard way:\nνeLνe = 4πD2\nL\nνobsFobs\n1 + z , (1)\nwhere DL is the luminosity distance, νobs is the fre-\nquency of the observed band, and Fobs is the average\nFigure 2: Variability index for our sample (top: 1mm,\nbottom: 850 µm), with FSRQs as the hatched\ndistribution and BL Lacs as the solid distribution. There\nis no signicant difference in the class distributions in\neither band; the “tail” to the left is populated by objects\nwith errors larger than the intrinsic variability.\nflux (in erg cm−2 s−1 Hz−1) over the three month pe-\nriod. We adopt a lambda cold dark matter cosmology\nwith values of H0 = 71 km s −1 Mpc−1, Ω M = 0.27,\nand Λ = 0.73.\nEnergy Spectral Indices.We derive submillime-\nter spectral energy indices from observations quasi-\nsimultaneous with the Fermi observations. To be con-\nsistent with the use ofαγ, we define spectral energy in-\ndex as νFν = ν−αS and calculate αS from the average\nof the energy spectral indices over the corresponding\nthree months. We only calculate αS for the 16 objects\n(8 BL Lacs and 35 FSRQs) with observations at both\n1mm and 850µm during this time frame.\n3. VARIABILITY ANALYSIS\n3.1. Variability Index\nWe roughly characterize the level of variability of\neach source using the variability index from Hovatta\net al. [8]:\nV = (Fmax −σFmax ) −(Fmin + σFmin )\n(Fmax −σFmax ) + (Fmin + σFmin ) (2)\nFigure 2 shows the distribution for theSMA blazars.\nObjects with V ≤0 are typically unsuitable for more\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "Where is the Submillimeter Array?", - "target_page": 1, - "target_passage": "near the summit of Mauna Ke", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\nFigure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n•BL Lacs and FSRQs do not exhibit significant\ndifferences in amplitude of submillimeter vari-\nability or characteristic timescale, but our sam-\nple of BL Lacs may be dominated by high-\npeaked BL Lacs (HBLs), which exhibit obser-\nvational similarities with FSRQs.\n•Blazar submillimeter light curves are consistent\nwith being produced by a single process that ac-\ncounts for both high and low states, with char-\nacteristic timescales 10 <τrest < 500 days.\n•The blazars detected byFermi have synchrotron\npeaks at higher frequencies, regardless of sub-\nmillimeter luminosity.\n•FSRQs exhibit higher ratios of γ-ray to sub-\nmillimeter luminosity than BL Lacs (Figure 5),\nbut all objects inhabit a region of parameter\nspace suggesting transitions between states dur-\ning flaring epochs.\nAs Fermi continues to observe fainter sources, the\nsample of objects for which we can perform this type of\nanalysis will increase and provide better limits on our\nresults. To understand the physical relevance of these\nresults, however, it is important to be able to distin-\nguish between the difference in variability between BL\nLacs and FSRQs. One avenue for exploring this dif-\nference is to monitor changing submillimeter energy\nspectral index and the ratio of γ-ray to submillime-\nter luminosity as functions of time. The full mean-\ning of the results of our autoregressive method is not\nyet clear, and will require better-sampled blazar light\ncurves and the comparison between τrest with physical\ntimescales such as the synchrotron cooling timescale.\nThese analyses would allow us to place constraints\non the processes occurring near the base of the jet in\nblazars and further understand the intimate connec-\ntion between them.\nAcknowledgments\nThis work was supported in part by the NSF\nREU and DoD ASSURE programs under Grant no.\n0754568 and by the Smithsonian Institution. Par-\ntial support was also provided by NASA contract\nNAS8-39073 and NASA grant NNX07AQ55G. We\nhave made use of the SIMBAD database, operated at\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\ntragalactic Database (NED) which is operated by the\nJPL, Caltech, under contract with NASA.\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "array are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\nat 345 GHz), these sources are monitored regularly,\nboth during science observations and dedicated ob-\nserving tracks.\nTo select our sample, we identified objects in the\ncalibrator list that were also classified as BL Lacs or\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\nvey [6, CGRaBS]. Of the 243 total objects in the\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\nhave positive blazar class identifications, although\nthere are three sources (J0238+166, J0428-379, and\n1The Submillimeter Array is a joint project between the\nSmithsonian Astrophysical Observatory and the Academia\nSinica Institute of Astronomy and Astrophysics and is funded\nby the Smithsonian Institution and the Academia Sinica.\n2http://sma1.sma.hawaii.edu/callist/callist.html\neConf C091122\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample,\nwhere the blazars are more distributed around αS ∼ 0.\nas the presence of SSC versus ERC. Here, we use sub-\nmillimeter luminosity as a proxy for jet power, which\nis correlated with the integrated luminosity of the syn-\nchrotron component. Elevated γ-ray luminosity with\nrespect to the synchrotron component (which is often\nseen in FSRQs) suggests the upscattering of external\nphotons off the synchrotron-emitting electrons. These\nobjects should occupy the upper right of the ratio/jet\npower plot, and BL Lacs, which generally exhibit com-\nponents with roughly comparable luminosities, should\noccupy the lower left. It is clear from the figure, how-\never, that many FSRQs exhibit ratios similar to those\nof the BL Lacs and vis versa.\nSikora et al. [10] report that, during its flaring\nepochs, 3C 454.3 transitions from its typical FSRQ\nstate to a more BL Lac-like state, where the syn-\nchrotron component emits much more strongly com-\npared to the γ-ray component than during its “low\nstate”. 3C 454.3, which is the highest submillime-\nter luminosity FSRQ in our sample, would then shift\ndown and to the right in Figure 5 when it enters a\nflaring period. For the first three months of the Fermi\nmission, 3C 454.3 was not flaring, which may explain\nits present location in Figure 5. The three objects for\nwhich there is a type discrepancy between CGRaBS\nand LBAS are all FSRQs (in CGRaBS) and exhibit\nlow luminosity ratios and high luminosity, which sug-\ngest they may be undergoing the same changes as 3C\n454.3. A possible interpretation of the elevated lumi-\nnosity ratios observed in some BL Lacs objects is that\nthere has been a dramatic increase in γ-ray luminos-\nity due to ERC, which would not be reflected in the\nsynchrotron component.\n5. CONCLUSIONS\nThe motivation for observing blazars in the sub-\nmillimeter is to study behavior close to the central\nengine, where the jet material is presumably still be-\ning accelerated. The separate emission processes that\ncontribute to overall SED may present differently in\nBL Lacs and FSRQs, allowing us to understand the\nsimilarities and differences between blazar types. We\nhave investigated these differences between objects in\nterms of submillimeter behavior and, in conclusion,\nfind that\n•The SMA blazars exhibit submillimeter energy\nspectral indexes that follow the spectral se-\nquence interpretation of blazars.\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 1: The SMA light curves for 3C 454.3. The open\ncircles represent the 850µm observations, and the open\ntriangles represent the 1mm observations.\nJ1751+096) which have conflicting classifications be-\ntween Fermi and CGRaBS. Some blazars found in the\ncalibrator list have been studied extensively (e.g., 3C\n279 and 3C 454.3) but the SMA blazars have not been\nstudied collectively.\nForty-four of the objects in our total blazar sample\nwere detected by Fermi and can be found in the cata-\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\nal. [7]. J0050-094 has no redshift in either the LBAS\ncatalog or CGRaBS and is not included in our study.\nOf the 43 remaining sources, 14 are BL Lac objects\nand 29 are FSRQs, with 0 .03 ≤z≤2.19.\nWe examined submillimeter light curves for all of\nthe SMA blazars, with observations beginning in ap-\nproximately 2003 (see Figure 1). Typically, the 1mm\nband is much more well-sampled in comparison to the\n850m band, but visual inspection reveals that the reg-\nularity and quality of observations vary greatly from\nsource to source. Many of the objects exhibit non-\nperiodic variability, either in the form of persistent,\nlow-amplitude fluctuations or higher amplitude flar-\ning behavior.\n2.1. Submillimeter Properties\nSubmillimeter Luminosities. Since we are pri-\nmarily concerned with comparisons to Fermi observa-\ntions, we note that only 129 of theSMA blazars (23 BL\nLacs and 106 FSRQs) were observed by the SMA in\neither band during the three months August-October\n2008. For these objects, submillimeter luminosities\nare calculated in the standard way:\nνeLνe = 4πD2\nL\nνobsFobs\n1 + z , (1)\nwhere DL is the luminosity distance, νobs is the fre-\nquency of the observed band, and Fobs is the average\nFigure 2: Variability index for our sample (top: 1mm,\nbottom: 850 µm), with FSRQs as the hatched\ndistribution and BL Lacs as the solid distribution. There\nis no signicant difference in the class distributions in\neither band; the “tail” to the left is populated by objects\nwith errors larger than the intrinsic variability.\nflux (in erg cm−2 s−1 Hz−1) over the three month pe-\nriod. We adopt a lambda cold dark matter cosmology\nwith values of H0 = 71 km s −1 Mpc−1, Ω M = 0.27,\nand Λ = 0.73.\nEnergy Spectral Indices.We derive submillime-\nter spectral energy indices from observations quasi-\nsimultaneous with the Fermi observations. To be con-\nsistent with the use ofαγ, we define spectral energy in-\ndex as νFν = ν−αS and calculate αS from the average\nof the energy spectral indices over the corresponding\nthree months. We only calculate αS for the 16 objects\n(8 BL Lacs and 35 FSRQs) with observations at both\n1mm and 850µm during this time frame.\n3. VARIABILITY ANALYSIS\n3.1. Variability Index\nWe roughly characterize the level of variability of\neach source using the variability index from Hovatta\net al. [8]:\nV = (Fmax −σFmax ) −(Fmin + σFmin )\n(Fmax −σFmax ) + (Fmin + σFmin ) (2)\nFigure 2 shows the distribution for theSMA blazars.\nObjects with V ≤0 are typically unsuitable for more\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "servations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-\nphysical sources [4]. VERITAS began scientific obser-\nvations with a partial array in September 2006 and has\nroutinely observed with the full array since Septem-\nber 2007. The performance metrics of VERITAS in-\nclude an energy threshold of∼ 100 GeV, an energy\nresolution of ∼ 15%, an angular resolution of ∼ 0.1◦,\nand a sensitivity yielding a 5 σ detection of a 1% Crab\nNebula flux object in <30 hours 1. VERITAS has an\nactive maintenance program (e.g. frequent mirror re-\ncoating and alignment) to ensure its continued high\nperformance over time, and an upgrade improving\nboth the camera (higher quantum-efficiency PMTs)\nand the trigger system has been proposed to the fund-\ning agencies.\n1A VERITAS telescope was relocated during Summer 2009,\nincreasing the array’s sensitivity by a factor ∼ 1.3.\neConf C091122", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "How many blazars were observed by the SMA in either band during the three months August-October 2008?", - "target_page": 2, - "target_passage": "only 129 of the SMA blazars", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 1: The SMA light curves for 3C 454.3. The open\ncircles represent the 850µm observations, and the open\ntriangles represent the 1mm observations.\nJ1751+096) which have conflicting classifications be-\ntween Fermi and CGRaBS. Some blazars found in the\ncalibrator list have been studied extensively (e.g., 3C\n279 and 3C 454.3) but the SMA blazars have not been\nstudied collectively.\nForty-four of the objects in our total blazar sample\nwere detected by Fermi and can be found in the cata-\nlog of LAT Bright AGN Sources (LBAS) from Abdo et\nal. [7]. J0050-094 has no redshift in either the LBAS\ncatalog or CGRaBS and is not included in our study.\nOf the 43 remaining sources, 14 are BL Lac objects\nand 29 are FSRQs, with 0 .03 ≤z≤2.19.\nWe examined submillimeter light curves for all of\nthe SMA blazars, with observations beginning in ap-\nproximately 2003 (see Figure 1). Typically, the 1mm\nband is much more well-sampled in comparison to the\n850m band, but visual inspection reveals that the reg-\nularity and quality of observations vary greatly from\nsource to source. Many of the objects exhibit non-\nperiodic variability, either in the form of persistent,\nlow-amplitude fluctuations or higher amplitude flar-\ning behavior.\n2.1. Submillimeter Properties\nSubmillimeter Luminosities. Since we are pri-\nmarily concerned with comparisons to Fermi observa-\ntions, we note that only 129 of theSMA blazars (23 BL\nLacs and 106 FSRQs) were observed by the SMA in\neither band during the three months August-October\n2008. For these objects, submillimeter luminosities\nare calculated in the standard way:\nνeLνe = 4πD2\nL\nνobsFobs\n1 + z , (1)\nwhere DL is the luminosity distance, νobs is the fre-\nquency of the observed band, and Fobs is the average\nFigure 2: Variability index for our sample (top: 1mm,\nbottom: 850 µm), with FSRQs as the hatched\ndistribution and BL Lacs as the solid distribution. There\nis no signicant difference in the class distributions in\neither band; the “tail” to the left is populated by objects\nwith errors larger than the intrinsic variability.\nflux (in erg cm−2 s−1 Hz−1) over the three month pe-\nriod. We adopt a lambda cold dark matter cosmology\nwith values of H0 = 71 km s −1 Mpc−1, Ω M = 0.27,\nand Λ = 0.73.\nEnergy Spectral Indices.We derive submillime-\nter spectral energy indices from observations quasi-\nsimultaneous with the Fermi observations. To be con-\nsistent with the use ofαγ, we define spectral energy in-\ndex as νFν = ν−αS and calculate αS from the average\nof the energy spectral indices over the corresponding\nthree months. We only calculate αS for the 16 objects\n(8 BL Lacs and 35 FSRQs) with observations at both\n1mm and 850µm during this time frame.\n3. VARIABILITY ANALYSIS\n3.1. Variability Index\nWe roughly characterize the level of variability of\neach source using the variability index from Hovatta\net al. [8]:\nV = (Fmax −σFmax ) −(Fmin + σFmin )\n(Fmax −σFmax ) + (Fmin + σFmin ) (2)\nFigure 2 shows the distribution for theSMA blazars.\nObjects with V ≤0 are typically unsuitable for more\neConf C091122", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nSubmillimeter Variability and the Gamma-ray Connection inFermi\nBlazars\nA. Strom\nUniv. of Arizona, AZ 85721, USA\nA. Siemiginowska, M. Gurwell, B. Kelly\nCfA, MA 02138, USA\nWe present multi-epoch observations from the Submillimeter Array (SMA) for a sample of 171 bright blazars,\n43 of which were detected by Fermi during the first three months of observations. We explore the correlation\nbetween their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special\nemphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is de-\ntermined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS),\nresulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate\nsubmillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands\nduring the months August–October 2008. The submillimeter light curves are modeled as first-order continuous\nautoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differ-\nences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity.\nAll of the the light curves are consistent with being produced by a single process that accounts for both low\nand high states, and there is additional evidence that objects may be transitioning between blazar class during\nflaring epochs.\n1. INTRODUCTION\nThe timescales on which high-amplitude flaring\nevents occur in blazars indicate that much of the en-\nergy is being produced deep within the jet on small,\nsub-parsec scales [1, 2]. Understanding if/how emis-\nsion differs between blazar subclasses (i.e., BL Lacs\nobjects and flat-spectrum radio quasars (FSRQs))\nmay offer important insight into the similarity be-\ntween blazars and, furthermore, can provide con-\nstraints on the formation and acceleration of the jets\nthemselves.\nFor the synchrotron component of blazar spectra,\nthe low-frequency spectral break due to synchrotron\nself-absorption moves to higher frequencies as one\nmeasures closer to the base of the jet [2]. This of-\nten places the peak of the spectrum in the millime-\nter and submillimeter bands, where the emission is\noptically-thin and originates on parsec and sub-parsec\nscales [3], allowing direct observation of the most com-\npact regions near the central engine. The high en-\nergy γ-ray emission originates as a Compton process,\ntypically a combination of synchrotron-self-Compton\n(SSC) and external-radiation-Compton (ERC). De-\npending on the source properties, the synchrotron\nphotons or external photons are upscattered by the\nsame population of electrons that emit the millimeter\nand submillimeter spectra. Therefore the submillime-\nter and γ-ray emission are closely linked and give the\nfull information about the source emission.\nA systematic study of the submillimeter properties\nof the entire sample ofFermi blazars has yet to be con-\nducted and is one of the primary goals of our work. We\npresent here preliminary analysis of the submillimeter\nproperties of Fermi blazars detected by the Submil-\nlimeter Array1 (SMA) at 1mm and 850 µm, including\nan investigation of variable behavior and the deter-\nmination of submillimeter energy spectral indices. In\naddition, we consider the connection to the observed\nγ-ray indices and luminosities.\n2. SMA BLAZARS\nThe Submillimeter Array [4] consists of eight 6 m\nantennas located near the summit of Mauna Kea. The\nSMA is used in a variety of baseline configurations\nand typically operates in the 1mm and 850 µm win-\ndows, achieving spatial resolution as fine as 0.25” at\n850µm. The sources used as phase calibrators for the\narray are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "array are compiled in a database known as the SMA\nCalibrator List2 [5]. Essentially a collection of bright\nobjects (stronger than 750 mJy at 230 GHz and 1 Jy\nat 345 GHz), these sources are monitored regularly,\nboth during science observations and dedicated ob-\nserving tracks.\nTo select our sample, we identified objects in the\ncalibrator list that were also classified as BL Lacs or\nFSRQs by the Candidate Gamma-Ray Blazar Sur-\nvey [6, CGRaBS]. Of the 243 total objects in the\ncalibrator list, 171 (35 BL Lacs and 136 FSRQs)\nhave positive blazar class identifications, although\nthere are three sources (J0238+166, J0428-379, and\n1The Submillimeter Array is a joint project between the\nSmithsonian Astrophysical Observatory and the Academia\nSinica Institute of Astronomy and Astrophysics and is funded\nby the Smithsonian Institution and the Academia Sinica.\n2http://sma1.sma.hawaii.edu/callist/callist.html\neConf C091122\narXiv:1001.0806v1 [astro-ph.HE] 6 Jan 2010", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 3\nTable I VERITAS AGN Detections. The only non-blazar\nobject is the radio galaxy M 87. The blazars discovered\nat VHE by VERITAS are marked with a dagger.\nObject Class Redshift\nM 87 FR I 0.004\nMkn 421 HBL 0.030\nMkn 501 HBL 0.034\n1ES 2344+514 HBL 0.044\n1ES 1959+650 HBL 0.047\nW Comae† IBL 0.102\nRGB J0710+591† HBL 0.125\nH 1426+428 HBL 0.129\n1ES 0806+524† HBL 0.138\n1ES 0229+200 HBL 0.139\n1ES 1218+304 HBL 0.182\nRBS 0413† HBL 0.190\n1ES 0502+675† HBL 0.341\n3C 66A† IBL 0.444?\nPKS 1424+240† IBL ?\nVER J0521+211† ? ?\n(∼ 5.5σ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2. 7)\nduring VERITAS observations from December 2008\nto March 2009. The initial announcement of the VHE\ndiscovery [19] led to its discovery above 1 GeV in the\nFermi-LAT data using a special analysis. RBS 0413,\na relatively distant HBL (z=0.19), was observed for\n16 h good-quality live time in 2008-092. These data\nresulted in the discovery of VHE gamma-rays ( >270γ,\n∼ 6σ) at a flux ( >200 GeV) of ∼ 2% of the Crab Neb-\nula flux. The discovery [20] was announced simultane-\nously with the LAT MeV-GeV detection. The VHE\nand other MWL observations, including Fermi-LAT\ndata, for each of these three sources will be the sub-\nject of a joint publication involving both the VERI-\nTAS and LAT collaborations.\n5.2. Discoveries Motivated by Fermi-LAT\nThe successful VHE discovery observations by\nVERITAS of three blazars was motivated primarily\nby results from the first year of LAT data taking. In\nparticular, the VHE detections of PKS 1424+240 [21]\nand 1ES 0502+675 [22] were the result of VERITAS\nobservations triggered by the inclusion of these objects\nin the Fermi-LAT Bright AGN List [13]. The former\nis only the third IBL known to emit VHE gamma-\nrays, and the latter is the most distant BL Lac object\n2RBS 0413 was observed further by VERITAS in Fall 2009.\n(z = 0 . 341) detected in the VHE band. In addition,\nVER J0521+211, likely associated with the radio-loud\nAGN RGB J0521.8+2112, was detected by VERTAS\nin∼ 4 h of observations in October 2009 [23]. These\nobservations were motivated by its identification as a\n>30 GeV γ-ray source in the public Fermi-LAT data.\nIts VHE flux is 5% of the Crab Nebula flux, placing it\namong the brightest VHE blazars detected in recent\nyears. VERITAS later observed even brighter VHE\nflaring from VER J0521+211 in November 2009 [24],\nleading to deeper VHE observations.\n6. Blazars Upper Limits\nMore than 50 VHE blazar candidates were observed\nby VERITAS between September 2007 and June 2009.\nThe total exposure on the 49 non-detected candi-\ndates is∼ 305 h live time (average of 6.2 h per can-\ndidate). Approximately 55% of the total exposure is\nsplit amongst the 27 observed HBL. The remainder is\ndivided amongst the 8 IBL (26%), 5 LBL (6%), and 9\nFSRQ (13%). There are no clear indications of signifi-\ncant VHEγ-ray emission from any of these 49 blazars\n[25]. However, the observed significance distribution is\nclearly skewed towards positive values (see Figure 1).\nA stacking analysis performed on the entire data sam-\nple shows an overall excess of 430γ-rays, correspond-\ning to a statistical significance of 4.8 σ, observed from\nthe directions of the candidate blazars. The IBL and\nHBL targets make up 96% of the observed excess. Ob-\nservations of these objects also comprise∼ 80% of the\ntotal exposure. An identical stacked analysis of all\nthe extragalactic non-blazar targets observed, but not\nclearly detected (>5σ), by VERITAS does not show\na significant excess ( ∼ 120 h exposure). The stacked\nexcess persists using alternate methods for estimating\nthe background at each blazar location, and with dif-\nferent event selection criteria (e.g.soft cutsoptimized\nfor sources with Γ VHE > 4). The distribution of VHE\nflux upper limits is shown in Figure 1. These 49 VHE\nflux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "4 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\nFigure 4: The γ-ray index versus submillimeter index plane. The blazars fall more steeply in the γ-rays than in the\nsubmillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample,\nwhere the blazars are more distributed around αS ∼ 0.\nas the presence of SSC versus ERC. Here, we use sub-\nmillimeter luminosity as a proxy for jet power, which\nis correlated with the integrated luminosity of the syn-\nchrotron component. Elevated γ-ray luminosity with\nrespect to the synchrotron component (which is often\nseen in FSRQs) suggests the upscattering of external\nphotons off the synchrotron-emitting electrons. These\nobjects should occupy the upper right of the ratio/jet\npower plot, and BL Lacs, which generally exhibit com-\nponents with roughly comparable luminosities, should\noccupy the lower left. It is clear from the figure, how-\never, that many FSRQs exhibit ratios similar to those\nof the BL Lacs and vis versa.\nSikora et al. [10] report that, during its flaring\nepochs, 3C 454.3 transitions from its typical FSRQ\nstate to a more BL Lac-like state, where the syn-\nchrotron component emits much more strongly com-\npared to the γ-ray component than during its “low\nstate”. 3C 454.3, which is the highest submillime-\nter luminosity FSRQ in our sample, would then shift\ndown and to the right in Figure 5 when it enters a\nflaring period. For the first three months of the Fermi\nmission, 3C 454.3 was not flaring, which may explain\nits present location in Figure 5. The three objects for\nwhich there is a type discrepancy between CGRaBS\nand LBAS are all FSRQs (in CGRaBS) and exhibit\nlow luminosity ratios and high luminosity, which sug-\ngest they may be undergoing the same changes as 3C\n454.3. A possible interpretation of the elevated lumi-\nnosity ratios observed in some BL Lacs objects is that\nthere has been a dramatic increase in γ-ray luminos-\nity due to ERC, which would not be reflected in the\nsynchrotron component.\n5. CONCLUSIONS\nThe motivation for observing blazars in the sub-\nmillimeter is to study behavior close to the central\nengine, where the jet material is presumably still be-\ning accelerated. The separate emission processes that\ncontribute to overall SED may present differently in\nBL Lacs and FSRQs, allowing us to understand the\nsimilarities and differences between blazar types. We\nhave investigated these differences between objects in\nterms of submillimeter behavior and, in conclusion,\nfind that\n•The SMA blazars exhibit submillimeter energy\nspectral indexes that follow the spectral se-\nquence interpretation of blazars.\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "vation of a known, or newly discovered, VHE blazar\nhas been accompanied by contemporaneous MWL ob-\nservations. These data have resulted in the identifica-\neConf C091122", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "2009 Fermi Symposium, Washington, D.C., Nov. 2-5 5\nFigure 5: Ratio of γ-ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this\nplot should be directly correlated with its blazar “state”, with FSRQs occupying the upper right and BL Lacs the lower\nleft. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n•BL Lacs and FSRQs do not exhibit significant\ndi��erences in amplitude of submillimeter vari-\nability or characteristic timescale, but our sam-\nple of BL Lacs may be dominated by high-\npeaked BL Lacs (HBLs), which exhibit obser-\nvational similarities with FSRQs.\n•Blazar submillimeter light curves are consistent\nwith being produced by a single process that ac-\ncounts for both high and low states, with char-\nacteristic timescales 10 <τrest < 500 days.\n•The blazars detected byFermi have synchrotron\npeaks at higher frequencies, regardless of sub-\nmillimeter luminosity.\n•FSRQs exhibit higher ratios of γ-ray to sub-\nmillimeter luminosity than BL Lacs (Figure 5),\nbut all objects inhabit a region of parameter\nspace suggesting transitions between states dur-\ning flaring epochs.\nAs Fermi continues to observe fainter sources, the\nsample of objects for which we can perform this type of\nanalysis will increase and provide better limits on our\nresults. To understand the physical relevance of these\nresults, however, it is important to be able to distin-\nguish between the difference in variability between BL\nLacs and FSRQs. One avenue for exploring this dif-\nference is to monitor changing submillimeter energy\nspectral index and the ratio of γ-ray to submillime-\nter luminosity as functions of time. The full mean-\ning of the results of our autoregressive method is not\nyet clear, and will require better-sampled blazar light\ncurves and the comparison between τrest with physical\ntimescales such as the synchrotron cooling timescale.\nThese analyses would allow us to place constraints\non the processes occurring near the base of the jet in\nblazars and further understand the intimate connec-\ntion between them.\nAcknowledgments\nThis work was supported in part by the NSF\nREU and DoD ASSURE programs under Grant no.\n0754568 and by the Smithsonian Institution. Par-\ntial support was also provided by NASA contract\nNAS8-39073 and NASA grant NNX07AQ55G. We\nhave made use of the SIMBAD database, operated at\nCDS, Strasbourg, France, and the NASA/IPAC Ex-\ntragalactic Database (NED) which is operated by the\nJPL, Caltech, under contract with NASA.\neConf C091122", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "flux upper limits are generally the most-constraining\never reported for these objects.\n7. Multi-wavelength Studies of VHE\nBlazars\nDuring the first three seasons of VERITAS obser-\nvations, pre-planned extensive MWL campaigns were\norganized for three blazars 1ES 2344+514 (2007-08),\n1ES 1218+304 (2008-09) and 1ES 0229+200 (2009-\n10 - ongoing). In addition, numerous ToO MWL-\nobservation campaigns were performed. These include\ncampaigns for every blazar/AGN discovered by VER-\nITAS, and all include Swift (XRT and UVOT) data.\nAll MWL campaigns on the VHE blazars discovered\neConf C091122", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "arXiv:1001.0770v1 [astro-ph.HE] 5 Jan 2010\n2009 Fermi Symposium, Washington, D.C., Nov. 2-5 1\nVERITAS Observations of Blazars\nW. Benbow for the VERIT AS Collaboration\nHarvard-Smithsonian Center for Astrophysics, F .L. Whippl e Observatory , PO Box 6369, Amado, AZ 85645,\nUSA\nThe VERITAS array of four 12-m diameter imaging atmospheric -Cherenkov telescopes in southern Arizona is\nused to study very high energy (VHE; E >100 GeV) γ-ray emission from astrophysical objects. VERITAS is\ncurrently the most sensitive VHE γ-ray observatory in the world and one of the VERITAS collabor ation’s Key\nScience Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class\nof identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of wh ich\nare blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE\nexposure. These observations have resulted in the detectio n of VHE γ-rays from 16 AGN (15 blazars), including\n8 for the first time at these energies. The VERITAS blazar KSP i s summarized in this proceeding and selected\nresults are presented.\n1. Introduction\nActive galactic nuclei are the most numerous class\nof identified VHE γ-ray sources. These objects emit\nnon-thermal radiation across ∼ 20 orders of magnitude\nin energy and rank among the most powerful particle\naccelerators in the universe. A small fraction of AGN\npossess strong collimated outflows (jets) powered by\naccretion onto a supermassive black hole (SMBH).\nVHEγ-ray emission can be generated in these jets,\nlikely in a compact region very near the SMBH event\nhorizon. Blazars, a class of AGN with jets pointed\nalong the line-of-sight to the observer, are of par-\nticular interest in the VHE regime. Approximately\n30 blazars, primarily high-frequency-peaked BL Lacs\n(HBL), are identified as sources of VHEγ-rays, and\nsome are spectacularly variable on time scales com-\nparable to the light crossing time of their SMBH (∼ 2\nmin; [1]). VHE blazar studies probe the environment\nvery near the central SMBH and address a wide range\nof physical phenomena, including the accretion and\njet-formation processes. These studies also have cos-\nmological implications, as VHE blazar data can be\nused to strongly constrain primordial radiation fields\n(see the extragalactic background light (EBL) con-\nstraints from, e.g., [2, 3]).\nVHE blazars have double-humped spectral energy\ndistributions (SEDs), with one peak at UV/X-ray en-\nergies and another at GeV/TeV energies. The ori-\ngin of the lower-energy peak is commonly explained\nas synchrotron emission from the relativistic electrons\nin the blazar jets. The origin of the higher-energy\npeak is controversial, but is widely believed to be the\nresult of inverse-Compton scattering of seed photons\noff the same relativistic electrons. The origin of the\nseed photons in these leptonic scenarios could be the\nsynchrotron photons themselves, or photons from an\nexternal source. Hadronic scenarios are also plausible\nexplanations for the VHE emission, but generally are\nnot favored.\nContemporaneous multi-wavelength (MWL) obser-\nvations of VHE blazars, can measure both SED peaks\nand are crucial for extracting information from the\nobservations of VHE blazars. They are used to con-\nstrain the size, magnetic field and Doppler factor of\nthe emission region, as well as to determine the origin\n(leptonic or hadronic) of the VHEγ-rays. In leptonic\nscenarios, such MWL observations are used to mea-\nsure the spectrum of high-energy electrons producing\nthe emission, as well as to elucidate the nature of the\nseed photons. Additionally, an accurate measure of\nthe cosmological EBL density requires accurate mod-\neling of the blazar’s intrinsic VHE emission that can\nonly be performed with contemporaneous MWL ob-\nservations.\n2. VERITAS\nVERITAS, a stereoscopic array of four 12-m\natmospheric-Cherenkov telescopes located in Arizona,\nis used to study VHEγ-rays from a variety of astro-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "2 2009 Fermi Symposium, Washington, D.C., Nov. 2-5\n3. VERITAS Blazar KSP\nVERITAS observes for ∼ 750 h and ∼ 250 h each\nyear during periods of astronomical darkness and par-\ntial moonlight, respectively. The moonlight observa-\ntions are almost exclusively used for a blazar discovery\nprogram, and a large fraction of the dark time is used\nfor the blazar KSP, which consists of:\n• A VHE blazar discovery program ( ∼ 200 h / yr):\nEach year ∼ 10 targets are selected to receive\n∼ 10 h of observations each during astronomi-\ncal darkness. These data are supplemented by\ndiscovery observations during periods of partial\nmoonlight.\n• A target-of-opportunity (ToO) observation pro-\ngram (∼ 50 h / yr): VERITAS blazar obser-\nvations can be triggered by either a VERI-\nTAS blazar discovery, a VHE flaring alert (>2\nCrab) from the blazar monitoring program of\nthe Whipple 10-m telescope or from another\nVHE instrument, or a lower-energy flaring alert\n(optical, X-ray or Fermi-LAT). Should the guar-\nanteed allocation be exhausted, further time can\nbe requested from a pool of director’s discre-\ntionary time.\n• Multi-wavelength (MWL) studies of VHE\nblazars (∼ 50 h / yr + ToO): Each year one\nblazar receives a deep exposure in a pre-planned\ncampaign of extensive, simultaneous MWL (X-\nray, optical, radio) measurements. ToO observa-\ntion proposals for MWL measurements are also\nsubmitted to lower-energy observatories (e.g.\nSwift) and are triggered by a VERITAS discov-\nery or flaring alert.\n• Distant VHE blazar studies to constrain the ex-\ntragalactic background light (EBL): Here dis-\ntant targets are given a higher priority in the\nblazar discovery program, as well as for the\nMWL observations of known VHE blazars, par-\nticularly those with hard VHE spectra.\n4. Blazar Discovery Program\nThe blazars observed in the discovery program are\nlargely high-frequency-peaked BL Lac objects. How-\never, the program also includes IBLs (intermediate-\npeaked) and LBLs (low-peaked), as well as flat spec-\ntrum radio quasars (FSRQs), in an attempt to in-\ncrease the types of blazars known to emit VHEγ-rays.\nThe observed targets are drawn from a target listcon-\ntaining objects visible to the telescopes at reasonable\nzenith angles (− 8◦ < δ < 72◦), without a previously\npublished VHE limit below 1.5% Crab, and with a\nmeasured redshiftz < 0. 3. To further the study of the\nEBL a few objects having a large ( z > 0. 3) are also\nincluded in the target list. The target list includes:\n• All nearby ( z < 0. 3) HBL and IBL recom-\nmended as potential VHE emitters in [5, 6, 7].\n• The X-ray brightest HBL ( z < 0. 3) in the recent\nSedentary [8] and ROXA [9] surveys.\n• Four distant ( z > 0. 3) BL Lac objects recom-\nmended by [5, 10].\n• Several FSRQ recommended as potential VHE\nemitters in [6, 11].\n• All nearby ( z < 0. 3) blazars detected by\nEGRET [12].\n• All nearby ( z < 0. 3) blazars contained in the\nFermi-LAT Bright AGN Sample [13].\n• All sources ( |b| > 10◦) detected by Fermi-LAT\nwhere extrapolations of their MeV-GeV γ-ray\nspectrum (including EBL absorption; assuming\nz = 0.3 if the redshift is unknown) indicates a\npossible VERITAS detection in less than 20 h.\nThis criteria is the focus of the 2009-10 VERI-\nTAS blazar discovery program.\n5. VERITAS AGN Detections\nVERITAS has detected VHE γ-ray emission from\n16 AGN (15 blazars), including 8 VHE discoveries.\nThese AGN are shown in Table I, and each has been\ndetected by the Large Area Telescope (LAT) instru-\nment aboard the Fermi Gamma-ray Space Telescope.\nEvery blazar discovered by VERITAS was the sub-\nject of ToO MWL observations to enable modeling of\nits simultaneously-measured SED. The known VHE\nblazars detected by VERITAS were similarly the tar-\ngets of MWL observations.\n5.1. Recent VERITAS Blazar Discoveries\nPrior to the launch of Fermi VERITAS had discov-\nered VHE emission from 2 blazars. These included\nthe first VHE-detected IBL, W Comae [14, 15], and\nthe HBL 1ES 0806+524 [16]. VERITAS has discov-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "How big is the Mermaid fleet?", - "target_page": 12, - "target_passage": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "MERMAID AVENGER\n19.8m Oil Pollution, Crew Boat\nMERMAID ACHIEVER\n40m Survey, Utility, Standby\nMERMAID REUNION\n26m Utility Vessel \nPELICAN BARGE\n36.58m Utility Barge\nMERMAID SUPPLIER\n29.05m Landing Barge, Supply Vessel\nMERMAID COMMANDO\n20.04m Tug, Utility Vessel\nMERMAID BOSS\n19.8m Utility Barge\nMERMAID TITAN\n14.3m Steel T win Screw Tug,\nWork Boat\nMERMAID FLEET\n23", - "page_start": 26, - "page_end": 26, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "MERMAID ARROW\n19.95m Crew Boat\nMERMAID EAGLE\n35m Towing, Utility, Supply\nMERMAID RAIDER\n50m Supply/Standby Vessel \nMERMAID MARELLA\n24.9m Steel Catamaran, Supply Vessel \nMERMAID WARRIOR\n19.52m Steel Tug, Work Boat\nMERMAID PATROL\n13.63m Utility Vessel\nMERMAID FLEET\n22", - "page_start": 25, - "page_end": 25, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\nT wo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\nwork increased productivity through enhanced bollard pull and consequent earnings.\nSafety was given the highest priority through new monitoring systems and awareness programs.\nFormalised on the job instruction and training courses have also lifted levels of experience and\nproficiency across the workforce.\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\nexploration and development budgets of Australia ’s offshore oil and gas industry. The Burrup\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\nSince receiving approval in principle for development of the Dampier Base from the Western\nAustralian Minister for the Environment in February 2000, engineering and general design work\nin connection with the base proceeded at an accelerated pace. \nThis work, assisted by technical studies and a re-assessment of an increased demand for services\narising out of greater expectations for growth in the sector, has led to improvements and\nexpansion of capacity over earlier plans.\nThe Dampier Base will now comprise:-\nAn “all tides” approach channel to a minimum depth of 6 metres \nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\nreception. The joint Commonwealth and WA State Government initiative to establish\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\nrole in major capital works in the Pilbara, leading to significant cost savings.\nOPERATIONS REVIEW\n8\nSEAGOING OPERATIONS\nDAMPIER BASE\n•\n•", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n11\nvessels engaged in routine offshore logistics tasks operate fully laden with 7.4 m draft which\nmeans there will be very few occasions when the largest vessels in the industry have to make a\ntide dependent entry or departure through the Mermaid channel. Further the Mermaid Base will\nnot suffer operational disadvantages experienced by the adjacent Woodshed Base or nearby\nDamper Public Wharf in terms of entry and departure draft restrictions.\nThe function and purpose of Berth 1 will be:\n• To service the larger offshore supply boat market on a fast turnaround basis.\n• To receive and offload very heavy ro/ro cargoes up to 1500 tonne delivered by ocean going\nheavy lift ships and barges.\n• To handle inbound and outbound cargoes related to major offshore pipe lay projects.\n• To receive and efficiently load reel ships used for deep water small diameter pipelay.\nThe wharf will be an earth filled structure with steel sheet pile faces and concrete capping beam\nsurround. Most of the construction will be performed using land based equipment working from\nthe core of the earth filled system. \nMuch effort has gone into a design concept which allows very large cranes (>100 tonne\ncapacity) to operate without restriction on the wharf. \nThe separation between Berth 1 and Berth 2 is such to allow Road Train Triples (the max\nallowable) to turn unassisted on the wharf.\nC. QUAY WALL (BERTH 2)\nThe inner berth, Berth 2 has a minimum depth alongside of 5.0 m allowing unrestricted\noperation of all the Mermaid fleet, and the majority of other vessels servicing the offshore oil/gas\nindustry and mineral ports. This berth will offer excellent weather protection for small and\nmedium size vessels.\nD. BREAKWATER.\nThe rubble mount type breakwater will be an extension of the wharf, constructed using core and\narmor rock largely won from excavations on the Base. The excavations created will become\ndepositories for dredge spoil. \nBecause the storm surge associated with major cyclones can be up to 7 m above chart datum (low\ntide), before imposing the wave height, a fully protective breakwater is not practical. The", - "page_start": 14, - "page_end": 14, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\nleased facilities to seven third party vessels and protection for three of our own vessels using this\ntechnique by the cyclone season in 2001.\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\nvessel specific mooring lines secured to special attachment points on the vessel.\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\nbuilt cradles for cyclones.\nF. ONSHORE LAND RECLAMATION.\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\nsuitable for development in its present state.\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\nfraction of the cost of importing fill from elsewhere.\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\nimplementation stage. 13\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\nMERMAID MARINE \nAUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "ANNUAL REPORT 2000\nANNUAL REPORT 2000\nMERMAID MARINE AUSTRALIA LIMITED\nACN 083 185 693", - "page_start": 0, - "page_end": 0, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "DIRECTORS ’ REPORT\n29\nMermaid’s principal activities during the course of the Financial Year were: \nOperating crewed vessel charters;\nVessel manning, management and logistics;\nOperating supply base facilities; and\nEquipment hire.\nOther than detailed in the Chairman ’s Report set out at pages 1 and 2 of this report and/or in\nthe Operations Review set out on pages 3 to 9 of this report, (together the “Chairman’s and\nOperations Reviews ”), there have been no significant changes to these activities during the\nFinancial Year.\nIn respect of the financial year ended 30 June 1999, as detailed in the directors’ report for that\nfinancial year, a final dividend of 1.25 cents per share, franked to 100 per cent at 36 per cent\ncorporate income tax rate, was paid to the holders of fully paid ordinary shares on 1 November 1999.\nIn respect of the financial year ended 30 June 2000 the directors have not recommended the\npayment of a dividend.\nA review of operations for the Financial Year and the results of those\noperations are set out in the Chairman ’s and Operations Reviews.\nThe Chairman ’s and Operations\nReviews set out the matters which have had a significant effect on the state of affairs of Mermaid.\nOther than those matters there were no significant changes in the state of affairs of Mermaid\nduring the Financial Year.\nOn 25 August 2000 the Company announced that it had reached two\nagreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company\nat an issue price of 30 cents each (Shares).\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000\nShares by 29 September 2000, followed by, if approved of by shareholders at the Company ’s\nannual general meeting, a further 3,441,666 within 7 days of that meeting.\nOn Mr Bradley being appointed a Director of the Company, in order to comply with the\nPRINCIPAL ACTIVITIES\nREVIEW OF OPERATIONS\nSUBSEQUENT EVENTS\nSIGNIFICANT CHANGES IN THE STATE OF AFFAIRS\nDIVIDEND\n•\n•\n•\n•", - "page_start": 32, - "page_end": 32, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "CHAIRMAN ’S REPORT\n5\nDirector of the Clough Group and a highly experienced and talented executive. Richard has\nappointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with\nengineering qualifications and associated business skills to assist him.\nCaptain Jim Carver, Mermaid’s founder continues to play a significant role in Mermaid’s operations,\npaying particular attention to our business at sea. Under 20 years of Jim ’s leadership, Mermaid\ndeveloped an enviable reputation as a “can do” company, and in our drive for new engineering\nexpertise and professionalism, we have no intention of allowing that attitude to be lost.\nLast year we identified Broome as our next strategic position. No oil and gas work had been\nsupported out of Broome for seventeen years and with the valuable cooperation and assistance\nof the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first\nclient. The base was then established early this year. \nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven\nmonths operation, our Base is profitable, housing Inpex, BHP , Woodside and Sedco in support\nof their current drilling programs. All the holes drilled from the Broome Base have been\ndesignated as commercial finds by the explorers and the very major increase in the reserves at\nBrecknock, Woodside’s permit 500 kilometres north of Broome creates optimism for future\nproduction based in the Broome area.\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu\nUndan project operated by Phillips, is well advanced and will impact Darwin ’s offshore activity\nquite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with\nPerkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping\nis synonymous with Darwin’s history. Set up by V .B. Perkins in the late 40 ’s, it has grown to\nsignificant size, operating its ships across the top of Australia and into South East Asia. There\nare many synergies which Mermaid shares with Perkins and we look forward to developing our\nDarwin business in close association with that fine old Company.\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early\nin the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to\nbe paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour\nhire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General\nManager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director.\nWith their reputation and talent added to Mermaid’s experienced team, this labour hire\ncompany has become a significant force and can be expected to be in the final when major\nlabour hire contracts are let.", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n17\nG. SLIPWAY.\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service\nour marine industries. Some of this has been due to a historical link with our recent industrial\npast. This is now behind us, and Australia has now become a centre of excellence with respect\nto both new building and ship repair, particularly for high tech and specialty vessels.\nThe Mermaid slipway will be the third such facility on the western half of the continent , with\nothers located at Fremantle and Darwin.\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is\nstructured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between\n200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private\npleasure craft , naval, scientific and law enforcement vessels are a secondary target.\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set\nby our current inventory of cradles used to support vessel on the slip. The cradles will be\nprogressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne\nvessels to be side slipped, thereby increasing capacity.\nThe slipway location and orientation on the Base has been chosen to maximize the cost and load\nbearing benefits of having a very high strength granite bedrock as the best possible foundation.\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent.\nTenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship\nRepair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns.\nMermaid has purchased a very large cyclone rated industrial building\nframe which will be sited beside the slipway and tenanted by Mermaid\nengineering and companies which will provide ancillary services\nrelated to ship repair.\nThe Northwest Shelf is a\nworld scale offshore oil and\ngas exploration province.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n20\nDuring 2000 Mermaid Marine formed a\nnew business unit Mermaid Labour and Management Limited. The focus of this unit will be\nlabour supply and industrial relations management to the marine, offshore construction industry\nand onshore resources projects in the NW of Australia. The Directors and Management of the\nnew entity are very experienced, well known and regarded by the industry in general. The\ncompany has high expectations for Mermaid Labour and Management Limited. \nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have\nresponsibility.\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company ’s\naccreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid ’s quality assurance and\ncompliance team continues with a continuous day to day effort to improve our health, safety and\nenvironmental performance. Stringent charterer requirements, which are a pre requisite of\nincreased vessel usage, must be met to the letter and are the subject of regular and demanding\naudits. Although time consuming and expensive, we are grateful to certain of the large\nproducers, who while demanding the highest levels of compliance, have also been prepared to\ngive their time, sharing their safety expertise with us and in that way assisting in the very major\nadvances our company has made in this all important area. \nAt the time of writing this report, Mermaid had accumulated 348 days without a Lost Time\nInjury. A fine achievement and a continuing record.\nMERMAID LABOUR AND MANAGEMENT LIMITED\nSAFETY", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "What was the budget for the expansion of Dampier Base?", - "target_page": 14, - "target_passage": "a capital budget of $13m", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "OPERATIONS REVIEW\n10\nWork on Dampier\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving\na capital budget of $13m.\nThe principle activities and facility developments involved in the expansion are:\nA. DREDGING \nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance\nchannel, vessel berths, cyclone moorings and to provide access to the slipway.\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of\ndredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%)\nand a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management\nrequirement and environmental considerations. \nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial\ndredging tool using the experience gained from the earlier Woodside project.\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting\nwhile fulfilling functional objectives.\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart\ndatum. The dredge spoil will be pumped ashore and used as fill around the Base.\nDredges are expected to be onsite for approximately 7 months commencing mid November.\nB. QUAY WALL ( BERTH 1)\nMarket research and customer needs have caused Mermaid to relocate and redesign the main\nberth to accommodate a wider range of vessels than originally contemplated. The berth is now\nlocated in deeper water with better vessel access.\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are\nnow four vessels operating in the region with 12,000 to 18,000 hp. When design commenced\nthere were none of this size. \nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide\n(MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest\nBASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n9\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle\nmost of the 60 vessels currently working in the region, a considerable number, but one\nwhich will rise over coming years. First class engineering facilities have been planned\nand highly experienced management recruited. Alternative slipways offering\ncomparable capacity are only to be found in Darwin or Fremantle, a sea journey of\napproximately 1000 miles from this operational region. Australia has emerged as a\ncentre of excellence with respect to vessel repair work, the Dampier facility will both\nbenefit from and protect that valuable reputation. \nRehabilitated land for buildings and storage will finally extend over 17 hectares. The\nmajor oilfield services company Halliburton, have been attracted to the base as a\ntenant and a $1.1m purpose built building is being constructed for their use.\nNegotiations are also proceeding with other groups who recognise the unique\nadvantages of operating from this strategically positioned Base. Rental income and\nassociated revenues such as plant and labour hire will contribute significantly to the\noverall economics of the facility. \nProtected moorings for cyclone shelter will be established inside the breakwater for\nlong term lease to local tug operators. The demand arises from serious vessel and crew\nsafety considerations. The Dampier Port Authority are reluctant to see the continued\nuse of cyclone moorings in the Harbour, not only for safety reasons, but for\nenvironmental concerns as well. Oil spills are not acceptable under any circumstances\nand will be avoided whatever the cost. Tug owners share similar concerns, but in\naddition they need to remain in a position of readiness for crews and equipment to\nresume their important functions immediately following a cyclonic event. The number\nof specific purpose spread moorings, detailed on the adjacent plan will total 10 in the\nfirst phase of construction, a limit which will be assisted by an ability to remove vessels\nup to 100 tonnes from the water by wharf crane for tie down on cradles.\nConstruction of the Dampier Base commenced on the 9th\nOctober this year, with an expectation that all major elements\nof the project will be largely completed within 12 months. \nThe “Clough Challenge” Barge -\nShallow Water Construction Support Barge\nin the East Spar Field\n•\n•\n•", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\nT wo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\nwork increased productivity through enhanced bollard pull and consequent earnings.\nSafety was given the highest priority through new monitoring systems and awareness programs.\nFormalised on the job instruction and training courses have also lifted levels of experience and\nproficiency across the workforce.\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\nexploration and development budgets of Australia ’s offshore oil and gas industry. The Burrup\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\nSince receiving approval in principle for development of the Dampier Base from the Western\nAustralian Minister for the Environment in February 2000, engineering and general design work\nin connection with the base proceeded at an accelerated pace. \nThis work, assisted by technical studies and a re-assessment of an increased demand for services\narising out of greater expectations for growth in the sector, has led to improvements and\nexpansion of capacity over earlier plans.\nThe Dampier Base will now comprise:-\nAn “all tides” approach channel to a minimum depth of 6 metres \nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\nreception. The joint Commonwealth and WA State Government initiative to establish\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\nrole in major capital works in the Pilbara, leading to significant cost savings.\nOPERATIONS REVIEW\n8\nSEAGOING OPERATIONS\nDAMPIER BASE\n•\n•", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "the consumption of cubic yards of available airspace. These costs include all costs to acquire and construct a\nsite including excavation, natural and synthetic liners, construction of leachate collection systems, installation\nof methane gas collection and monitoring systems, installation of groundwater monitoring wells, and other\ncosts associated with the acquisition and development of the site. Obligations associated with Ñnal capping,\nclosure and post-closure are capitalized, and amortized on a units-of-consumption basis as airspace is\nconsumed.\nCost and airspace estimates are developed annually by engineers. These estimates are used by our\noperating and accounting personnel to annually adjust our rates used to expense capitalized costs. Changes in\nthese estimates primarily relate to changes in available airspace, inÖation and applicable regulations. Changes\nin available airspace include changes in design and changes due to the addition of airspace lying in expansion\nareas that we believe have a probable likelihood of being permitted.\nOur operations are managed and reviewed through Ñve regions which we designate as our reportable\nsegments. From 2003 to 2004, operating income increased in our Eastern, Southern and Western regions due\nto an overall increase in revenue resulting from the successful execution of our growth strategy. In the Central\nregion, increased revenue was oÅset by weak economic conditions and an increase in costs related to the long-\nhaul transport of waste by third-party vendors. In the Southwestern region, revenue growth was impeded by\nthe closure of a landÑll and the completion of a special waste contract during 2003. The decrease in costs for\nCorporate Entities from 2003 to 2004 is primarily due to a decrease in self-insurance expense.\n2004 Financial Objectives\nIn January 2004, we publicly announced our objectives for the year. These objectives included the\nfollowing:\n‚ Generating free cash Öow of approximately $340 million.\n‚ Using our free cash Öow to repurchase shares of our common stock under our $200.0 million share\nrepurchase program approved by our board of directors in October 2003 and continuing to pay\nquarterly cash dividends.\n‚ Generating diluted earnings per share of $1.50 to $1.55.\n‚ Growing revenue from core operations by 3%, with approximately 2% attributable to price increases\nand 1% attributable to volume growth.\n‚ Purchasing approximately $275 million of property and equipment.\n2004 Business Performance\nDuring 2004, we achieved our earnings per share objective and exceeded our internal growth, free cash\nÖow and share repurchase objectives.\nOur internal growth from core operations for 2004 was 5.9%, with 2.3% from price increases and 3.6%\nfrom volume growth. During 2004, our revenue growth from core pricing beneÑted from a broad-based pricing\ninitiative which we started during the fourth quarter of 2003. We experienced core volume growth in all lines\nof our business, including our residential collection business resulting from the addition of several new\nmunicipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new\ncontracts. Our core volume growth was also positively impacted by the hurricanes. In addition, our geographic\nmix of business, which is concentrated in high growth markets, positively impacted our operating results. As a\nresult, during 2004 we were able to exceed the internal growth objectives we established at the beginning of\nthe year.\nDuring 2004, our operating margins improved, primarily due to lower self-insurance expense. This beneÑt\nwas partially oÅset by increased costs for fuel, labor and subcontracting costs associated with the long-haul\ntransport of waste by third party vendors. The net expansion in our operating margin allowed us to achieve\ndiluted earnings per share of $1.53 during the year ended December 31, 2004.\n24", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "10% less than budget.\nCASINO AND JOHN BROOKES\nSANCTIONED\nWhile two projects came into\nproduction, Santos added two\nmore to the development\nconveyor with the sanctioning of\nthe Casino and John Brookes gas\nprojects during the year.\nCasino was formally sanctioned \nin October and was 25% complete\nby the end of the year. This \nis a significant achievement\nconsidering the field was only\ndiscovered in late 2002.\nThe $200 million development\ncommenced following the\ngranting of the necessary Board\napprovals as well as the\nfinalisation of a larger Gas Sales\nAgreement with TXU. Gas\nproduction is expected to start \nin the first quarter of 2006.\nAll formal environmental\napprovals have now been \ngranted for the project by the\nCommonwealth Government. The\nuse of existing onshore facilities\nand a low environmental impact\ndesign have been integral to\n‘2004 was the year that \nwe really got the conveyor \nbelt moving in terms of\ndevelopment projects. In 2005\nwe’ll hand over to Operations\nour first offshore operated\nproject, Mutineer-Exeter, ahead\nof schedule and under budget,\nand we’ll continue to progress\nseveral other new offshore\ndevelopments, targeted to be\non stream during 2005-06. ’\nPAUL MOORE \nVice President \nDevelopment Projects \nand Technical Services\nCapturing and Delivering Growth\nCOMMISSIONING AND DELIVERING \nGROWTH PROJECTS\nSAN165 WWW Text 30/3/05 12:07 PM Page 18", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "OPERATIONS REVIEW\nleased facilities to seven third party vessels and protection for three of our own vessels using this\ntechnique by the cyclone season in 2001.\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\nvessel specific mooring lines secured to special attachment points on the vessel.\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\nbuilt cradles for cyclones.\nF. ONSHORE LAND RECLAMATION.\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\nsuitable for development in its present state.\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\nfraction of the cost of importing fill from elsewhere.\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\nimplementation stage. 13\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\nMERMAID MARINE \nAUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Table of ContentsOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increasedby $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30,2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 andincreased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months endedSeptember 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on ourU.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.See Note 9, Income Taxes, to the consolidated financial statements included elsewhere in this Quarterly Report on Form10-Q for further details.Liquidity and Capital ResourcesWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cashwe generate from our core operations enables us to fund ongoing operations and production, our research and developmentprojects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existingmanufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations,body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities andautonomy and other artificial intelligence enabled products.In addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed wewill be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturingoperations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, wemay choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs andmay decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business,including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to timedetermine that it is in our best interests to voluntarily repay certain indebtedness early.Accordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-monthperiod following September 30, 2024, as well as in the long-term.See the sections below for more details regarding the material requirements for cash in our business and our sources ofliquidity to meet such needs.Material Cash RequirementsFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase ofcomponents and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability inthe precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally donot have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude ofpurchase orders beyond such period is difficult to accurately project.As discussed in and subject to the considerations referenced in Part I, Item 2, Management's Discussion and Analysis ofFinancial Condition and Results of Operations—Management Opportunities, Challenges and Uncertainties and 2024 Outlook—Cash Flow and Capital Expenditure Trends in this Quarterly Report on Form 10-Q, we currently expect our capitalexpenditures to support our projects globally to exceed $11.00 billion in 2024 and be between $8.00 to $10.00 billion in each ofthe following two fiscal years. We also have certain obligations in connection with our operations at Gigafactory New York andGigafactory Shanghai, as outlined in Part II, Item 7, Management's Discussion and Analysis of", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "REPUBLIC SERVICES, INC. AND SUBSIDIARIES\nNOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n(All tables in millions, except per share data) Ì (Continued)\nand accounting personnel to annually adjust the Company's rates used to expense capitalized costs. Changes\nin these estimates primarily relate to changes in available airspace, inÖation and applicable regulations.\nChanges in available airspace include changes due to the addition of airspace lying in probable expansion\nareas.\nTotal Available Disposal Capacity\nAs of December 31, 2004, the Company owned or operated 58 solid waste landÑlls with total available\ndisposal capacity of approximately 1.7 billion in-place cubic yards. Total available disposal capacity represents\nthe sum of estimated permitted airspace plus an estimate of expansion airspace that the Company believes has\na probable likelihood of being permitted.\nProbable Expansion Airspace\nBefore airspace included in an expansion area is determined as probable expansion airspace and,\ntherefore, included in the Company's calculation of total available disposal capacity, the following criteria\nmust be met:\n1. The land associated with the expansion airspace is either owned by the Company or is controlled\nby the Company pursuant to an option agreement;\n2. The Company is committed to supporting the expansion project Ñnancially and with appropriate\nresources;\n3. There are no identiÑed fatal Öaws or impediments associated with the project, including political\nimpediments;\n4. Progress is being made on the project;\n5. The expansion is attainable within a reasonable time frame; and\n6. The Company believes it is likely the expansion permit will be received.\nUpon meeting the Company's expansion criteria, the rates used at each applicable landÑll to expense\ncosts to acquire, construct, close and maintain a site during the post-closure period are adjusted to include\nprobable expansion airspace and all additional costs to be capitalized or accrued associated with the expansion\nairspace.\nThe Company has identiÑed three sequential steps that landÑlls generally follow to obtain expansion\npermits. These steps are as follows:\n1. Obtaining approval from local authorities;\n2. Submitting a permit application to state authorities; and\n3. Obtaining permit approval from state authorities.\nOnce a landÑll meets the Company's expansion criteria, management continuously monitors each site's\nprogress in obtaining the expansion permit. If at any point it is determined that an expansion area no longer\nmeets the required criteria, the probable expansion airspace is removed from the landÑll's total available\ncapacity and the rates used at the landÑll to expense costs to acquire, construct, cap, close and maintain a site\nduring the post-closure period are adjusted accordingly.\n67", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nConsistent with the Company’s strategy to continue to add to its portfolio through developments, a second project in St. John’s was started \nduring the second half of 2013 within close proximity to Bennett House. The design and site planning for the 101‑unit complex is completed \nand construction commenced at the end of the third quarter of 2013. In order to generate higher returns, the Company has approved a lower \nper unit development cost. The Company has spent $7.1 million on this project to date including the cost of land and has satisfied the equity \ncomponent in order to obtain construction financing. Management expects an all cash yield of approximately 6% on this project.\nKillam acquired land in Cambridge in early 2013, which consisted of a 5.2 acre site and developed a two‑phase plan for development for 244 \nunits. Phase one will include 122 units and construction commenced in the fourth quarter of 2013, with development expected to be completed \nin the spring of 2015. The Company has already contributed $6.0 million to phase one of the project, which represents approximately 82% of the \nrequired equity contribution and the expected yield on this project is approximately 6%. \nCapital Improvements\nKillam invests capital to maintain and improve the operating performance of its properties. During the year ended December 31, 2013, Killam \ninvested a total of $21.6 million in its portfolio, compared to $22.5 million in 2012. \nFor the years ended December 31,\n2013 2012 % change\napartments $18,100 $19,039 (4.9)%\nmHcs 3,505 3,345 4.8%\nother 42 84 (50.0)%\n$21,647 $22,468 (3.7)%\nApartments ‑ Capital Spend\nA summary of the capital spend on the apartment segment is included below:\nFor the years ended December 31,\n2013 2012 % change\nBuilding improvements $8,545 $9,353 (8.6)%\nSuite renovations 7,390 4,945 49.4%\nland improvements 53 1,374 (96.1)%\nBoilers and heating equipment 371 1,902 (80.5)%\nappliances 1,188 808 47.0%\nParking lots 133 211 (37.0)%\ne quipment 211 237 (11.0)%\nother 209 209 ‑%\nt otal capital spend $18,100 $19,039 (11.6)%\naverage number of units outstanding 12,210 11,312 7.9%\ncapital spend per unit $1,482 $1,683 (11.9)%\nKillam estimates that $450 per unit of the capital spending relates to maintenance capital, and the remainder relates to value enhancing \nupgrades. Maintenance capital varies with market conditions and relates to investments that are not expected to lead to an increase in NOI, \nor increased efficiency, of a building; however, it is expected to extend the life of a building. Examples of maintenance capital include roof \nand structural repairs and are in addition to regular repairs and maintenance costs that are expensed to NOI. Value enhancing upgrades are \ninvestments in the properties that are expected to result in higher rents and/or increased efficiencies. This includes unit and common area \nupgrades and energy investments, such as natural gas conversions. \n50 Killam ProPerties inc | 2013", - "page_start": 49, - "page_end": 49, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Management’s Discussion and Analysis\nDollar amounts are in thousands of Canadian dollars (except as noted)\nKillam spent $1,482 per unit for the year ended December 31, 2013, compared to $1,683 per unit for the year ended December 31, 2012. \nApproximately 40% of the capital spend during the year was invested in suite renovations. The increase year‑over‑year was a result of unit \nupgrades to improve quality and increase occupancy, increase yields on properties identified for repositioning, and support the Company’s \ncommitment to increasing unit quality to maximize rental increases.\nAs an example, in 2013 the Company has been actively working to reposition Brentwood Apartments, a 45‑year old, 240‑unit, property located in \nHalifax, that was acquired in 2012. The Company identified that significant value could be created at this property by improving the quality of the \nunits and generating increased NOI through higher rents. Unit upgrades have averaged $15,000 per unit and have consisted of new appliances, \nflooring and kitchen and bathroom upgrades. The Company has achieved a corresponding lift in rents of approximately 15% on the 53 units it has \ncompleted to date. Based on a 5‑year project timeline, with 20% of the units renovated each year, the Company expects to see the return on the \ntotal investment improve 145 bps from 6.25% to 7.70%. \nKillam has also invested in suite renovations to reposition an Ottawa portfolio acquired in 2012. Kitchen, bathroom, flooring and appliance \nupgrades have improved the quality of the Ottawa units, leading to a 1,100 bps increase in occupancy in the past 12 months. Excluding the \nrepositioning of the Brentwood and the Ottawa portfolio in 2013, suite renovation costs would have been $6.0 million, or a 21% increase from \n2012.\nThe Company has also identified additional properties in the Atlantic region as well as Ontario for repositioning and will continue to invest in \nupgrades where these higher yields can be achieved. One such property identified for 2014 is Shaunslieve, the 154‑unit property adjacent to S2 \nin Halifax. Killam expects to recover the renovation costs through increased rental rates. Capital spend on appliances increased in 2013 as well, \nwhich was directly correlated to the increased suite renovation work.\nBoiler and heating equipment costs have decreased significantly in 2013, as the Company converted twenty properties to natural gas in 2012, \ncompared to one in 2013. \nThe majority of the remaining capital expenditures during 2013 related to exterior building repairs, including roofing and balcony upgrades, brick \nreplacement and exterior facade upgrades. The timing of capital spending is influenced by tenant turnover, market conditions, and individual \nproperty requirements, causing variability. In addition, the length of time that Killam has owned a property and the age of the property also \ninfluences the capital requirements. \n$‑\n$500\n$100 0\n$150 0\n$200 0\n$250 0\nAverag e Capital Spend Per Unit by Building Age\n2011 2012 2013\n0 ‑ 10 years\n11 ‑ 20 years\n21 ‑ 30 years\n31 ‑ 40 years\n41 + years\nAs the above chart highlights, the capital spend per unit is less for newer properties, averaging $364 per unit in 2013, compared to $2,248 per \nunit for buildings over 40 years old. This analysis excludes capital spending on development and energy projects. Killam’s continual focus on \ndeveloping and acquiring new properties aids in maintaining lower capital requirements on a per unit basis. 20% of Killam’s apartments as of \nDecember 31, 2013, have been built in the past ten years.\nKillam expects to invest approximately $22 million to $24 million during 2014 on apartment portfolio capital investments.\nKillam ProPerties inc | 2013 51", - "page_start": 50, - "page_end": 50, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "When did Mermaid Marine Service Base in the Port of Broome start?", - "target_page": 22, - "target_passage": "1 February 2000", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "OPERATIONS REVIEW\n18\nMermaid Marine services base at the Port of Broome (Broome Base)\ncommenced operations on 1 February 2000 when the first ship containing drill pipe for Inpex\nBrowse Ltd arrived from Japan.\nAs a result of Mermaid’s efforts in establishing the Broome Base, Inpex Browse Ltd., BHP Petroleum\nand Woodside have used Broome as their base for drilling a total of four (4) offshore wells.\nIt is presently expected that at least six\n(6) exploration wells will be drilled in the\narea during 2001. The Base now employs\nas many as ten (10) staff up from the\nthree (3) who commenced in February\n2000. Excellent management and staff\ncompetence are the prime factors, which\nhave delivered the smooth start up and\ncontinued success at Broome.\nThe base is currently secured on a come and go lease arrangement, located on Port premises\nadjacent to the wharf gates. Although convenient, with an excellent cyclone proof building, the\nsite has limitations in terms of size and slope. An area more suitable for our long term needs has\nbeen optioned from Port authorities and discussions will proceed with our clients this year to\ndetermine their precise needs.\nThe success of Browse Basin wells drilled this year, strong developments in the energy sector and\nthe intention of operators to base their 2001 operations in Broome, have encouraged the Board\nto consider further investment to ensure that capability keeps pace with demand and that we\nleave no reason for competitors to offer more or better. \nThe offshore waters of the Northern Territory, the Zone of Co-Operation (ZOCA) between Australia\nand Timor, and the Commonwealth Territory of Ashmore and Cartier host approximately 35% of the\nexploration and development budgets of Australian offshore oil and gas industry.\nT wo large projects are under study or implementation in these waters; the Phillips Petroleum\nBayu-Undang Project and the Woodside Sunrise Troubador Project.\nT wo large petrochemical projects are under study for the Darwin area based upon pipelines from\nthe Timor Sea gas resources of the projects above.\nDarwin will within 3 years be the northern terminus of the Australian national rail system with the\ncompletion of the Alice Springs Darwin rail link, further expanding its role in Australia’s economy.\nBROOME SUPPLY BASE\nDARWIN BASE\nThe Mermaid Broome Supply Base certified Impex, Woodside \nand BHP Petroleum exploration program during 2000.", - "page_start": 21, - "page_end": 21, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges,\nundertaking all forms of offshore activity including exploration support, supply, survey and berthing\nassist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance.\nT wo tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the\nwork increased productivity through enhanced bollard pull and consequent earnings.\nSafety was given the highest priority through new monitoring systems and awareness programs.\nFormalised on the job instruction and training courses have also lifted levels of experience and\nproficiency across the workforce.\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all\nexploration and development budgets of Australia ’s offshore oil and gas industry. The Burrup\nPeninsular where the Base is located is the intended site of major new oil, gas, petrochemical and\nindustrial mineral processing plants. The Port of Dampier is Australia’s largest Port as measured by\ntonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there\nremains an urgent need for additional marine support infrastructure. Mermaid is now well advanced\nin our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000.\nSince receiving approval in principle for development of the Dampier Base from the Western\nAustralian Minister for the Environment in February 2000, engineering and general design work\nin connection with the base proceeded at an accelerated pace. \nThis work, assisted by technical studies and a re-assessment of an increased demand for services\narising out of greater expectations for growth in the sector, has led to improvements and\nexpansion of capacity over earlier plans.\nThe Dampier Base will now comprise:-\nAn “all tides” approach channel to a minimum depth of 6 metres \nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to\naccommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular\nand adjacent mining centres. A subsea pipe reel loading facility will encourage the use of\nspool ships in the region for deepwater pipelay. On a project by project basis, pipeline\nprotection rock dumping, specialist vessel rig up activities and the like will be facilitated,\nas will dry and bulk cargo handling, refuelling, watering and all categories of waste\nreception. The joint Commonwealth and WA State Government initiative to establish\nan integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load\ncorridors from Perth’s industrial areas will see the heavy capacity wharf playing a strategic\nrole in major capital works in the Pilbara, leading to significant cost savings.\nOPERATIONS REVIEW\n8\nSEAGOING OPERATIONS\nDAMPIER BASE\n•\n•", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "ANNUAL REPORT 2000\nANNUAL REPORT 2000\nMERMAID MARINE AUSTRALIA LIMITED\nACN 083 185 693", - "page_start": 0, - "page_end": 0, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n19\nDarwin is serviced by three marine infrastructure elements.\na. A public port adjacent to the main business centre, which is destined to be redeveloped\nas a cruise ship and tourism precinct .\nb. A group of freehold water front properties on Frances Bay near to the main business\ncenter.\nc. A recently commissioned public port and industrial estate at East Arm some 25 km from\nthe main business district.\nDarwin already has an abundance of shore based logistics service providers who operate from\nonshore industrial estates through publicly owned facilities. \nThe Northern Territory Government has sponsored a study to determine the marine\ninfrastructure deficits of the Darwin area. Mermaid has contributed to the study and is\nmonitoring the subsequent planning processes.\nRegardless of industry trends, Mermaid has a need for a Darwin Base to service and care for\nMermaid vessels working in the area. Too often vessels have been demobilised to Dampier at the\nconclusion of a contract then being required to return to Darwin within days or weeks for\nanother assignment.\nMermaid has decided that needs and opportunities in the north of Australia can be best served by\nentering a co-operative arrangement with an established Darwin Company. Agreement has therefore\nbeen reached with Perkins Shipping Group, who are one of the freehold land owners on Frances Bay.\nPerkins Shipping, established in the 1950s is the major coastal shipping service provider in\nAustralia’s north, linking Darwin to mining and aboriginal committees from the Kimberly to\nGulf of Carpenteria. Additionally Perkins operate services to East Timor, mining operations in\nIndonesia, as well as Singapore and East Malaysia. The Perkins and Mermaid businesses are\ndifferent, but complementary, offering benefits to both. The arrangement with Perkins will give\nMermaid well placed office facilities, open storage and waterfront access. \nOur intention is that Darwin become the third and final mainland entreport to service the\nNorthwestern offshore oil and gas industry together with our other strategically placed facilities\nat Dampier and Broome.", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n7\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine\nAustralia Ltd ( “Company”) and its controlled entities, experienced a 43% turnover reduction\nfrom last year. The result was almost entirely due to a heavy fall in oil prices, which reached their\nlow of US$10 in February 1999, leading to the lowest level of offshore activity for many years.\nIn September 1999 Mermaid exercised its option to acquire the utility vessel “Mermaid\nAchiever” for $3,250,000. Previously the Achiever operated under a bare boat charter. \nIn February 2000 Mermaid received approval in principle from the Western Australian Minister\nfor the Environment for the development of a supply and engineering base at Dampier (Dampier\nBase). Since that time a detailed environmental management system has been produced for final\napproval and as a guide to daily environmental management and compliance. Refinements to\nthe design have proceeded, together with the preparation of bid packages and negotiations with\nBanks for project finance.\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough\nEngineering will see an extremely robust balance sheet, with cash on hand approaching $10 million.\nAs construction commences at Dampier, a level of project finance will be arranged providing a\ncomfortable mix of debt and equity and allowing the retention of a significant cash balance. \nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They\nare dealt with in detail under following headings.\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax\nprofit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease\nof 43% over the previous period. Fixed cost reductions enabled the Company to ride out the\nmarket reversal with a minimal loss and positive operating cash before capex of $1.6m. This\nresult, achieved against a major drop in turnover, was possible through a vigorous attack on\noverheads, which included more beneficial ownership costs, insurance savings, management\nsalary savings, including voluntary sacrifice from certain senior executives in recognition of the\ntighter conditions. In all the changes contributed approximately $1.5million to the bottom line. \nBare boat charters, although useful for the busy times encountered in 1998 exposed the\nCompany to a high level of fixed costs. The vessels were valuable earners and the transfer of the\nMermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved\nto be the right decision for all market conditions. Although there have been no contracts yet let\nfor work of any significance by producers on the North West Shelf, underlying day to day activity\nhas returned. Expressions of interest for major project work have been issued and as an indication\nof better trading conditions, an unaudited profit of $496,721 has been recorded for the two\nmonths to 31st August 2000. The trend has continued in September.\nOVERVIEW\nFINANCIAL", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "CHAIRMAN ’S REPORT\n6\nLabour hire is heavily dependent upon the quality of the personnel database and our intention\nhas been announced to offer training at Dampier, Broome and Darwin for those who live in the\nNorth West and wish to work in the offshore industry there. Planning for this new initiative is\nwell advanced and we expect to be running courses for prospective offshore employees in coming\nmonths. Although the training program is not directed to any particular community group, it has\nbeen encouraging to have active support from Aboriginal leaders in the Kimberley region.\nWorld prospects for energy, the need for Australia to add value to its resources, Government\ninitiatives for the support of these activities and environmental imperatives, heavily favour gas,\ngiving every indication that Mermaid Marine’s development push has been extremely timely.\nIt is also important to draw attention to increased efforts in terms of health, safety and\nenvironmental protection. Our workplace is largely at sea, where operations involve natural\ndangers and the safety of our people is paramount. We also work in a setting where the tasks in\nwhich we are involved cast us in the role of environmental caretakers of the sea and coastline.\nOver the past twelve months, we have worked even more closely with producers to take this side\nof our business to the highest possible standard. We are proud of the achievement and at the time\nof this report, despite the inherent dangers involved in the work, our employees have accrued a\nrecord 348 days free of Lost Time Injuries, a tremendous effort.\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve\nearnings of at least $100million, with appropriate levels of accompanying profit. That will be\naddressed through our policy of strategic positioning and development in the North West of\nAustralia, and also by acquisition where merger or purchase will add to our earnings and\nstrengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are\nwell able to pursue and secure our ambitious program.\nAlan Birchmore\nChairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n17\nG. SLIPWAY.\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service\nour marine industries. Some of this has been due to a historical link with our recent industrial\npast. This is now behind us, and Australia has now become a centre of excellence with respect\nto both new building and ship repair, particularly for high tech and specialty vessels.\nThe Mermaid slipway will be the third such facility on the western half of the continent , with\nothers located at Fremantle and Darwin.\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is\nstructured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between\n200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private\npleasure craft , naval, scientific and law enforcement vessels are a secondary target.\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set\nby our current inventory of cradles used to support vessel on the slip. The cradles will be\nprogressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne\nvessels to be side slipped, thereby increasing capacity.\nThe slipway location and orientation on the Base has been chosen to maximize the cost and load\nbearing benefits of having a very high strength granite bedrock as the best possible foundation.\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent.\nTenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship\nRepair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns.\nMermaid has purchased a very large cyclone rated industrial building\nframe which will be sited beside the slipway and tenanted by Mermaid\nengineering and companies which will provide ancillary services\nrelated to ship repair.\nThe Northwest Shelf is a\nworld scale offshore oil and\ngas exploration province.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\nleased facilities to seven third party vessels and protection for three of our own vessels using this\ntechnique by the cyclone season in 2001.\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\nvessel specific mooring lines secured to special attachment points on the vessel.\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\nbuilt cradles for cyclones.\nF. ONSHORE LAND RECLAMATION.\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\nsuitable for development in its present state.\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\nfraction of the cost of importing fill from elsewhere.\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\nimplementation stage. 13\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\nMERMAID MARINE \nAUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "CHAIRMAN ’S REPORT\n5\nDirector of the Clough Group and a highly experienced and talented executive. Richard has\nappointed an alternate director, Mr Chris Sutherland, a senior Clough Executive, with\nengineering qualifications and associated business skills to assist him.\nCaptain Jim Carver, Mermaid’s founder continues to play a significant role in Mermaid’s operations,\npaying particular attention to our business at sea. Under 20 years of Jim ’s leadership, Mermaid\ndeveloped an enviable reputation as a “can do” company, and in our drive for new engineering\nexpertise and professionalism, we have no intention of allowing that attitude to be lost.\nLast year we identified Broome as our next strategic position. No oil and gas work had been\nsupported out of Broome for seventeen years and with the valuable cooperation and assistance\nof the Broome Port Authority, we secured Inpex, the large Japanese resource company as our first\nclient. The base was then established early this year. \nA new focus has developed in the Browse Basin and it is pleasing to report that after only seven\nmonths operation, our Base is profitable, housing Inpex, BHP , Woodside and Sedco in support\nof their current drilling programs. All the holes drilled from the Broome Base have been\ndesignated as commercial finds by the explorers and the very major increase in the reserves at\nBrecknock, Woodside’s permit 500 kilometres north of Broome creates optimism for future\nproduction based in the Broome area.\nDarwin was next on our list, enabling involvement in Timor Sea oil and gas activity. The Bayu\nUndan project operated by Phillips, is well advanced and will impact Darwin ’s offshore activity\nquite soon. Pursuing the formula for a strategic sea/land interface, we reached agreement with\nPerkins Shipping in Darwin, to set up an office at their Frances Drive facility. Perkins Shipping\nis synonymous with Darwin’s history. Set up by V .B. Perkins in the late 40 ’s, it has grown to\nsignificant size, operating its ships across the top of Australia and into South East Asia. There\nare many synergies which Mermaid shares with Perkins and we look forward to developing our\nDarwin business in close association with that fine old Company.\nOur ambitions for the support of the oil and gas industry now go beyond bases and vessels. Early\nin the current financial year, Mermaid acquired 50% of the OIS MOC Joint Venture Pty Ltd, to\nbe paid for by the issue of 800,000 Mermaid shares. OIS MOC owns the highly successful labour\nhire business operated by Kevin Ponga and Rick De Franck. Kevin Ponga is now General\nManager of Mermaid Labour & Management Pty Limited and Mr De Franck becomes a Director.\nWith their reputation and talent added to Mermaid’s experienced team, this labour hire\ncompany has become a significant force and can be expected to be in the final when major\nlabour hire contracts are let.", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "NOTES TO AND FORMING PART OF THE FINANCIAL STATEMENTS\nFOR THE FINANCIAL YEAR ENDED 30 JUNE 2000\nNote Consolidated Company\n2000 1999 2000 1999\n$$ $$\n(b) Operating Leases \nNot later than 1 year 171,733 80,306 ––\nLater than 1 year but \nnot later than 2 years 166,130 80,306 ––\nLater than 2 years but \nnot later than 5 years 351,955 169,173 ––\nLater than 5 years 640,247 684,402 ––\nAggregate lease expenditure \ncontracted for at balance date 1,330,065 1,014,187 ––\nAggregate expenditure commitments \ncomprise:\nOffice rental commitments 442,705 71,895 ––\nSupply base rental commitments 861,022 905,177 ––\nOther 26,338 37,115 ––\n1,330,065 1,014,187 ––\nDuring the year Mermaid Marine relocated their Corporate Office. Office rental commitments contains\nthe rental payable under the balance of the lease for Mermaid’s former corporate office. This has been\nsublet for the balance of the term of the lease at a rental equal to the rental payable by Mermaid under\nthe lease of $46,250. The new location is committed under a 5 plus 5 year lease term.\nSupply base rental commitments represents the lease of the King Bay Supply Base for a term of 21 years\ncommencing 1 January 1999 with an option to renew the term for a further period of 21 years.\nThe Lessee is obliged to obtain all necessary approvals by 31 December 2000 for certain development of\nworks (“Development Works”) and to subsequently perform the works within 3 years.\nThe Development Works planned include breakwater, dredged basin, cyclone moorings, slipway, quay\nwall and industrial buildings.\nIf the Development Works are not completed within the prescribed period, the Lessor has the right\n(unless it is satisfied that the non completion was due principally to matters beyond the Company ’s\ncontrol) to vary the Lease by retaking 2.3 hectares at the western extremity of the site.\nThe approved use of the site is for the purpose of conducting a multi purpose marine service facility and\nsupply base including but not limited to open and covered laydown and storage, warehousing, production\nand storage of drilling mud and other drilling supplies, operating and maintaining vessels and floating\nplant together with associated docking, maintenance and engineering works. Any other uses require the\nprior written consent of the Lessor.\nRestrictions apply to the assignment or subletting of the site (or any part) without prior consent of the\nLessor, although that consent cannot unreasonably be withheld (subject to “usual” prudential\nrequirements common to leases in Western Australia).\n51", - "page_start": 54, - "page_end": 54, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How do I create a new document in Word?", - "target_page": 2, - "target_passage": "Just select File > New", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Word\nCreate something\nBegin with a Blank document to get right to work. Or start with a template to save \nyourself time and steps. Just select File > New, and then select or search for the \ntemplate you want.\nAccess files anywhere\nNeed to work on the go and across different devices? Click File > Account to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.\nFind recent files\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting File > Open takes you to your recently \nused documents and any files that you may have pinned to your list.\nDiscover related options\nWhen you select objects in your document, options related to your selection will \nappear. For example, selecting a table displays the Table Design and Layout tabs, \nwhich offer additional options.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Welcome to Word \nInstructions you can edit, share, and print \nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will \nteach you some basics about Word, but this document isn’t just for reading. It’s for editing too, \nso you can learn by doing. \nFor practice using Word features, watch for Try it text in red throughout this document. \n \nTime saver: If you’ve only got a minute \nand you want to see how this works, \nwatch this Video: Welcome to Word. \nWrite eloquently, with a little help \nWord automatically checks spelling and grammar, and marks misspelled words with a red \nsquiggly underline. Grammatical glitches get a blue double underline. \nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write \na sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph. \nRight-click the text that’s marked with underlines, or Press F7. Choose a suggestion to correct \nthe mistakes.", - "page_start": 0, - "page_end": 0, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Count on Word to count your words \nTry it: Hit return after this line and type some words. \nThe status bar at the bottom of the window keeps a running count of the number of words in \nthe document. \n \nSave this for later, access it anywhere \nWhen you save this document in OneDrive, you’ll be able to open it anywhere: on your \ncomputer, tablet, or phone. Your changes will be saved automatically. \n \nTry it: Select File > Save As, and then select OneDrive and give this document a name. \nIf you sign in to Office 365 on another device, this document will be in your list of recent files. \nYou can pick up where you left off… even if you left the document open on the computer you’re \nusing now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Find whatever you need\nType a keyword or phrase into the Search box to quickly find the Word features \nand ribbon commands you’re looking for, to discover Help content, or to get \nmore information online.\nGet other Quick Start guides\nTo download our free Quick Start Guides for your other favorite apps, go to \nhttps://go.microsoft.com/fwlink/?linkid=2008317.\nWord\nShare your work with others\nTo invite others to view or edit your documents, select the Share button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment.\nNext steps with Word\nSee what’s new in Office\nExplore the new and improved features in Word and the other Office apps. \nVisit https://go.microsoft.com/fwlink/?linkid=871117 for \nmore information.\nGet free training, tutorials, and videos for Office\nReady to dig deeper into the capabilities that Word has to offer? Visit \nhttps://go.microsoft.com/fwlink/?linkid=871123 to explore our free \ntraining options.\nSend us your feedback\nLove Word? Got an idea for improvement to share with us? On the File menu, \nselect Feedback and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "NAIIS-User-Manual.Docx Page 19 10/02/2013 \nTo add a new child node , either a pre-defined or a user-defined it em, click on the right mouse button on the parent \nnode and select “Add new child node ”. For ease of use, the parent nodes, where a child node can be added, are \nhighlighted in orange (figure 25). \nFigure 25. Add new child node", - "page_start": 18, - "page_end": 18, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Share and collaborate \nWith this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \nIf they don’t have Word, the document will open in their web browser, in Word Online. \nAdd visuals with pictures from the web \n \nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \nTry it: Hit enter after this line to make a blank line: \n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \nand then search for something, like puppy clip art. \n2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Word\nGet writing suggestions\nWith Editor, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion.\nReview and track changes\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the Review tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents.\nView who else is typing\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in.\nFormat with styles\nStyles lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the Home tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "172 IBM Content Manager OnDemand Guide\nf. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n9. Define a field and an index:\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage.\nb. By using the mouse, draw a box around the text string. Start just outside of the \nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box.\nc. Click the Define a Field icon on the toolbar.\nd. In the Add a Field window, complete the following steps:\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click Help for \nassistance with the options and values that you can specify. \nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click Help for assistance with the other options and values that you can \nspecify.\niii. Click OK to define the field and index. \ne. To verify the locations of the fields, complete the following steps: \ni. Place the report window into display mode. Blue boxes are drawn around the fields. \nii. Click the Select tool.\niii. In the Select window, under Fields, double-click Field 1. The graphical indexer \nhighlights the text string in the current document. Double-click Field 1 again. The \ngraphical indexer moves to the next document and highlights the text string. \niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file.\nf. Place the report window back into add mode.\n10.Click Create Indexer Parameters and Fields Report to create the indexer parameter \nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see IBM Content Manager OnDemand - \nIndexing Reference, SC19-3354.\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow. \nImportant: Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 43 St. George’s Information Services \nCREATING A NEW CHART FROM SCRATCH \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nTry This Yourself: \nOpen \nFile Before starting this \nexercise you MUST open \nthe file E1317 \nCharting_1.xlsx… \n \nClick in cell A3, hold down \n, then click in cell G7 \nto select the range A3:G7 \nNote that we have \nselected the data \nincluding headings but \nexcluding the totalling… \n \nClick on the INSERT tab, \nthen click on Insert \nColumn Chart in the \nCharts group to see a \ngallery of Column chart \ntypes \n \nUnder 2-D Column, click \non Clustered Column \nThe chart will be \nembedded in the \nworksheet. The chart will \nbe active (selected) and \nyou’ll see additional tabs \non the ribbon for working \nwith the chart… \n \nPoint to the chart, then \nclick to select it and drag \nthe chart so that it is \nunderneath the data, as \nshown \n \nClick in cell A1 to deselect \nthe chart \n \n2 \nFor Your Reference… \nTo create a chart from scratch: \n1. Select the range to chart \n2. Click on the INSERT tab, then click on the \nappropriate Insert command in the Charts \ngroup \n3. Click on the desired chart type \nThe easiest way to create a chart is by using the \nRecommended Chart feature. However, you \ncan create a chart yourself from scratch using \nINSERT tab of the ribbon. This may be faster if you \nhave a specific style of chart in mind. \nHandy to Know… \n When a chart gallery appears after you’ve \nused the Insert chart command, you can \npoint over each image in the gallery to see a \nLive Preview of the chart in the worksheet. \nThis will help you to select the right chart for \nyour needs. \n4", - "page_start": 46, - "page_end": 46, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "Where can I find other Microsoft quick start guides?", - "target_page": 4, - "target_passage": "To download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Find whatever you need\nType a keyword or phrase into the Search box to quickly find the Word features \nand ribbon commands you’re looking for, to discover Help content, or to get \nmore information online.\nGet other Quick Start guides\nTo download our free Quick Start Guides for your other favorite apps, go to \nhttps://go.microsoft.com/fwlink/?linkid=2008317.\nWord\nShare your work with others\nTo invite others to view or edit your documents, select the Share button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment.\nNext steps with Word\nSee what’s new in Office\nExplore the new and improved features in Word and the other Office apps. \nVisit https://go.microsoft.com/fwlink/?linkid=871117 for \nmore information.\nGet free training, tutorials, and videos for Office\nReady to dig deeper into the capabilities that Word has to offer? Visit \nhttps://go.microsoft.com/fwlink/?linkid=871123 to explore our free \ntraining options.\nSend us your feedback\nLove Word? Got an idea for improvement to share with us? On the File menu, \nselect Feedback and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "Serverless Developer Guide\nCommon serverless services 31", - "page_start": 34, - "page_end": 34, - "source_file": "serverless-core.pdf" - }, - { - "text": "Related publications 411\n/SM590000Content Manager OnDemand for z/OS Knowledge Center\nhttp://www.ibm.com/support/knowledgecenter/SSQHWE/welcome\n/SM590000Ricoh website for Infoprint product information\nhttp://rpp.ricoh-usa.com/\n/SM590000IBM System i Navigator and IBM Navigator for i information\nhttp://www.ibm.com/systems/i/software/navigator/\n/SM590000IBM Tivoli Storage Manager home page\nhttp://www.ibm.com/software/products/en/tivostormana\n/SM590000z/OS information\nhttp://www.ibm.com/systems/z/os/zos/\n/SM590000Creating PDF Indexing Parameters Using Floating Triggers\nhttp://ibm.co/1FHsXDq\n/SM590000Understanding the ACIF Input Exit for DB2 Content Manager OnDemand\nhttp://ibm.co/1UUcCT0\nHelp from IBM\nIBM Support and downloads\nibm.com/support\nIBM Global Services\nibm.com/services", - "page_start": 434, - "page_end": 434, - "source_file": "sg246915.pdf" - }, - { - "text": "Chapter 5. Graphical user interface 143\nFor example, in the Dashboard pane, you can open help information that is related to the \ndashboard-provided information, as shown in Figure 5-19.\nFigure 5-19 Example of Dashboard help content\nSelecting the Help Contents option redirects you to the Storwize V7000 IBM Knowledge \nCenter. However, it requires internet access from the workstation where the management \nGUI is started.\n5.3 System View window\nStarting with IBM Spectrum Virtualize release V7.4, the welcome window of the GUI changed \nfrom the well-known former Overview/system 3D pane to the new System pane. In V8.2, the \nsystem pane was changed again to the new System view pane, and the 3D view was \nremoved, as shown in Figure 5-20.\nFigure 5-20 Opening the Overview pane\nNext, we describe the structure of the pane and how to navigate to various system \ncomponents to manage them more efficiently and quickly.\n5.3.1 Content-based organization\nThe following sections describe several view options within the GUI in which you can filter (to \nminimize the amount of data that is shown on the window), sort, and reorganize the content of \nthe window.", - "page_start": 164, - "page_end": 164, - "source_file": "sg247938.pdf" - }, - { - "text": "CLI setup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756\nBasic setup on a Windows host . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 756\nBasic setup on an UNIX or Linux host . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 766\nAppendix C. Terminology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 769\nCommonly encountered terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 770\nRelated publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 789\nIBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 789\nOther resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 790\nReferenced websites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 90\nHelp from IBM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791\nIndex . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 793", - "page_start": 13, - "page_end": 13, - "source_file": "sg247938.pdf" - }, - { - "text": "Microsoft Excel \nITTraining@sgul.ac.uk Page 36 St. George’s Information Services \nQUICK SPARKLINES \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nSparklines are mini charts that are embedded \ninto a worksheet, usually immediately adjacent to \nthe data. Sparklines are only relatively new in \nExcel and probably haven’t gained the \nacceptance or understanding that Microsoft would \nlike. So, you’ll now find them in the Quick Analysis \ntools where you can easily implement them without \ntoo much head scratching. \nTry This Yourself: \nOpen \nFile Before starting this \nexercise you MUST open \nthe file E1355 Quick \nAnalysis_4.xlsx… \n \nClick in cell B5, hold down \n, then click in cell E9 \nto select the range B5:E9 \n \nClick on the Quick \nAnalysis button, then \nclick on the \nSPARKLINES tab \n \nPoint to Line to display a \nline drawing showing \ntrends for each row \nacross the four weeks \n \nPoint to Column to \ndisplay the trend as \ncolumns rather than a \ncontinuous line \n \nClick on Column to add \nSparklines in column F \nNotice that after the \nSparklines have been \ncreated the SPARKLINE \nTOOLS tab on the ribbon \nis now available so that \nyou can further enhance \nor modify the Sparklines \n \n3 \n5 \nFor Your Reference… \nTo use Quick Sparklines in a worksheet: \n1. Select the range to be analysed, then click \non the Quick Analysis button \n2. Choose the desired Sparkline from the \nSPARKLINES tab \nHandy to Know… \n The Win/Loss is a special type of Sparkline \nthat shows positives above an imaginary line \nand negatives below it. You need to have \nvalues range from the negative to the \npositive to make any good use of it.", - "page_start": 39, - "page_end": 39, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "Welcome to Microsoft Teams\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \nHit the ground running now! Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!\nDownload the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go.\nOnce you sign in, connect with your team in \nchat, channels, calls, and meetings. \nTry out the different features as you learn about \nthem in this guide. You’ll get the basics in no time! \nSet up Explore Practice\nMicrosoft Teams: Quick Start Guide", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Serverless Developer Guide\nLearn using a workshop 86", - "page_start": 89, - "page_end": 89, - "source_file": "serverless-core.pdf" - }, - { - "text": "412 IBM Content Manager OnDemand Guide", - "page_start": 435, - "page_end": 435, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How to connect to my Microsoft account from Word?", - "target_page": 2, - "target_passage": " Click File > Account to sign in with your Microsoft account", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Word\nCreate something\nBegin with a Blank document to get right to work. Or start with a template to save \nyourself time and steps. Just select File > New, and then select or search for the \ntemplate you want.\nAccess files anywhere\nNeed to work on the go and across different devices? Click File > Account to sign \nin with your Microsoft account and access your recently used files anywhere, on \nany device, through seamless integration between Office, OneDrive, OneDrive for \nBusiness, and SharePoint.\nFind recent files\nWhether you only work with files stored on your PC’s local hard drive or you store \nfiles in multiple shared locations, selecting File > Open takes you to your recently \nused documents and any files that you may have pinned to your list.\nDiscover related options\nWhen you select objects in your document, options related to your selection will \nappear. For example, selecting a table displays the Table Design and Layout tabs, \nwhich offer additional options.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "Find whatever you need\nType a keyword or phrase into the Search box to quickly find the Word features \nand ribbon commands you’re looking for, to discover Help content, or to get \nmore information online.\nGet other Quick Start guides\nTo download our free Quick Start Guides for your other favorite apps, go to \nhttps://go.microsoft.com/fwlink/?linkid=2008317.\nWord\nShare your work with others\nTo invite others to view or edit your documents, select the Share button in the \ntop right corner of the app window. Then, you can choose to share a link to your \ndocument or send invitations directly to specific people. If someone doesn't have \nWord, they can use the free Word for the Web app to edit and comment.\nNext steps with Word\nSee what’s new in Office\nExplore the new and improved features in Word and the other Office apps. \nVisit https://go.microsoft.com/fwlink/?linkid=871117 for \nmore information.\nGet free training, tutorials, and videos for Office\nReady to dig deeper into the capabilities that Word has to offer? Visit \nhttps://go.microsoft.com/fwlink/?linkid=871123 to explore our free \ntraining options.\nSend us your feedback\nLove Word? Got an idea for improvement to share with us? On the File menu, \nselect Feedback and then follow the prompts to send your suggestions directly to \nthe Word product team. Thank you!", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "Quick Start Guide\nNew to Word? Use this guide to learn the basics.\nSave your progress\nSave your work on OneDrive \nor SharePoint automatically.\nFind whatever you need\nLook up commands from the ribbon, \nget Help, or search the web.\nDiscover contextual commands\nSelect tables, pictures, or other objects \nin a document to reveal additional \noptions.\nShare your work with others\nInvite other people to view and edit \ncloud-based documents stored in \nOneDrive or on SharePoint sites. \nNavigate with ease\nUse the sidebar to manage long or \ncomplex documents.\nWord\nShow or hide the ribbon\nSelect the arrow icon to show \nor hide the Quick Access \nToolbar, and change ribbon \nsettings.\nFormat with the mini toolbar\nSelect or right-click text and objects to \nquickly format them in place.\nStatus bar shortcuts\nSelect any status bar indicator to \nnavigate your document, view word \ncount statistics, or check your spelling.\nChange your view\nSelect the status bar buttons to \nswitch between views, or use the \nslider to magnify the page to \nyour liking.", - "page_start": 0, - "page_end": 0, - "source_file": "Word QS.pdf" - }, - { - "text": "Count on Word to count your words \nTry it: Hit return after this line and type some words. \nThe status bar at the bottom of the window keeps a running count of the number of words in \nthe document. \n \nSave this for later, access it anywhere \nWhen you save this document in OneDrive, you’ll be able to open it anywhere: on your \ncomputer, tablet, or phone. Your changes will be saved automatically. \n \nTry it: Select File > Save As, and then select OneDrive and give this document a name. \nIf you sign in to Office 365 on another device, this document will be in your list of recent files. \nYou can pick up where you left off… even if you left the document open on the computer you’re \nusing now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Share and collaborate \nWith this document saved in OneDrive, you can share it with others. They don’t even need Word \nto open it. \nTry it: Select Share, and send a link to this document. (keyboard shortcut – Alt+F+Z or Alt+Z+S) \nYou can send the link by typing someone’s email address or by copying the link and pasting it \ninto a message or chat. If you want them to read the document but not edit it, set their \npermission to view-only. \nIf they don’t have Word, the document will open in their web browser, in Word Online. \nAdd visuals with pictures from the web \n \nWord works with Bing to give you access to thousands of pictures you can use in your \ndocuments. \nTry it: Hit enter after this line to make a blank line: \n1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures, \nand then search for something, like puppy clip art. \n2. Select the picture you want, and select Insert.", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Meeting essentials\nCreate meetings\nSelect + New meeting or double-click on a time in your \ncalendar to create a new meeting. \n3. Send your invite. \n2. Add people, a location and any notes.\nJoin meetings\nFrom the calendar tab, select the meeting you intend to join, \nthen select join. .\n3. Then select join now. .\nA new screen will show up. Here you can choose how you \nwant to appear in the meeting, and your audio preferences. \nPresent in meetings\nScreen share from the Share button at the top of your \nmeeting window. \nWhen you are finished, use the share button at the top of your \nmeeting window to stop sharing. \nChoose what screen or window you want to share. Don't forget \nto include audio if you're sharing something with sound.\nMeeting controls\nWhen you join meetings, a different window will pop-up. These are the controls you need to know: \nUse [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.Tip\n1.\n1.\n2.\n1.\n2.\n3.\nParticipants\nClick to see who has been invited to the meeting, or to add new people. \nChat\nUse chat to share files, ideas, and notes. \nReactions\nStay involved without breaking the flow—you can share an emoji reaction to let the \npresenter know how you feel. Reactions also allow you to raise your hand, which \nwill signal that you'd like an opportunity to speak. \nVideo\nTurn your camera on or off. You can also select the … button near the camera \nto access audio and video settings. \nShare content\nUse this to share your screen with others. \nMicrophone\nMute and unmute your microphone when you want to speak.\nMicrosoft Teams: Quick Start Guide\n1\n2\n3\n4\n5\n6\n1 2 3 4 5 6", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Get help with Word \n \nThe Tell me search box takes you straight to commands and Help in Word. \nTry it: Get help: \n1. Go to Tell me what you want to do at the top of the window. \n2. Type what you want to do. \nFor example, type: \n Add watermark to quickly get to the watermark command. \n Help to go to Word help. \n Training to see the list of Word training courses. \n What’s new for a list of the most recent updates to Word \nLet us know what you think \nPlease give us feedback on this template, so we can provide content that’s truly useful and \nhelpful. Thanks!", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "Welcome to Microsoft Teams\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help \nyou get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team. \nHit the ground running now! Build confidence by trying things on your own. Go to the meet now button \n(at the top right corner on the Calendar tab) to play around and test all the meetings functionalities before you're in the spotlight!\nDownload the app for desktop and mobile to \naccess Teams with the best performance \nanywhere you go.\nOnce you sign in, connect with your team in \nchat, channels, calls, and meetings. \nTry out the different features as you learn about \nthem in this guide. You’ll get the basics in no time! \nSet up Explore Practice\nMicrosoft Teams: Quick Start Guide", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Word\nGet writing suggestions\nWith Editor, bring out your best writing. Editor helps you bring out your best \nwriting by giving you intelligent writing suggestions. It also calculates an Editor \nScore based on the number and types of suggestions you have yet to address. \nSelect an underlined word or phrase to accept or ignore a suggestion.\nReview and track changes\nWhether you just want to check spelling, keep your word count in check, or fully \ncollaborate with other people, the Review tab has essential commands to track, \ndiscuss, and manage all of the changes made to your documents.\nView who else is typing\nCo-authoring Word documents that are shared on OneDrive or on a \nSharePoint site happens in real-time, which means you can easily view where \nother authors are making changes in the same document that you’re currently \nworking in.\nFormat with styles\nStyles lets you create, apply, and review the formatting styles in your current \ndocument. To open it, select the Home tab, and then select the small arrow in the \nlower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "172 IBM Content Manager OnDemand Guide\nf. On the toolbar, click the fourth icon from the right to place the report window back into \nadd mode. \n9. Define a field and an index:\na. Find a text string that can be used to identify the location of the field. The text string \nneeds to contain a sample index value. For example, if you want to extract account \nnumber values from the input file, find where the account number is printed on the \npage.\nb. By using the mouse, draw a box around the text string. Start just outside of the \nupper-left corner of the string. Click and then drag the mouse toward the lower-right \ncorner of the string. As you drag the mouse, the graphical indexer uses a dotted line to \ndraw a box. After you enclose the text string inside of a box, release the mouse. The \ngraphical indexer highlights the text string inside the box.\nc. Click the Define a Field icon on the toolbar.\nd. In the Add a Field window, complete the following steps:\ni. On the Field Information tab, verify the attributes of the Index field. For example, the \ntext string that you selected in the report window is displayed under Reference \nString and the trigger identifies the trigger on which the field is based. Click Help for \nassistance with the options and values that you can specify. \nii. On the Database Field Attributes tab, verify the attributes of the database field. In \nthe Database Field Name field, enter the name of the application group field into \nwhich you want Content Manager OnDemand to store the index value. In the Folder \nField Name field, enter the name of the folder field to display in the client search \nwindow. Click Help for assistance with the other options and values that you can \nspecify.\niii. Click OK to define the field and index. \ne. To verify the locations of the fields, complete the following steps: \ni. Place the report window into display mode. Blue boxes are drawn around the fields. \nii. Click the Select tool.\niii. In the Select window, under Fields, double-click Field 1. The graphical indexer \nhighlights the text string in the current document. Double-click Field 1 again. The \ngraphical indexer moves to the next document and highlights the text string. \niv. Use the Select window to move forward to each document and display the field. \nThen, return to the first document in the input file.\nf. Place the report window back into add mode.\n10.Click Create Indexer Parameters and Fields Report to create the indexer parameter \nreport that the PDF Indexer uses to process the input files that you load into the \napplication. At a minimum, you must have one trigger, one field, and one index. For more \ninformation about the indexing parameters, see IBM Content Manager OnDemand - \nIndexing Reference, SC19-3354.\n11.After you define all of the triggers, fields, and indexes, press Esc to close the report \nwindow. \nImportant: Use the same principles for collecting fields as collecting the trigger text \nstring in step 8b on page 170. If the fields that must be collected are close together, \noverlap them with adjacent fields to ensure that the box is as large as possible and \nto ensure that the data is collected at load time.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "What are the products of Hormel Foods Corporation?", - "target_page": 4, - "target_passage": "meat and other food product", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Hormel Foods Annual Report 2004\nForm 10-K (NYSE:HRL)\nPublished: January 23rd, 2004\nPDF generated by \nstocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Use these links to rapidly review the document\nHORMEL FOODS CORPORATION TABLE OF CONTENTS\nANNUAL REPORT ON FORM 10-K\nHORMEL FOODS CORPORATION\nOCTOBER 25, 2003\nFORM 10-K\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF\nTHE SECURITIES EXCHANGE ACT OF 1934\nHORMEL FOODS CORPORATION\n(Exact name of registrant as specified in its charter)\nDELAWARE\n \n41-0319970\n(State or other jurisdiction of\nincorporation or organization)\n \n(I.R.S. Employer\nIdentification No.)\n1 HORMEL PLACE AUSTIN, MINNESOTA\n \n55912-3680\n(Address of principal executive offices)\n \n(Zip Code)\nRegistrant's telephone number, including area code \n(507) 437-5611\nSecurities registered pursuant to Section 12 (b) of the Act:\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\nTitle of Each Class\n \nNEW YORK STOCK EXCHANGE\nName of Each Exchange\nOn Which Registered\nSecurities registered pursuant to Section 12 (g) of the Act:\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes \ný\n No \no\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\nthis Form 10-K. \no\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes \ný\n No \no\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\nCommon Stock, $.0586 Par Value—138,672,803 shares\nCommon Stock Non-Voting, $.01 Par Value—0 shares\nDOCUMENTS INCORPORATED BY REFERENCE\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\nincluded as exhibit 13.1 filed herewith.\n \n \n \nHORMEL FOODS CORPORATION\nTABLE OF CONTENTS \n \n \n \n \nPART I", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Item 1.\n \nBUSINESS\n \nItem 2.\n \nPROPERTIES\n \nItem 3.\n \nLEGAL PROCEEDINGS\n \nItem 4.\n \nSUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nPART II\n \n \n \nItem 5.\n \nMARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n \nItem 6.\n \nSELECTED FINANCIAL DATA\n \nItem 7.\n \nMANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n \nItem 7A.\n \nQUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n \nItem 8.\n \nFINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n \nItem 9.\n \nCHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n \nItem 9A.\n \nCONTROLS AND PROCEDURES\nPART III\n \n \n \nItem 10.\n \nDIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n \nItem 11.\n \nEXECUTIVE COMPENSATION\n \nItem 12.\n \nSECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\nMATTERS\n \nItem 13.\n \nCERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n \nItem 14.\n \nPRINCIPAL ACCOUNTING FEES AND SERVICES\nPART IV\n \n \n \nItem 15.\n \nEXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\nSIGNATURES\n \n \n \n \n \nPART I \n \n \n \n \nItem 1. \nBUSINESS\nAvailable Information\nThe Company makes available, free of charge on its website at \nwww.hormel.com\n, its annual report on Form 10-K, quarterly reports on Form 10-Q,\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\nfree of charge, under the caption \"Investor.\"\n(a) \nGeneral Development of Business\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "YEAR ENDED OCTOBER 25, 2003\nHORMEL FOODS CORPORATION\nAustin, Minnesota\n \nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n \n \n \n \nLIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\nHORMEL FOODS CORPORATION \nFINANCIAL STATEMENTS\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\nConsolidated Statements of Financial Position\n—October 25, 2003, and October 26, 2002.\nConsolidated Statements of Operations\n—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\nConsolidated Statements of Changes in Shareholders' Investment\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nConsolidated Statements of Cash Flows\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nNotes to Financial Statements\n—October 25, 2003.\nReport of Independent Auditors\nFINANCIAL STATEMENT SCHEDULES\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\nSchedule II—Valuation and Qualifying Accounts and Reserves...F-3\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\nunder the related instructions or are inapplicable, and therefore have been omitted.\nFINANCIAL STATEMENTS AND SCHEDULES OMITTED\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n \n \n \n \n \nSCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\nHORMEL FINANCIAL SERVICES CORPORATION\n(In Thousands) \nNote (1)\n—Uncollectible accounts written off.\nNote (2)\n—Recoveries on accounts previously written off.\nNote (3)\n—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\nNote (4)\n—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n \n \n \n \n \nLIST OF EXHIBITS\nHORMEL FOODS CORPORATION \n \n2.1\n(1)\nAgreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.)\n3.1\n(1)\nCertificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "licensed trademarks used in the Company's segments are:\nHORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S\nPRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF\nTSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD\nSMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG,\nSWEET THING, THICK & EASY and WRANGLERS.\nCustomers and Backlog Orders\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up\napproximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS,\n51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material\nadverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders\nare accepted and shipped on a current basis.\nCompetition\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with\nmanufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish.\nThe Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and\nConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong\nquality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then\nsupport higher value perceptions from customers.\nThe Company competes using this same strategy in international markets around the world.\n \nResearch and Development\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The\nexpenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42\nprofessional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\nEmployees\nAs of October 25, 2003, the Company had over 16,000 active employees.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "3.2\n(1)\nBylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.)\n4.1\n(1)\nIndenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain\noutstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated,\nAugust 28, 2001, File No. 333-68498.)\n4.2\n(1)\nSupplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank\nTrust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.3\n(1)\nLetter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The\nDepository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.4\n(1)\nPursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are\nnot filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request.\n10.1\n(1)\nU.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages\nthereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report\non Form 8-K dated October 23, 2003.)\n10.2\n(1)(3)\nHormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to\nHormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.)\n10.3\n(1)(3)\nHormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to\nExhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.)\n10.4\n(1)(3)\nHormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy\nStatement filed on December 30, 1999, File No. 001-02402.)\n \n(1)\nDocument has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference. \n(2)\nThese Exhibits transmitted via EDGAR. \n(3)\nManagement compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "(d) \nExecutive Officers of the Registrant\n \n \n \n \nJoel W. Johnson\n \n60\n \nChairman of the Board, President and Chief\n Executive Officer\n \n12/08/95 to Present\n \n1991\nMichael J. McCoy\n \n56\n \nExecutive Vice President and Chief\n Financial Officer\nSenior Vice President and Chief Financial\n Officer\nVice President and Controller\nVice President and Treasurer\n \n10/29/01 to Present\n05/01/00 to 10/28/01\n04/27/98 to 04/30/00\n01/27/97 to 04/26/98\n \n1996\nGary J. Ray\n \n57\n \nExecutive Vice President Refrigerated Foods\nExecutive Vice President Operations\n \n11/01/99 to Present\n07/27/92 to 10/31/99\n \n1988\nEric A. Brown\n \n57\n \nGroup Vice President Prepared Foods\n \n12/02/96 to Present\n \n1987\nSteven G. Binder\n \n46\n \nGroup Vice President Foodservice\nVice President Foodservice\nDirector Foodservice Sales\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n12/30/96 to 11/01/98\n \n1998\nRichard A. Bross\n \n52\n \nGroup Vice President Hormel/President\n Hormel Foods International Corporation\nVice President Hormel/President Hormel\n Foods International Corporation\nVice President Grocery Products\n \n10/29/01 to Present\n11/01/99 to 10/28/01\n01/30/95 to 10/31/99\n \n1995\nJeffrey M. Ettinger\n \n45\n \nGroup Vice President Hormel/President and\n Chief Executive Officer Jennie-O Turkey\n Store\nGroup Vice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and Chief\n Executive Officer Jennie-O Foods\nVice President Hormel/Jennie-O Foods\nTreasurer\nAssistant Treasurer\n \n03/03/03 to Present\n10/29/01 to 03/02/03\n04/30/01 to 10/28/01\n01/31/00 to 04/29/01\n11/01/99 to 01/30/00\n04/27/98 to 10/31/99\n11/24/97 to 04/26/98\n \n1998\n \nRonald W. Fielding\n \n50\n \nGroup Vice President Sales Strategy\nGroup Vice President Meat Products\nVice President Hormel/President Hormel\n Foods International Corporation\n \n06/02/03 to Present\n11/01/99 to 06/01/03\n01/27/97 to 10/31/99\n \n1997\nJames A. Jorgenson\n \n59\n \nSenior Vice President Corporate Staff\nVice President Human Resources\n \n11/01/99 to Present\n12/30/91 to 10/31/99\n \n1990\nMahlon C. Schneider\n \n64\n \nSenior Vice President External Affairs and\n General Counsel\nVice President and General Counsel\n \n11/01/99 to Present\n11/19/90 to 10/31/99\n \n1990\nThomas R. Day\n \n45\n \nVice President Foodservice Sales\nDirector Foodservice Sales\nDirector Dubuque Foods Incorporated\n Foodservice Sales and Marketing\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n03/07/94 to 11/01/98\n \n2000\nForrest D. Dryden\n \n60\n \nVice President Research and Development\n \n01/26/87 to Present\n \n1987\nJody H. Feragen\n \n47\n \nVice President and Treasurer\nTreasurer\nAssistant Treasurer, National Computer\n Systems in Eden Prairie, Minnesota, a\n data collection and software company\n \n10/29/01 to Present 10/30/00 to\n10/28/01\n12/01/95 to 10/30/00\n \n2000\nDennis B. Goettsch\n \n50\n \nVice President Foodservice Marketing\nDirector Foodservice Marketing\n \n10/30/00 to Present\n10/01/90 to 10/29/00\n \n2000\nDaniel A. Hartzog\n \n52\n \nVice President Meat Products Sales\nDirector of Meat Products Business\n Development\nMeat Products Regional Sales Manager\n \n10/30/00 to Present\n07/03/00 to 10/29/00\n09/19/88 to 07/02/00\n \n2000", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "markets its turkey products through its own sales force and independent brokers.\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003\nstrengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest\ncompanies providing nutritional products to the U.S. healthcare industry.\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages\nand sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a\npresence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the\nPhilippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the\nPhilippines (Purefoods-Hormel, 40% holding).\n \n \nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the\nCompany have been acquired in the ordinary course of business.\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the\nbeginning of the fiscal year.\n(b) \nIndustry Segment\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other.\nThe contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by\nsegment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual\nStockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n(c) \nDescription of Business\nProducts and Distribution\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and\ncanned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n \n \n \n \n \n \n \n \nPerishable meat\n \n50.3\n%\n53.0\n%\n54.7\n%\nNonperishable meat\n \n18.9\n \n19.8\n \n21.0\n \nPoultry\n \n22.1\n \n22.6\n \n20.3\n \nOther\n \n8.7\n \n4.6\n \n4.0\n \n \n \n \n \n \n \n \n100.0\n%\n100.0\n%\n100.0\n%\n \n \n \n \n \nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution\nchannels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's general-\npurpose financial statements.\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon\nmeats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen\nprocessed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and\nsupplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin\nproducts. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003),\nDiamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\nNo new product in fiscal 2003 required a material investment of Company assets.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Information concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K.\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of\nStockholders to be held January 27, 2004, is incorporated herein by reference.\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that\napplies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar\nfunctions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption,\n\"Corporate.\"", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Diamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\nNo new product in fiscal 2003 required a material investment of Company assets.\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned\nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of\nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by\ncommon carrier.\n \n \nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada,\nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and\noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a\nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\nRaw Materials\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize\nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog\nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the\nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not\neliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Where are Hormel Foods Corporation plants located? ", - "target_page": 5, - "target_passage": "has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Use these links to rapidly review the document\nHORMEL FOODS CORPORATION TABLE OF CONTENTS\nANNUAL REPORT ON FORM 10-K\nHORMEL FOODS CORPORATION\nOCTOBER 25, 2003\nFORM 10-K\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF\nTHE SECURITIES EXCHANGE ACT OF 1934\nHORMEL FOODS CORPORATION\n(Exact name of registrant as specified in its charter)\nDELAWARE\n \n41-0319970\n(State or other jurisdiction of\nincorporation or organization)\n \n(I.R.S. Employer\nIdentification No.)\n1 HORMEL PLACE AUSTIN, MINNESOTA\n \n55912-3680\n(Address of principal executive offices)\n \n(Zip Code)\nRegistrant's telephone number, including area code \n(507) 437-5611\nSecurities registered pursuant to Section 12 (b) of the Act:\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\nTitle of Each Class\n \nNEW YORK STOCK EXCHANGE\nName of Each Exchange\nOn Which Registered\nSecurities registered pursuant to Section 12 (g) of the Act:\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes \ný\n No \no\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\nthis Form 10-K. \no\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes \ný\n No \no\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\nCommon Stock, $.0586 Par Value—138,672,803 shares\nCommon Stock Non-Voting, $.01 Par Value—0 shares\nDOCUMENTS INCORPORATED BY REFERENCE\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\nincluded as exhibit 13.1 filed herewith.\n \n \n \nHORMEL FOODS CORPORATION\nTABLE OF CONTENTS \n \n \n \n \nPART I", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "YEAR ENDED OCTOBER 25, 2003\nHORMEL FOODS CORPORATION\nAustin, Minnesota\n \nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n \n \n \n \nLIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\nHORMEL FOODS CORPORATION \nFINANCIAL STATEMENTS\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\nConsolidated Statements of Financial Position\n—October 25, 2003, and October 26, 2002.\nConsolidated Statements of Operations\n—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\nConsolidated Statements of Changes in Shareholders' Investment\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nConsolidated Statements of Cash Flows\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nNotes to Financial Statements\n—October 25, 2003.\nReport of Independent Auditors\nFINANCIAL STATEMENT SCHEDULES\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\nSchedule II—Valuation and Qualifying Accounts and Reserves...F-3\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\nunder the related instructions or are inapplicable, and therefore have been omitted.\nFINANCIAL STATEMENTS AND SCHEDULES OMITTED\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n \n \n \n \n \nSCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\nHORMEL FINANCIAL SERVICES CORPORATION\n(In Thousands) \nNote (1)\n—Uncollectible accounts written off.\nNote (2)\n—Recoveries on accounts previously written off.\nNote (3)\n—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\nNote (4)\n—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n \n \n \n \n \nLIST OF EXHIBITS\nHORMEL FOODS CORPORATION \n \n2.1\n(1)\nAgreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.)\n3.1\n(1)\nCertificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Item 1.\n \nBUSINESS\n \nItem 2.\n \nPROPERTIES\n \nItem 3.\n \nLEGAL PROCEEDINGS\n \nItem 4.\n \nSUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nPART II\n \n \n \nItem 5.\n \nMARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n \nItem 6.\n \nSELECTED FINANCIAL DATA\n \nItem 7.\n \nMANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n \nItem 7A.\n \nQUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n \nItem 8.\n \nFINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n \nItem 9.\n \nCHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n \nItem 9A.\n \nCONTROLS AND PROCEDURES\nPART III\n \n \n \nItem 10.\n \nDIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n \nItem 11.\n \nEXECUTIVE COMPENSATION\n \nItem 12.\n \nSECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\nMATTERS\n \nItem 13.\n \nCERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n \nItem 14.\n \nPRINCIPAL ACCOUNTING FEES AND SERVICES\nPART IV\n \n \n \nItem 15.\n \nEXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\nSIGNATURES\n \n \n \n \n \nPART I \n \n \n \n \nItem 1. \nBUSINESS\nAvailable Information\nThe Company makes available, free of charge on its website at \nwww.hormel.com\n, its annual report on Form 10-K, quarterly reports on Form 10-Q,\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\nfree of charge, under the caption \"Investor.\"\n(a) \nGeneral Development of Business\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Hormel Foods Annual Report 2004\nForm 10-K (NYSE:HRL)\nPublished: January 23rd, 2004\nPDF generated by \nstocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "3.2\n(1)\nBylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.)\n4.1\n(1)\nIndenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain\noutstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated,\nAugust 28, 2001, File No. 333-68498.)\n4.2\n(1)\nSupplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank\nTrust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.3\n(1)\nLetter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The\nDepository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.4\n(1)\nPursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are\nnot filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request.\n10.1\n(1)\nU.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages\nthereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report\non Form 8-K dated October 23, 2003.)\n10.2\n(1)(3)\nHormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to\nHormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.)\n10.3\n(1)(3)\nHormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to\nExhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.)\n10.4\n(1)(3)\nHormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy\nStatement filed on December 30, 1999, File No. 001-02402.)\n \n(1)\nDocument has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference. \n(2)\nThese Exhibits transmitted via EDGAR. \n(3)\nManagement compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "licensed trademarks used in the Company's segments are:\nHORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S\nPRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF\nTSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD\nSMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG,\nSWEET THING, THICK & EASY and WRANGLERS.\nCustomers and Backlog Orders\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up\napproximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS,\n51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material\nadverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders\nare accepted and shipped on a current basis.\nCompetition\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with\nmanufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish.\nThe Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and\nConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong\nquality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then\nsupport higher value perceptions from customers.\nThe Company competes using this same strategy in international markets around the world.\n \nResearch and Development\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The\nexpenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42\nprofessional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\nEmployees\nAs of October 25, 2003, the Company had over 16,000 active employees.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "(d) \nExecutive Officers of the Registrant\n \n \n \n \nJoel W. Johnson\n \n60\n \nChairman of the Board, President and Chief\n Executive Officer\n \n12/08/95 to Present\n \n1991\nMichael J. McCoy\n \n56\n \nExecutive Vice President and Chief\n Financial Officer\nSenior Vice President and Chief Financial\n Officer\nVice President and Controller\nVice President and Treasurer\n \n10/29/01 to Present\n05/01/00 to 10/28/01\n04/27/98 to 04/30/00\n01/27/97 to 04/26/98\n \n1996\nGary J. Ray\n \n57\n \nExecutive Vice President Refrigerated Foods\nExecutive Vice President Operations\n \n11/01/99 to Present\n07/27/92 to 10/31/99\n \n1988\nEric A. Brown\n \n57\n \nGroup Vice President Prepared Foods\n \n12/02/96 to Present\n \n1987\nSteven G. Binder\n \n46\n \nGroup Vice President Foodservice\nVice President Foodservice\nDirector Foodservice Sales\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n12/30/96 to 11/01/98\n \n1998\nRichard A. Bross\n \n52\n \nGroup Vice President Hormel/President\n Hormel Foods International Corporation\nVice President Hormel/President Hormel\n Foods International Corporation\nVice President Grocery Products\n \n10/29/01 to Present\n11/01/99 to 10/28/01\n01/30/95 to 10/31/99\n \n1995\nJeffrey M. Ettinger\n \n45\n \nGroup Vice President Hormel/President and\n Chief Executive Officer Jennie-O Turkey\n Store\nGroup Vice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and Chief\n Executive Officer Jennie-O Foods\nVice President Hormel/Jennie-O Foods\nTreasurer\nAssistant Treasurer\n \n03/03/03 to Present\n10/29/01 to 03/02/03\n04/30/01 to 10/28/01\n01/31/00 to 04/29/01\n11/01/99 to 01/30/00\n04/27/98 to 10/31/99\n11/24/97 to 04/26/98\n \n1998\n \nRonald W. Fielding\n \n50\n \nGroup Vice President Sales Strategy\nGroup Vice President Meat Products\nVice President Hormel/President Hormel\n Foods International Corporation\n \n06/02/03 to Present\n11/01/99 to 06/01/03\n01/27/97 to 10/31/99\n \n1997\nJames A. Jorgenson\n \n59\n \nSenior Vice President Corporate Staff\nVice President Human Resources\n \n11/01/99 to Present\n12/30/91 to 10/31/99\n \n1990\nMahlon C. Schneider\n \n64\n \nSenior Vice President External Affairs and\n General Counsel\nVice President and General Counsel\n \n11/01/99 to Present\n11/19/90 to 10/31/99\n \n1990\nThomas R. Day\n \n45\n \nVice President Foodservice Sales\nDirector Foodservice Sales\nDirector Dubuque Foods Incorporated\n Foodservice Sales and Marketing\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n03/07/94 to 11/01/98\n \n2000\nForrest D. Dryden\n \n60\n \nVice President Research and Development\n \n01/26/87 to Present\n \n1987\nJody H. Feragen\n \n47\n \nVice President and Treasurer\nTreasurer\nAssistant Treasurer, National Computer\n Systems in Eden Prairie, Minnesota, a\n data collection and software company\n \n10/29/01 to Present 10/30/00 to\n10/28/01\n12/01/95 to 10/30/00\n \n2000\nDennis B. Goettsch\n \n50\n \nVice President Foodservice Marketing\nDirector Foodservice Marketing\n \n10/30/00 to Present\n10/01/90 to 10/29/00\n \n2000\nDaniel A. Hartzog\n \n52\n \nVice President Meat Products Sales\nDirector of Meat Products Business\n Development\nMeat Products Regional Sales Manager\n \n10/30/00 to Present\n07/03/00 to 10/29/00\n09/19/88 to 07/02/00\n \n2000", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Houston, Texas\n \n93,000\n \nOwned\n \n \n \n \nKnoxville, Iowa\n \n130,000\n \nOwned\n \n \n \n \nOsceola, Iowa\n \n334,000\n \nOwned\n \n \n \n \nQuakertown, Pennsylvania\n \n13,000\n \nOwned\n \n \n \n \nRochelle, Illinois\n \n440,000\n \nOwned\n \n \n \n \nSparta, Wisconsin\n \n185,000\n \nOwned\n \n \n \n \nStockton, California\n \n139,000\n \nOwned\n \n \n \n \nTucker, Georgia\n \n259,000\n \nOwned\n \n \n \n \nWichita, Kansas\n \n80,000\n \nOwned\n \n \n \nWarehouse/Distribution Centers\n \n \n \n \n \n \n \n \nAustin, Minnesota—Annex\n \n83,000\n \nOwned\n \n \n \n \nDayton, Ohio\n \n140,000\n \nOwned\n \n \n \n \nEldridge, Iowa\n \n280,000\n \nLeased\n \nOctober, 2005\n \n \nOsceola, Iowa\n \n233,000\n \nOwned\n \n \n \n \nStockton, California\n \n232,000\n \nLeased\n \nJuly, 2004\n \n \nTucker, Georgia\n \n96,000\n \nLeased\n \nOctober, 2004\n \nResearch and Development Center\n \n \n \n \n \n \n \n \nAustin, Minnesota\n \n59,000\n \nOwned\n \n \n \nCorporate Offices\n \n \n \n \n \n \n \n \nAustin, Minnesota\n \n203,000\n \nOwned\n \n \nDan's Prize, Inc.\n \n \n \n \n \n \n \n \nBrowerville, Minnesota—Plant\n \n52,000\n \nOwned\n \n \n \n \nLong Prairie, Minnesota—Plant\n \n80,000\n \nOwned\n \n \nJennie-O Turkey Store, Inc.\n \n \n \n \n \n \n \nPlants\n \n \n \n \n \n \n \n \nBarron, Wisconsin\n \n372,000\n \nOwned\n \n \n \n \nFaribault, Minnesota\n \n169,000\n \nOwned\n \n \n \n \nMarshall, Minnesota\n \n142,000\n \nOwned\n \n \n \n \nMelrose, Minnesota\n \n124,000\n \nOwned\n \n \n \n \nMontevideo, Minnesota\n \n85,000\n \nOwned\n \n \n \n \nPelican Rapids, Minnesota\n \n242,000\n \nOwned\n \n \n \n \nWillmar, Minnesota\n \n419,000\n \nOwned\n \n \n \n*\nAcres\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the\nCompany. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los\nAnimas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production\nvolumes and all volumes anticipated in the foreseeable future.\n \n \n \n \nItem 3. \nLEGAL PROCEEDINGS\nThe Company knows of no pending material legal proceedings.\n \n \n \n \nItem 4. \nSUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nNo matters were submitted to shareholders during the fourth quarter of the 2003 fiscal year.\n \n \n \n \n \nPART II \n \n \n \n \nItem 5. \nMARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002,\nrespectively, are shown below:", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Diamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).\nNo new product in fiscal 2003 required a material investment of Company assets.\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned\nterritories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of\nOctober 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by\ncommon carrier.\n \n \nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada,\nChina, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and\noperate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a\nroyalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\nRaw Materials\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize\nthe seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog\nproducers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the\nindustry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not\neliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "ITEM 2. PROPERTIES\nOur corporate headquarters is located in Ft. Lauderdale, Florida in leased premises. As of December 31,\n2004, we operated approximately 6,100 collection vehicles. Certain of our property and equipment are subject\nto operating leases or liens securing payment of portions of our indebtedness. We also lease certain of our\noÇces and equipment. We believe that our facilities are suÇcient for our current needs.\nThe following table provides certain information regarding the 58 landÑlls owned or operated by us as of\nDecember 31, 2004:\nUnused\nTotal Permitted Permitted\nLandÑll Name Location Region Acreage(2) Acreage(3) Acreage(4)", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Does Hormel Food Corporation have any material legal proceedings pending?", - "target_page": 8, - "target_passage": "The Company knows of no pending material legal proceedings.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Item 1.\n \nBUSINESS\n \nItem 2.\n \nPROPERTIES\n \nItem 3.\n \nLEGAL PROCEEDINGS\n \nItem 4.\n \nSUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nPART II\n \n \n \nItem 5.\n \nMARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n \nItem 6.\n \nSELECTED FINANCIAL DATA\n \nItem 7.\n \nMANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n \nItem 7A.\n \nQUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK\n \nItem 8.\n \nFINANCIAL STATEMENTS AND SUPPLEMENTAL DATA\n \nItem 9.\n \nCHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE\n \nItem 9A.\n \nCONTROLS AND PROCEDURES\nPART III\n \n \n \nItem 10.\n \nDIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT\n \nItem 11.\n \nEXECUTIVE COMPENSATION\n \nItem 12.\n \nSECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER\nMATTERS\n \nItem 13.\n \nCERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n \nItem 14.\n \nPRINCIPAL ACCOUNTING FEES AND SERVICES\nPART IV\n \n \n \nItem 15.\n \nEXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\nSIGNATURES\n \n \n \n \n \nPART I \n \n \n \n \nItem 1. \nBUSINESS\nAvailable Information\nThe Company makes available, free of charge on its website at \nwww.hormel.com\n, its annual report on Form 10-K, quarterly reports on Form 10-Q,\ncurrent reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of\n1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such\nmaterial is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free\nof charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website,\nfree of charge, under the caption \"Investor.\"\n(a) \nGeneral Development of Business\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company.\nThe Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel\nFoods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of\nthose products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has\nemphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned\nsubsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing\nHORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with\nthe operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey\nprocessing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Use these links to rapidly review the document\nHORMEL FOODS CORPORATION TABLE OF CONTENTS\nANNUAL REPORT ON FORM 10-K\nHORMEL FOODS CORPORATION\nOCTOBER 25, 2003\nFORM 10-K\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF\nTHE SECURITIES EXCHANGE ACT OF 1934\nHORMEL FOODS CORPORATION\n(Exact name of registrant as specified in its charter)\nDELAWARE\n \n41-0319970\n(State or other jurisdiction of\nincorporation or organization)\n \n(I.R.S. Employer\nIdentification No.)\n1 HORMEL PLACE AUSTIN, MINNESOTA\n \n55912-3680\n(Address of principal executive offices)\n \n(Zip Code)\nRegistrant's telephone number, including area code \n(507) 437-5611\nSecurities registered pursuant to Section 12 (b) of the Act:\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\nTitle of Each Class\n \nNEW YORK STOCK EXCHANGE\nName of Each Exchange\nOn Which Registered\nSecurities registered pursuant to Section 12 (g) of the Act:\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934\nduring the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes \ný\n No \no\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the\nbest of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to\nthis Form 10-K. \no\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes \ný\n No \no\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most\nrecently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\nCommon Stock, $.0586 Par Value—138,672,803 shares\nCommon Stock Non-Voting, $.01 Par Value—0 shares\nDOCUMENTS INCORPORATED BY REFERENCE\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and\nincluded as exhibit 13.1 filed herewith.\n \n \n \nHORMEL FOODS CORPORATION\nTABLE OF CONTENTS \n \n \n \n \nPART I", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "YEAR ENDED OCTOBER 25, 2003\nHORMEL FOODS CORPORATION\nAustin, Minnesota\n \nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n \n \n \n \nLIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\nHORMEL FOODS CORPORATION \nFINANCIAL STATEMENTS\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its\nstockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\nConsolidated Statements of Financial Position\n—October 25, 2003, and October 26, 2002.\nConsolidated Statements of Operations\n—Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\nConsolidated Statements of Changes in Shareholders' Investment\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nConsolidated Statements of Cash Flows\n—Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\nNotes to Financial Statements\n—October 25, 2003.\nReport of Independent Auditors\nFINANCIAL STATEMENT SCHEDULES\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\nSchedule II—Valuation and Qualifying Accounts and Reserves...F-3\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required\nunder the related instructions or are inapplicable, and therefore have been omitted.\nFINANCIAL STATEMENTS AND SCHEDULES OMITTED\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n \n \n \n \n \nSCHEDULE II—VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\nHORMEL FINANCIAL SERVICES CORPORATION\n(In Thousands) \nNote (1)\n—Uncollectible accounts written off.\nNote (2)\n—Recoveries on accounts previously written off.\nNote (3)\n—Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\nNote (4)\n—Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n \n \n \n \n \nLIST OF EXHIBITS\nHORMEL FOODS CORPORATION \n \n2.1\n(1)\nAgreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition\nCorporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K\ndated March 9, 2001, File No. 001-02402.)\n3.1\n(1)\nCertificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10-\nK/A for the fiscal year ended October 28, 2000, File No. 001-02402.)", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "3.2\n(1)\nBylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on\nForm S-4, dated November 29, 2001, File No. 333-68498.)\n4.1\n(1)\nIndenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain\noutstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated,\nAugust 28, 2001, File No. 333-68498.)\n4.2\n(1)\nSupplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank\nTrust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.3\n(1)\nLetter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The\nDepository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to\nHormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.)\n4.4\n(1)\nPursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are\nnot filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request.\n10.1\n(1)\nU.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages\nthereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report\non Form 8-K dated October 23, 2003.)\n10.2\n(1)(3)\nHormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to\nHormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.)\n10.3\n(1)(3)\nHormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to\nExhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.)\n10.4\n(1)(3)\nHormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy\nStatement filed on December 30, 1999, File No. 001-02402.)\n \n(1)\nDocument has previously been filed with the Securities and Exchange Commission and is incorporated herein by reference. \n(2)\nThese Exhibits transmitted via EDGAR. \n(3)\nManagement compensatory plan", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Hormel Foods Annual Report 2004\nForm 10-K (NYSE:HRL)\nPublished: January 23rd, 2004\nPDF generated by \nstocklight.com", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Information concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K.\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of\nStockholders to be held January 27, 2004, is incorporated herein by reference.\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that\napplies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar\nfunctions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption,\n\"Corporate.\"", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "(d) \nExecutive Officers of the Registrant\n \n \n \n \nJoel W. Johnson\n \n60\n \nChairman of the Board, President and Chief\n Executive Officer\n \n12/08/95 to Present\n \n1991\nMichael J. McCoy\n \n56\n \nExecutive Vice President and Chief\n Financial Officer\nSenior Vice President and Chief Financial\n Officer\nVice President and Controller\nVice President and Treasurer\n \n10/29/01 to Present\n05/01/00 to 10/28/01\n04/27/98 to 04/30/00\n01/27/97 to 04/26/98\n \n1996\nGary J. Ray\n \n57\n \nExecutive Vice President Refrigerated Foods\nExecutive Vice President Operations\n \n11/01/99 to Present\n07/27/92 to 10/31/99\n \n1988\nEric A. Brown\n \n57\n \nGroup Vice President Prepared Foods\n \n12/02/96 to Present\n \n1987\nSteven G. Binder\n \n46\n \nGroup Vice President Foodservice\nVice President Foodservice\nDirector Foodservice Sales\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n12/30/96 to 11/01/98\n \n1998\nRichard A. Bross\n \n52\n \nGroup Vice President Hormel/President\n Hormel Foods International Corporation\nVice President Hormel/President Hormel\n Foods International Corporation\nVice President Grocery Products\n \n10/29/01 to Present\n11/01/99 to 10/28/01\n01/30/95 to 10/31/99\n \n1995\nJeffrey M. Ettinger\n \n45\n \nGroup Vice President Hormel/President and\n Chief Executive Officer Jennie-O Turkey\n Store\nGroup Vice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and\n Chief Operating Officer Jennie-O Turkey\n Store\nVice President Hormel/President and Chief\n Executive Officer Jennie-O Foods\nVice President Hormel/Jennie-O Foods\nTreasurer\nAssistant Treasurer\n \n03/03/03 to Present\n10/29/01 to 03/02/03\n04/30/01 to 10/28/01\n01/31/00 to 04/29/01\n11/01/99 to 01/30/00\n04/27/98 to 10/31/99\n11/24/97 to 04/26/98\n \n1998\n \nRonald W. Fielding\n \n50\n \nGroup Vice President Sales Strategy\nGroup Vice President Meat Products\nVice President Hormel/President Hormel\n Foods International Corporation\n \n06/02/03 to Present\n11/01/99 to 06/01/03\n01/27/97 to 10/31/99\n \n1997\nJames A. Jorgenson\n \n59\n \nSenior Vice President Corporate Staff\nVice President Human Resources\n \n11/01/99 to Present\n12/30/91 to 10/31/99\n \n1990\nMahlon C. Schneider\n \n64\n \nSenior Vice President External Affairs and\n General Counsel\nVice President and General Counsel\n \n11/01/99 to Present\n11/19/90 to 10/31/99\n \n1990\nThomas R. Day\n \n45\n \nVice President Foodservice Sales\nDirector Foodservice Sales\nDirector Dubuque Foods Incorporated\n Foodservice Sales and Marketing\n \n10/30/00 to Present\n11/02/98 to 10/29/00\n03/07/94 to 11/01/98\n \n2000\nForrest D. Dryden\n \n60\n \nVice President Research and Development\n \n01/26/87 to Present\n \n1987\nJody H. Feragen\n \n47\n \nVice President and Treasurer\nTreasurer\nAssistant Treasurer, National Computer\n Systems in Eden Prairie, Minnesota, a\n data collection and software company\n \n10/29/01 to Present 10/30/00 to\n10/28/01\n12/01/95 to 10/30/00\n \n2000\nDennis B. Goettsch\n \n50\n \nVice President Foodservice Marketing\nDirector Foodservice Marketing\n \n10/30/00 to Present\n10/01/90 to 10/29/00\n \n2000\nDaniel A. Hartzog\n \n52\n \nVice President Meat Products Sales\nDirector of Meat Products Business\n Development\nMeat Products Regional Sales Manager\n \n10/30/00 to Present\n07/03/00 to 10/29/00\n09/19/88 to 07/02/00\n \n2000", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "12\nItem 3. Legal Proceedings.\nWe are subject from time to time to various claims and lawsuits arising in the ordinary course of business, including lawsuits alleging \nviolations of state and/or federal wage and hour and other employment laws, privacy and other consumer-based claims. Some of these \nlawsuits include certified classes of litigants, or purport or may be determined to be class or collective actions and seek substantial damages \nor injunctive relief, or both, and some may remain unresolved for several years. We believe the recorded reserves in our consolidated \nfinancial statements are adequate in light of the probable and estimable liabilities. As of the date of this report, we do not believe any \ncurrently identified claim, proceeding or litigation, either alone or in the aggregate, will have a material impact on our results of operations, \nfinancial position or cash flows. Since these matters are subject to inherent uncertainties, our view of them may change in the future.\nItem 4. Mine Safety Disclosures.\nNone.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "11,2023. On July 14, 2023, plaintiffs filed a notice of appeal. The appeal, which is pending in the United States Court of Appealsfor the Ninth Circuit, has been fully briefed by the parties, and is scheduled for oral argument on October 25, 2024.Between October 17, 2018 and March 8, 2021, seven derivative lawsuits were filed in the Delaware Court of Chancery,purportedly on behalf of Tesla, against Mr. Musk and the members of Tesla’s board of directors, as constituted at relevanttimes, in relation to statements made and actions connected to a potential going private transaction, with certain of the lawsuitschallenging additional Twitter posts by Mr. Musk, among other things. Several of those actions were consolidated, and all havebeen stayed. In addition to these cases, two derivative lawsuits were filed on October 25, 2018 and February 11, 2019 in theU.S. District Court for the District of Delaware, purportedly on behalf of Tesla, against Mr. Musk and the members of the Teslaboard of directors as then constituted. Those cases have also been consolidated and stayed pending resolution of the appeal inthe above-referenced consolidated purported stockholder class action.21", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "ITEM 3. LEGAL PROCEEDINGS\nWe are and will continue to be involved in various administrative and legal proceedings in the ordinary\ncourse of business. We can give you no assurance regarding the outcome of these proceedings or the eÅect\ntheir outcomes may have, or that our insurance coverages or reserves are adequate. A signiÑcant judgment\nagainst our company, the loss of signiÑcant permits or licenses, or the imposition of a signiÑcant Ñne could\nhave a material adverse eÅect on our Ñnancial position, results of operations, cash Öows or prospects.\nITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\nNo matters were submitted to our stockholders during the fourth quarter of 2004.\n19", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What is Mexican Farm Subsidies ?", - "target_page": 9, - "target_passage": "an online tool to analyze how the federal government allocates those subsidies", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Right now, one of the most active Asian countries in the Open Data arena is India, which also \nsigned an Open Government partnership with the USA in November 2010. In January 2011 the \nIndian Congress Party announced plans for a new law to fight corruption among public servants and \npoliticians. Anti-corruption websites (including ones in local dialects) like \nIndiaagainstcorruption.org, already existed, including one, Ipaidabribe.com, that collected more \nthan 3,000 people reports of graft in its first four months. \nAs it happens in Asia, even Latin America is currently focused, at least outside Public \nAdministration circles, on how to open public data to achieve actual transparency. This appears \neven from the way many projects are labeled, that is \"Civic Information\" instead of Open Data \n(which is an idea starting from data reuse) or Open Government. \nThe reason is that even where good Freedom of Information laws exist in Latin America, they still \nhave too little practical effects. Mexico, for example, already has a digital system to manage \nFreedom of Information requests, but there are reports of complaints filed against municipal \nofficials that either have no effect at all, or aren't possible in the first place, because relevant \ninformation has not been updated in years, or omits key data like (in the case of budget reports) \n\"descriptions of how the money was spent\". \nEven with these difficulties, the Latin America Open Data/Civic Information landscape is active \nand definitely worthwhile following. The list of interesting Civic Information projects in Latin \nAmerica include (from Sasaki's Access to Information: Is Mexico a Model for the Rest of the \nWorld?: \n• Mexico \n• Mexican Farm Subsidies - an online tool to analyze how the federal government \nallocates those subsidies \n• Compare Your School : compares aggregate test results from any school with the \nmunicipal, regional, and national averages \n• Rebellion of the Sick built for patients with chronic diseases whose expenses are not \ncovered by the government subsidized health coverage. \n• Argentina: Public Spending in Bahía analyzes how public funds are used. \n• Colombia: Visible Congress monitors the actions of the Colombian congress \n• Brazil \n• Eleitor 2010 : a website to submit reports of electoral fraud during the Brazil 2010 \n9/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 8, - "page_end": 8, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nHigher Handset Subsidies\nOur wireless business model is based substantially on subsidizing the\ncost of subscriber handsets, similar to other North American wireless\ncarriers. This attracts customers and in exchange they commit to a term\nwith us. We also commit to a minimum subsidy with the supplier of\ncertain smartphone devices.\nNational Wireless Tower Policy\nThe policy affects all parties that plan to install or modify an antenna\nsystem, including PCS, cellular and broadcasting service providers. The\npolicy requires, among other things, that antenna proponents consider\nusing existing antenna structures before proposing new structures and\nthose owners of existing systems respond to requests to share antenna\nsystems. Antenna proponents must follow a defined process for\nnotifying the public and addressing local requirements and concerns.\nCertain types of antenna installations, however, are excluded from the\nconsultation requirements with local authorities and the public.\nRadio Frequency Emissions\nFrom time to time the media and other reports have highlighted alleged\nlinks between radio frequency emissions from wireless handsets and\nvarious health concerns, including cancer, and interference with various\nmedical devices, including hearing aids and pacemakers. This may\ndiscourage the use of wireless handsets or expose us to potential\nlitigation even though there are no definitive reports or studies stating\nthat these health issues are directly attributable to radio frequency\nemissions.\nIt is also possible that future regulatory actions may result in more\nrestrictive standards on radio frequency emissions from low-powered\ndevices like wireless handsets. We cannot predict the nature or extent\nof any restrictions.\nObtaining Access to Support Structures and Municipal Rights\nof Way\nWe must have access to support structures and municipal rights of way\nfor our cable facilities. We can apply to the CRTC to obtain a right of\naccess under the Telecommunications Act in areas where we cannot\nsecure access to municipal rights of way. Failure to obtain access could\nincrease Cable costs and adversely affect our business.\nThe Supreme Court of Canada ruled in 2003, however, that the CRTC\ndoes not have the jurisdiction to establish the terms and conditions of\naccessing the poles of hydroelectric companies. As a result, we obtained\naccess under orders from the Ontario Energy Board and the New\nBrunswick Public Utilities Board.\nDependence on Facilities and Services of ILECs\nBusiness telephony operations that are outside our cable territory highly\ndepend on the availability of facilities and services acquired from\nincumbent telecom operators, according to CRTC rules. Changes to\nthese rules could significantly affect the cost of operating these\nbusinesses.\nCopyright Tariffs\nPressures on copyright tariffs continue to affect our services. Any\nincrease in fees could negatively affect our results of operations.\nBUSINESS RISKS\nRevenue Expectations from New and Advanced Services\nWe expect that a substantial portion of our future revenue growth may\ncome from new and advanced services, and we continue to invest\nsignificant capital resources to develop our networks so we can offer\nthese services. It is possible, however, that there may not be sufficient\nconsumer demand, or that we may not anticipate or satisfy demand for\ncertain products and services, or be able to offer or market these new\nproducts and services successfully to subscribers. If we do not attract\nsubscribers to new products and services profitably or keep pace with\nchanging consumer preferences, we could experience slower revenue\ngrowth and increased churn. This could have a materially adverse effect\non our business, results of operations and financial condition.\nAcquisitions, Divestitures or Investments\nAcquiring complementary businesses and technologies, developing\nstrategic alliances and divesting portions of our business are often", - "page_start": 79, - "page_end": 79, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "14 \n \ndevelop an Integrated Nutrient Management Action Plan in 2022. The Farm to Fork \nstrategy will address the reduction in the use and risk of pesticides and support wider \nimplementation of Integrated Pest Management 54. As part of this, the environmental \nrisk assessment of pesticides will be strengthened . The pressure from plastics is \nnotably addressed through the implementation of the European Strategy for Plastics55 and \nthe new Circular Economy Action Plan56. \nThe Commission will develop a set of indicators for the progressive reduction of \npollution, and will establish baselines to help monitor progress. Pressures from marine \nlitter and underwater noise are being addressed under the Marine Strategy Framework \nDirective. \n2.2.10. Addressing invasive alien species \nInvasive alien species can significantly undermine efforts to protect and restore nature. \nBesides inflicting major damage to nature and the economy, many invasive alien specie s \nalso facilitate the outbreak and spread of infectious diseases, posing a threat to humans \nand wildlife57. The rate of release of invasive alien species has increased in recent years. \nOf the 1,872 species now considered threatened in Europe, 354 are under threat from \ninvasive alien species. Without effective control measures, the rate of invasion and the \nrisks it brings to our nature and health will continue to rise. \nThe implementation of the EU Invasive Alien Species Regulation 58 and other relevant \nlegislation and international agreements must also be stepped up . This should aim to \nminimise, and where possible eliminate, the introduction and establishment of alien \nspecies in the EU environment. The aim will be to manage established invasive alien \nspecies and decrease the number of Red List species they threaten by 50%59. \nEU Nature Restoration Plan: key commitments by 2030 \n1. Legally binding EU nature restoration targets to be proposed in 2021, subject to an \nimpact assessment. By 2030, significant areas of degrad ed and carbon -rich \necosystems are restored; habitats and species show no deterioration in conservation \ntrends and status ; and at least 30% reach favourable conservation status or at least \nshow a positive trend. \n2. The decline in pollinators is reversed. \n3. The risk and use of chemical pesticides is reduced by 50% and the use of more \nhazardous pesticides is reduced by 50%. \n4. At least 10% of agricultural area is under high-diversity landscape features. \n5. At least 25% of agricultural land is under organic farming management, and the \nuptake of agro-ecological practices is significantly increased. \n6. Three billion new trees are planted in the EU, in full respect of ecological principles. \n7. Significant progress has been made in the remediation of contaminated soil sites. \n8. At least 25,000 km of free-flowing rivers are restored. \n \n54 Sustainable Use of Pesticides Directive (2009/128/EC). \n55 European Strategy for Plastics in a Circular Economy (COM(2018) 28). \n56 A new Circular Economy Action Plan for a cleaner and more competitive Europe (COM(2020) 98). \n57 See for example: Hulme P. (2014). Invasive species challenge the global response to emerging diseases, \nTrends in parasitology (2014) Vol. 30, Issue 6; Duscher et al. (2017). \n58 Regulation (EU) 1143/2014 on invasive alien species. \n59 Red List of the International Union for the Conservation of Nature (IUCN).", - "page_start": 14, - "page_end": 14, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Livestock slaughtered by the Company is purchased by Company buyers and commission dealers at sale barns and terminal markets or under long-term\nsupply contracts at locations principally in Minnesota, Illinois, Iowa, Nebraska, Colorado and South Dakota. The cost of livestock and the utilization of the\nCompany's facilities are affected by both the level and the methods of pork production in the United States. The hog production industry has been rapidly\nmoving to very large, vertically integrated, year-round confinement operations operating under long-term supply agreements. This has resulted in fewer\nhogs being available on the spot cash market, which decreases the supply of hogs on the open market and can severely diminish the utilization of\nslaughter facilities and increase the cost of the raw materials they produce. The Company, along with others in the industry, uses long-term supply\ncontracts to manage the effects of this trend and to assure a stable supply of raw materials while minimizing extreme fluctuations in costs over the long-\nterm. This may result in costs for live hogs that are either higher or lower than the spot cash market depending on the relationship of the cash spot\nmarket to contract prices. Contract costs are fully reflected in the Company's reported financial results. In fiscal 2003, the Company purchased 79 percent\nof its hogs under long-term supply contracts.\nIn fiscal 2003, JOTS raised approximately 57 percent of the turkeys needed to meet its raw material requirements for whole bird and processed turkey\nproducts. Turkeys not sourced within the Company are contracted with independent turkey growers. JOTS' turkey-raising farms are located throughout\nMinnesota and Wisconsin. Production costs in raising turkeys are primarily subject to fluctuations in feed grain prices and to a lesser extent fuel costs.\nManufacturing\nThe Company has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China that slaughter livestock for processing. Quality Pork Processors of\nDallas, Texas, operates the slaughter facility at Austin under a custom slaughter arrangement.\nFacilities that produce manufactured items are located in Algona, Iowa; Aurora, Illinois; Austin, Minnesota; Beloit, Wisconsin; Bondurant, Iowa; Ft. Dodge,\nIowa; Fremont, Nebraska; Houston, Texas; Knoxville, Iowa; Mitchellville, Iowa; Osceola, Iowa; Perrysburg, Ohio; Quakertown, Pennsylvania; Rochelle,\nIllinois; Savannah, Georgia; Sparta, Wisconsin; Stockton, California; Tucker, Georgia; Visalia, California; Wichita, Kansas; Beijing, China; and Shanghai,\nChina. Company products are also custom manufactured by several other companies. The following are the Company's larger custom manufacturers:\nLakeside Packing Company, Manitowoc, Wisconsin; Schroeder Milk, Maplewood, Minnesota; Steuben Foods, Jamaica, New York; Power Packaging, St.\nCharles, Illinois; Criders, Stilmore, Georgia; Tony Downs, St. James, Minnesota; and Concept Foods, Alma, Kansas. Power\n \n \nLogistics, Inc., based in St. Charles, Illinois, operates distribution centers for the Company in Dayton, Ohio, and Osceola, Iowa.\nThe Company's turkey slaughter and processing operations are located in Barron, Wisconsin; Faribault, Minnesota; Melrose, Minnesota; Montevideo,\nMinnesota; Pelican Rapids, Minnesota; and Willmar, Minnesota.\nPatents and Trademarks\nThere are numerous patents and trademarks that are important to the Company's business. The Company holds seven foreign and 47 U.S. issued\npatents. Some of the trademarks are registered and some are not. In recognition of the importance of these assets, the Company created a subsidiary,\nHormel Foods, LLC, in 1998 to create, own, maintain and protect most of the Company's trademarks and patents. Some of the more significant owned or\nlicensed trademarks used in the Company's segments are:\nHORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "ongoing improvement of this system.ongoing improvement of this system.\nBy backing customer companies’ own By backing customer companies’ own \ninitiatives in the areas of food and agriculture initiatives in the areas of food and agriculture \nin this way, SMBC will be supporting measuresin this way, SMBC will be supporting measures \nto improve the diet of the Japanese and to improve the diet of the Japanese and \nstrengthen the agriculture and fisheries sector.strengthen the agriculture and fisheries sector.\nThe financial sector’s role in \nimproving the nation’s diet and \nin strengthening the agricultural \nand fisheries sectors\nRoundtable session: SMBC Food and Agricultural Assessment Loan\nMaking banking \na more pleasant experience \nfor all customers\nPeace of mind \nat the bank counter\nPreparing our businesses \nfor a higher old-age \ndependency ratio \nWith the old-age dependency ratio soaring, With the old-age dependency ratio soaring, \nthe SMFG Group aims to provide friendly, the SMFG Group aims to provide friendly, \neasy-to-use banking services for all its easy-to-use banking services for all its \ncustomers.customers.ɹ\nSome Group companies are likewise making Some Group companies are likewise making \ntheir facilities barrier-free at bank branches their facilities barrier-free at bank branches \nwith large numbers of customers, to tailor with large numbers of customers, to tailor \nservices to the needs of all customers.services to the needs of all customers.\nFor example at the Minato Bank, we have For example at the Minato Bank, we have \nequipped all ATMs at all our branches and equipped all ATMs at all our branches and \ncashpoints with voice-guidance handsets for cashpoints with voice-guidance handsets for \nthe visually impaired.the visually impaired.\nIn addition, we have set up priority seatingIn addition, we have set up priority seating \nin the lobby of each of our branches for in the lobby of each of our branches for \ncustomers who are very old or who have customers who are very old or who have \nmobility problems. We are also steadily mobility problems. We are also steadily \nintroducing queue-number displays using introducing queue-number displays using \nColor Universal Design (CUD) principles, Color Universal Design (CUD) principles, \nwhich are easier to read for customers with which are easier to read for customers with \neyesight concerns.eyesight concerns.A roundtable session with experts held in August 2011 \nconsidered the role of the new SMBC Food and Agricultural \nAssessment Loan in improving the food supply chain that \nlinks food and fishery producers with food processors and \nconsumers. Opinions were also exchanged on what other \nfuture role the bank might assume in this regard, given \nthe current situation and issues facing the food industry \nand agriculture \nin Japan.\n“We want to deliver value by creating demand and quality combined with safety, peace \nof mind and trust.”\nA further measure is installation of handheld A further measure is installation of handheld \nhearing support devices at all branches hearing support devices at all branches \n(except housing loan promotion offices), to (except housing loan promotion offices), to \nallay the concerns of hearing-impaired allay the concerns of hearing-impaired \ncustomers who find it difficult to converse customers who find it difficult to converse \nand follow spoken instructions. By using the and follow spoken instructions. By using the \ndevices as communication tools, bank devices as communication tools, bank \nemployees can respect customer privacy employees can respect customer privacy \nand do not have to talk loudly.and do not have to talk loudly.\nFurther measures include posting of “green Further measures include posting of “green \near” logos at branches to reassure customers ear” logos at branches to reassure customers \nthat the bank has facilities for conversingthat the bank has facilities for conversing", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "8 \n \nprogress towards the target will be under constant review, and adjustment if needed, to \nmitigate against undue impact on biodiversity, food security and farmers’ \ncompetitiveness. \nAgroecology can provide healthy food while maintaining productivity, increase soil \nfertility and biodiversity, and reduce the footprint of food production. Organic farming in \nparticular holds great potential for farmers and consumers alike. The sector creates jobs \nand attracts young farmers. Organic farming also provides 10-20 % more jobs per hectare \nthan conventional farms, and creates added value for agricultural products32. To make the \nmost of this potential, at least 25% of the EU’s agricultural land must be organically \nfarmed by 2030 . In addition to CAP measures, the Commission will put f orward an \nAction Plan on organic farming, helping Member States stimulate both supply and \ndemand of organic products. It will also ensure consumer ’s trust through promotion \ncampaigns and green public procurement. In the implementation of the EU -wide agro-\necological targets set out in this strategy and in the Farm to Fork Strategy, the different \nstarting points and differences in progress already made in Member States will be taken \ninto account. \nThe uptake of agroforestry support measures under rural develop ment should be \nincreased as it has great potential to provide multiple benefits for biodiversity, people and \nclimate. \nThe decline of genetic diversity must also be reversed, including by facilitating the use \nof traditional varieties of crops and breeds. T his would also bring health benefits through \nmore varied and nutritious diets. The Commission is considering the revision of \nmarketing rules for traditional crop varieties in order to contribute to their conservation \nand sustainable use. The Commission will also take measures to facilitate the registration \nof seed varieties, including for organic farming, and to ensure easier market access for \ntraditional and locally adapted varieties. \n2.2.3. Addressing land take and restoring soil ecosystems \nSoil is one of the most complex of all ecosystems. It is a habitat in its own right, and \nhome to an incredible diversity of organisms that regulate and control key ecosystem \nservices such as soil fertility, nutrient cycling and climate regulation. Soil is a hugely \nimportant non-renewable resource, vital for human and economic health, as well as the \nproduction of food and new medications. \nIn the EU, the degradation of soil is having considerable environmental and economic \nconsequences. Poor land management, such as deforestation, overgrazing, unsustainable \nfarming and forestry practices, construction activities and land sealing are among the \nmain causes of this situation 33. Despite recent reductions in the pace of soil sealing, \nfertile soils continue to be lo st to land take and urban sprawl 34. When compounded by \n \n32 OECD (2016), Farm Management Practices to Foster Green Growth. \n33 European Environment Agency (2019), EEA Signals 2019: Land and Soil in Europe. \n34 European Environment Agency and Swiss Federal Office for the Environment (FOEN) (2016), Urban \nsprawl in Europe.", - "page_start": 8, - "page_end": 8, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "7 \n \ncurrently in favourable status are in that category or show a strong positive trend. \nThe Commission and the European Environme ntal Agency will provide guidance \nto Member States in 2020 on how to select and prioritise species and habitats. \n \n2.2.2. Bringing nature back to agricultural land \nAs guardians of our land, farmers play a vital role in preserving biodiversity. They are \namong the first to feel the consequences when biodiversity is lost but also among the first \nto reap the benefits when it is restored. Biodiversity enables them to provide us with safe, \nsustainable, nutritious and affordable food and provides them with the income they \nneed to thrive and develop. European farmers are an essential part of the EU’s future and \nmust continue to be the social and economic hub of many communities across our Union. \nAt the same time, certain agricultural practices are a key driver of biodiversity decline. \nThis is why it is important to work with farmers to support and incentivise the \ntransition to fully sustainable practices . Improving the condition and diversity of \nagroecosystems will increase the sector ’s resilience to climate change, environmental \nrisks and socioeconomic shocks, while creating new jobs, for example in organic \nfarming, rural tourism or recreation. \nTo support the long -term sustainability of both nature and farming, this strategy will \nwork in tandem with the new Farm to Fork Strategy and the new Common \nAgricultural Policy (CAP) , including by promoting eco -schemes and result -based \npayment schemes. In implementing the Biodiversity and the Farm to Fork Strategies, the \nCommission will closely monitor progress and improvements in terms of food security \nand farmers income. The Commission will ensure that the CAP Strategic plans are \nassessed against robust climate and environmental criteria, and that Member States set \nexplicit national values for the relevant targets set in this strategy, as well as in the Farm \nto Fork Strategy . These plans should lead to sustainable practices such as precision \nagriculture, organic farming, agro -ecology, agro -forestry, low -intensive permanent \ngrassland, and stricter animal welfare standards. \nFarmland birds and insects, particularly pollinators, are key indicators of the health of \nagroecosystems and are vital for agricultural production and food security. Their \nalarming decline must be reversed. As set out in the Far m to Fork Strategy, the \nCommission will take action to reduce by 50% the overall use of – and risk from – \nchemical pesticides by 2030 and reduce by 50% the use of more hazardous pesticides \nby 2030. This must be supported by the full implementation of the EU Pollinators \ninitiative31. By the end of 2020, the Commission will review the initiative and propose \nadditional measures if necessary. To provide space for wild animals, plants, pollinators \nand natural pest regulators, there is an urgent need to bring bac k at least 10% of \nagricultural area under high -diversity landscape features . These include, inter alia, \nbuffer strips, rotational or non -rotational fallow land, hedges, non -productive trees, \nterrace walls, and ponds. These help enhance carbon sequestration, prevent soil erosion \nand depletion, filter air and water, and support climate adaptation. In addition, more \nbiodiversity often helps lead to more agricultural production. Member States will need to \ntranslate the 10% EU target to a lower geographical scale to ensure connectivity among \nhabitats, especially through the CAP instruments and CAP Strategic Plans, in line with \nthe Farm to Fork Strategy, and through the implementation of the Habitats Directive. The \n \n31 EU Pollinators initiative (COM(2018) 395).", - "page_start": 7, - "page_end": 7, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "10\nVol:.(1234567890)Scientific Reports | (2022) 12:17268 | https://doi.org/10.1038/s41598-022-22228-7\nwww.nature.com/scientificreports/\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our \neconomic models. This response can be theoretically elaborated as: due to the effect of climate change on yield \nreduction (improvement), the supply curve moves leftward (rightward), reducing (increasing) production and \nraising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive \n(cheaper) crops and shifting to other (increase the use of the same) crops. Producers, at the same time, respond \nby changing farm-level management practices and increasing (decreasing) the amount of acreage under these \ncrops. At a global scale, the reallocation of production and consumption through international trade further \nalters climate change impacts on global agriculture. This also alters the self-sufficiency ratios of each country/\nregion due to climate change.\nIn response to production changes, the price of each commodity changes under both scenarios. At the global \nlevel, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, \nrespectively, which would vary quite largely among different countries and regions under both climate change \nscenarios (Fig.  7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C \nscenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed \ndue to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa \nwould decrease significantly under both scenarios, as their yields improve due to climate effects. Along with the \ndomestic production, the climate change will also induce changes in international trade of maize, resulting in \nchanging levels of self-sufficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically \nproduced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, \nthe countries that face positive effects on yields and/or are relatively less dependent on imports, are positively \n(less negatively) affected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would \nimprove under both scenarios (Fig. 8). Whereas the self-sufficiency ratios of maize for Southeast Asia, Bangladesh \nand Iran will worsen under both scenarios. China’s SSR for maize stays almost similar to the level as the baseline.\nDiscussion and conclusion\nDiscussion. Our analysis highlights the effects of climate change on global- and regional-specific maize \nyields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We find that the \nreduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warm-\ning by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. \nAlthough the precipitation is also increasing, the evapotranspiration would become more intense. The limitation \nof water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by \n1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought \nand heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the \nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "Donation for a Japanese-language speech contest\n8\nEurope\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank \nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting \nchildren and improving children and improving \nthe water-supply and the water-supply and \nsanitary environment.sanitary environment.\nUNICEF support initiatives\n9\nMozambique\nSMBC GLOBAL FOUNDATION\n10\nThe United States\n3\n6\n4\n5\n7 8\n9\n10\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\nSMBCSMBC’s Bangkok Branch assisted s Bangkok Branch assisted \nfarmers by donating underground farmers by donating underground \nwater storage tanks and assisting water storage tanks and assisting \nwith vegetable planting and with vegetable planting and \nharvesting.harvesting.\nHigh school students from New York\n who visited Japan on a study trip\nScholarship students at Sun Yat-sen University\nDonated furniture\nEmployee volunteers who participated in\n landscape improvement projects\nPerforming a Japanese-language drama\nBank employees helped plant\n vegetables as volunteers\nPhotographs supplied by AYO\nScholarship award ceremony for university students in Vietnam\n*Please see this website \nfor further details (in \nJapanese):\n\u0001\u0001www.smbc.co.jp/ccs/\nSumitomo Mitsui Financial Group CSR Report \nHelping build prosperity \nin Asia and the world\nSocial Contribution Activities\n\u0013\u0018 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0019\nFor further details, please see our website.\nSMBCSMBC’s Hanoi Branch provided s Hanoi Branch provided \ninternational school students international school students \nwith vocational experiences.with vocational experiences.", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "2023 Financial Health\nIncome\nFoundations $4,402,663\nCorporate Sponsors $413,349\nMajor Donors $103,215\nSmall Dollar Donors $144,217\nProgram Income $169,980\nConsulting $173,939\nIn-Kind $30,358\nOther $38,792\nTotal: $5,496,708\nExpenses\nCC Licenses & Training $763,196\nPrograms $2,248,091\nEvents $395,600\nOperations $1,654,225\nTotal: $5,061,112\n\"bird flock in vedanthangal\" by VinothChandar is licensed under CC BY 2.0.", - "page_start": 9, - "page_end": 9, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What concerns has open data raised in the insurance sector?", - "target_page": 23, - "target_passage": "insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides \nthat those from (properly done) Open Data are a really tiny percentage of the total. \nThis is a consequence of the fact that data about us end up online from the most different sources \n(including ourselves and our acquaintances), and that often it would be very hard to discover, never \nmind prove, that they've been used against our interest. There have been concerns, for example, that \ninsurance companies may charge higher fees for life insurance to those among their customers \nwho... put online a family tree from which it shows that they come from families with an average \nlife expectancy lower than usual. \nAssuming such concerns were real, would it always be possible to spot and prove such abuses of \ndata, that weren't even published by any Public Administration? Of course, publishing online \ncomplete, official Census data of several generations, in a way that would make such automatic \nanalysis possible would be a totally different matter. \nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is \nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always \nremember and explain that: \n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air \npollution measurements....) \n2. The majority of data that are directly related to individuals (e.g. things like names and \naddress of people with specific diseases, or who were victims of some crime) have no reason \nto be published, nor there is any actual demand for them by Open Data advocates \n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to \npublic offices, Government and Parliament members etc...) already exist in many countries \n4. Very often, in practice, Open Data struggles only happen about when and how to make \navailable in the most effective way for society information that was already recognized as \npublic. What to declare public, hence open, is indeed a serious issue (more on this in the next \nparagraph) but is a separate one. \n3.8. Need to better define what is Public Data\nTogether with citizens education, there is a huge challenge that Governments and the Open Data \nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update \nand expand the definition of Public Data and to have it accepted by lawmakers and public \nadministrators. \n23/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "3.6.1. Data alterations and financial sustainability\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, before \nthey are published online. The most common concerns of this type are (from Open Public Data: \nThen What? - Part 1): \n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as \nprivate property by private corporations, because the public agencies whose job was to \nproduce those data, can't sell them anymore. \n2. total accessibility of data provides more incentives to tinker with them, at the risk of \nreducing trust in institutions and inhibiting decision-making even more than today. \nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account \nis that, once data are open, routinely used and monitored by as many independent users as possible, \neven the cost of keeping them up to date may be sensibly reduced: in other words, in the \nmedium/long term Open Data may reduce the need to periodically perform complete, that is very \nexpensive, studies and surveys to update a whole corpus of data in one run. \nBesides, and above all, even if opening data always destroyed any source of income for the public \noffice that used to create and maintain them, this problem would only exist for the PSI datasets that \nare already sold today. Such data, even if of strategic importance as is the case with digital \ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase \ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases: \n• the money to generate the data already arrives by some other source than sales and \nlicensing(but even with those data it may be possible to generate them by crowdsourcing, \nthereby reducing those costs!) \n• the only extra expense caused by publishing those data online (assuming they're already \navailable in some digital format, of course!), would be the hosting and bandwidth costs, that \nmay be greatly reduced by mirroring and other technical solutions like torrents, already \nwidely used to distribute Free/Open Source Software (FOSS) through the Internet. \n3.6.2. Real impact of data manipulation or misunderstanding\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but \nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance \nof occasions to secretly play with data and how they are managed is a symptom of excessive, or \npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-\n17/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "1. Introduction\nThis report is the final deliverable of the Open Data, Open Society research project. It follows the \npublication of the Open Data, Open Society report , finished in late October 2010 and published in \nearly January 2011. That first report focused on explaining the critical importance of digital data in \ncontemporary society and business activities; defining Open Data; giving examples on their \npotential, especially at the local level, on transparency and economics activities; finally, defining \nsummarizing some general best practices. \nThis second report looks at what happened in the Open Data arena after October 2010. After some \nconsiderations on the general social and political background in late 2010/early 2011, it is divided \nin two main parts. The first describes some emerging trends and issues related to Open Data, that \ngot minor or no coverage in the first report. The second part discusses some practices and actions to \nfollow to deal with those trends and issues. \n2. Social and political landscape\nIt is worthwhile to begin by mentioning several events, happened between the end of 2010 and the \nfirst months of 2011, that can help to understand what will be the place and role of Open Data in the \nfuture, as well as the challenges faced by its advocates. \nThe first two are the Spanish \"Indignados\" and the Arab Spring. The first movement has among its \ngoals \"a change in society and an increase in social awareness\" . The Arab Spring, as L. Millar put \nit on the New Zealand Computer Society website , \"demonstrated the potency of technology to \nreflect citizens' views of government systems that are not transparent.\" As a consequence, noted the \nAfrinnovator blog, \"we have seen from the civil disobedience in the North of Africa and the Middle \nEast, the appetite for more accountable and transparent government will only grow from here on\" . \nFrom this analysis it looks like, in a way, both the Indignados and the participants to the Arab \nSpring are (also) asking for Open Data, even if they aren't using the term and many participants to \nthese grassroots movement may still ignore its definition, that was born inside hackers and Public \nAdministration circles. \nTwo other important events that, in different ways and at different levels, prove the importance of \nOpen Data are the Fukushima nuclear accident and the Cablegate, which we'll analyze in the next \n3/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 2, - "page_end": 2, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies \non assumptions or estimates. \n2.3. Open Data in Latin America, Asia and Africa\nSeveral countries in Latin America are studying and making experiments with Open Data both at \nthe government and at the grassroots level. The same is happening, on a much smaller scale, in a \nfew parts of Asia and Africa. On average, the volume of these Open Data experiments and the level \nof local interest and awareness around them is still lower than what is happening in Europe and \nNorth America. In spite of this we suggest that it is important, for public officials and civic activists \nin Western Countries, to follow these developments closely. The reason is that they may turn into \nvery useful test beds for all the strengths and limits of Open Data, especially those not encountered \nyet where the movement was born. \nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The \nproblem they want to solve is how to make democracy work better in countries where it already \nexists and which share a great amount of history and cultural/philosophical values. \nOther countries face very different challenges, from the philosophical level to the practical one. A \ncommon issue in developing countries, for example, is that there is very little to open simply \nbecause much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first \nthing to do is to create data, normally through outsourcing and crowd sourcing. \nOther issues, that will be discussed in detail in other sections of the report because they are also \npresent in Europe in different forms, are related to lack of equal opportunities for access to data and \nserious fears (sometimes, concrete, sometimes caused by confusion about what should be open and \nhow) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering \nthe Empowered or Effective Data Use for Everyone? said: \nin Delhi and Mumbai, mobs and rioters managed to get information about particular \nidentity groups through voter rolls: openness is, in certain situations, a precarious \nvirtue. It is almost certain that Open Data would be used to rig election but here again \nopenness is not the issue, they would find it anyway... \nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its \neffects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in \nThailand, for example, one of the most appreciated entries was a software scraper of the Thailand's \nMember of House of Representative Website, that made it possible for everybody to create \napplications using those data. \n8/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without \ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \npredict, practically impossible to avoid and increasingly common. Opening public government data, \nthat is providing plenty of officially verified information, becomes therefore also a damage control \nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \nOpen Public Data, individual citizens, political parties or other organizations will start to process \nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \nconclusions. This is not some theoretical possibility far in the future, as this real world example \n(from a comment to an Open Data discussion in an italian blog) proves: \n\"on the [non italian] Geonames website you can download geo-referenced data \nabout... 47000 Italian municipalities. That worries me, because there are only 8094 of \nthem. Besides, I grabbed a few random data about population, and I can guarantee you \nthat not one was right. What should be done in such cases? \nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they \nsuggest that, considering its current needs and problems, current societies want and need more Open \nData than they already have. \n2.1. Wikileaks and the Open Data movement\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \nData and Wikileaks are about transparency, accountability and democracy. \nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \nscandal. \nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \ntransparency whenever government activities are concerned. Citizens must be able to know what \nthe state is actually doing but sometimes, be it for careful evaluation of all the alternatives or \nbecause of security, it must be possible to work behind closed doors, at least temporarily . We'll \ncome back to this point later in this report. \nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \nand transparency in politics, not only there are deep differences between the two ideas but, in our \n5/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "by David Osimo in EU eGov action plan published: the good, the bad and the unknown , are the \nactions on Open Data (a EU portal and a revision of the EU PSI directive), and on citizens control \nover their data. However the Action Plan contains no reference to the need for a more open and \ncollaborative governance. \nIn the case of European Structural Funds, as Luigi Reggi reported in March 2011: \nthere is no single point of access to the data. Hundreds of Managing Authorities are \nfollowing different paths and implementing different information strategies when \nopening up their data. \nMany databases (often simple PDF lists) [...show...] huge variation not only in \nthe way they can be accessed but also in content and quality of data provided. \n... [...The results of...] an independent web-based survey on the overall \nquality of data published by each Managing Authority responsible for the 434 \nOperational Programmes approved in July 2009... can be summarized as follows: \nThe use of open, machine-processable and linked-data formats have unexpected \nadvantages in terms of transparency and re-use of the data by the public and private \nsector. The application of these technical principles does not need extra budget or major \nchanges in government organization and information management; nor does it require \nthe update of existing software and infrastructures. What is needed today is the \npromotion among national and local authorities of the culture of transparency and the \nraising of awareness of the benefits that could derive from opening up existing data and \ninformation in a re-usable way. \nThe European Cohesion Policy is only halfway to accomplishing a paradigm shift to \nopen data, with differences in performance both between and - in some cases - within \nEuropean Countries. \nThings don't go much better for the European Union in the energy field. Carlo Stagnaro wrote in \nEU Energy Orwellianism: Ignorance Is Strength: \nEnergy is an active area of EU public policy. Yet authorities are not revealing \ninformation (data is surely has) that is crucial to determine whether its policies are \ndistorting the market and come at too high a cost to society. This is a major fault in \nEurope's credibility in advancing its policy goals, as well as a serious limitation to the \naccountability of the policy making process \nWe realized that, while strongly supporting green investments the EU does not know, or \ndoes not make it public, how much is spent every year on green subsidies... With regard \nto green jobs, several estimates exist, but no official figure is provided. \nMore recently... I discovered that Eurostat does not tell how much coal capacity is \ninstalled - as opposed to natural gas- or oil-fueled generation plants. It is possible to \nknow how much coal is used, but not the amount of fixed capital which is invested in \n7/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 6, - "page_end": 6, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "Open Data:\nEmerging trends, issues \nand best practices \na research project about openness of \npublic data in EU local \nadministration\nby Marco Fioretti\nfor the\nLaboratory of Economics and Management\nof\nScuola Superiore Sant'Anna, Pisa\nThis report is part of the “Open Data, Open Society” Project financed through the DIME network \n(Dynamics of Institutions and Markets in Europe, www.dime-eu.org) as part of DIME Work \nPackage 6.8, coordinated by Professor Giulio Bottazzi\n1/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 0, - "page_end": 0, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "elections \n• Open Congress : a tool for political scientists to track the work and effectiveness of \nthe Brazilian congress \n• Paraguay: Who Do We Choose?: lists profiles of all candidates for many public posts. \nIn Brazil, the principle that \"what is not confidential should be available on the Internet in the open \ndata format\" is already discussed and, in principle, accepted, by some departments of the Brazilian \nfederal government. However, the preferred practice for now is (if there are no other obstacles) to \nonly publish data that have been explicitly requested by some citizens. \nA report presented in May 2011 at the First Global Conference on Transparency Research \nmentioned a couple of Open Data issues in Latin America that are worth noting, because they're \npresent even in Europe and North America, in spite of the different historical and social \nbackground: \n• \"Better coordination is needed between right to information campaigners and open data \nactivists.\" \n• \"If activist manage to target particular topics to add \"value\" to the discussion, demand for \nopen data could eventually increase in the region.\" \nIn Africa, mobile phones are much more available, and more essential than computer with Internet \naccess, often bypassing the need for real desktop PCs with many applications. Therefore, from a \npurely technical point of view, transparency, accountability and efficiency in government are \nquickly becoming accessible to most African citizens through mobile networks rather than through \nthe \"traditional\" Internet. However, there are still too few public departments and procedures that \nuse digital documents and procedures on a scale large enough to generate meaningful volumes of \ndigital data that could be then published online. \nWhile we write, Kenya is laying the legal groundwork to support Open Data. Permanent Secretary \nfor Information and Communications, Dr. Bitange Ndemo is reported as having been championing \nfor quite some time. In practice, big challenges remain for Open Data usage in Kenya. The easiest \none to solve is to technical, that is find skilled people that can package the data in ways that the \npublic can consume (even on mobile phones...). The real problem, however, is the fact that \n(summarizing from Thinking About Africa's Open Data): \nThere is a lot of Kenya data but it isn't accessible. The entities that hold the most public \nand infrastructure data are always government institutions. Getting information from \nthem can be very hard indeed. We don't know who to go to to get the data we need, and \n10/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 9, - "page_end": 9, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "22.Thinking About Africa's Open Data \n23.Towards EU Benchmarking 2.0 - Transparency and Open Data on Structural Funds in \nEurope \n24.UK Open Government Licence removes barriers to re-use of public sector information \n25.Western Europe: A journey through tech for transparency projects \n26.What open data means to marginalized communities \n27.What's in a Name? Open Gov and Good Gov \n28.WikiLeaks Relationship With the Media \n29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government \n34/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 33, - "page_end": 33, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first \nis to protect a public administration from having to pay twice for those data, if it needs it again in \nthe future for some other internal activity, not explicitly mentioned in the initial contract. The \nsecond reason is to not spend more than what is absolutely necessary to respond to public records \nrequests, that is to comply with Freedom of Information laws. \nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is \nsharing it with all the citizens using the public services based on those data. A real world example \nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike-\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux \nfinances the infrastructure and operates it, in exchange for advertising space on the bikes \nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking \nspaces of each station is published online in real time on the official Villo's website. \nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website \nthat reuses those data to measure where and how often there aren't enough available bikes and \nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated \nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because \ncitizens could monitor the service by themselves, were possible just because the data from the \nofficial website were legally and automatically reusable. \n3.4. The price of digitization\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if \nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that \nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase \nof efficiency and reduction of the costs of Public Administrations can only happen when data and \nprocedures are digitized. The problem is that such digitization (which, obviously, must happen \nanyway sooner or later) can be very expensive and we are only now starting to really realize how \nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic \nscanning of paper documents or typing again their content inside some database, are relatively low, \none-time expenses that are also very easy to calculate and budget in advance with great precision. \nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is \nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less \nautomatic procedures and file templates, formats, habits and customs developed, maybe over \n14/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 13, - "page_end": 13, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What are Steinberg's concerns about the government releasing all non-private existing data?", - "target_page": 28, - "target_passage": "The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\". The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "4.3. Keep past and future separate\nFor the same reason why it is important to always distinguishes between political and economical \nadvantages (or disadvantages) of Open Data, it is necessary to keep decisions about future data \n(those that will arrive in the future, due to new contracts, public services and so on) separate from \nthose about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that \nGovernment should publish everything non-private it can now is \"rather dangerous\", and that it \nwould be much better to release nothing until someone actually asked for it, and at that point doing \nit right, that is with an open license and so on. The first reasons for Steinberg's concern is that \nasking for everything as soon as possible would \"stress the system too much, by spreading thin the \nfinite amount of good will, money and political capital\" . The second is that many existing old data \nand data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend \nresources in opening them. \nEven if these concerns were always true, it is important to realize that they apply (especially the \nsecond) to already existing data, not to future ones. The two classes of data have, or can have, very \ndifferent constraints. Existing data may still exist only in paper format and/or be locked by closed or \nunclear licenses, or not relevant anymore for future decisions. \nOpening future data, instead, is almost always more important, useful urgent, easier and cheaper \nthan digitizing or even only reformatting material that in many cases is already too old to make \nimmediate, concrete differences. While this argument is probably not always true when we look at \nOpen data for transparency, it probably is when it comes to economic development. \nTherefore, features and guidelines that should be present in all future data generation and \nmanagement processes include: \n• standardization: the less, obviously open, formats are used for data of the same type, the \neasier it is to merge and correlate them. The formats that have to be standardized are not \nonly those at the pure software level. Even more important is, for example, to adopt by law \nstandard identificators for government suppliers, names and machine-readable identifiers of \nbudget voices and so on \n• preparation for future digitization: new digital systems should explicitly be designed from \nthe beginning so that it will be possible, when non-digital records will be digitized, to add \nthem to the databases without modifying losses. \n• Open licenses \n28/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 27, - "page_end": 27, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without \ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \npredict, practically impossible to avoid and increasingly common. Opening public government data, \nthat is providing plenty of officially verified information, becomes therefore also a damage control \nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \nOpen Public Data, individual citizens, political parties or other organizations will start to process \nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \nconclusions. This is not some theoretical possibility far in the future, as this real world example \n(from a comment to an Open Data discussion in an italian blog) proves: \n\"on the [non italian] Geonames website you can download geo-referenced data \nabout... 47000 Italian municipalities. That worries me, because there are only 8094 of \nthem. Besides, I grabbed a few random data about population, and I can guarantee you \nthat not one was right. What should be done in such cases? \nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they \nsuggest that, considering its current needs and problems, current societies want and need more Open \nData than they already have. \n2.1. Wikileaks and the Open Data movement\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \nData and Wikileaks are about transparency, accountability and democracy. \nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \nscandal. \nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \ntransparency whenever government activities are concerned. Citizens must be able to know what \nthe state is actually doing but sometimes, be it for careful evaluation of all the alternatives or \nbecause of security, it must be possible to work behind closed doors, at least temporarily . We'll \ncome back to this point later in this report. \nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \nand transparency in politics, not only there are deep differences between the two ideas but, in our \n5/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides \nthat those from (properly done) Open Data are a really tiny percentage of the total. \nThis is a consequence of the fact that data about us end up online from the most different sources \n(including ourselves and our acquaintances), and that often it would be very hard to discover, never \nmind prove, that they've been used against our interest. There have been concerns, for example, that \ninsurance companies may charge higher fees for life insurance to those among their customers \nwho... put online a family tree from which it shows that they come from families with an average \nlife expectancy lower than usual. \nAssuming such concerns were real, would it always be possible to spot and prove such abuses of \ndata, that weren't even published by any Public Administration? Of course, publishing online \ncomplete, official Census data of several generations, in a way that would make such automatic \nanalysis possible would be a totally different matter. \nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is \nneeded to dismiss for good the idea that Open Data is a generalized attack to privacy is to always \nremember and explain that: \n1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air \npollution measurements....) \n2. The majority of data that are directly related to individuals (e.g. things like names and \naddress of people with specific diseases, or who were victims of some crime) have no reason \nto be published, nor there is any actual demand for them by Open Data advocates \n3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to \npublic offices, Government and Parliament members etc...) already exist in many countries \n4. Very often, in practice, Open Data struggles only happen about when and how to make \navailable in the most effective way for society information that was already recognized as \npublic. What to declare public, hence open, is indeed a serious issue (more on this in the next \nparagraph) but is a separate one. \n3.8. Need to better define what is Public Data\nTogether with citizens education, there is a huge challenge that Governments and the Open Data \nmovement will have to face (hopefully together) in 2011 and beyond. This challenge is to update \nand expand the definition of Public Data and to have it accepted by lawmakers and public \nadministrators. \n23/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "3.6.1. Data alterations and financial sustainability\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, before \nthey are published online. The most common concerns of this type are (from Open Public Data: \nThen What? - Part 1): \n1. Opening up PSI causes those data to not be produced anymore, or to be only produced as \nprivate property by private corporations, because the public agencies whose job was to \nproduce those data, can't sell them anymore. \n2. total accessibility of data provides more incentives to tinker with them, at the risk of \nreducing trust in institutions and inhibiting decision-making even more than today. \nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account \nis that, once data are open, routinely used and monitored by as many independent users as possible, \neven the cost of keeping them up to date may be sensibly reduced: in other words, in the \nmedium/long term Open Data may reduce the need to periodically perform complete, that is very \nexpensive, studies and surveys to update a whole corpus of data in one run. \nBesides, and above all, even if opening data always destroyed any source of income for the public \noffice that used to create and maintain them, this problem would only exist for the PSI datasets that \nare already sold today. Such data, even if of strategic importance as is the case with digital \ncartography, are only a minimal fraction of all the PSI that could and should be opened to increase \ntransparency, reduce the costs of Government and stimulate the economy. In all these other cases: \n• the money to generate the data already arrives by some other source than sales and \nlicensing(but even with those data it may be possible to generate them by crowdsourcing, \nthereby reducing those costs!) \n• the only extra expense caused by publishing those data online (assuming they're already \navailable in some digital format, of course!), would be the hosting and bandwidth costs, that \nmay be greatly reduced by mirroring and other technical solutions like torrents, already \nwidely used to distribute Free/Open Source Software (FOSS) through the Internet. \n3.6.2. Real impact of data manipulation or misunderstanding\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but \nto simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance \nof occasions to secretly play with data and how they are managed is a symptom of excessive, or \npeak complexity: again, problems and risks with Open Data are a symptom of a [pre-\n17/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for \nthe world) at the bus stops. Scanning the QR code now allows people to see not just the bus \ntimetable, but also the notes other travelers have left on that stop, including \"what's nearby, who's \nwaiting for whom, what number can you call for a good time. It's a cross between bus stop \nFacebook and digital graffiti\", that happened thanks to the openness of the original bus stop data. \nThe Social Life of Data Project will study instead how particular datasets have been used, who used \nthem, how those people are connected and what conversations happen around Open Data. \n3.3. Legal issues remain crucial\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this \nrule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing \nEaves, until a government get the licensing issue right, Open Data cannot bring all the possible \nbenefits in that country. If there are no guarantees that public data can be used without restriction, \nvery little happens in practice, and when it happens it may be something against the public interest. \nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process \nand analyze official crime data, also publishes online, with a proprietary license, anonymized \nsummaries of those data. When in 2010 another company, Report See Inc, scraped those data from \ntheir website to reuse them, Public Engines sued. \nReporting this, D. Eaves rightly points out that both companies are right: one is trying to protect its \ninvestment, the other is simply trying to reuse what IS public data, by getting it from the ONLY \nplace where it's available. This is what happens when public officials leave the ownership of public \ndata to the third parties hired to collect them. Please note that, in practice, it makes very little \ndifference whether those third parties are private, for-profit corporations or even other Public \nAdministrations. Unless, of course, there are national laws already in place that define in advance \nwhat is the license of all present and future Public Data, no matter how they were generated and by \nwhom, those data can be lost in any moment for society. In all other cases, the legal status of data \nwill be either officially closed and locked, or uncertain enough to prevent most or all reuses. In \nFebruary 2011, the news came that, even if they weren't the original copyright holders, Public \nEngines had been able to put together enough legal claims to convince Report See to give up. \nDisputes like this should not happen and would not happen if all contracts regarding collection and \nmanagement of PSI clearly specified that all the resulting data either go directly into the public \ndomain (after being anonymized if necessary, of course) or remain exclusive property of the \n13/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is \"data that is of \npublic interest, that belongs to the whole community, data that every citizen is surely entitled to \nknow and use\" . This definition is so generic that accepting it together with the assumption that all \nsuch data should be open as preached by the Open Data movement (online, as soon as possible, in \nmachine readable format with an open license etc...) doesn't create any particular problem or \nconflict. \nReal problems however start as it has happened all too often so far, whenever we assume more or \nless consciously that \"Public Data\" in the sense defined above and data directly produced by \nGovernments and Public Administrations, that is what's normally called PSI (Public Sector \nInformation) are the same thing. \nThere is no doubt that Governments and Public Administrations produce huge quantities of Public \nData. But this is an age of privatization of many public services, from transportation to healthcare, \nenergy and water management. This is an age in which many activities with potentially very serious \nimpacts on whole communities, like processing of hazardous substances or toxic waste, happen \noutside Public Administrations. The paradox is that, as Sasaki put it , this increased privatization is \nhappening in the very same period in which \" we are observing a worldwide diffusion of access to \ninformation laws that empower citizens to hold government agencies accountable.\" \nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what \nconstitutes traditional, official PSI. \"Public Data\" includes all that information plus the much bigger \namount of data describing and measuring all the activities of private companies, from bus \ntimetables to packaged food ingredients, aqueducts performances and composition of fumes \nreleased in the atmosphere, that have a direct impact on the health and rights of all citizens of the \ncommunities affected by the activities of those companies. \nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is \nsomething every citizen has the right to know without intermediaries or delegates, or not? Should \nthey be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as \nsoon as possible, in machine readable format with an open license etc...) just like, for example, the \nbudget of some Ministry? Answering these questions may be one of the biggest challenges for the \nOpen Data community, and for society as a whole, in the next years. \nHere are, in order to facilitate reflection on this issue, a few recent, real world examples of \"Public \nData\" that are not PSI, and of the impacts of their lack of openness. \n24/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 23, - "page_end": 23, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "existing] problem that is somewhere else. \nRegardless of the real probability of data alterations before they are published, the major problem \nhappens after. We already mentioned in the first report the fact that, while correct interpretation of \npublic data from the majority of average citizens is absolutely critical, the current situation, even in \ncountries with (theoretical) high alphabetization and Internet access rates, is one in which most \npeople still lack the skills needed for such analysis. Therefore, there surely is space for both \nintentional manipulation of PSI and for misunderstanding it. After the publication of the first report, \nwe've encountered several examples of this danger, which are reported in the rest of this paragraph. \nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the \nimpact on the general public (in terms of raising interest and enhancing participation) on the Open \nData activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there \nhas been no big increase in demagogy, more or less manipulated scandals and conflictual discussion \ncaused by Open Data. There has certainly been something of this in the Cablegate but that's not \nreally relevant because, as we've already explained, what Wikileaks did is intrinsically different \nfrom Open Data. So far, negative or at least controversial reactions by manipulation and \nmisunderstanding of Open Data haven't happened to such a scale to justify not opening PSI. \nThis said, let's look at some recent example of misunderstanding and/or manipulation based on \n(sometimes open) public digital data. \nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows \n[also] \"mosques that are no longer in use, so as to convey the idea that Muslims were invading \nRussia.\" \nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared \nin September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, \nas they had been doing for years. The reason was that, following the March 2009 earthquake in \nItaly, the data were being used to \"come to conclusions without any basis at all\" , both by the press, \nto sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing \nanti seismic construction codes. \nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a \nbig effort to explain to his readers the limits of the maps he publishes, and the potential for \nmisunderstanding if they are used without preparation, or with wrong expectations. This is a \nsynthesis of Belleri's explanation, also covered in other websites , that is applicable to any map-\n18/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 17, - "page_end": 17, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "opinion, the Wikileaks experience proves the advantages of Open Data. \nWas Wikileaks right to publish the cable? Were the specific facts and behaviors uncovered by \nCablegate right or wrong? The answer to these questions are outside the scope of this document. \nHere we only wish to point out that Cablegate and Wikileaks, at least in the form we've known them \nso far, have been about: \n• reacting to problems after they occurred \n• without any intervention and involvement of the parties and organizations that may have \nbehaved improperly \nOpen Data, instead, is about prevention of errors, abuses and inefficiencies, through conscious and \ncontinuous collaboration of citizens and governments officials during day to day operations, if not \nbefore their beginning. \nOf course, citizens must always check that they aren't getting incomplete or biased data. But in any \ncase, Open Data means that the involved government officials aren't just prepared to see that data \npublished, they know and accept it from the start. In such a context, some risks associated to \nWikileaks, like the fact that the leaker lacks the means to influence the downstream use of the \ninformation, and therefore may harm anybody connected to the linked information, are almost non-\nexistent. \nAbove all, unlike the content of most Wikileaks documents, Open Data are almost always data that \nshould surely be open, unlike wartime military reports, and that almost never contain any personal \ninformation. In summary, whatever the conclusions about Wikileaks are, they could not be \nconclusions against Open Data, because there are too many differences between the two \nmovements. \n2.2. Data Openness in EU\nBoth the interest and the need for data openness at the European Union level remain high. Here, \nwithout making any complete analysis, we'll only report and comment a few relevant episodes. \nWhile studies continue to point at the political and economical advantages of Open Data, great \ninefficiencies and delays still keep the time and cost savings that could be achieved a far goal for \nthe European Union. \nAll the principles of the Open Declaration (collaboration, transparency, empowerment) have been \ndeclared key areas of action of the new EC eGov action plan. Particularly important, as explained \n6/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 5, - "page_end": 5, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies \non assumptions or estimates. \n2.3. Open Data in Latin America, Asia and Africa\nSeveral countries in Latin America are studying and making experiments with Open Data both at \nthe government and at the grassroots level. The same is happening, on a much smaller scale, in a \nfew parts of Asia and Africa. On average, the volume of these Open Data experiments and the level \nof local interest and awareness around them is still lower than what is happening in Europe and \nNorth America. In spite of this we suggest that it is important, for public officials and civic activists \nin Western Countries, to follow these developments closely. The reason is that they may turn into \nvery useful test beds for all the strengths and limits of Open Data, especially those not encountered \nyet where the movement was born. \nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The \nproblem they want to solve is how to make democracy work better in countries where it already \nexists and which share a great amount of history and cultural/philosophical values. \nOther countries face very different challenges, from the philosophical level to the practical one. A \ncommon issue in developing countries, for example, is that there is very little to open simply \nbecause much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first \nthing to do is to create data, normally through outsourcing and crowd sourcing. \nOther issues, that will be discussed in detail in other sections of the report because they are also \npresent in Europe in different forms, are related to lack of equal opportunities for access to data and \nserious fears (sometimes, concrete, sometimes caused by confusion about what should be open and \nhow) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering \nthe Empowered or Effective Data Use for Everyone? said: \nin Delhi and Mumbai, mobs and rioters managed to get information about particular \nidentity groups through voter rolls: openness is, in certain situations, a precarious \nvirtue. It is almost certain that Open Data would be used to rig election but here again \nopenness is not the issue, they would find it anyway... \nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its \neffects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in \nThailand, for example, one of the most appreciated entries was a software scraper of the Thailand's \nMember of House of Representative Website, that made it possible for everybody to create \napplications using those data. \n8/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first \nis to protect a public administration from having to pay twice for those data, if it needs it again in \nthe future for some other internal activity, not explicitly mentioned in the initial contract. The \nsecond reason is to not spend more than what is absolutely necessary to respond to public records \nrequests, that is to comply with Freedom of Information laws. \nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is \nsharing it with all the citizens using the public services based on those data. A real world example \nof this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bike-\nsharing scheme started in May 2009, through a partnerships with a private company: JCDecaux \nfinances the infrastructure and operates it, in exchange for advertising space on the bikes \nthemselves and on billboards at the bike sharing stations. The availability of bikes and parking \nspaces of each station is published online in real time on the official Villo's website. \nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website \nthat reuses those data to measure where and how often there aren't enough available bikes and \nparking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated \nit to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because \ncitizens could monitor the service by themselves, were possible just because the data from the \nofficial website were legally and automatically reusable. \n3.4. The price of digitization\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if \nit is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that \nalready existed and must be fixed anyway, regardless (again) of openness. Any substantial increase \nof efficiency and reduction of the costs of Public Administrations can only happen when data and \nprocedures are digitized. The problem is that such digitization (which, obviously, must happen \nanyway sooner or later) can be very expensive and we are only now starting to really realize how \nmuch. Actual, material costs are not the worst problem here. Activities like semi-automatic \nscanning of paper documents or typing again their content inside some database, are relatively low, \none-time expenses that are also very easy to calculate and budget in advance with great precision. \nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is \nreally difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less \nautomatic procedures and file templates, formats, habits and customs developed, maybe over \n14/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 13, - "page_end": 13, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "How did serum estradiol and progesterone levels change during pregnancy?", - "target_page": 2, - "target_passage": "Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2255\nResource https://doi.org/10.1038/s41593-024-01741-0\nDiscussion\nConverging evidence across mammalian species points to pregnancy \nas a remarkable period of neuroplasticity, revealing the brain’s ability \nto undergo adaptive, hormonally-driven neuroanatomical changes \nbeyond adolescence13–15,20,21,24–26. Investigations that compare women \nprepregnancy and then again postpartum provide the strongest evi-\ndence to date that the human brain undergoes such neural changes11,27. \nBut what about pregnancy itself? Over what time course do anatomical \nchanges in the maternal brain manifest? Are they tied to the substantial \nincrease in sex hormone production? Here we begin to address these \nPregnancy stages Sex steroid hormones\nProgesterone ng ml–1\n17β-estradiol pg ml –1\n12,500\n10017β-estradiol\nProgesterone\nPre 1st 2nd 3rd Post\n<0 0–13 14–26 27–40 >40\nGestation weeks\na b\nWeeks since conception\n00\nBirth\n–1 10 20 30 40 50\nStudy overview\n/ /\nWhole-brain T1\nMTL scan\nDiffusion MRI\nBlood serum\nPre/IVF Pregnancy Birth Postpartum\nc\n0 14 27 40 60 93 162\nWeeks since conception\nSummary brain measures\nGMV\n(×10 5 mm 3 )\nCT\n(×10 6 mm) \nBrain vol\n(×10 6 mm 3 )\nGlobal quant.\nanisotropy\nLat ventricles\n(mm 3 )\nCSF\n(mm 3 )\nd\nWeeks since conception Weeks since conception\n4.60\n1.80\n1.60\n1.29\n1.27\n4.80\n0 50 100 150\n0 50 100 150\n0 50 100 150\n24,500\n26,000\n0.44\n0.38\n4,800\n3,900\nR2\nadj = 0.79, P < 0.001\nR2\nadj = 0.50, P = 0.007\nR2\nadj = 0.77, P < 0.001\nR2\nadj = 0.91, P < 0.001\nR2\nadj = 0.75, P < 0.001\nR2\nadj = 0.90, P < 0.001\nBirth Birth\n0 50 100 150\n0 50 100 150\n/ /\n/ /\n/ /\n0 50 100 150\n0\nFig. 1 | Precision imaging reveals neuroanatomical changes throughout \ngestation. a, Standard medical demarcations for pregnancy stages (that is, \ntrimesters) by gestation week (the image is created with BioRender.com). \nb, Steroid hormones increased significantly throughout pregnancy and dropped \nprecipitously postpartum, as is characteristic of the prenatal and postnatal \nperiods. c, A healthy 38-year-old primiparous woman underwent 26 scanning \nsessions from 3 weeks preconception through 2 years postpartum. Scans were \ndistributed throughout preconception (four scans), first trimester (four scans), \nsecond trimester (six scans), third trimester (five scans) and postpartum \n(seven scans); tick marks indicate when major measures were collected and \ncolors denote pregnancy stage. The participant underwent IVF to achieve \npregnancy, allowing for precise mapping of ovulation, conception and gestation \nweek. d, Summary (that is, total) of brain measures throughout the experiment. \nGeneralized additive models revealed GMV, CT and total brain volume decreased \nthroughout pregnancy (see Methods for validation with cubic regression), with \na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes \ndisplayed nonlinear increases across gestation, with a notable rise in the second \nand third trimesters before dropping sharply postpartum. Shaded regions \nrepresent 95% confidence bands; solid lines indicate model fit; dashed line \nindicates parturition.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "results provided in Supplementary Tables 1–5. Percent change at the \nnetwork level was computed by subtracting the final pregnancy value \n(36 weeks pregnant) from the first prepregnancy baseline value, then \ndividing that difference by said first prepregnancy baseline value. All \nanalyses underwent multiple comparisons testing (false discovery rate \n(FDR)-corrected at q < 0.05).\nSubcortical GMV. A similar statistical approach was taken for subcorti-\ncal volume estimates. We ran a multivariate regression analysis predict-\ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by \ngestation week (FDR-corrected at q < 0.05).\nT o evaluate the relationship between gestation week and MTL \nsubregion volume over pregnancy (n = 7 bilateral subregions and \nn = 18 MTL scans), we used a combination of linear and nonlinear \nmodels based on individual subregion data patterns. Models were \ncompared for best fit with each subregion via AIC from the GLM output \n(as described in ‘Summary brain metrics’). A linear regression model \nwas most appropriate for PHC (AICdiff < 3), whereas a quadratic model \nperformed best for CA1 and CA2/CA3. As a control, we repeated the \nanalyses with MTL subregion volumes after proportional volume cor-\nrection of total GMV calculated by ASHS. Finally, we evaluated the \nrelationship between endogenous sex hormones (estrogen and proges-\nterone) and subregion volumes using linear regression. Relationships \nwere considered significant only if they met FDR correction at q < 0.05.\nWhite matter microstructure. DSI Studio’s correlational tractography74 \nwas used to analyze the relationship between white matter structure \nand gestational week (n = 16). A truncated model was run to examine the \nrelationship between white matter and sex steroid hormones (n = 14) \nfor the subset of diffusion scans with paired endocrine data during ges-\ntation. A nonparametric Spearman’s correlation was used to derive the \ncorrelation between gestational week and endocrine factors and our \nmetrics of interest (QA and MD; see Supplementary Table 9 and Sup-\nplementary Fig. 10 for MD results) because the data were not normally \ndistributed. Statistical inference was reached using connectometry, \na permutation-based approach that tests the strength of coherent \nassociations found between the local connectome and our variables \nof interest. It provides higher reliability and replicability by correcting \nfor multiple comparisons. This technique provides a high-resolution \ncharacterization of local axonal orientation. The correlational trac-\ntography was run with the following parameters: t score threshold of \n2.5, four pruning iterations and a length threshold of 25 voxel distance. \nT o estimate the FDR, a total of 4,000 randomized permutations were \napplied to obtain the null distribution of the track length. Reported \nregions were selected based on FDR cutoff (FDR < 0.2, suggested by \nDSI Studio), and contained at least ten tracts. For visualization of global \nand tract QA at each gestational stage, mean QA values were extracted \nusing DSI Studio’s whole-brain fiber tracking algorithm and ROI-based \ntracking using the default HCP842 atlas78.\nDay2Day dataset: measurement variability. T o establish a marker of \nnormative variability over half a year, we computed metrics of meas-\nurement variability using the Day2Day dataset23, which provided both \nwhole-brain T1 and high-resolution T2 MTL scans. For each region, j, of \nthe Schaefer parcellation, we assessed across-session variability, ε, as\nεj = 100×mean(\n||ts − ̂t||\n̂t\n)\nWhere ts is the morphometric measurement of a parcel for session s \nand ̂t is the mean of t across sessions55,79. Thus, we defined variability \nas the mean absolute percent difference between each individual and \nthe mean across sessions. Across-session variability estimates for all \n400 regions were then averaged across eight participants, and a global", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "was nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta-\ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.\nsubcortical structures, including the ventral diencephalon, caudate, \nthalamus, putamen and hippocampus. High-resolution imaging and \nsegmentation of the medial temporal lobe (MTL) extend these findings \nfurther, revealing specific volumetric reductions within hippocampal \nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con -\ntrast to widespread decreases in cortical and subcortical GMV, cor -\nrelational tractography analyses revealed nonlinear increases in white \nmatter quantitative anisotropy (QA) throughout the brain—indicating \ngreater tract integrity—as gestational week progressed. T ogether, these \nfindings reveal the highly dynamic changes that unfold in a human \nbrain across pregnancy, demonstrating a capacity for extensive neural \nremodeling well into adulthood.\nResults\nSerological evaluations\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep -\ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\nWhole-brain dynamics from baseline through postpartum\nT o begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar-\ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. T otal GMV \n(F = 27.87, P < 0.001, deviance explained = 93.9%, R2\nadj = 0.91), summary \nCT (F = 15.79, P < 0.001, deviance explained = 78.6%, R2\nadj = 0.75) and \ntotal brain volume (F = 26.12, P < 0.001, deviance explained = 93.4%, \nR2\nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec-\nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, \nR2\nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R2\nadj = 0.77) \nand increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance \nexplained = 83.8%, R2\nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.\nCortical volume and thickness changes tied to gestation\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso-\nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). T ogether, these", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2258\nResource https://doi.org/10.1038/s41593-024-01741-0\noverlook the full range of changes that unfold within the gestational \nwindow, and underrepresent the brain’s metamorphosis during preg-\nnancy. Furthermore, although observed changes were largely global, \nsome regions displayed notable stability (for example, extrastriate cor-\ntex). The subcortical region that displayed the strongest relationship \nwith gestation week was the ventral diencephalon, which encompasses \nthe hypothalamus and subsequent medial preoptic area and paraven-\ntricular nucleus—structures critical for inducing maternal behavior12,16. \nThe hippocampus exhibited a reduction in volume across gestation, \nand with higher spatial resolution, this reduction was revealed to be \ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other \nhippocampal subfields remained stable. Adjacent PHC within the \nMTL also exhibited volume reduction across gestation. While our hip-\npocampal findings are consistent with pre/post studies of pregnancy13, \nthe precision lens applied within gestation revealed the nonlinear \nnature of this reduction. Recapitulating and clarifying these region -\nally specific patterns of volume change throughout the MTL merits \nfurther investigation.\nSimilar precision imaging studies have captured dynamic brain \nreorganization across other neuroendocrine transitions, such as the \nmenstrual cycle (see review in ref. 28), underscoring the powerful \nrole steroid hormones have in shaping the mammalian brain29. Endo-\ncrine changes across pregnancy dwarf those that occur across the \nmenstrual cycle, which highlights the critical need to map the brain’s \nresponse to this unique hormonal state. Broad physiological changes \noccur in tandem with the rise in steroid hormones, including changes \nin body mass composition, water retention, immune function and \nsleep patterns11. These factors could have a role in the brain changes \nobserved here, with some driving neurobiological changes and others, \nlike water retention, potentially affecting MRI-based measurements. \nNote that, although cortical reductions in GMV over gestation were \nstable across analyses, accounting for QC measures influenced the \nmagnitude and location of these results. These metrics all fell within \nthe standard range, but there may be meaningful reductions in signal \nthat accompany volumetric reductions (for example, increased CSF \nand decreased GM)—a methodological nuance that goes beyond the \nscope of this resource study. Ultimately, identifying the shared and \nunique contributions of these factors to the neuroanatomical changes \nthat unfold across gestation warrants further investigation. Deeply \nphenotyping a large and diverse cohort of women across pregnancy will \nopen up new avenues of exploration, for example, allowing research-\ners to link blood-based proteomic signatures to pregnancy outcomes; \ndeploying wearable devices to monitor changes in sleep, cognition and \nmood; and probing the broader social and environmental determinants \nof maternal health27.\nThe neuroanatomical changes that unfold during matrescence \nmay have broad implications for understanding individual differences \nin parental behavior13,24,30,31, vulnerability to mental health disorders32,33 \nand patterns of brain aging 18,19,34–36. Decreases in GMV may reflect \n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara -\ntion for parenthood 26. For example, in rodents, steroid hormones \npromote parental behavior by remodeling specific neural circuits in the \nmedial preoptic area of the hypothalamus. These behavioral adapta-\ntions are critical to the dam’s ability to meet the demands of caring for \na b\nQuantitative anisotropy (zero centered)\nIndividual tracts\nCorpus Callosum\nR inf. fronto occipital fasc.\nGestation + postpartum\nSummary white matter tracts\nGestation\nStageStage\nL inf. longitudinal fasc.\nL arcuate fasciculus", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2257\nResource https://doi.org/10.1038/s41593-024-01741-0\noutstanding questions. This study and corresponding open-access \ndataset offer neuroscientists a detailed map of the human brain across \ngestation, a resource for which a wide range of previously unattainable \nneurobiological questions can now be explored.\nOur findings from this precision imaging study show that preg -\nnancy is characterized by reductions in GMV, cortical thinning and \nenhanced white matter microstructural integrity that unfold week by \nweek. These changes were also tied to the significant rise in steroid hor-\nmone concentrations over pregnancy. Some of these changes persist \nat 2 years postpartum (for example, global reductions in GMV and CT), \nwhile others, including markers of white matter integrity, appear to be \ntransient. Ventricular expansion and contraction parallel these cortical \nchanges. These widespread patterns, and the notable increase in CSF \nvolume across gestation, could reflect increased water retention and \nsubsequent compression of cortical tissue. However, the persistence \nof these changes at 2 years postpartum and regional variation in GMV, \nCT and QA, hint at cellular underpinnings, such as alterations in glia \nor neuron number, synaptic density and myelination (for review on \nthe latter, see ref. 4). Future studies of the relationship between fluid \ndynamics and volumetric changes will help clarify the factors that drive \nglobal neural changes during pregnancy; such insights will have broad \nimplications for maternal health (for example, neurological effects tied \nto pre-eclampsia or edema).\nCritically, dynamic neural changes occurred within the pregnancy \nwindow itself, a nuance not captured by studies limited to comparisons \nbetween prepregnancy and postpregnancy. For example, we observed \nlarge increases in white matter microstructural integrity (QA) through-\nout the first and second trimesters of pregnancy, but these measures \nfully returned to baseline values by the first postpartum scan. This \npattern may explain why previous studies report no pregnancy-related \ndifferences in white matter tractography14. Other measures, such as \nGMV and CT, decreased throughout gestation and displayed only a \nmodest rebound postpartum. These nonlinear patterns suggest that \nonly quantifying prepregnancy and postpartum brain structure may \nWhole-brain subcortical volumes\nGestation + postpartumGestation\nWeek Stage\nAvg GMV (mm 3 ) \n0 10 20 30 Pre 1st 2nd 3rd Post\n4,000\n3,900\n3,800\n3,700\n3,600\n3,500\n4,000\n3,800\n3,600\nRight ventral diencephalon\nBrain stem\na\nCA1\nWeek\n0 10 20 30\nStage\n1,900\n1,800\n1,700\n1,900\n1,800\n1,700\nAvg GMV (mm 3 )\nGestation + postpartumGestation\nPHCCA2/CA3\nMedial temporal lobe subregion volumesb\nGestation + postpartum\nWeek Stage\n200\n180\n160\n200\n180\n160\nAvg GMV (mm 3 )\nGestationGestation + postpartum\nWeek\n0 10 20 30\nStage\nPre Post\n540\n500\n460\n540\n500\n460\nAvg GMV (mm 3 )\nR2\nadj = 0.36, q = 0.031 R2\nadj = 0.41, q = 0.027 R2\nadj = 0.58, q = 0.001\nGestation\nVentral DC\nT stat\nHippocampus\nPutamen\nThalamus\nCaudate\nLateral ventricle\n–6\n2\nPre 1st 2nd 3rd Post Pre Post0 10 20 30\n1st 2nd 3rd 1st 2nd 3rd\nFig. 3 | Subcortical GMV changed throughout gestation. a, Multivariate \nregression analyses revealed largely negative relationships between gestation \nweek and subcortical GMV regions over pregnancy, including bilateral thalamus, \ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus, \nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral \nventricles displayed the only positive relationships with gestation week \n(also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown \nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR-\ncorrected at q < 0.05. Inset, right ventral diencephalon displayed the strongest \nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "occurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \nReceived: 23 August 2023\nAccepted: 29 July 2024\nPublished online: 16 September 2024\n Check for updates\n1Department of Psychological & Brain Sciences, University of California, Santa Barbara, CA, USA. 2Department of Neurobiology and Behavior, University \nof California, Irvine, CA, USA. 3Section on Functional Imaging Methods, Laboratory of Brain and Cognition, National Institute of Mental Health, National \nInstitutes of Health, Bethesda, MD, USA. 4Neuroscience Research Institute, University of California, Santa Barbara, CA, USA. 5These authors contributed \nequally: Elizabeth R. Chrastil, Emily G. Jacobs.  e-mail: laura.pritschet@pennmedicine.upenn.edu; chrastil@uci.edu; emily.jacobs@psych.ucsb.edu", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2253\nnature neuroscience\nhttps://doi.org/10.1038/s41593-024-01741-0\nResource\nNeuroanatomical changes observed over the \ncourse of a human pregnancy\nLaura Pritschet   1 , Caitlin M. Taylor   1, Daniela Cossio   2, \nJoshua Faskowitz   3, Tyler Santander1, Daniel A. Handwerker   3, \nHannah Grotzinger1, Evan Layher1, Elizabeth R. Chrastil   2,5 & \nEmily G. Jacobs   1,4,5 \nPregnancy is a period of profound hormonal and physiological changes \nexperienced by millions of women annually, yet the neural changes \nunfolding in the maternal brain throughout gestation are not well studied \nin humans. Leveraging precision imaging, we mapped neuroanatomical \nchanges in an individual from preconception through 2 years postpartum. \nPronounced decreases in gray matter volume and cortical thickness were \nevident across the brain, standing in contrast to increases in white matter \nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with \nfew regions untouched by the transition to motherhood. This dataset serves \nas a comprehensive map of the human brain across gestation, providing an \nopen-access resource for the brain imaging community to further explore \nand understand the maternal brain.\nWorldwide, nearly 85% of women experience one or more pregnancies \nin their lifetime1, with 140 million women becoming pregnant each \nyear. Over an approximately 40-week gestational window, the maternal \nbody undergoes profound physiological adaptations to support the \ndevelopment of the fetus, including increases in plasma volume, meta-\nbolic rate, oxygen consumption and immune regulation2. These rapid \nadaptations are initiated by 100-fold to 1,000-fold increases in hormone \nproduction, including estrogen and progesterone. These neuromodu-\nlatory hormones also drive significant reorganization of the central \nnervous system. Evidence from animal models and human studies con-\nverge on pregnancy as a period of remarkable neuroplasticity3–10 (see \nref. 10 for one of the earliest known observations). Gestational increases \nin steroid hormone synthesis drive neurogenesis, dendritic spine \ngrowth, microglial proliferation, myelination and astrocyte remodeling \n(for review, see ref. 11). These cellular changes are pronounced in brain \ncircuits that promote maternal behavior. For example, Ammari et al. \nrecently discovered that steroid hormones can fine-tune the response \nproperties of galanin neurons in the rodent medial preoptic area of \nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams \nto sensory cues from newborn pups12.\nIn humans, reductions in gray matter volume (GMV) have \nbeen observed postpartum 13–16, particularly in regions central to \ntheory-of-mind processing 13. These GMV changes persist at 6 years \npostpartum17 and are traceable decades later 18,19, underscoring the \npermanence of this major remodeling event. And yet the changes that \noccur within the maternal brain during gestation itself are virtually \nunknown (see ref. 20 for early neuroimaging insight). A recent study by \nPaternina-Die et al. offers intriguing clues21. Women were scanned once \nin the third trimester and again in the postpartum period, revealing a \nreduction of cortical volume observable in the late pregnancy scan. \nThese findings suggest that pregnancy is a highly dynamic period for \nneural remodeling, yet neuroscientists lack a detailed map of how the \nhuman brain changes throughout the gestational period.\nHere we conducted a precision imaging study of pregnancy in \nwhich a healthy 38-year-old primiparous woman underwent 26 mag-\nnetic resonance imaging (MRI) scans and venipuncture beginning \n3 weeks preconception through 2 years postpartum. We observed \nwidespread reductions in cortical GMV and cortical thickness (CT) \noccurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \nReceived: 23 August 2023", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience\nResource https://doi.org/10.1038/s41593-024-01741-0\nMethods\nParticipant\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman \nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\nvious studies reported no observable differences in neural changes \nfrom prepregnancy to postpregnancy between women who conceived \nnaturally versus women who conceived via IVF13, and doing so provides \na controlled way of monitoring pregnancy status. The participant \nexperienced no pregnancy complications (for example, gestational \ndiabetes and hypertension), delivered at full term via vaginal birth, \nnursed through 16 months postpartum, and had no history of neu -\nropsychiatric diagnosis, endocrine disorders, prior head trauma or \nhistory of smoking. The participant gave written informed consent and \nthe study was approved by the University of California, Irvine Human \nSubjects Committee.\nStudy design\nThe participant underwent 26 MRI scanning sessions from 3 weeks \nbefore conception through 2 years postpartum (162 weeks), during \nwhich high-resolution anatomical and diffusion spectrum imaging \nscans of the brain were acquired. Scans were distributed throughout \nthis period, including prepregnancy (four scans), first trimester (four \nscans), second trimester (six scans), third trimester (five scans) and \npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at \nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place \nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\nity of scans took place between 9 AM and 2 PM, limiting significant \nAM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) \nand software (version MR E11) were identical across sites. Each scan -\nner was checked weekly for the duration of the study and passed all \nQC reports indicating no significant alterations in the geometry. T o \nensure the robustness of the findings, after the final study session, the \nparticipant completed back-to-back validation scans at UCI and UCSB \nwithin a 12-h window to assess reliability between scanners. Intraclass \ncorrelation coefficients (two-way, random effects, absolute agreement, \nsingle rater) reveal ‘excellent’ test–retest reliability between scanners, \nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level \nCT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, \n95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). \nFurthermore, when examining the relationship between gestation \nweek and GMV among UCI-only gestational sessions, findings were \nconsistent (Supplementary Fig. 12), indicating that site differences \nare highly unlikely to have contributed meaningfully to the observed \neffects. Although not applicable here, we note that having a control \nparticipant scanned over a similar duration within the same scanner is \ncritical for estimating how much variation in the brain can be attributed \nto within-scanner variability.\nT o monitor state-dependent mood and lifestyle measures, the \nfollowing scales were administered on each experiment day: Perceived \nStress Scale50, Pittsburgh Sleep Quality Index 51, State-Trait Anxiety \nInventory for Adults52 and Profile of Mood States53. Correlation analy-\nses between state-dependent measures, summary brain metrics and \ngestation week revealed little to no relationships. The only exception \nto this was a moderate negative association between global QA and \nstate anxiety (Spearman’s correlation (ρ) = −0.65, q = 0.04; baseline—36 \nweeks, n = 16). By making this data openly accessible, we encourage a \nmore nuanced approach toward exploring mood and lifestyle measures \nin relation to brain changes over pregnancy.\nEndocrine procedures\nThe participant underwent a blood draw (n  = 19; Fig. 1c ) before \nMRI scanning. Sex steroid concentrations were determined via \nultra-sensitive liquid chromatography–mass spectrometry at the", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "The participant underwent a blood draw (n  = 19; Fig. 1c ) before \nMRI scanning. Sex steroid concentrations were determined via \nultra-sensitive liquid chromatography–mass spectrometry at the \nBrigham and Women’s Hospital Research Assay Core (BRAC). Assay \nsensitivities, dynamic range and intra-assay coefficients of variation \nwere as follows: estradiol—1.0 pg ml−1, 1–500 pg ml−1, <5% relative s.d. \n(RSD); progesterone—0.05 ng ml−1, 0.05–10 ng ml−1, 9.33% RSD. Sero-\nlogical samples were not acquired in five sessions due to scheduling \nconflicts with UC Irvine’s Center for Clinical Research.\nMRI acquisition. MRI scanning sessions at the University of Califor -\nnia, Santa Barbara and Irvine were conducted on 3T Prisma scanners \nequipped with 64-channel phased-array head/neck coil (of which 50 \ncoils are used for axial brain imaging). High-resolution anatomical scans \nwere acquired using a T1-weighted (T1w) magnetization prepared rapid \ngradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, \ntime to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, \n0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, \nTE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) \nturbo spin echo scan was also acquired with an oblique coronal orienta-\ntion positioned orthogonally to the main axis of the hippocampus (TR/\nTE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm2 in-plane resolution, \n2-mm slice thickness, 38 interleaved slices with no gap, total acquisi-\ntion time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) \nprotocol sampled the entire brain with the following parameters: \nsingle phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, \nb-max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm \nvoxel resolution. These images were linearly registered to the \nwhole-brain T1w MPRAGE image. A custom foam headcase was used \nto provide extra padding around the head and neck, as well as to mini-\nmize head motion. Additionally, a custom-built sound-absorbing foam \ngirdle was placed around the participant’s waist to attenuate sound \nnear the fetus during second-trimester and third-trimester scanning.\nImage processing. Cortical volume and thickness. CT and GMV were \nmeasured with Advanced Normalization T ools54 version 2.1.0 (ANTs). \nWe first built a subject-specific template (SST) (antsMultivariateT em-\nplateConstruction2) and tissue priors (antsCookT emplatePriors) \nbased on our participant’s two preconception whole-brain T1-weighted \nscans to examine neuroanatomical changes relative to the participant’s \nprepregnancy baseline. We used labels from the OASIS population \ntemplate, provided by ANTs, as priors for this step. For each session, \nthe structural image was processed and registered to the SST using the \nANTs CT pipeline (antsCorticalThickness). This begins with an N4 bias \nfield correction for field inhomogeneity, then brain extraction using a \nhybrid registration/segmentation method55. Tissue segmentation was \nperformed using Atropos54 to create tissue masks of CSF , gray matter, \nwhite matter and deep gray matter. Atropos allows prior knowledge \nto guide the segmentation algorithm, and we used labels from our SST \nas priors to minimize warping and remain in native participant space. \nCT measurements were then estimated using the DiReCT algorithm56, \nwhich estimates the gray–white matter interface and the gray mat -\nter–CSF interface and computes a diffeomorphic mapping between \nthe two interactions, from which thickness is derived. Each gray matter \ntissue mask was normalized to the template and multiplied to a Jaco-\nbian image that was computed via affine and nonlinear transforms. \nUsing MATLAB (version 2022a), summary, regional-level estimates \nof CT, GMV and CSF for each scan were obtained by taking the first \neigenvariate (akin to a ‘weighted mean’57) across all voxels within each", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2254\nResource https://doi.org/10.1038/s41593-024-01741-0\nassociated brain networks appear to decrease in volume at a faster \nrate than the rest of the brain throughout pregnancy, as determined \nby a subsequent analysis controlling for total GMV (Supplementary \nTables 1 and 2). GMV reductions were also significantly correlated with \nthe participant’s estradiol and progesterone concentrations (Supple-\nmentary Table 1). A highly similar pattern of results was observed when \nexamining pregnancy-related CT changes (Supplementary Fig. 3 and \nSupplementary Tables 4 and 5). Significant reductions in cortical GMV \nover gestation remained after controlling for standard quality control \n(QC) metrics, albeit with some influence on the magnitude and location \nof the observed effects (Supplementary Figs. 4 and 5).\nIn contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple -\nmentary Tables 4 and 5).\nSubcortical GMV changes tied to gestation\nConsistent with the broader cortical reductions in GMV, several subcor-\ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6, q < 0.05).\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non-\nlinear volumetric decreases in CA1 (F(2,15) = 5.84, q = 0.031, R2\nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (F(2,15) = 6.82, q = 0.027, R2\nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (F(1,16) = 24.87, q < 0.001, R2\nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (F(1,12) = 20.21, q = 0.005, R2\nadj = 0.60). \nAll three relationships remained significant after proportional correc-\ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\nWhite matter microstructure changes tied to gestation\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas-\ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all q < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\ntine tracts (see Supplementary Table 9 for complete list).\nComparing brain changes across pregnancy against controls\nWe then compared the changes in GMV across gestation to that of typi-\ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "Which cortical sub-networks were particularly sensitive to pregnancy?", - "target_page": 2, - "target_passage": "Several sensory and attention subnetworks were particu- larly sensitive to gestation, including the control (subnetwork B), sali- ence ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "interest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). T ogether, these \nresults provide evidence of a global decrease in cortical volume across \npregnancy. Several sensory and attention subnetworks were particu-\nlarly sensitive to gestation, including the control (subnetwork B), sali-\nence/ventral attention (subnetwork A), dorsal attention (subnetwork \nB), default (subnetwork A) and somatomotor (subnetworks A and B) \nnetworks (Supplementary Table 1). Regions driving these network-level \nchanges include the bilateral inferior parietal lobe, postcentral gyri, \ninsulae, prefrontal cortex, posterior cingulate and somatosensory \ncortex (Fig. 2c, Supplementary Table 2 and validation of findings using \nalternate pipeline in Supplementary Tables 1 and 3). These regions and", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2254\nResource https://doi.org/10.1038/s41593-024-01741-0\nassociated brain networks appear to decrease in volume at a faster \nrate than the rest of the brain throughout pregnancy, as determined \nby a subsequent analysis controlling for total GMV (Supplementary \nTables 1 and 2). GMV reductions were also significantly correlated with \nthe participant’s estradiol and progesterone concentrations (Supple-\nmentary Table 1). A highly similar pattern of results was observed when \nexamining pregnancy-related CT changes (Supplementary Fig. 3 and \nSupplementary Tables 4 and 5). Significant reductions in cortical GMV \nover gestation remained after controlling for standard quality control \n(QC) metrics, albeit with some influence on the magnitude and location \nof the observed effects (Supplementary Figs. 4 and 5).\nIn contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple -\nmentary Tables 4 and 5).\nSubcortical GMV changes tied to gestation\nConsistent with the broader cortical reductions in GMV, several subcor-\ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6, q < 0.05).\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non-\nlinear volumetric decreases in CA1 (F(2,15) = 5.84, q = 0.031, R2\nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (F(2,15) = 6.82, q = 0.027, R2\nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (F(1,16) = 24.87, q < 0.001, R2\nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (F(1,12) = 20.21, q = 0.005, R2\nadj = 0.60). \nAll three relationships remained significant after proportional correc-\ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\nWhite matter microstructure changes tied to gestation\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas-\ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all q < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\ntine tracts (see Supplementary Table 9 for complete list).\nComparing brain changes across pregnancy against controls\nWe then compared the changes in GMV across gestation to that of typi-\ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2255\nResource https://doi.org/10.1038/s41593-024-01741-0\nDiscussion\nConverging evidence across mammalian species points to pregnancy \nas a remarkable period of neuroplasticity, revealing the brain’s ability \nto undergo adaptive, hormonally-driven neuroanatomical changes \nbeyond adolescence13–15,20,21,24–26. Investigations that compare women \nprepregnancy and then again postpartum provide the strongest evi-\ndence to date that the human brain undergoes such neural changes11,27. \nBut what about pregnancy itself? Over what time course do anatomical \nchanges in the maternal brain manifest? Are they tied to the substantial \nincrease in sex hormone production? Here we begin to address these \nPregnancy stages Sex steroid hormones\nProgesterone ng ml–1\n17β-estradiol pg ml –1\n12,500\n10017β-estradiol\nProgesterone\nPre 1st 2nd 3rd Post\n<0 0–13 14–26 27–40 >40\nGestation weeks\na b\nWeeks since conception\n00\nBirth\n–1 10 20 30 40 50\nStudy overview\n/ /\nWhole-brain T1\nMTL scan\nDiffusion MRI\nBlood serum\nPre/IVF Pregnancy Birth Postpartum\nc\n0 14 27 40 60 93 162\nWeeks since conception\nSummary brain measures\nGMV\n(×10 5 mm 3 )\nCT\n(×10 6 mm) \nBrain vol\n(×10 6 mm 3 )\nGlobal quant.\nanisotropy\nLat ventricles\n(mm 3 )\nCSF\n(mm 3 )\nd\nWeeks since conception Weeks since conception\n4.60\n1.80\n1.60\n1.29\n1.27\n4.80\n0 50 100 150\n0 50 100 150\n0 50 100 150\n24,500\n26,000\n0.44\n0.38\n4,800\n3,900\nR2\nadj = 0.79, P < 0.001\nR2\nadj = 0.50, P = 0.007\nR2\nadj = 0.77, P < 0.001\nR2\nadj = 0.91, P < 0.001\nR2\nadj = 0.75, P < 0.001\nR2\nadj = 0.90, P < 0.001\nBirth Birth\n0 50 100 150\n0 50 100 150\n/ /\n/ /\n/ /\n0 50 100 150\n0\nFig. 1 | Precision imaging reveals neuroanatomical changes throughout \ngestation. a, Standard medical demarcations for pregnancy stages (that is, \ntrimesters) by gestation week (the image is created with BioRender.com). \nb, Steroid hormones increased significantly throughout pregnancy and dropped \nprecipitously postpartum, as is characteristic of the prenatal and postnatal \nperiods. c, A healthy 38-year-old primiparous woman underwent 26 scanning \nsessions from 3 weeks preconception through 2 years postpartum. Scans were \ndistributed throughout preconception (four scans), first trimester (four scans), \nsecond trimester (six scans), third trimester (five scans) and postpartum \n(seven scans); tick marks indicate when major measures were collected and \ncolors denote pregnancy stage. The participant underwent IVF to achieve \npregnancy, allowing for precise mapping of ovulation, conception and gestation \nweek. d, Summary (that is, total) of brain measures throughout the experiment. \nGeneralized additive models revealed GMV, CT and total brain volume decreased \nthroughout pregnancy (see Methods for validation with cubic regression), with \na slight recovery postpartum. Global QA, lateral ventricle and CSF volumes \ndisplayed nonlinear increases across gestation, with a notable rise in the second \nand third trimesters before dropping sharply postpartum. Shaded regions \nrepresent 95% confidence bands; solid lines indicate model fit; dashed line \nindicates parturition.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2259\nResource https://doi.org/10.1038/s41593-024-01741-0\nthe offspring12. Human studies have revealed GMV reductions in areas \nof the brain important for social cognition and the magnitude of these \nchanges corresponds with increased parental attachment 13. Deeper \nexamination of cellular and systems-level mechanisms will improve \nour understanding of how pregnancy remodels specific circuits to \npromote maternal behavior.\nAlthough studied to a lesser degree, ties between maternal \nbehavior and white matter microstructure (particularly connectiv -\nity between temporal and occipital lobes) have been noted31. Here we \nreveal pronounced GMV changes in regions within sensory, attention \nand default mode networks over the gestational window. In paral -\nlel, we observed increased anisotropy in white matter tracts that \nfacilitate communication between emotional and visual processing \nhubs37–39, including the inferior longitudinal fasciculus and inferior \nfronto-occipital fasciculus. Pinpointing the synchrony of gray and \nwhite matter changes that unfold in the maternal brain could be \nkey to understanding the behavioral adaptions that emerge during \nand after pregnancy, such as honing the brain’s visual and auditory \nresponses to infant cues and eliciting maternal behavior. Research \ninto other major transition periods supports this idea. For instance, \nadolescence is a dynamic period characterized by region-specific, \nnonlinear decreases in GMV and increases in WMV, maturational \nbrain changes that are tied to gains in executive function and social \ncognition40. For both adolescence 41 and matrescence, the consider-\nable rise in steroid hormone production appears to remodel the brain \n(see ref. 25 for comparative analysis), promoting a suite of behaviors \nadaptive to that life stage. How specific neural changes give rise to \nspecific behavioral adaptations has yet to be fully explored with \nrespect to human pregnancy.\nThis precision imaging study mapped neuroanatomical changes \nacross pregnancy in a single individual, precluding our ability to gen-\neralize to the broader population. T o benchmark our findings, we com-\npared the magnitude of GMV changes observed throughout pregnancy \nagainst data from nonpregnant individuals sampled over a similar time \ncourse. Doing so provided compelling evidence that pregnancy-related \nneuroanatomical shifts far exceed normative day-to-day brain variabil-\nity and measurement error. Evidence suggests that white matter micro-\nstructure remains fairly stable over a six-month period 42, but more \nstudies are needed to compare the degree of white matter changes \nobserved during pregnancy to normative change over time. Further, \nsampling larger cohorts of women will generate much-needed norma-\ntive models of brain change (akin to ref. 43) throughout pregnancy to \nestablish what constitutes a typical degree of neuroanatomical change \nexpected during gestation and postpartum recovery.\nThese findings provide a critical rationale for conducting further \nprecision imaging studies of pregnancy in demographically enriched \ncohorts to determine the universality and idiosyncrasy of these adap-\ntations and their role in maternal health. Are the changes observed in \nour participant reflective of the broader population? Do deviations \nfrom the norm lead to maladaptive outcomes? A precision imaging \napproach can help determine whether the pace of pregnancy-induced \nneuroanatomical changes drives divergent brain health outcomes in \nwomen, as may be the case during other rapid periods of brain devel-\nopment44. One in five women experiences perinatal depression45 and \nwhile the first FDA-approved treatment is now available46, early detec-\ntion remains elusive. Precision imaging studies could offer clues about \nan individual’s risk for or resilience to depression before symptom \nonset, helping clinicians better determine when and how to intervene.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2260\nResource https://doi.org/10.1038/s41593-024-01741-0\n19. Orchard, E. R. et al. Neuroprotective effects of motherhood on \nbrain function in late life: a resting-state fMRI study. Cereb. Cortex \n31, 1270–1283 (2021).\n20. Oatridge, A. et al. Change in brain size during and after \npregnancy: study in healthy women and women with \npreeclampsia. Am. J. Neuroradiol. 23, 19–26 (2002).\n21. Paternina-Di, M. et al. Women’s neuroplasticity during gestation, \nchildbirth and postpartum. Nat. Neurosci. 27, 319–327 (2024).\n22. Makris, N. et al. Decreased volume of the brain reward system in \nalcoholism. Biol. Psychiatry 64, 192–202 (2008).\n23. Filevich, E. et al. Day2day: investigating daily variability of \nmagnetic resonance imaging measures over half a year. \nBMC Neurosci. 18, 65 (2017).\n24. Dulac, C., O’Connell, L. A. & Wu, Z. Neural control of maternal and \npaternal behaviors. Science 345, 765–770 (2014).\n25. Carmona, S. et al. Pregnancy and adolescence entail similar \nneuroanatomical adaptations: a comparative analysis of cerebral \nmorphometric changes. Hum. Brain Mapp. 40, 2143–2152 (2019).\n26. Pawluski, J. L., Hoekzema, E., Leuner, B. & Lonstein, J. S. Less can \nbe more: fine tuning the maternal brain. Neurosci. Biobehav. Rev. \n133, 104475 (2022).\n27. Martínez-García, M., Jacobs, E. G., de Lange, A. M. G. & Carmona, \nS. Advancing the neuroscience of human pregnancy. Nat. \nNeurosci. 27, 805–807 (2024).\n28. Pritschet, L., Taylor, C. M., Santander, T. & Jacobs, E. G. Applying \ndense-sampling methods to reveal dynamic endocrine \nmodulation of the nervous system. Curr. Opin. Behav. Sci. 40, \n72–78 (2021).\n29. Taxier, L. R., Gross, K. S. & Frick, K. M. Oestradiol as a \nneuromodulator of learning and memory. Nat. Rev. Neurosci. 21, \n535–550 (2020).\n30. Kohl, J. et al. Functional circuit architecture underlying parental \nbehaviour. Nature 556, 326–331 (2018). Article 7701.\n31. Rodrigo, M. J. et al. Inferior fronto-temporo-occipital connectivity: \na missing link between maltreated girls and neglectful mothers. \nSoc. Cogn. Affect. Neurosci. 11, 1658–1665 (2016).\n32. Pawluski, J. L., Lonstein, J. S. & Fleming, A. S. The neurobiology \nof postpartum anxiety and depression. Trends Neurosci. 40, \n106–120 (2017).\n33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E. \nBrain plasticity in pregnancy and the postpartum period: links \nto maternal caregiving and mental health. Arch. Womens Ment. \nHealth 22, 289–299 (2019).\n34. Barth, C. & de Lange, A.-M. G. Towards an understanding of \nwomen’s brain aging: the immunology of pregnancy and \nmenopause. Front. Neuroendocrinol. 58, 100850 (2020).\n35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. D. \nMatrescence: lifetime impact of motherhood on cognition and \nthe brain. Trends Cogn. Sci. 27, 302–316 (2023).\n36. Duarte-Guterman, P. et al. Cellular and molecular signatures \nof motherhood in the adult and ageing rat brain. Open Biol. 13, \n230217 (2023).\n37. Herbet, G., Zemmoura, I. & Duffau, H. Functional anatomy of the \ninferior longitudinal fasciculus: from historical reports to current \nhypotheses. Front. Neuroanat. 12, 77 (2018).\n38. Wang, Y., Metoki, A., Alm, K. H. & Olson, I. R. White matter \npathways and social cognition. Neurosci. Biobehav. Rev. 90, \n350–370 (2018).\n39. Zekelman, L. R. et al. White matter association tracts underlying \nlanguage and theory of mind: an investigation of 809 brains \nfrom the Human Connectome Project. Neuroimage 246, \n118739 (2022).\n40. Blakemore, S. J. & Choudhury, S. Development of the adolescent \nbrain: implications for executive function and social cognition. \nJ. Child Psychol. Psychiatry 47, 296–312 (2006).\n41. Blakemore, S. J., Burnett, S. & Dahl, R. E. The role of puberty \nin the developing adolescent brain. Hum. Brain Mapp. 31, \n926–933 (2010).\n42. Lövdén, M. et al. Experience-dependent plasticity of white-matter \nmicrostructure extends into old age. Neuropsychologia 48,", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - }, - { - "text": "was nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta-\ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.\nsubcortical structures, including the ventral diencephalon, caudate, \nthalamus, putamen and hippocampus. High-resolution imaging and \nsegmentation of the medial temporal lobe (MTL) extend these findings \nfurther, revealing specific volumetric reductions within hippocampal \nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con -\ntrast to widespread decreases in cortical and subcortical GMV, cor -\nrelational tractography analyses revealed nonlinear increases in white \nmatter quantitative anisotropy (QA) throughout the brain—indicating \ngreater tract integrity—as gestational week progressed. T ogether, these \nfindings reveal the highly dynamic changes that unfold in a human \nbrain across pregnancy, demonstrating a capacity for extensive neural \nremodeling well into adulthood.\nResults\nSerological evaluations\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep -\ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\nWhole-brain dynamics from baseline through postpartum\nT o begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar-\ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. T otal GMV \n(F = 27.87, P < 0.001, deviance explained = 93.9%, R2\nadj = 0.91), summary \nCT (F = 15.79, P < 0.001, deviance explained = 78.6%, R2\nadj = 0.75) and \ntotal brain volume (F = 26.12, P < 0.001, deviance explained = 93.4%, \nR2\nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec-\nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, \nR2\nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R2\nadj = 0.77) \nand increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance \nexplained = 83.8%, R2\nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.\nCortical volume and thickness changes tied to gestation\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso-\nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). T ogether, these", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience\nResource https://doi.org/10.1038/s41593-024-01741-0\nMethods\nParticipant\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman \nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\nvious studies reported no observable differences in neural changes \nfrom prepregnancy to postpregnancy between women who conceived \nnaturally versus women who conceived via IVF13, and doing so provides \na controlled way of monitoring pregnancy status. The participant \nexperienced no pregnancy complications (for example, gestational \ndiabetes and hypertension), delivered at full term via vaginal birth, \nnursed through 16 months postpartum, and had no history of neu -\nropsychiatric diagnosis, endocrine disorders, prior head trauma or \nhistory of smoking. The participant gave written informed consent and \nthe study was approved by the University of California, Irvine Human \nSubjects Committee.\nStudy design\nThe participant underwent 26 MRI scanning sessions from 3 weeks \nbefore conception through 2 years postpartum (162 weeks), during \nwhich high-resolution anatomical and diffusion spectrum imaging \nscans of the brain were acquired. Scans were distributed throughout \nthis period, including prepregnancy (four scans), first trimester (four \nscans), second trimester (six scans), third trimester (five scans) and \npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at \nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place \nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\nity of scans took place between 9 AM and 2 PM, limiting significant \nAM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) \nand software (version MR E11) were identical across sites. Each scan -\nner was checked weekly for the duration of the study and passed all \nQC reports indicating no significant alterations in the geometry. T o \nensure the robustness of the findings, after the final study session, the \nparticipant completed back-to-back validation scans at UCI and UCSB \nwithin a 12-h window to assess reliability between scanners. Intraclass \ncorrelation coefficients (two-way, random effects, absolute agreement, \nsingle rater) reveal ‘excellent’ test–retest reliability between scanners, \nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level \nCT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, \n95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). \nFurthermore, when examining the relationship between gestation \nweek and GMV among UCI-only gestational sessions, findings were \nconsistent (Supplementary Fig. 12), indicating that site differences \nare highly unlikely to have contributed meaningfully to the observed \neffects. Although not applicable here, we note that having a control \nparticipant scanned over a similar duration within the same scanner is \ncritical for estimating how much variation in the brain can be attributed \nto within-scanner variability.\nT o monitor state-dependent mood and lifestyle measures, the \nfollowing scales were administered on each experiment day: Perceived \nStress Scale50, Pittsburgh Sleep Quality Index 51, State-Trait Anxiety \nInventory for Adults52 and Profile of Mood States53. Correlation analy-\nses between state-dependent measures, summary brain metrics and \ngestation week revealed little to no relationships. The only exception \nto this was a moderate negative association between global QA and \nstate anxiety (Spearman’s correlation (ρ) = −0.65, q = 0.04; baseline—36 \nweeks, n = 16). By making this data openly accessible, we encourage a \nmore nuanced approach toward exploring mood and lifestyle measures \nin relation to brain changes over pregnancy.\nEndocrine procedures\nThe participant underwent a blood draw (n  = 19; Fig. 1c ) before \nMRI scanning. Sex steroid concentrations were determined via \nultra-sensitive liquid chromatography–mass spectrometry at the", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2253\nnature neuroscience\nhttps://doi.org/10.1038/s41593-024-01741-0\nResource\nNeuroanatomical changes observed over the \ncourse of a human pregnancy\nLaura Pritschet   1 , Caitlin M. Taylor   1, Daniela Cossio   2, \nJoshua Faskowitz   3, Tyler Santander1, Daniel A. Handwerker   3, \nHannah Grotzinger1, Evan Layher1, Elizabeth R. Chrastil   2,5 & \nEmily G. Jacobs   1,4,5 \nPregnancy is a period of profound hormonal and physiological changes \nexperienced by millions of women annually, yet the neural changes \nunfolding in the maternal brain throughout gestation are not well studied \nin humans. Leveraging precision imaging, we mapped neuroanatomical \nchanges in an individual from preconception through 2 years postpartum. \nPronounced decreases in gray matter volume and cortical thickness were \nevident across the brain, standing in contrast to increases in white matter \nmicrostructural integrity, ventricle volume and cerebrospinal fluid, with \nfew regions untouched by the transition to motherhood. This dataset serves \nas a comprehensive map of the human brain across gestation, providing an \nopen-access resource for the brain imaging community to further explore \nand understand the maternal brain.\nWorldwide, nearly 85% of women experience one or more pregnancies \nin their lifetime1, with 140 million women becoming pregnant each \nyear. Over an approximately 40-week gestational window, the maternal \nbody undergoes profound physiological adaptations to support the \ndevelopment of the fetus, including increases in plasma volume, meta-\nbolic rate, oxygen consumption and immune regulation2. These rapid \nadaptations are initiated by 100-fold to 1,000-fold increases in hormone \nproduction, including estrogen and progesterone. These neuromodu-\nlatory hormones also drive significant reorganization of the central \nnervous system. Evidence from animal models and human studies con-\nverge on pregnancy as a period of remarkable neuroplasticity3–10 (see \nref. 10 for one of the earliest known observations). Gestational increases \nin steroid hormone synthesis drive neurogenesis, dendritic spine \ngrowth, microglial proliferation, myelination and astrocyte remodeling \n(for review, see ref. 11). These cellular changes are pronounced in brain \ncircuits that promote maternal behavior. For example, Ammari et al. \nrecently discovered that steroid hormones can fine-tune the response \nproperties of galanin neurons in the rodent medial preoptic area of \nthe hypothalamus (mPOA), leading to enhanced sensitivity in dams \nto sensory cues from newborn pups12.\nIn humans, reductions in gray matter volume (GMV) have \nbeen observed postpartum 13–16, particularly in regions central to \ntheory-of-mind processing 13. These GMV changes persist at 6 years \npostpartum17 and are traceable decades later 18,19, underscoring the \npermanence of this major remodeling event. And yet the changes that \noccur within the maternal brain during gestation itself are virtually \nunknown (see ref. 20 for early neuroimaging insight). A recent study by \nPaternina-Die et al. offers intriguing clues21. Women were scanned once \nin the third trimester and again in the postpartum period, revealing a \nreduction of cortical volume observable in the late pregnancy scan. \nThese findings suggest that pregnancy is a highly dynamic period for \nneural remodeling, yet neuroscientists lack a detailed map of how the \nhuman brain changes throughout the gestational period.\nHere we conducted a precision imaging study of pregnancy in \nwhich a healthy 38-year-old primiparous woman underwent 26 mag-\nnetic resonance imaging (MRI) scans and venipuncture beginning \n3 weeks preconception through 2 years postpartum. We observed \nwidespread reductions in cortical GMV and cortical thickness (CT) \noccurring in step with advancing gestational week and the dramatic \nrise in sex hormone production. Remodeling was also evident within \nReceived: 23 August 2023", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "corrected at q < 0.05. Inset, right ventral diencephalon displayed the strongest \nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did \nnot return to baseline postpartum (right; gestation and postpartum, 26 scans). \nb, The participant’s hippocampus and surrounding cortex were segmented \ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression \nanalyses (PHC) revealed subfields were negatively associated with gestation \nweek (baseline—36 weeks, 18 scans) and did not return to baseline postpartum \n(gestation and postpartum, 25 scans). Shaded regions in scatterplots represent \na 95% confidence interval. Each boxplot represents IQR for each stage, with a \nhorizontal line representing the median value. The whiskers indicate variability \noutside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either \nend of the box. FDR-corrected at q < 0.05. For a and b, nonsignificant regions \nwere set to zero for interpretability. See Supplementary Fig. 6 for complete \nlabeling of regions in both segmentations. Brain visualizations created with R \npackage ggseg48. DC, diencephalon.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2258\nResource https://doi.org/10.1038/s41593-024-01741-0\noverlook the full range of changes that unfold within the gestational \nwindow, and underrepresent the brain’s metamorphosis during preg-\nnancy. Furthermore, although observed changes were largely global, \nsome regions displayed notable stability (for example, extrastriate cor-\ntex). The subcortical region that displayed the strongest relationship \nwith gestation week was the ventral diencephalon, which encompasses \nthe hypothalamus and subsequent medial preoptic area and paraven-\ntricular nucleus—structures critical for inducing maternal behavior12,16. \nThe hippocampus exhibited a reduction in volume across gestation, \nand with higher spatial resolution, this reduction was revealed to be \ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other \nhippocampal subfields remained stable. Adjacent PHC within the \nMTL also exhibited volume reduction across gestation. While our hip-\npocampal findings are consistent with pre/post studies of pregnancy13, \nthe precision lens applied within gestation revealed the nonlinear \nnature of this reduction. Recapitulating and clarifying these region -\nally specific patterns of volume change throughout the MTL merits \nfurther investigation.\nSimilar precision imaging studies have captured dynamic brain \nreorganization across other neuroendocrine transitions, such as the \nmenstrual cycle (see review in ref. 28), underscoring the powerful \nrole steroid hormones have in shaping the mammalian brain29. Endo-\ncrine changes across pregnancy dwarf those that occur across the \nmenstrual cycle, which highlights the critical need to map the brain’s \nresponse to this unique hormonal state. Broad physiological changes \noccur in tandem with the rise in steroid hormones, including changes \nin body mass composition, water retention, immune function and \nsleep patterns11. These factors could have a role in the brain changes \nobserved here, with some driving neurobiological changes and others, \nlike water retention, potentially affecting MRI-based measurements. \nNote that, although cortical reductions in GMV over gestation were \nstable across analyses, accounting for QC measures influenced the \nmagnitude and location of these results. These metrics all fell within \nthe standard range, but there may be meaningful reductions in signal \nthat accompany volumetric reductions (for example, increased CSF \nand decreased GM)—a methodological nuance that goes beyond the \nscope of this resource study. Ultimately, identifying the shared and \nunique contributions of these factors to the neuroanatomical changes \nthat unfold across gestation warrants further investigation. Deeply \nphenotyping a large and diverse cohort of women across pregnancy will \nopen up new avenues of exploration, for example, allowing research-\ners to link blood-based proteomic signatures to pregnancy outcomes; \ndeploying wearable devices to monitor changes in sleep, cognition and \nmood; and probing the broader social and environmental determinants \nof maternal health27.\nThe neuroanatomical changes that unfold during matrescence \nmay have broad implications for understanding individual differences \nin parental behavior13,24,30,31, vulnerability to mental health disorders32,33 \nand patterns of brain aging 18,19,34–36. Decreases in GMV may reflect \n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara -\ntion for parenthood 26. For example, in rodents, steroid hormones \npromote parental behavior by remodeling specific neural circuits in the \nmedial preoptic area of the hypothalamus. These behavioral adapta-\ntions are critical to the dam’s ability to meet the demands of caring for \na b\nQuantitative anisotropy (zero centered)\nIndividual tracts\nCorpus Callosum\nR inf. fronto occipital fasc.\nGestation + postpartum\nSummary white matter tracts\nGestation\nStageStage\nL inf. longitudinal fasc.\nL arcuate fasciculus", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "What may reflect the decrease in GMV during pregnancy?", - "target_page": 6, - "target_passage": " Decreases in GMV may reflect ‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- tion for parenthood", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2254\nResource https://doi.org/10.1038/s41593-024-01741-0\nassociated brain networks appear to decrease in volume at a faster \nrate than the rest of the brain throughout pregnancy, as determined \nby a subsequent analysis controlling for total GMV (Supplementary \nTables 1 and 2). GMV reductions were also significantly correlated with \nthe participant’s estradiol and progesterone concentrations (Supple-\nmentary Table 1). A highly similar pattern of results was observed when \nexamining pregnancy-related CT changes (Supplementary Fig. 3 and \nSupplementary Tables 4 and 5). Significant reductions in cortical GMV \nover gestation remained after controlling for standard quality control \n(QC) metrics, albeit with some influence on the magnitude and location \nof the observed effects (Supplementary Figs. 4 and 5).\nIn contrast, GMV within regions of the default mode (subnetwork \nC), limbic (subnetworks A and B) and visual peripheral networks buck \nthe global trend by slightly increasing (for example, temporal poles), \nremaining constant (for example, orbitofrontal cortex) or reducing at \na much slower rate (for example, extrastriate cortex) than total GMV \n(Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these \nregions exhibit similar patterns (Supplementary Fig. 3 and Supple -\nmentary Tables 4 and 5).\nSubcortical GMV changes tied to gestation\nConsistent with the broader cortical reductions in GMV, several subcor-\ntical regions significantly reduced in volume across gestation (Fig. 3a, \nleft). This included bilateral ventral diencephalon (right hemisphere \nvalues shown in Fig. 3a, right; encompasses hypothalamus, substantia \nnigra, mammillary body, lateral geniculate nucleus and red nucleus \namong others22), caudate, hippocampus and thalamus, along with left \nputamen and brain stem (Supplementary Table 6, q < 0.05).\nNext, high-resolution segmentation of the MTL allowed us to \ninterrogate subcortical structures at a finer resolution, revealing non-\nlinear volumetric decreases in CA1 (F(2,15) = 5.84, q = 0.031, R2\nadj = 0.36; \nFig. 3b, left) and CA2/CA3 (F(2,15) = 6.82, q = 0.027, R2\nadj = 0.41; Fig. 3b, \nmiddle) across gestation. PHC exhibited linear volumetric decreases \nacross gestation (F(1,16) = 24.87, q < 0.001, R2\nadj = 0.58; Fig. 3b, right) \nwhich was also tied to estradiol (F(1,12) = 20.21, q = 0.005, R2\nadj = 0.60). \nAll three relationships remained significant after proportional correc-\ntion for total GMV. There was no significant change in other subregions \nor total volume of the hippocampal body, or in the parahippocampal \ngyrus (Supplementary Table 7 and Supplementary Fig. 8).\nWhite matter microstructure changes tied to gestation\nIn contrast to decreasing global GMV, correlational tractography of \nwhite matter, which tests for linear trends in the data, revealed increas-\ning microstructural integrity across the whole brain during gestation \n(Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone \n(all q < 0.001; Supplementary Fig. 9). Tracts displaying robust corre-\nlations with gestational week included the corpus callosum, arcuate \nfasciculus, inferior fronto-occipital fasciculus and inferior longitudinal \nfasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior \nlongitudinal fasciculus, corticostriatal, corticospinal and corticopon-\ntine tracts (see Supplementary Table 9 for complete list).\nComparing brain changes across pregnancy against controls\nWe then compared the changes in GMV across gestation to that of typi-\ncal variability over time, derived from eight densely-sampled controls23. \nThe GMV changes we see across pregnancy far exceed normative brain \nvariability (Supplementary Fig. 11). On average, change in cortical GMV \nwas nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "was nearly three times higher than controls scanned over a similar \nduration (Supplementary Fig. 11a,b). This extends to MTL subfields, \nwherein change in volume was three to four times greater across gesta-\ntion than normative brain variability (Supplementary Fig. 11c,d). We \ncontextualized these findings further by comparing gestational GMV \nchange against our participant’s preconception brain volumes; average \nGMV change during pregnancy was six times (cortical) and three times \n(MTL) higher than the variability observed between baseline sessions.\nsubcortical structures, including the ventral diencephalon, caudate, \nthalamus, putamen and hippocampus. High-resolution imaging and \nsegmentation of the medial temporal lobe (MTL) extend these findings \nfurther, revealing specific volumetric reductions within hippocampal \nsubfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In con -\ntrast to widespread decreases in cortical and subcortical GMV, cor -\nrelational tractography analyses revealed nonlinear increases in white \nmatter quantitative anisotropy (QA) throughout the brain—indicating \ngreater tract integrity—as gestational week progressed. T ogether, these \nfindings reveal the highly dynamic changes that unfold in a human \nbrain across pregnancy, demonstrating a capacity for extensive neural \nremodeling well into adulthood.\nResults\nSerological evaluations\nSerological evaluations captured canonical hormone fluctuations \ncharacteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). \nSerum hormone concentrations increased significantly over the course \nof pregnancy and dropped precipitously postpartum (preconcep -\ntion, estradiol (E) = 3.42 pg ml−1 and progesterone (P) = 0.84 ng ml−1; \n3 weeks preparturition, E = 12,400 pg ml−1 and P = 103 ng ml−1; 3 months \npostparturition, E = 11.50 pg ml−1 and P = 0.04 ng ml−1).\nWhole-brain dynamics from baseline through postpartum\nT o begin, we characterized broad neuroanatomical changes over the \ncourse of the entire experimental window (baseline—2 years postpar-\ntum, 26 scans; Fig. 1d). Generalized additive models revealed strong \nnonlinear (effective degrees of freedom > 3) relationships between \nweeks since conception and summary brain metrics. T otal GMV \n(F = 27.87, P < 0.001, deviance explained = 93.9%, R2\nadj = 0.91), summary \nCT (F = 15.79, P < 0.001, deviance explained = 78.6%, R2\nadj = 0.75) and \ntotal brain volume (F = 26.12, P < 0.001, deviance explained = 93.4%, \nR2\nadj = 0.90) linearly decreased during gestation and appeared to \npartially rebound postpartum. In contrast, global microstructural \nintegrity (QA) of white matter increased throughout the first and sec-\nond trimesters before returning to baseline levels in the postpartum \nperiod (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, \nR2\nadj = 0.51). We also observed nonlinear patterns of lateral ventricle \nexpansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R2\nadj = 0.77) \nand increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance \nexplained = 83.8%, R2\nadj = 0.79) rising in the second and third trimesters \nbefore dropping sharply postpartum.\nCortical volume and thickness changes tied to gestation\nWe then narrowed the aperture to capture changes unfolding within \ngestation itself (baseline—36 weeks pregnant, 19 scans). Relationships \nbetween summary brain metrics were evident over the gestational \nperiod as follows: total brain volume, GMV and CT were positively asso-\nciated with one another, whereas lateral ventricles, CSF and global QA \ndemonstrated negative relationships with GMV (Supplementary Fig. 1).\nChanges in GMV were near-ubiquitous across the cortical mantle \n(Fig. 2a). Most large-scale brain networks exhibited decreases in GMV \n(Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of \ninterest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). T ogether, these", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2257\nResource https://doi.org/10.1038/s41593-024-01741-0\noutstanding questions. This study and corresponding open-access \ndataset offer neuroscientists a detailed map of the human brain across \ngestation, a resource for which a wide range of previously unattainable \nneurobiological questions can now be explored.\nOur findings from this precision imaging study show that preg -\nnancy is characterized by reductions in GMV, cortical thinning and \nenhanced white matter microstructural integrity that unfold week by \nweek. These changes were also tied to the significant rise in steroid hor-\nmone concentrations over pregnancy. Some of these changes persist \nat 2 years postpartum (for example, global reductions in GMV and CT), \nwhile others, including markers of white matter integrity, appear to be \ntransient. Ventricular expansion and contraction parallel these cortical \nchanges. These widespread patterns, and the notable increase in CSF \nvolume across gestation, could reflect increased water retention and \nsubsequent compression of cortical tissue. However, the persistence \nof these changes at 2 years postpartum and regional variation in GMV, \nCT and QA, hint at cellular underpinnings, such as alterations in glia \nor neuron number, synaptic density and myelination (for review on \nthe latter, see ref. 4). Future studies of the relationship between fluid \ndynamics and volumetric changes will help clarify the factors that drive \nglobal neural changes during pregnancy; such insights will have broad \nimplications for maternal health (for example, neurological effects tied \nto pre-eclampsia or edema).\nCritically, dynamic neural changes occurred within the pregnancy \nwindow itself, a nuance not captured by studies limited to comparisons \nbetween prepregnancy and postpregnancy. For example, we observed \nlarge increases in white matter microstructural integrity (QA) through-\nout the first and second trimesters of pregnancy, but these measures \nfully returned to baseline values by the first postpartum scan. This \npattern may explain why previous studies report no pregnancy-related \ndifferences in white matter tractography14. Other measures, such as \nGMV and CT, decreased throughout gestation and displayed only a \nmodest rebound postpartum. These nonlinear patterns suggest that \nonly quantifying prepregnancy and postpartum brain structure may \nWhole-brain subcortical volumes\nGestation + postpartumGestation\nWeek Stage\nAvg GMV (mm 3 ) \n0 10 20 30 Pre 1st 2nd 3rd Post\n4,000\n3,900\n3,800\n3,700\n3,600\n3,500\n4,000\n3,800\n3,600\nRight ventral diencephalon\nBrain stem\na\nCA1\nWeek\n0 10 20 30\nStage\n1,900\n1,800\n1,700\n1,900\n1,800\n1,700\nAvg GMV (mm 3 )\nGestation + postpartumGestation\nPHCCA2/CA3\nMedial temporal lobe subregion volumesb\nGestation + postpartum\nWeek Stage\n200\n180\n160\n200\n180\n160\nAvg GMV (mm 3 )\nGestationGestation + postpartum\nWeek\n0 10 20 30\nStage\nPre Post\n540\n500\n460\n540\n500\n460\nAvg GMV (mm 3 )\nR2\nadj = 0.36, q = 0.031 R2\nadj = 0.41, q = 0.027 R2\nadj = 0.58, q = 0.001\nGestation\nVentral DC\nT stat\nHippocampus\nPutamen\nThalamus\nCaudate\nLateral ventricle\n–6\n2\nPre 1st 2nd 3rd Post Pre Post0 10 20 30\n1st 2nd 3rd 1st 2nd 3rd\nFig. 3 | Subcortical GMV changed throughout gestation. a, Multivariate \nregression analyses revealed largely negative relationships between gestation \nweek and subcortical GMV regions over pregnancy, including bilateral thalamus, \ncaudate, hippocampus, ventral diencephalon (encompassing hypothalamus, \nsubstantia nigra, mammillary body and red nucleus) and left caudate. Lateral \nventricles displayed the only positive relationships with gestation week \n(also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown \nhere were derived via FreeSurfer and ‘aseg’ subcortical segmentation. FDR-\ncorrected at q < 0.05. Inset, right ventral diencephalon displayed the strongest \nnegative association with gestation (left; baseline—36 weeks, 19 scans) and did", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "results provided in Supplementary Tables 1–5. Percent change at the \nnetwork level was computed by subtracting the final pregnancy value \n(36 weeks pregnant) from the first prepregnancy baseline value, then \ndividing that difference by said first prepregnancy baseline value. All \nanalyses underwent multiple comparisons testing (false discovery rate \n(FDR)-corrected at q < 0.05).\nSubcortical GMV. A similar statistical approach was taken for subcorti-\ncal volume estimates. We ran a multivariate regression analysis predict-\ning GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by \ngestation week (FDR-corrected at q < 0.05).\nT o evaluate the relationship between gestation week and MTL \nsubregion volume over pregnancy (n = 7 bilateral subregions and \nn = 18 MTL scans), we used a combination of linear and nonlinear \nmodels based on individual subregion data patterns. Models were \ncompared for best fit with each subregion via AIC from the GLM output \n(as described in ‘Summary brain metrics’). A linear regression model \nwas most appropriate for PHC (AICdiff < 3), whereas a quadratic model \nperformed best for CA1 and CA2/CA3. As a control, we repeated the \nanalyses with MTL subregion volumes after proportional volume cor-\nrection of total GMV calculated by ASHS. Finally, we evaluated the \nrelationship between endogenous sex hormones (estrogen and proges-\nterone) and subregion volumes using linear regression. Relationships \nwere considered significant only if they met FDR correction at q < 0.05.\nWhite matter microstructure. DSI Studio’s correlational tractography74 \nwas used to analyze the relationship between white matter structure \nand gestational week (n = 16). A truncated model was run to examine the \nrelationship between white matter and sex steroid hormones (n = 14) \nfor the subset of diffusion scans with paired endocrine data during ges-\ntation. A nonparametric Spearman’s correlation was used to derive the \ncorrelation between gestational week and endocrine factors and our \nmetrics of interest (QA and MD; see Supplementary Table 9 and Sup-\nplementary Fig. 10 for MD results) because the data were not normally \ndistributed. Statistical inference was reached using connectometry, \na permutation-based approach that tests the strength of coherent \nassociations found between the local connectome and our variables \nof interest. It provides higher reliability and replicability by correcting \nfor multiple comparisons. This technique provides a high-resolution \ncharacterization of local axonal orientation. The correlational trac-\ntography was run with the following parameters: t score threshold of \n2.5, four pruning iterations and a length threshold of 25 voxel distance. \nT o estimate the FDR, a total of 4,000 randomized permutations were \napplied to obtain the null distribution of the track length. Reported \nregions were selected based on FDR cutoff (FDR < 0.2, suggested by \nDSI Studio), and contained at least ten tracts. For visualization of global \nand tract QA at each gestational stage, mean QA values were extracted \nusing DSI Studio’s whole-brain fiber tracking algorithm and ROI-based \ntracking using the default HCP842 atlas78.\nDay2Day dataset: measurement variability. T o establish a marker of \nnormative variability over half a year, we computed metrics of meas-\nurement variability using the Day2Day dataset23, which provided both \nwhole-brain T1 and high-resolution T2 MTL scans. For each region, j, of \nthe Schaefer parcellation, we assessed across-session variability, ε, as\nεj = 100×mean(\n||ts − ̂t||\n̂t\n)\nWhere ts is the morphometric measurement of a parcel for session s \nand ̂t is the mean of t across sessions55,79. Thus, we defined variability \nas the mean absolute percent difference between each individual and \nthe mean across sessions. Across-session variability estimates for all \n400 regions were then averaged across eight participants, and a global", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "it was correctly specified with regards 6o 1) the choice of basis dimension (k) and 2) the distribution of the model residuals \n(see mgcv documentation; Wood, 2017). The general pattern of results held after toggling model parameters; however, we \nnote the risk of overinterpreting complex models with small sample sizes (see Sullivan et al., 2015). To address overfitting and \ncross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear \nand polynomial terms for gestation week. We compared the performance of each GLM (i.e., models using only a linear term \nvs. models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently \noutperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for non-linear changes in \nstructural brain variables over time. \n \nGray Matter Volume & Cortical Thickness: \nWe first computed Pearson’s product-moment correlation matrices between the following variables (n = 19 pregnancy \nscans): gestation week, estradiol, progesterone, total GMV, and the 17 network-level average GMV values. We then ran a \nmultivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were \nchanging at a rate different from the global decrease, we then re-ran the analyses to include total GMV as a variable of non-\ninterest in the regression model. A similar statistical approach was taken for T1w-derived subcortical volume estimates. We \nran a multivariate regression analysis predicting GMV changes over gestation in 28 regions-of-interest by gestation week \n(FDR-corrected at q < 0.05). \n \nT2-weighted MTL scans: \nTo evaluate the relationship between gestation week and medial temporal lobe (MTL) subregion volume over pregnancy (n = \n7 bilateral subregions; n = 18 MTL scans), we used a combination of linear and non-linear models based on individual \nsubregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2258\nResource https://doi.org/10.1038/s41593-024-01741-0\noverlook the full range of changes that unfold within the gestational \nwindow, and underrepresent the brain’s metamorphosis during preg-\nnancy. Furthermore, although observed changes were largely global, \nsome regions displayed notable stability (for example, extrastriate cor-\ntex). The subcortical region that displayed the strongest relationship \nwith gestation week was the ventral diencephalon, which encompasses \nthe hypothalamus and subsequent medial preoptic area and paraven-\ntricular nucleus—structures critical for inducing maternal behavior12,16. \nThe hippocampus exhibited a reduction in volume across gestation, \nand with higher spatial resolution, this reduction was revealed to be \ndriven by changes in CA1 and CA2/CA3 subfield volumes, while other \nhippocampal subfields remained stable. Adjacent PHC within the \nMTL also exhibited volume reduction across gestation. While our hip-\npocampal findings are consistent with pre/post studies of pregnancy13, \nthe precision lens applied within gestation revealed the nonlinear \nnature of this reduction. Recapitulating and clarifying these region -\nally specific patterns of volume change throughout the MTL merits \nfurther investigation.\nSimilar precision imaging studies have captured dynamic brain \nreorganization across other neuroendocrine transitions, such as the \nmenstrual cycle (see review in ref. 28), underscoring the powerful \nrole steroid hormones have in shaping the mammalian brain29. Endo-\ncrine changes across pregnancy dwarf those that occur across the \nmenstrual cycle, which highlights the critical need to map the brain’s \nresponse to this unique hormonal state. Broad physiological changes \noccur in tandem with the rise in steroid hormones, including changes \nin body mass composition, water retention, immune function and \nsleep patterns11. These factors could have a role in the brain changes \nobserved here, with some driving neurobiological changes and others, \nlike water retention, potentially affecting MRI-based measurements. \nNote that, although cortical reductions in GMV over gestation were \nstable across analyses, accounting for QC measures influenced the \nmagnitude and location of these results. These metrics all fell within \nthe standard range, but there may be meaningful reductions in signal \nthat accompany volumetric reductions (for example, increased CSF \nand decreased GM)—a methodological nuance that goes beyond the \nscope of this resource study. Ultimately, identifying the shared and \nunique contributions of these factors to the neuroanatomical changes \nthat unfold across gestation warrants further investigation. Deeply \nphenotyping a large and diverse cohort of women across pregnancy will \nopen up new avenues of exploration, for example, allowing research-\ners to link blood-based proteomic signatures to pregnancy outcomes; \ndeploying wearable devices to monitor changes in sleep, cognition and \nmood; and probing the broader social and environmental determinants \nof maternal health27.\nThe neuroanatomical changes that unfold during matrescence \nmay have broad implications for understanding individual differences \nin parental behavior13,24,30,31, vulnerability to mental health disorders32,33 \nand patterns of brain aging 18,19,34–36. Decreases in GMV may reflect \n‘fine-tuning’ of the brain by neuromodulatory hormones in prepara -\ntion for parenthood 26. For example, in rodents, steroid hormones \npromote parental behavior by remodeling specific neural circuits in the \nmedial preoptic area of the hypothalamus. These behavioral adapta-\ntions are critical to the dam’s ability to meet the demands of caring for \na b\nQuantitative anisotropy (zero centered)\nIndividual tracts\nCorpus Callosum\nR inf. fronto occipital fasc.\nGestation + postpartum\nSummary white matter tracts\nGestation\nStageStage\nL inf. longitudinal fasc.\nL arcuate fasciculus", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260\n 2259\nResource https://doi.org/10.1038/s41593-024-01741-0\nthe offspring12. Human studies have revealed GMV reductions in areas \nof the brain important for social cognition and the magnitude of these \nchanges corresponds with increased parental attachment 13. Deeper \nexamination of cellular and systems-level mechanisms will improve \nour understanding of how pregnancy remodels specific circuits to \npromote maternal behavior.\nAlthough studied to a lesser degree, ties between maternal \nbehavior and white matter microstructure (particularly connectiv -\nity between temporal and occipital lobes) have been noted31. Here we \nreveal pronounced GMV changes in regions within sensory, attention \nand default mode networks over the gestational window. In paral -\nlel, we observed increased anisotropy in white matter tracts that \nfacilitate communication between emotional and visual processing \nhubs37–39, including the inferior longitudinal fasciculus and inferior \nfronto-occipital fasciculus. Pinpointing the synchrony of gray and \nwhite matter changes that unfold in the maternal brain could be \nkey to understanding the behavioral adaptions that emerge during \nand after pregnancy, such as honing the brain’s visual and auditory \nresponses to infant cues and eliciting maternal behavior. Research \ninto other major transition periods supports this idea. For instance, \nadolescence is a dynamic period characterized by region-specific, \nnonlinear decreases in GMV and increases in WMV, maturational \nbrain changes that are tied to gains in executive function and social \ncognition40. For both adolescence 41 and matrescence, the consider-\nable rise in steroid hormone production appears to remodel the brain \n(see ref. 25 for comparative analysis), promoting a suite of behaviors \nadaptive to that life stage. How specific neural changes give rise to \nspecific behavioral adaptations has yet to be fully explored with \nrespect to human pregnancy.\nThis precision imaging study mapped neuroanatomical changes \nacross pregnancy in a single individual, precluding our ability to gen-\neralize to the broader population. T o benchmark our findings, we com-\npared the magnitude of GMV changes observed throughout pregnancy \nagainst data from nonpregnant individuals sampled over a similar time \ncourse. Doing so provided compelling evidence that pregnancy-related \nneuroanatomical shifts far exceed normative day-to-day brain variabil-\nity and measurement error. Evidence suggests that white matter micro-\nstructure remains fairly stable over a six-month period 42, but more \nstudies are needed to compare the degree of white matter changes \nobserved during pregnancy to normative change over time. Further, \nsampling larger cohorts of women will generate much-needed norma-\ntive models of brain change (akin to ref. 43) throughout pregnancy to \nestablish what constitutes a typical degree of neuroanatomical change \nexpected during gestation and postpartum recovery.\nThese findings provide a critical rationale for conducting further \nprecision imaging studies of pregnancy in demographically enriched \ncohorts to determine the universality and idiosyncrasy of these adap-\ntations and their role in maternal health. Are the changes observed in \nour participant reflective of the broader population? Do deviations \nfrom the norm lead to maladaptive outcomes? A precision imaging \napproach can help determine whether the pace of pregnancy-induced \nneuroanatomical changes drives divergent brain health outcomes in \nwomen, as may be the case during other rapid periods of brain devel-\nopment44. One in five women experiences perinatal depression45 and \nwhile the first FDA-approved treatment is now available46, early detec-\ntion remains elusive. Precision imaging studies could offer clues about \nan individual’s risk for or resilience to depression before symptom \nonset, helping clinicians better determine when and how to intervene.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "interest (ROI) demonstrated negative relationships between GMV and \ngestation week (Fig. 2a and Supplementary Table 2). T ogether, these \nresults provide evidence of a global decrease in cortical volume across \npregnancy. Several sensory and attention subnetworks were particu-\nlarly sensitive to gestation, including the control (subnetwork B), sali-\nence/ventral attention (subnetwork A), dorsal attention (subnetwork \nB), default (subnetwork A) and somatomotor (subnetworks A and B) \nnetworks (Supplementary Table 1). Regions driving these network-level \nchanges include the bilateral inferior parietal lobe, postcentral gyri, \ninsulae, prefrontal cortex, posterior cingulate and somatosensory \ncortex (Fig. 2c, Supplementary Table 2 and validation of findings using \nalternate pipeline in Supplementary Tables 1 and 3). These regions and", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience | Volume 27 | November 2024 | 2253–2260 2256\nResource https://doi.org/10.1038/s41593-024-01741-0\nT stat\nInferior parietal\nControl network B\n4\n–14\na Whole-brain GMV\nGMV ~ gestation week\nLat Med\nL\nR\nBaseline – 36 weeks\nGMV change by networkb\nDMNC\nVisPeri\nLimbicA\nLimbicB\nDMNB\nDMNA\nSomMotB\nVisCent\nContC\nTempPar\nDorsAttnA\nContA\nSomMotA\nSalVentAttnA\nSalVentAttnB\nContB\nTotal\nDorsAttnB\n–8\n–5\n–3\n0\n2\nPercent\nc\nPostcentral gyrus\nDorsal attention network B\nFrontal eye fields\nDorsal attention network B\nMedial frontal\nSalience ventral attention network A\nInsula\nSalience ventral attention network B\nPrecuneus/posterior cingulate\nDefault mode network A\nAvg GMV (zero centered)\nRegional GMV\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\nStage\n2nd\nWeek\n3020100 Pre 1st 3rd Post\nStageWeek\n3020100\nStageWeek\n3020100\nAvg GMV (zero centered)\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\nGestation + postpartumGestation Gestation + postpartumGestation Gestation + postpartumGestation\nGestation + postpartumGestation Gestation + postpartumGestation Gestation + postpartumGestation\nStageWeek\n3020100\nStageWeek\n3020100\nStageWeek\n3020100\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1 Avg GMV (zero centered)Avg GMV (zero centered)\nAvg GMV (zero centered)\nAvg GMV (zero centered)\n2ndPre 1st 3rd Post 2ndPre 1st 3rd Post\n2\n1\n0\n–2\n–1\n2\n1\n0\n–2\n–1\n2ndPre 1st 3rd Post 2ndPre 1st 3rd Post 2ndPre 1st 3rd Post\nFig. 2 | Cortical GMV showed widespread change through gestation and \npostpartum. a, Multivariate regression analyses reveal largely negative \nrelationships between gestation week and regional GMV, with only a minority \nof regions unaffected or increasing over the gestational window (baseline—36 \nweeks). All associations presented here were corrected for multiple comparisons \n(FDR at q < 0.05; nonsignificant values set to zero for interpretability). b, Average \nnetwork change was calculated by estimating GMV percent change from baseline \n(initial) to 36 weeks gestation (final). Attention and control networks appear \nmost affected. c, Six representative regions, classified by major subnetworks, \nthat exhibit pronounced GMV change across gestation. For each panel, we \ndisplay a scatterplot between average GMV of the ROIs and gestation week \n(left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy \nstage across the whole study (right; gestation and postpartum sessions, 26 scans). \nShaded regions in scatterplots represent a 95% confidence interval. Each \nboxplot represents IQR for each stage, with a horizontal line representing the \nmedian value. The whiskers indicate variability outside (±1.5) of this range. \nOutside values are >1.5× and <3× IQR beyond either end of the box. All statistical \ntests were corrected for multiple comparisons (FDR at q < 0.05) and values \nwere z scored and transformed to have a mean of zero and s.d. of one for easier \ncomparison across regions. Please note that the data values shown here are raw \n(see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). \nBrain visualizations created with R package ggseg48. IQR, interquartile range; \nLat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral \nnetwork; SomMot, somatomotor network; VisCent, visual central network; Cont, \ncontrol network; T empPar, temporal parietal network; DorsAttn, dorsal attention \nnetwork; SalVentAttn, salience/ventral attention network.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - }, - { - "text": "Nature Neuroscience\nResource https://doi.org/10.1038/s41593-024-01741-0\nMethods\nParticipant\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman \nwho underwent in-vitro fertilization (IVF) to achieve pregnancy. Pre-\nvious studies reported no observable differences in neural changes \nfrom prepregnancy to postpregnancy between women who conceived \nnaturally versus women who conceived via IVF13, and doing so provides \na controlled way of monitoring pregnancy status. The participant \nexperienced no pregnancy complications (for example, gestational \ndiabetes and hypertension), delivered at full term via vaginal birth, \nnursed through 16 months postpartum, and had no history of neu -\nropsychiatric diagnosis, endocrine disorders, prior head trauma or \nhistory of smoking. The participant gave written informed consent and \nthe study was approved by the University of California, Irvine Human \nSubjects Committee.\nStudy design\nThe participant underwent 26 MRI scanning sessions from 3 weeks \nbefore conception through 2 years postpartum (162 weeks), during \nwhich high-resolution anatomical and diffusion spectrum imaging \nscans of the brain were acquired. Scans were distributed throughout \nthis period, including prepregnancy (four scans), first trimester (four \nscans), second trimester (six scans), third trimester (five scans) and \npostpartum (seven scans; Fig. 1c ). The first 6 sessions took place at \nthe UCSB Brain Imaging Center (BIC), the final 20 sessions took place \nat the UCI Facility for Imaging and Brain Research (FIBRE). The major-\nity of scans took place between 9 AM and 2 PM, limiting significant \nAM–PM fluctuations49. The MRI protocol, scanner (Siemens 3T Prisma) \nand software (version MR E11) were identical across sites. Each scan -\nner was checked weekly for the duration of the study and passed all \nQC reports indicating no significant alterations in the geometry. T o \nensure the robustness of the findings, after the final study session, the \nparticipant completed back-to-back validation scans at UCI and UCSB \nwithin a 12-h window to assess reliability between scanners. Intraclass \ncorrelation coefficients (two-way, random effects, absolute agreement, \nsingle rater) reveal ‘excellent’ test–retest reliability between scanners, \nincluding ROI-level GMV (ICC = 0.97, 95% CI: 0.80–0.99), ROI-level \nCT (ICC = 0.96, 95% CI: 0.90–0.98), MTL subfield volume (ICC = 0.99, \n95% CI: 0.97–0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91–0.97). \nFurthermore, when examining the relationship between gestation \nweek and GMV among UCI-only gestational sessions, findings were \nconsistent (Supplementary Fig. 12), indicating that site differences \nare highly unlikely to have contributed meaningfully to the observed \neffects. Although not applicable here, we note that having a control \nparticipant scanned over a similar duration within the same scanner is \ncritical for estimating how much variation in the brain can be attributed \nto within-scanner variability.\nT o monitor state-dependent mood and lifestyle measures, the \nfollowing scales were administered on each experiment day: Perceived \nStress Scale50, Pittsburgh Sleep Quality Index 51, State-Trait Anxiety \nInventory for Adults52 and Profile of Mood States53. Correlation analy-\nses between state-dependent measures, summary brain metrics and \ngestation week revealed little to no relationships. The only exception \nto this was a moderate negative association between global QA and \nstate anxiety (Spearman’s correlation (ρ) = −0.65, q = 0.04; baseline—36 \nweeks, n = 16). By making this data openly accessible, we encourage a \nmore nuanced approach toward exploring mood and lifestyle measures \nin relation to brain changes over pregnancy.\nEndocrine procedures\nThe participant underwent a blood draw (n  = 19; Fig. 1c ) before \nMRI scanning. Sex steroid concentrations were determined via \nultra-sensitive liquid chromatography–mass spectrometry at the", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "How to light up my sports smart watch?", - "target_page": 2, - "target_passage": "Up button: Short press to light up or turn off the screen", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Up button:\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\nreactivate the watch.\nButton down:\nShort press to enter multi-sport mode.\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\nbuttons.\nCharging instructions:\nWireless charging, as shown in the picture below.\n1.1 Shortcut function:\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\nshortcut.\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\nconnection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\nalbum.\n5. Data synchronization\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\nsynchronized to the application.\n6. Tilt to wake the screen\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\ncan light up the screen when you raise up your wrist.\n7. Do not disturb mode\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\nperiod.\n8. Daily alarm clock\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n9. Sedentary reminder\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\nscreen.\n10. Drink water reminder\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\nreached, the watch will vibrate and there will be a water icon on the screen.\n11. Dial push\n11.1.Push an existing watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\nand bind the APP automatically after the synchronization of the watch face.\n11.2. Customize the watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\nAPP automatically after the synchronization of the watch face.\n12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\nsong/play next song of your phone.\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\nsmartwatch.\n2.2 Sleep\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\nsynchronized to the APP for you to check.\n2.3 stopwatch\nClick the stopwatch to enter the timing interface, and you can record the time once.\n2.4 Weather\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\nwatch to display the weather information for the day.\n2.5 Find mobile phone\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\nmobile phone will vibrate or emit a ringtone.\n2.6 Meteorology\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\nthe day.\n2.7 Massager\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\nto end the massage state.\n3.0 Menu style\nThere are a variety of menu styles for users to choose.\n3.1 Settings\n1) You can select the watch language on the settings of the watch, or the watch language can be\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\nclick it to set the watch face.\n3) Set screen time; a variety of screen time lengths can be selected.\n4) Vibration intensity; set reminder vibration intensity.\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\ndecrypt the previous password).\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory\nreset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n1.5.3. Other application message notifications:\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\napplication message notifications, the watch will receive one/multiple corresponding message\nreminders at the same time.\n1.6 Frequently used contacts\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n1.7 Fitness data\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\nbe wiped out at 00:00 every day in the morning.\n1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\nbasketball, football)\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\nbutton to end the recording, and save to the data.\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\nsaved.\n1.9 Heart rate\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\nfor the measurement.\n1.10 ECG\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\nsaved in the mobile phone. This function should be used with the app.\n2.0 My QR code\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\noperate the function).\n2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\nor off audio Bluetooth for calls.\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\nscroll up and down to find the corresponding function.\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\none of them and set it with one-click.\n1.2 App notification\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\none.\n2) Swipe to the bottom to click the delete icon to clear all message records.\n1.3 Drop-down menu\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\ninterface.\n1) Bluetooth connection status; time; power left;\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n3) Setting, where you can enter it to set part of the functions;\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\noffline payment.\n1.4 Phone/Call History\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\nthey are successfully bound.\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\nrecord to call back)\n3. Dial the keyboard, you can enter the phone number to make a call.\n1.5 message\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\napps in your mobile phone system, and switch on these apps or callings notifications functions on\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n1.5.1. Incoming call notification:\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\nwill light up or vibrate.\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch\nUser Manual\nDT3 Mate\nThank you for choosing our smart watch. You can fully understand\nthe use and operation of the equipment by reading this manual.\nThe company reserves the right to modify the contents of this manual\nwithout any prior notice.\nThe product contains: a packing box, a manual, a watch body, and a\ncharging cable.\nA. Watch function description\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "B．Bind to the APP\n1. APP download method\n1.1 Scan the QR code to download\n1.2 Search the application at App market and download\nFor Android users:\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\nremember to check the pop-up box on your phone when installing, and agree to the permission.\nFor iOS users:\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\nphone when installing, and agree to the permission.\nAfter WearPro is installed, the app icon appears as\n .\n2.Bind Bluetooth\n2.1 Unconnected to the APP state:\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\ncorresponding watch device name, and the watch will be successfully bound to the app.\n2.2 Connected to the APP state:\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\nsynchronized after the smartwatch is bound to the APP successfully.\n2.3 Binding the audio/calling Bluetooth\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\nthe audio/calling Bluetooth of the smartwatch to bind it.\n3. Find Watch\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\nwill light up and vibrate for once.\n4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\nusers can decide to whether upgrade the firmware version.\n13. Unbind\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\nsmart watch, and click \"Forget this device\". The “About”\n of the watch has an “Unbind”\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\nfactory reset after that.\n●Frequently asked questions and answers\n*Please avoid exposing the device to extreme temperatures that are\ntoo cold or too hot for a long time, which may cause permanent\ndamage.\n*Why can't I take a hot bath with my watch?\nThe temperature of the bath water is relatively changed, it will\nproduce a lot of water vapor, and the water vapor is in the gas phase,\nand its molecular radius is small, and it is easy to seep into the gap of\nthe watch case. The internal circuit of the watch is short-circuited,\nwhich damages the circuit board of the watch and damages the\nwatch.\n*No power on, no charging\nIf you receive the goods and the watch does not turn on, it may be\ncaused by a collision during the transportation of the watch and the\nbattery Seiko board has been protected, so plug in the charging cable\nto activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long\nperiod of time, please plug in the data cable and charge it for more\nthan half an hour to activate.\nWarranty description:\n1. If there are any quality problems caused by manufacturing,\nmaterials, design, etc. in normal use, the motherboard of the watch is\nguaranteed for repair for free within one year, while the battery and\ncharger within half a year from the date of purchase.\n2. No warranty is provided for failures caused by the user's personal\nreasons, as follows:\n1). Failure caused by unauthorized disassembly or modification of\nthe watch.\n2). Failure caused by accidental fall during use.\n3). All man-made damages or the third party's fault, or misuses (such\nas: water in the device, cracking by external force, scratches on the\ncase, damage, etc.) are not covered in the warranty.\n3. When requesting the warranty service, please provide a warranty\ncard with the date of purchase and the stamp of the place of purchase\non it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "150 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nAfter the confirmation, click Turn LED Off (see Figure 5-32).\nFigure 5-32 Turning the Identify LED off\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the \nfollowing commands in this sequence:\n1. Enter svctask chenclosure -identify yes 1 (or enter chenclosure -identify yes 1).\n2. Enter svctask chenclosure -identify no 1 (or enter chenclosure -identify no 1).\nTo view internal components (components that cannot be seen from the outside), review the \nbottom of the GUI underneath where the list of external components is displayed. You can \nselect any of these components and details show in the right pane, as with the external \ncomponents.\nFigure 5-33 Viewing internal components", - "page_start": 171, - "page_end": 171, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "Is my sports smartwatch's fitness data turned on or off by default?", - "target_page": 4, - "target_passage": "Fitness data is turned on by default.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n1.5.3. Other application message notifications:\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\napplication message notifications, the watch will receive one/multiple corresponding message\nreminders at the same time.\n1.6 Frequently used contacts\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n1.7 Fitness data\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\nbe wiped out at 00:00 every day in the morning.\n1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\nbasketball, football)\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\nbutton to end the recording, and save to the data.\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\nsaved.\n1.9 Heart rate\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\nfor the measurement.\n1.10 ECG\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\nsaved in the mobile phone. This function should be used with the app.\n2.0 My QR code\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\noperate the function).\n2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\nusers can decide to whether upgrade the firmware version.\n13. Unbind\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\nsmart watch, and click \"Forget this device\". The “About”\n of the watch has an “Unbind”\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\nfactory reset after that.\n●Frequently asked questions and answers\n*Please avoid exposing the device to extreme temperatures that are\ntoo cold or too hot for a long time, which may cause permanent\ndamage.\n*Why can't I take a hot bath with my watch?\nThe temperature of the bath water is relatively changed, it will\nproduce a lot of water vapor, and the water vapor is in the gas phase,\nand its molecular radius is small, and it is easy to seep into the gap of\nthe watch case. The internal circuit of the watch is short-circuited,\nwhich damages the circuit board of the watch and damages the\nwatch.\n*No power on, no charging\nIf you receive the goods and the watch does not turn on, it may be\ncaused by a collision during the transportation of the watch and the\nbattery Seiko board has been protected, so plug in the charging cable\nto activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\nsong/play next song of your phone.\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\nsmartwatch.\n2.2 Sleep\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\nsynchronized to the APP for you to check.\n2.3 stopwatch\nClick the stopwatch to enter the timing interface, and you can record the time once.\n2.4 Weather\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\nwatch to display the weather information for the day.\n2.5 Find mobile phone\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\nmobile phone will vibrate or emit a ringtone.\n2.6 Meteorology\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\nthe day.\n2.7 Massager\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\nto end the massage state.\n3.0 Menu style\nThere are a variety of menu styles for users to choose.\n3.1 Settings\n1) You can select the watch language on the settings of the watch, or the watch language can be\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\nclick it to set the watch face.\n3) Set screen time; a variety of screen time lengths can be selected.\n4) Vibration intensity; set reminder vibration intensity.\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\ndecrypt the previous password).\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory\nreset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\nalbum.\n5. Data synchronization\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\nsynchronized to the application.\n6. Tilt to wake the screen\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\ncan light up the screen when you raise up your wrist.\n7. Do not disturb mode\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\nperiod.\n8. Daily alarm clock\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n9. Sedentary reminder\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\nscreen.\n10. Drink water reminder\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\nreached, the watch will vibrate and there will be a water icon on the screen.\n11. Dial push\n11.1.Push an existing watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\nand bind the APP automatically after the synchronization of the watch face.\n11.2. Customize the watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\nAPP automatically after the synchronization of the watch face.\n12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Up button:\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\nreactivate the watch.\nButton down:\nShort press to enter multi-sport mode.\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\nbuttons.\nCharging instructions:\nWireless charging, as shown in the picture below.\n1.1 Shortcut function:\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\nshortcut.\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\nconnection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\nor off audio Bluetooth for calls.\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\nscroll up and down to find the corresponding function.\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\none of them and set it with one-click.\n1.2 App notification\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\none.\n2) Swipe to the bottom to click the delete icon to clear all message records.\n1.3 Drop-down menu\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\ninterface.\n1) Bluetooth connection status; time; power left;\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n3) Setting, where you can enter it to set part of the functions;\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\noffline payment.\n1.4 Phone/Call History\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\nthey are successfully bound.\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\nrecord to call back)\n3. Dial the keyboard, you can enter the phone number to make a call.\n1.5 message\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\napps in your mobile phone system, and switch on these apps or callings notifications functions on\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n1.5.1. Incoming call notification:\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\nwill light up or vibrate.\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch\nUser Manual\nDT3 Mate\nThank you for choosing our smart watch. You can fully understand\nthe use and operation of the equipment by reading this manual.\nThe company reserves the right to modify the contents of this manual\nwithout any prior notice.\nThe product contains: a packing box, a manual, a watch body, and a\ncharging cable.\nA. Watch function description\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "B．Bind to the APP\n1. APP download method\n1.1 Scan the QR code to download\n1.2 Search the application at App market and download\nFor Android users:\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\nremember to check the pop-up box on your phone when installing, and agree to the permission.\nFor iOS users:\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\nphone when installing, and agree to the permission.\nAfter WearPro is installed, the app icon appears as\n .\n2.Bind Bluetooth\n2.1 Unconnected to the APP state:\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\ncorresponding watch device name, and the watch will be successfully bound to the app.\n2.2 Connected to the APP state:\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\nsynchronized after the smartwatch is bound to the APP successfully.\n2.3 Binding the audio/calling Bluetooth\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\nthe audio/calling Bluetooth of the smartwatch to bind it.\n3. Find Watch\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\nwill light up and vibrate for once.\n4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long\nperiod of time, please plug in the data cable and charge it for more\nthan half an hour to activate.\nWarranty description:\n1. If there are any quality problems caused by manufacturing,\nmaterials, design, etc. in normal use, the motherboard of the watch is\nguaranteed for repair for free within one year, while the battery and\ncharger within half a year from the date of purchase.\n2. No warranty is provided for failures caused by the user's personal\nreasons, as follows:\n1). Failure caused by unauthorized disassembly or modification of\nthe watch.\n2). Failure caused by accidental fall during use.\n3). All man-made damages or the third party's fault, or misuses (such\nas: water in the device, cracking by external force, scratches on the\ncase, damage, etc.) are not covered in the warranty.\n3. When requesting the warranty service, please provide a warranty\ncard with the date of purchase and the stamp of the place of purchase\non it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "untrained control populations [n ¼ 102,\npooled population from the works by\nMiller et al. (13)( n ¼ 11), Balshaw et al. (11)\n(n ¼ 52), and Balshaw et al. (14)( p r e t e s t\ndata n ¼ 39)].\nWORLD STRONGMAN AND DEADLIFT CHAMPION\n796 J Appl Physiol/C15 doi:10.1152/japplphysiol.00342.2024 /C15 www.jappl.org\nDownloaded from journals.physiology.org/journal/jappl (2A01:CB14:14BE:A500:0140:57A7:E3E3:A412) on January 21, 2025.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "When does my Sport smartwatch start and stop monitoring sleep?", - "target_page": 5, - "target_passage": "Sleep monitoring time period: from 18:00 at night to 10:00 the next day", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous\nsong/play next song of your phone.\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the\nsmartwatch.\n2.2 Sleep\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be\ngenerated by the watch. After connecting to the APP, the sleep data on the watch can be\nsynchronized to the APP for you to check.\n2.3 stopwatch\nClick the stopwatch to enter the timing interface, and you can record the time once.\n2.4 Weather\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the\nwatch to display the weather information for the day.\n2.5 Find mobile phone\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the\nmobile phone will vibrate or emit a ringtone.\n2.6 Meteorology\nClick on “Meteorology” on the watch to display the ultraviolet (UV) and air pressure conditions of\nthe day.\n2.7 Massager\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button\nto end the massage state.\n3.0 Menu style\nThere are a variety of menu styles for users to choose.\n3.1 Settings\n1) You can select the watch language on the settings of the watch, or the watch language can be\nsynchronized with your mobile phone language after the watch successfully binds to the APP.\n2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and\nclick it to set the watch face.\n3) Set screen time; a variety of screen time lengths can be selected.\n4) Vibration intensity; set reminder vibration intensity.\n5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to\ndecrypt the previous password).\n6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory\nreset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Click “camera” in the app WearPro to wake up the camera mode of the watch, click the camera\nbutton on the watch to take photos, and the photos will be automatically saved to the phone\nalbum.\n5. Data synchronization\nAfter the watch is successfully bound to the application, the data in the smartwatch can be\nsynchronized to the application.\n6. Tilt to wake the screen\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you\ncan light up the screen when you raise up your wrist.\n7. Do not disturb mode\nIn the APP, tap “Device” > “More” > “Do not disturb mode”, set the start to end time, such as\n12:00 to 14:00, then you won’t receive phone calls and apps notifications on the watch during this\nperiod.\n8. Daily alarm clock\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once\nor repeatedly on the date (week) setting, and the alarm can be turned on/off.\n9. Sedentary reminder\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting.\nWhen the sedentary time is reached, the watch will vibrate and display a sedentary icon on the\nscreen.\n10. Drink water reminder\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the\nAPP. You can set the reminder for once or to repeat regularly by entering the repeating setting\nand selecting the date (week) of the water reminder. When the time of drink water reminder is\nreached, the watch will vibrate and there will be a water icon on the screen.\n11. Dial push\n11.1.Push an existing watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart\nand bind the APP automatically after the synchronization of the watch face.\n11.2. Customize the watch face\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch\nfaces marked with “custom watch faces” are customizable. The watch will restart and bind the\nAPP automatically after the synchronization of the watch face.\n12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the\nmobile phone, the watch will receive one or more SMS reminders at the same time.\n1.5.3. Other application message notifications:\nTurn on the corresponding application message notification in the app, such as WeChat, QQ,\nOutlook, Facebook and other applications. When the mobile phone receives one/multiple\napplication message notifications, the watch will receive one/multiple corresponding message\nreminders at the same time.\n1.6 Frequently used contacts\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile\nphone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n1.7 Fitness data\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the\nscreen, the smartwatch will display the current data of steps, distance, and calories. The data will\nbe wiped out at 00:00 every day in the morning.\n1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\nbasketball, football)\n1.8.1 Select the corresponding exercise mode, click the “Start” button on the screen to start the\nexercise; click the “Start” button again to pause the recording of the exercise; click the “End”\nbutton to end the recording, and save to the data.\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the\nrecording time is less than 1 minute, the smartwatch will remind you that the data is too little to be\nsaved.\n1.9 Heart rate\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the\nheart rate function. If you don’t wear the smartwatch properly, it will remind you to wear firmly\nfor the measurement.\n1.10 ECG\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the\nECG interface in the app, you can have single measurement at a time. The data of ECG will be\nsaved in the mobile phone. This function should be used with the app.\n2.0 My QR code\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other\n\"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to\noperate the function).\n2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "Up button:\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to\nreactivate the watch.\nButton down:\nShort press to enter multi-sport mode.\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any\nbuttons.\nCharging instructions:\nWireless charging, as shown in the picture below.\n1.1 Shortcut function:\n1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the\nshortcut.\n2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth\nconnection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on “Firmware upgrade” in the column of “Device”, and\nusers can decide to whether upgrade the firmware version.\n13. Unbind\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The\niSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\nsmart watch, and click \"Forget this device\". The “About”\n of the watch has an “Unbind”\nbutton, click it to unbind or do it in the APP. For the safety of users’ data, the watch will implement a\nfactory reset after that.\n●Frequently asked questions and answers\n*Please avoid exposing the device to extreme temperatures that are\ntoo cold or too hot for a long time, which may cause permanent\ndamage.\n*Why can't I take a hot bath with my watch?\nThe temperature of the bath water is relatively changed, it will\nproduce a lot of water vapor, and the water vapor is in the gas phase,\nand its molecular radius is small, and it is easy to seep into the gap of\nthe watch case. The internal circuit of the watch is short-circuited,\nwhich damages the circuit board of the watch and damages the\nwatch.\n*No power on, no charging\nIf you receive the goods and the watch does not turn on, it may be\ncaused by a collision during the transportation of the watch and the\nbattery Seiko board has been protected, so plug in the charging cable\nto activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest\nmessage (enter to view multiple messages)/some of the recently used menu functions, and turn on\nor off audio Bluetooth for calls.\n4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and\nscroll up and down to find the corresponding function.\n5) Long press the watch face interface and swipe to right or left to switch the watch face, select\none of them and set it with one-click.\n1.2 App notification\n1) When the watch is bound to the APP, and you allow the watch to display notifications on the\nwatch, the new messages received in your mobile phone will be pushed to the watch, and a total of\n10 messages can be saved. The messages received after 10 messages will be overwritten one by\none.\n2) Swipe to the bottom to click the delete icon to clear all message records.\n1.3 Drop-down menu\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu\ninterface.\n1) Bluetooth connection status; time; power left;\n2) About, where you can check the firmware version of watch and the address of the Bluetooth\n3) Setting, where you can enter it to set part of the functions;\n4) Brightness adjustment; where you can adjust the brightness of the screen;\n5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize\noffline payment.\n1.4 Phone/Call History\n1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off\nthe calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling\nBluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the\nname of the calling Bluetooth of your watch. You can use the watch to make phone calls when\nthey are successfully bound.\n2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50\ncall records, and it will be automatically overwritten when 128 records are full. Click any call\nrecord to call back)\n3. Dial the keyboard, you can enter the phone number to make a call.\n1.5 message\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding\napps in your mobile phone system, and switch on these apps or callings notifications functions on\nyour watch, the notifications on your mobile phone can synchronize to your watch.\n1.5.1. Incoming call notification:\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch\nwill light up or vibrate.\n1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long\nperiod of time, please plug in the data cable and charge it for more\nthan half an hour to activate.\nWarranty description:\n1. If there are any quality problems caused by manufacturing,\nmaterials, design, etc. in normal use, the motherboard of the watch is\nguaranteed for repair for free within one year, while the battery and\ncharger within half a year from the date of purchase.\n2. No warranty is provided for failures caused by the user's personal\nreasons, as follows:\n1). Failure caused by unauthorized disassembly or modification of\nthe watch.\n2). Failure caused by accidental fall during use.\n3). All man-made damages or the third party's fault, or misuses (such\nas: water in the device, cracking by external force, scratches on the\ncase, damage, etc.) are not covered in the warranty.\n3. When requesting the warranty service, please provide a warranty\ncard with the date of purchase and the stamp of the place of purchase\non it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "Sports smart watch\nUser Manual\nDT3 Mate\nThank you for choosing our smart watch. You can fully understand\nthe use and operation of the equipment by reading this manual.\nThe company reserves the right to modify the contents of this manual\nwithout any prior notice.\nThe product contains: a packing box, a manual, a watch body, and a\ncharging cable.\nA. Watch function description\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "B．Bind to the APP\n1. APP download method\n1.1 Scan the QR code to download\n1.2 Search the application at App market and download\nFor Android users:\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download,\nremember to check the pop-up box on your phone when installing, and agree to the permission.\nFor iOS users:\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your\nphone when installing, and agree to the permission.\nAfter WearPro is installed, the app icon appears as\n .\n2.Bind Bluetooth\n2.1 Unconnected to the APP state:\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the\nAPK/APP, go to Devices > Add Device > click to start searching, select and click the\ncorresponding watch device name, and the watch will be successfully bound to the app.\n2.2 Connected to the APP state:\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will\nsynchronized after the smartwatch is bound to the APP successfully.\n2.3 Binding the audio/calling Bluetooth\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and\nclick it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of\nthe audio/calling Bluetooth of the smartwatch to bind it.\n3. Find Watch\nAfter the smartwatch is bound to the APP, you click “Find Watch” in the APP, the smartwatch\nwill light up and vibrate for once.\n4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "126 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nIf a second AC power outage occurs before the batteries have completed charging, the \nsystem starts in service state and does not permit I/O operations to be restarted until the \nbatteries are half charged, which provides enough capacity to perform a clean system shut \ndown in case of another power loss. The recharging process takes approximately 30 minutes.\nThe system automatically schedules maintenance battery discharge cycles to extend the \nlifetime of the batteries and ensure that the system can accurately measure the charge in the \nbatteries. Discharge cycles ensure that the batteries have sufficient charge to protect the \nStorwize V7000 system. For more information about maintenance discharge cycles, see this \nIBM Knowledge Center web page.\nTo shut down your Storwize V7000 system, complete the following steps:\n1. Ensure that no hosts are using the storage system, and that you stopped all FlashCopy \nmappings, remote copy relationships, data migration operations, and forced deletions.\n2. In the GUI, click Monitoring → System. Then, click System Actions and choose Power \noff System, as shown in Figure 4-43.\nFigure 4-43 Initiating system power off\n3. A confirmation window opens, as shown in Figure 4-44.\nFigure 4-44 Power off warning window", - "page_start": 147, - "page_end": 147, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "Have the operating profits in Japan for Nissan gone up or down in 2004?", - "target_page": 5, - "target_passage": "operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "from accounting for them as operating leases, to finance leases. The effect of this change was to decrease sales and operating expenses in\nthe “Japan” segment by ¥17,943 million and ¥39,534 million, respectively, and to increase operating income and total assets in the “Japan”\nsegment by ¥21,591 million and ¥137,184 million, respectively, for the year ended March 31, 2004 as compared with the correspon ding\namounts which would have been recorded if the previous method had been followed.\nFINANCIAL SECTION\nNissan Annual Report 2004 101", - "page_start": 102, - "page_end": 102, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 20046\nPERFORMANCE\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up\nto all the challenges. We had a record year in revenues, operating profit, net income, sales\nvolume and production.\nSales performance\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine\nall-new models globally.\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing\nplants turned out 3,378,000 units, or 293,000 units more than the previous record.\nFinancial performance\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a\npercentage of net revenue, our operating profit margin came to 10.0 percent.\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\nNissan 180 commitments\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot\nbe closed completely until the end of September 2005, but we know that we have already\ndelivered two of the plan’s three critical commitments.\n• We committed to an 8 percent operating profit margin, and our margin has been at or above\n10 percent for every year of NISSAN 180. \n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the\nnew and more demanding accounting standards.\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units,\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of\nSeptember 2005.\nPERFORMANCE\nThe recovery story is complete", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 13\n1,100\n1,000\n900\n800\n700\nFY03\nOP\nFY04\nOP\nForex\nScope of \nconsolidation\nVolume\n/mix Sales\nexpenses\nPurchasing\ncost \nreduction\nProduct\nenrichment\nR&D\nexpenses\nManu-\nfacturing \nexpenses \nWarranty\nexpenses G&A\nand\nothers \n824.9 -78\n+31\n+284\n–114\n+131\n–92\n–44 –15 –41\n–25.7861.2\nImpact on Operating Profit\n(Billion Yen)\n1,200\n1,000\n800\n600\n400\n200\n0\n-200\nCashDebt\nNet debt \nat end \nof FY03 Net debt \nat the end \nof FY04 \nOperating \nactivities \nbefore tax Tax paid Investing \nactivities\nDividend \npaid Other \nfinancial \nactivities\nFX rate \nimpact\n+1,082.2\n–203.0 –450.7\n–26.0\n–94.0 –99.1 +10.0 205.8\n–13.6\nTreasury \nstock\nNet Cash Flow (automotive)\n(Billion Yen)\nPERFORMANCE\nNet Income\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7\nbillion lower than last year. This was primarily due to a ¥5.3\nbillion decrease in financial costs and a ¥5.3 billion\nincrease in equity in earnings of unconsolidated\nsubsidiaries and affiliates, thanks mainly to Renault. Net\nextraordinary losses totaled ¥62.5 billion, ¥10.7 billion\nlower than last year, mainly due to the sale of the site of\nthe former Murayama plant. Net income before taxes came\nto ¥793.2 billion. Income taxes totaled ¥258.0 billion, with\nan effective consolidated tax rate of 33 percent. Minority\ninterests amounted to ¥22.9 billion, mainly from Yulon\nNissan Motor. As a result, net income reached ¥512.3\nbillion, an increase of ¥8.6 billion.\nFINANCIAL POSITION\nBalance Sheet\nIn 2004, total consolidated assets increased by 25.3\npercent to ¥9,848.5 billion. \nCurrent assets increased by 36.4 percent, or ¥1,372.4\nbillion, to ¥5,139.4 billion. This increase included changes\nin the scope of consolidation by ¥271.1 billion and an\nincrease in sales finance receivables by ¥840.6 billion\nthanks to increased sales in the U.S. Fixed assets\nincreased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0\nbillion. Property, plant and equipment valuation increased\nby ¥593.6 billion, mainly due to capital expenditures of\n¥477.5 billion and an increase in leased vehicles. \nCurrent liabilities increased by 28.1 percent, or ¥872.2\nbillion, to ¥3,974.7 billion. This increase included changes\nin the scope of consolidation of ¥144.4 billion and an\nincrease in short-term borrowings for sales financing of\n¥558.5 billion.\nIn 2004, total shareholder equity increased from\n¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily\ndue to net income of ¥512.3 billion, offset by dividends\npaid totaling ¥101.2 billion. Consolidated shareholder\nequity represented 29 percent of total revenues and 25\npercent of total assets.\nCash Flow\nCash from operating activities was ¥369.4 billion, below\nthe previous year’s level of ¥797.4 billion. This drop was\nprimarily caused by a ¥331.2 billion increase in finance\nreceivables in the U.S. and Japan. There were also\nincreases in inventory and income tax paid.\nCash used for investing activities increased by ¥108.9\nbillion to ¥865.0 billion. This increase was mainly due to an\nincrease of leased vehicles in the U.S.\nCash from financing activities totaled ¥521.0 billion,\nincluding an increase in short-term borrowing of ¥666.2\nbillion, offset by ¥94 billion for the payment of dividends\nand ¥26 billion for the acquisition of treasury stock.\nIn total, cash and cash equivalents increased by ¥95.6\nbillion to ¥289.8 billion from fiscal 2004.", - "page_start": 14, - "page_end": 14, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200412\nFISCAL YEAR 2004 FINANCIAL REVIEW\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\nPERFORMANCE\nNet Sales\nConsolidated net sales came to ¥8,576.3 billion, up 15.4\npercent from last year. A higher volume and mix had a\npositive impact of ¥707.0 billion. Movements in foreign\nexchange rates produced a negative impact of ¥173.0\nbillion. Changes in the scope of consolidation, including\nDongfeng Motor and Yulon Nissan Motor, raised revenues\nby ¥432.0 billion.\nOperating Income\nConsolidated operating profit improved by 4.4 percent from\nlast year to a record ¥861.2 billion. This resulted in an\noperating profit margin of 10.0 percent. Operating profit\nwas affected by the following factors:\n• The effect of foreign exchange rates produced a ¥78\nbillion negative impact for the full year. The\ndepreciation of the U.S. dollar against the yen resulted\nin a negative impact of ¥74 billion, with an additional\n¥13 billion from other currencies. The appreciation of\nthe euro resulted in a positive impact of ¥9 billion.\n• The change in the scope of consolidation produced \na positive impact of ¥31 billion. This was primarily\nfrom the consolidation of Dongfeng Motor and Yulon\nNissan Motor.\n• The impact of the higher volume and mix contributed\n¥284 billion. This was mainly driven by an increase in\nU.S. sales volume.\n• Selling expenses increased by ¥114 billion, also\nmainly due to the increase of sales in the U.S.\n• The improvement in purchasing costs amounted to\n¥131 billion.\n• Product enrichment and the cost of regulations had \na negative impact of ¥92 billion.\n• An additional ¥44 billion was allocated to R&D to\nreinforce product and technology development.\n• Cost reductions from manufacturing efficiencies were\noffset by costs associated with expanding the Canton\nplant’s capacity, which resulted in a ¥15 billion\nincrease in manufacturing and logistics expenses.\n• Warranty costs increased by ¥41 billion, partly due to\ngreater volume.\n• General, administrative and other expenses increased\nby ¥25.7 billion.\nBy region, operating profits in Japan came to ¥341.1\nbillion, a decrease of 3.2 percent compared to last year.\nThis was mainly due to unfavorable exchange rate\nfluctuations and an increase in R&D expenses, which\nreached a record level. \nDue to higher volumes, profitability in the U.S. and\nCanada increased 7.9 percent from last year and totaled \n¥379.7 billion. \nOperating profit in Europe was ¥56 billion, an increase\nof 13.8 percent compared to last year, owing to a better\nmix and higher contributions from Russia. \nIn General Overseas Markets, including Mexico,\noperating profits came to ¥84.8 billion, an increase of 28.5\npercent compared to last year. This was primarily due to the\nconsolidation of Dongfeng Motor and Yulon Nissan Motor.\nInter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 7\nPERFORMANCE\n6,089.6\n6,196.2\n6,828.6\n7,429.2\n8,576.3\n+15.4%\n2,633\n2,597\n2,771\n3,057\n3,388\n+10.8%\n290\n489\n737\n825\n861\n+4.4%\n’00 ’01 ’02 ’03 ’04 ’00 ’01 ’02 ’03 ’04 ’00 ’01 ’02 ’03 ’04\n10.0%\n10.8%\n11.1%\n7.9%\n4.8%\nConsolidated \nNet Revenue\n(Billion Yen)\nConsolidated \nOperating Profit/Margin\n(Billion Yen/%)\nGlobal Retail Sales\n(Units: 1000s)", - "page_start": 8, - "page_end": 8, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 20048\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent\nincrease over the prior year.\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to\ntwenty regional product events.\nOur sales objectives\n• Japan: 933,000 units, a 10 percent increase over last year\n• U.S.: 1,047,000 units, an increase of 3.3 percent\n• Europe: 550,000 units, a 1.1 percent increase over last year\n• General Overseas Markets: 1,088,000 units, a 10.7 percent increase\nOur financial outlook\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices,\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n• Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n• Operating profit is expected to be ¥870 billion, up 1 percent. \n• Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n• Net income is predicted to be ¥517 billion, up 0.9 percent. \n• Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n• R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent. \n• ROIC is expected to remain at or above 20 percent.\nPERFORMANCE\nLooking to the New Fiscal Year", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 15\nShare Performance in Fiscal 2004\nNissan’s share price began at ¥1,143 at the beginning \nof fiscal 2004 and ended the fiscal year at ¥1,099,\ngenerating a negative return of 3.85 percent. Total\nshareholder return (TSR) was -1.67 percent, while the\ndividend yield came to 2.18 percent (¥24 per share dividend,\ndivided by the ¥1,099 closing price). Adverse movements \nin foreign exchange rates and commodity price hikes\nadversely affected Nissan’s profitability, which was reflected\nin the share price. In addition, specific events relating\ndirectly to the company also had a negative impact. Later in\nthis report, corporate officers will explain what actions\nNissan has undertaken to ensure better performance.\nPayout Policy\nNissan announced its NISSAN Value-Up three-year dividend\npolicy, covering the period from fiscal 2005 to fiscal 2007, at\nthe annual general meeting of shareholders on June 23,\n2004. Nissan proposes a long-term dividend policy to\nprovide more visibility and improve transparency into the\nways in which Nissan rewards its shareholders. Nissan\nbelieves that a long-term dividend policy reduces uncertainty\nfor investors who already own or are considering acquiring\nNissan stock. \nIR Activities\nUnder NISSAN Value-Up, the IR team’s performance will\nbe evaluated based on the price-earnings ratio (PER) and\nvolatility relative to our major competitors. PER is used to\nmeasure how successfully the IR team manages market\nexpectations about Nissan in order to maintain the Nissan\nshare price close to an intrinsic value. The other measure,\nvolatility, is used to measure the risk investors perceive\nwhen considering Nissan stock. If Nissan can successfully\nreduce volatility, the minimum return required by investors\nshould decline. The IR team believes that a strengthening\nof disclosure activities is required to improve both\nmeasures. The team plans to disclose not only financial\nresults but also more forward-looking information about\nNissan fundamentals such as technology and product.\nSuch forward-looking information helps investors to\nforecast future performance more precisely and reduces\nuncertainty about the future. As a consequence, Nissan will\nincrease the number of investor conferences, events, and\nteleconferences during fiscal 2005.\nPERFORMANCE\nFISCAL YEAR 2004 SHARE PERFORMANCE \nDESPITE NISSAN’S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS\nNEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED \nAT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR\nUNDERSTANDING OF NISSAN’S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH\nVIEW OF THE COMPANY’S OPERATIONS AND PERFORMANCE INDICATORS.\n120\n110\n100\n90\n80 Apr.\n2004 2005 \nMay June July Aug. Sept Oct. Nov Dec. Jan. Feb Mar.\nTOPIX Transportation Equipment IndexNissan\nTOPIX\nFiscal Year 2004 Share Performance\n(Index: April 1, 2004=100)\n400\n300\n200\n100\n0 ’01 ’02 ’03 ’04 ’05\nTOPIX Transportation Equipment Index\nNissan\nTOPIX\nFive-Year Share Performance\n(Index: April 3, 2000=100)", - "page_start": 16, - "page_end": 16, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 61\nEUROPE\nMaking Profit as a Smaller Player\nOUR WORLD\n“Europe is one of the most\nfragmented automotive\nmarket in the world and \na highly competitive one\nbesides. Despite our\nrelatively small size,\nhowever, we have begun to\ndemonstrate that it is\npossible to make money in\nEurope. In fact, although\nNissan does not yet deliver\nthe levels of profitability here\nthat the U.S. or other markets generate, we surpassed\nour NISSAN 180 business targets in fiscal 2004. Our\nprofitability is now on par with the best European\nmanufacturers. Nissan has a foundation for increasing\nprofitability further in the coming years in Europe. \nNissan is already an established name around the\nregion, and the brand is strongly associated with 4x4\ntechnology, off-road vehicles and pickup trucks.\nHowever, there is also a solid heritage built around\nthe Micra, a model designed for urban driving. Both\nthe first and second generations of this car were very\nsuccessful, and the third generation is performing\nwell. To leverage our 4x4 heritage and SUV strength\ninto the passenger car segment, Nissan is developing\na series of crossover vehicles that blend car-like\nperformance with 4x4 versatility. The Qashqai concept\nvehicle introduced at the 2004 Geneva Motor Show is\nthe first of these—smaller, more affordable, and\nbetter adapted to European roads. The Qashqai will\ngo into production in our plant in Sunderland in the\nUK in early 2007. The Murano, launched this year, is \na precursor to the Qashqai in the larger executive\nsegment. Europeans have already taken to the\nMurano, driving sales far past our initial forecasts in\nall markets. This car is helping make Nissan a brand\nthat people aspire to own. \nNissan is still a small player in the region, selling 550,000\ncars across a very large and diverse territory that stretches\nfrom the Atlantic Ocean to Russia, and from Finland to\nIsrael. In the past we covered the area through multiple\ndistribution channels, which we are currently in the process\nof simplifying. A few aspects of the European market have\nmade profitability more difficult to achieve. For example,\nautomakers must provide models with much diversity:\ndiesel and gasoline powertrains; manual and automatic\ntransmissions. The cars must also be engineered to suit the\nhigh driving speeds typical in the region and ensure\nsuperior handling, which results in higher costs. \nAs in many other mature markets, an incentive war is\nraging in Europe. Nissan’s position here, as elsewhere, is to\nuse incentives selectively and to always protect profitability.\nProviding products which customers recognize and\nappreciate for their style and attributes rather than being the\nbest deal is the foundation of Nissan’s profitable growth. We\nnow have a wide range of products, five of which were newly\nlaunched in 2005, including the Pathfinder and the Navara\npickup. We will release the Micra C+C at the Frankfurt Motor\nShow in September, giving customers the option of a unique\nstandard glass roof in a fully retracting hard convertible top.\nNissan’s manufacturing still defines the leading edge in\nEurope. According to The Harbour Report, our plant in\nSunderland is the most productive plant in Europe.\nSunderland will start production on a new B-segment car\nbased on the Tone concept car in early 2006, followed by\nthe Qashqai crossover vehicle in early 2007. Our Barcelona\nplant, which manufactures SUVs, 4x4s and light\ncommercial vehicles, will reach full capacity in mid-2005.\nFinally, our truck plant in Avila, Spain, which specializes in\nlight-duty trucks, will start producing a replacement for the\npopular Cabstar in late 2006. This efficient production\nbase is a critical part of our profitable growth scenario. \nNISSAN Value-Up has given us a plan for building both\nprofit and volume. We will not, however, sacrifice profit to\ngain volume. How far we can go depends on how fast we\ndeliver results. I believe that we have much more room to", - "page_start": 62, - "page_end": 62, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 11\nPERFORMANCE\nFOUR MAJOR BREAKTHROUGHS\nInfiniti Global Tier-1 bBrand Light Commercial Vehicles (LCV)\nLeading Competitive Countries (LCCs) Geographic Expansion\n2,597\n3,388\n4,200\n’01 ’04 ’08\nCommitment\n+791\n+812\nNISSAN Value-Up Sales Volume\n(Units: 1000s)\nTHREE CRITICAL COMMITMENTS\nConsolidated Operating Profit Margin\nCOP margin (%)\nTop level \noperating profit margin \namong global automakers\n1.4%\n4.75%\n7.9%\n10.8%\n10.0%\n11.1%\nNRP NISSAN\n180\nNISSAN \nValue-Up\n’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07\nReturn on Invested Capital (auto)\n(%)\nROIC\naverage of 20%\n1.3%\n7.5%\n12.7%\n19.8% 20.1%*\n21.3%\nNRP NISSAN\n180\nNISSAN \nValue-Up\n’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07\n*Same scope pf consolidation as P&L, excluding \nchange of cash compared to fiscal year 2003\n750\n600\n450\n300\n150\n0\n(Thousand units)\n10\n8\n6\n4\n2\n0\n(% of consolidated operating margin)\n187 203\n182 234 312\n434\n+40%\n-0.5%\n3.3%\n1.4%\n3.6%\n8.0%\n4.0%\n’00 ’01 ’02 ’03 ’04 ’07\nRussia\nMiddle\nEast\nJapan*China\nKorea\nTaiwan\nNorth America\n*Japan launch after NISSAN Value-Up\nRussia\nChina\nEgypt\nIndia Thailand\nPakistan\nEasternEurope\nGulfCountrles\nHungary\nRomania\nEgypt India\nChina\nThailand\nVietnam Mexico\nMercosur", - "page_start": 12, - "page_end": 12, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200426\nLight Commercial Vehicles\nANDY PALMER\nVice President\nWHO WE ARE\nMaking Light Commercial Profitable\nAUTOMOBILES\n“The auto industry has traditionally viewed light commercial vehicles—what we call\nLCVs—as factory-fillers; vehicles that were fine to turn out as long as they were\nmarginally profitable. The difference today is that we think Nissan can profitably market\nLCVs in every segment and territory. Over the last two and a half years, for example,\nwe’ve turned things around from a loss to an operating profit margin of 4 percent. That\nfigure already exceeds the industry average. Now we’re committed to bringing LCVs\ninto line with the other areas of Nissan’s business. By fiscal 2007, we plan to have an\noperating margin of eight percent and a 40 percent increase in volume to 434,000 units.\nThat will bring us into the top rank of LCV producers and to the top in profitability.\nOne big consideration is that the average model in our lineup today is nearly ten years old.\nCreating a breakthrough with a lineup this old is difficult, and we examined the worth of\ncontinuing in this line of business. In the end, we decided to stay in and aggressively pursue profit.\nWe came up with six strategies to make that happen:\n• Renew the portfolio. During NISSAN Value-Up, we will start and finish nearly nine new\nvehicle actions. \n• Reduce cost and increase value.We will accomplish these goals with the same\ncustomer-centered techniques used for passenger vehicles since the Nissan Revival Plan.\n• Enter new territories.The market in Japan is flat or trending down, and there are many\ncompetitors in Europe. But China is an emerging market, and we have a strong relationship\nwith Dongfeng, our partner there. \n• Pursue OEM deals.We’re open to cross-badging our vehicles under somebody else’s name.", - "page_start": 27, - "page_end": 27, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "How can CEDAR Oil be used with the AY11236 microscope?", - "target_page": 10, - "target_passage": "1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil. 2. After finishing the observation, wipe off the cedar oil. 3. Do not use the 40x objective until you have wiped off all of the cedar oil.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "CONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \nModel AY11236\nFine \nAdjustment\nKnob\nStage\nCondenser \nFocusing\nKnob\nEyepiece\nStand\nLamp \nOn/Off\nSwitch\nLamp \nPower\nCord\nRotating Head\nStage Clip\nAdjustment\nInterpupillary Slide Adjustment", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "INDEX\nIMPORTANT NOTES\nCongratulations on your purchase of this high quality BARSKA \nmicroscope. With proper care, this microscope will provide many \nyears of use. Please read the following instruction s before \noperating this instrument.\n1. Do not attempt to disassemble the instrument. This product has \n been carefully assembled at the factory and should only be \n examined by a factory-trained technician. \n2. This instrument should only be used in an environment with an \n indoor temperature range of 32oF to 104oF.\n3. Do not use this instrument in an environment with a lot of dust.\n Cover the instrument when not in use.\n4. Do not subject the instrument to shock.\nMaintenance............................................\nModel AY11240/Model AY11238..................\nModel AY11228/Model AY11232..................\nModel AY11230/Model AY11234..................\nModel AY11236........................................\nWarranty Information................................\n1\n2-5\n6-9\n10-13\n14-18\nBack Cover\n1\nMAINTENANCE\nProper care and storage of this instrument is essential. Please read \nthe following guidelines:\n1. Keep the instrument in a dry and moisture-free location.\n2. Do not expose to acid, alkali fumes or moisture.\n3. Keep optical parts clean and free of dust. To clean optical parts \n gently wipe with lens cleaning tissue and a mixture of alcohol \n and diethyl ether. Depending on weather conditions, the \n following are the recommended mixture ratios:\n Wet weather: 1:2\n Dry Weather: 1:1\n4. After use, cover the instrument with the plastic dust cover.\n5. If instrument is to be stored for an extended period of time, \n remove the eyepiece and oculars and store in a moisture-proof \n container.\nMODEL AY11240/AY11238\n2\nMICROSCOPE USAGE\nBARSKA Model AY11240 and Model AY11238 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction.\nCONSTRUCTION\nBARSKA Model AY11240 is a fixed tube type. For comfortable \nobservation, the arm can be easily tilted at any angle from 90o \nvertical to 45o level. It is also equipped with a coarse adjustment \nand fine adjustment as well as a space limiter to protect the \nobjective from contacting and damaging the specimen. BARSKA \nModel AY11238 features a monocular tube that is slanted at a 45o \nangle. The head rotates 360o. The Eyepiece Set Screw prevents \nthe eyepiece from falling out of the tube.\nCoarse \nAdjustment\nKnob\nFine \nAdjustment\nKnob\nStand\n5-Hole\nDiaphragm\nand CondenserConcave\nMirror\nStage\nSpring Clips\nObjectives\nBarrel\nRevolving Turret\nEyepiece\nCoarse \nAdjustment\nKnob\nFine \nAdjustment\nKnob\nStand\n5-Hole\nDiaphragm\nand Condenser\nLamp \nOn/Off\nSwitch\nLamp \nPower\nCord\nStage\nSpring \nClips\nObjectives\nRotating Head\nRevolving \nTurret\nEyepiece\nStage Height\nLimit Adjustment\nMonocular Tube\nEyepiece \nSet Screw\nModel AY11240 Model AY11238", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "15\nSPECIFICATIONS \n1. Length of mechanical tube: 160mm\n2. Conjugate distance between object and image: 195mm\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n4. Illumination: Input 110V or 200V; Output: 20W\n5. Fine adjustment range: .002mm\n6. Coarse Adjustment Range: 20mm\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n8. Condenser Elevation Range: 15mm\n9. Iris diaphragm aperture: 2mm-30mm\nObjective Specifications\nClassification Working \nDistance\nMagnificationOptical \nSystem\nNumerical\nAperture\nDry0 .1 37.42mm4x Adjustable\nFocus\nDry0 .65 0.57mm40x Spring\nAdjustable\nFocus\nOil\nImmer-\nsion\n1.25 0.18mm100x Spring\nAdjustable\nFocus\nDry0 .25 7.14mm10x\nAchromatic\nObjective\nNote: For oil immersion, please use the index of refraction 1.515 oil\nPlain Field \nEyepiece\n10x 18mm\nEyepiece Specifications\nClassification MagnificationF ield of View (FOV)\nDiameter\n10x\n40x\n100x\n400x\n4x\n10x\n40x (s)\n1000x100x (oil,s)\nTotal Magnification\nObjective\nMagnification Eyepiece\n16\nPARTS LIST\nOPERATION\n1. Remove all components from package. Identify all parts before \n assembling instrument.\n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only.\n3. Place the specimen on the stage and secure with spring clips.\n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm.\n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON.\n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen.\nName Qty\nMicroscope Stand\nAchromatic \nObjective\n4x (parfocal distance adjustable)\n1\n1\n2\n1\n1\n1\n1\n1\n10x Wide Field Eyepiece w/Pointer\nAbbe Condenser NA1.25\nPlastic Dust Cover\nLens Cleaning Tissue\n1Cedar Oil\n11A Fuse (spare)\nSpare 6V20W Halogen Bulb\nSpecification\nInspection Certificate\nPacking List\n1\n1\n1\n10x 1\n40x (s) (parfocal distance adjustable)\n100x (oil,s) (parfocal distance adjustable)\n1", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "13\nUSING THE VERTICAL TUBE -\nMODELS AY11230/11234\n1. The vertical tube can be used for \n instructional viewing or to \nphotograph the image witrh a \ndigital camera or micro TV \nunit.\n2. Loosen the retention screw, then rotate \n the adjustment ring to change the \n length of the vertical tube.\n3. Make sure that both the images in \nOPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11230 Model AY11234\n14\nObjectives\nRevolving Turret\nCoarse \nAdjustment\nKnob\nMODEL AY11236\nMICROSCOPE USAGE\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \nCONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "illumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is \nenlarged through two identical sized sets of right and left eye \nlenses. The zoom provides different magnification and features an \ninversion system which allows the image to be viewed normally \nand right side up.\n109\nModel AY11230 Model AY11234\nDiopter\nAdjustment Diopter\nAdjustment\nPrism\nCap\nPrism\nCap\nEyepiece\nStage\nLens\nStage\nVertical \nTube\nVertical \nTube\nIllumination\nControls\nRotary\nCase\nSpring \nClips\nSpring \nClips\nFocus\nKnob\nMagnification\nAdjustment\nKnob\nFocus\nKnob\nTightening\nKnob\nOblique\nIlluminatorOblique\nIlluminator\nLens \nHousing\nEyepiece\nIllumination\nControls", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "17\nFig. 1 - Objective Parts\nAdjustable \nRing \nTightening\nRing \nMark\nSleeve\nFront\nSleeve\nOPERATION (cont.)\n6. Adjust the interpupillary distance by using the eyepiece \n interpupillary slide adjustment.\n7. Observe using the right eyepiece adjusting the coarse and fine \n focus and adjust the diopter ring until image is clear and sharp.\n8. Observe with the left eyepiece and adjust the diopter ring until \n image is clear and sharp.\n9. Rotate the fine focus adjustment when using other objectives. \n NOTE: This instrument is equipped with patent objectives so \n the precision or parfocalization is very high. \n10. If the image is in focus with the 10x objective, you can select \n other objectives and observe the specimen even if the fine \n adjustment knob has not been used by using the following \n method (See Fig. 1):\n 1. Unscrew the 40x or 100x objective and remove from \n turret.\n 2. Remove the mark sleeve.\n 3. Turn the ring on the objective to adjust its parfocal \n distance.\n 4. Re-insert the objective and compare with the 10x.\n 5. Adjust until the 40x and 100x objectives image is clear.\nUSING THE CEDAR OIL\n1. Drop some cedar oil on to the top of the 100x objective when the \n 100x objective is being used. NOTE: To maintain a good quality \n image, rotate the turret right and left several times to eliminate \n bubbles in the cedar oil. \n2. After finishing the observation, wipe off the cedar oil.\n3. Do not use the 40x objective until you have wiped off all of the \n cedar oil. \n \nOPERATION (cont.)\nADJUSTING THE CONDENSER APERTURE\n1. The numerical aperture of the condenser should match the \n numerical aperture of the objective being used.\n2. To make sure that the objectives are imaging properly \n (especially the 40x and 100x), follow this procedure:\n 1. Take off the eyepiece.\n 2. Look through the eyepiece.\n 3. The smallest circle or light that you can see is the \n eyepiece's exit pupil.\n 4. Adjust the aperture of the iris diaphragm in the \n condenser to 70% or 80% for the best contrast for \n observation (See Fig. 2.).\nFig. 2 - Condenser Diaphram Aperture\nExit Pupil\nof Objective\nAperture of\nDiaphragm\nTROUBLESHOOTING\nProblemP ossible CauseS olution\n1. Image not clear. 1.Specimen is in incorrect \n position.\n2. Lens is dirty.\n3. Cedar oil not placed on \n immersion objective.\n4. Bubbles in Cedar oil.\n5. Cedar oil on 40x objective.\n6. Iris diaphragm open too wide.\n1. Re-position specimen.\n2. Clean lens.\n3. Put a drop of Cedar oil on \n immersion objective.\n4. Rotate turret several times to \n eliminate bubbles.\n5. Clean 40x objective.\n6. Reduce size of iris diaphragm.\n1. Condenser position is incorrect.\n2. Lens is dirty.\n3. Specimen is not placed level. \n1. Re-position condenser.\n2. Clean lens.\n3. Re-position specimen so it is level.\n1. Iris diaphragm opening too small.\n2. Position of condenser too low.\n3. Lens is dirty.\n1. Open iris diaphragm wider.\n2. Raise condenser.\n3. Clean lens.\n1. Specimen is in incorrect position.1 . Re-position specimen.\n2. Poor illumination.\n3. Illumination not bright.\n4. Cannot focus at high \n magnification.\n1. Stage is too high.1 . Re-position stage.5. Objective lenses touch \n specimen.\n18", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "OPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11228 Model AY11232\nMODEL AY11230/AY11234\nMICROSCOPE USAGE\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction.\nCONSTRUCTION\nBARSKA Model AY11230 is a fixed power trinocular stereo \nmicroscope. It is constructed with two optical paths at the same \nangle. It is equipped with transmitted illumination and oblique \nillumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "(a)\n (b)\n(c)\n (d)\nFIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force\nMicroscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig\nand W. Pompe; see also Ref. [42]. Image size:5µm×5µm); (b) poly(acrylic acid) in water spin-coated onto\na polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright\nJohn Wiley & Sons, Inc. 2002; Image size: 2.5µm×2.5µm); and in both (c) and (d), a solution of gold\nnanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in\npanels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the\nempty substrate.\n5", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2669.pdf" - }, - { - "text": "4\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm.\n4. Adjust the stand to an angle that \n provides comfortable observation.\n5. Rotate and adjust concave mirror to \n light the field of view. NOTE: Do not \n reflect the Sun with the mirror. \n This can cause serious eye injury \n or permanent eye damage.\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm.\n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON.\n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.\nName\nModel AY11240\nModel AY11240 Model AY11238\nModel AY11238\nQty\nMicroscope Stand\nAchromatic \nObjective\n4x\n1\nPlain Concave Mirror1\nPlastic Dust Cover1\n10x Wide Field Eyepiece 1\nLens Cleaning Tissue1\nSpecification1\nInspection Certificate1\nPacking List 1\n1\n10x 1\n40x (s) 1\nName Qty\nMicroscope Stand\nAchromatic \nObjective\n4x\n1\n10x Wide Field Eyepiece 1\nPlastic Dust Cover1\nSpare Bulb 1\nLens Cleaning Tissue1\nSpecification1\nInspection Certificate1\nPacking List 1\n1\n10x 1\n40x (s) 1", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain\nsilicon substrate that is covered by the native oxide layer only [34]. However, one may locally\nchange the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding\nexcess thiol one can also vary the properties of the solvent [40].\nTwo different procedures are employed for the deposition of the solution on to the substrate: spin-\ncoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the\nevaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds\nthat directly after deposition, evaporation competes with dewetting until all the solvent has evapo-\nrated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For\nspin-coated films, the evaporation rate is high and structuring is normally finished before the spin-\ncoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing\nthe meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by\nthe solvent. This allows for a better control of the process and enables the use of contrast-enhanced\nmicroscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the\nregion of the receding contact line of toluene, silicon and air. With both techniques one may find\nmono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched\npatterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a\nmore controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the\ninteraction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold\ncores. For short chains (C 5 and C8) no formation of branched structures is observed. At similar\nconcentrations, well-developed branched structures are formed for longer chains (C 10 and C12).\nFor even longer chains (C 14), however, one again finds less branching. It also depends on the\namount of excess thiol in the solvent (for details see Ref. [40]).\nWhen following the evolution of the branched patterns in situ (see the complementary video\nmaterial of Ref. [40]), one clearly observes that different processes occur on different lenght\nscales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate.\nThe macroscopic front can be transversely unstable resulting in large-scale ( > 100µm) strongly\nanisotropic fingered structures. For fronts that move relatively quickly these macroscopic struc-\ntures cover all the available substrate. However, when at a later stage the macroscopic front be-\ncomes slower, those fingers become scarce and ‘macroscopic fingering’ finally ceases. At this\nstage it is possible to appreciate that the seemingly dry region left behind by the front is not at all\ndry, but covered by an ultrathin ‘postcursor’ film that is itself unstable. The thickness of this film\n6", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "For the AY11230 microscope, what is the interpupillary adjustment?", - "target_page": 7, - "target_passage": "Model AY11230 1. Interpupillary Adjustment: 55mm - 75mm", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "11\nSPECIFICATIONS \nModel AY11230\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: 60mm\n4. Elevator Adjustment Range: 110mm\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique illumination: 12V 10W Halogen Lamp\nOptical Specifications - Model AY11230\n20x, 40x\nObjective Zoom Scale\n- 0.5x\n95\n7x-\n45x\n28.6-\n4.4\n3.5x-\n22.5x\n5.3x-\n33.8x\n10.5x-\n67.5x\n14x-\n90x\n57.2-\n8.8\n38.1-\n5.9\n19.0-\n2.9\n14.3-\n2.2\n156 102 44 30\n0.75x 1.5x 2xAccessory Large Objective\nWorking Distance (mm)\nWF10x/20mm\nTotal Magnification\nField of View Objective Dia. (mm)\n8.8x-\n56x\n25.7-\n4.0\n4.4x-\n28x\n6.6x-\n42x\n13.2x-\n84x\n17.6x-\n112x\n51.4-\n8\n34.3-\n5.3\n17.1-\n2.7\n12.9-\n2.0\nWF12.5x/18mm\nTotal Magnification\nField of View Objective Dia. (mm)\n10.5x-\n67.5x\n22.9-\n3.6\n5.3x-\n33.8x\n7.9x-\n58.6x\n15.7x-\n101x\n21x-\n135x\n45.8-\n7.2\n30.5-\n4.8\n15.3-\n24\n11.5-\n1.8\nWF15x/16mm\nTotal Magnification\nField of View Objective Dia. (mm)\n14x-\n90x\n17.0-\n2.7\n7x-\n45x\n10.5x-\n67.5x\n21x-\n135x\n28x-\n180x\n34.0-\n5.4\n22.7-\n3.6\n11.3-\n1.8\n8.5-\n1.4\nWF20x/12mm\nTotal Magnification\nField of View Objective Dia. (mm)\n17.5x-\n112.5x\n12.9-\n2.0\n8.8x-\n56.3x\n13x-\n84.4x\n26.3x-\n169x\n35x-\n225x\n25.8-\n4.0\n17.2-\n2.7\n8.6-\n1.3\n6.5-\n1.0\nWF25x/9mm\nTotal Magnification\nField of View Objective Dia. (mm)\n2x, 4x 90mmWide Field 10x, 20mm\nTotal\nMagnification\nWorking DistanceEyepiece Magnification\n& Field Diameter (mm)\nObjective\nMagnification\nOptical Specifications - Model AY11234\nModel AY11234\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: >50mm\n4. Elevator Adjustment Range: 110mm\n5. Diopter Adjustment Range: +/- 5 diopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique Illumination: 12V 10W Halogen Lamp\n Transmitted Illumination: 12V 10W Halogen Lamp\n12\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down.\n3. Fix the binocular body on the stand \n with the tightening screw.\n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nName\nModel AY11230\nModel AY11230 Model AY11234\nModel AY11234\nQty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n10V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1\nDust Cover1\nBlack/White Working Stage1\nSpecifications 1\nPacking Slip 1\nQuality Inspection Certificate1\n1 ea.\n(spare)\nName Qty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n12V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "7\nSPECIFICATIONS \nModel AY11228\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: 60mm\n4. Elevator Adjustment Range: 110mm\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique illumination: 12V 10W Halogen Lamp\nOptical Specifications - Model AY11228\n20x, 40x\nObjective Zoom Scale\n- 0.5x\n95\n7x-\n45x\n28.6-\n4.4\n3.5x-\n22.5x\n5.3x-\n33.8x\n10.5x-\n67.5x\n14x-\n90x\n57.2-\n8.8\n38.1-\n5.9\n19.0-\n2.9\n14.3-\n2.2\n156 102 44 30\n0.75x 1.5x 2xAccessory Large Objective\nWorking Distance (mm)\nWF10x/20mm\nTotal Magnification\nField of View Objective Dia. (mm)\n8.8x-\n56x\n25.7-\n4.0\n4.4x-\n28x\n6.6x-\n42x\n13.2x-\n84x\n17.6x-\n112x\n51.4-\n8\n34.3-\n5.3\n17.1-\n2.7\n12.9-\n2.0\nWF12.5x/18mm\nTotal Magnification\nField of View Objective Dia. (mm)\n10.5x-\n67.5x\n22.9-\n3.6\n5.3x-\n33.8x\n7.9x-\n58.6x\n15.7x-\n101x\n21x-\n135x\n45.8-\n7.2\n30.5-\n4.8\n15.3-\n24\n11.5-\n1.8\nWF15x/16mm\nTotal Magnification\nField of View Objective Dia. (mm)\n14x-\n90x\n17.0-\n2.7\n7x-\n45x\n10.5x-\n67.5x\n21x-\n135x\n28x-\n180x\n34.0-\n5.4\n22.7-\n3.6\n11.3-\n1.8\n8.5-\n1.4\nWF20x/12mm\nTotal Magnification\nField of View Objective Dia. (mm)\n17.5x-\n112.5x\n12.9-\n2.0\n8.8x-\n56.3x\n13x-\n84.4x\n26.3x-\n169x\n35x-\n225x\n25.8-\n4.0\n17.2-\n2.7\n8.6-\n1.3\n6.5-\n1.0\nWF25x/9mm\nTotal Magnification\nField of View Objective Dia. (mm)\n2x, 4x 90mmWide Field 10x, 20mm\nTotal\nMagnification\nWorking DistanceEyepiece Magnification\n& Field Diameter (mm)\nObjective\nMagnification\nOptical Specifications - Model AY11232\nModel AY11232\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: >50mm\n4. Elevator Adjustment Range: 110mm\n5. Diopter Adjustment Range: +/- 5 diopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique Illumination: 12V 10W Halogen Lamp\n Transmitted Illumination: 12V 10W Halogen Lamp\n8\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down.\n3. Fix the binocular body on the stand \n with the tightening screw.\n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nName\nModel AY11228\nModel AY11228 Model AY11232\nModel AY11232\nQty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n10V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1\nDust Cover1\nBlack/White Working Stage1\nSpecifications 1\nPacking Slip 1\nQuality Inspection Certificate1\n1 ea.\n(spare)\nName Qty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n12V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "OPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11228 Model AY11232\nMODEL AY11230/AY11234\nMICROSCOPE USAGE\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction.\nCONSTRUCTION\nBARSKA Model AY11230 is a fixed power trinocular stereo \nmicroscope. It is constructed with two optical paths at the same \nangle. It is equipped with transmitted illumination and oblique \nillumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "17\nFig. 1 - Objective Parts\nAdjustable \nRing \nTightening\nRing \nMark\nSleeve\nFront\nSleeve\nOPERATION (cont.)\n6. Adjust the interpupillary distance by using the eyepiece \n interpupillary slide adjustment.\n7. Observe using the right eyepiece adjusting the coarse and fine \n focus and adjust the diopter ring until image is clear and sharp.\n8. Observe with the left eyepiece and adjust the diopter ring until \n image is clear and sharp.\n9. Rotate the fine focus adjustment when using other objectives. \n NOTE: This instrument is equipped with patent objectives so \n the precision or parfocalization is very high. \n10. If the image is in focus with the 10x objective, you can select \n other objectives and observe the specimen even if the fine \n adjustment knob has not been used by using the following \n method (See Fig. 1):\n 1. Unscrew the 40x or 100x objective and remove from \n turret.\n 2. Remove the mark sleeve.\n 3. Turn the ring on the objective to adjust its parfocal \n distance.\n 4. Re-insert the objective and compare with the 10x.\n 5. Adjust until the 40x and 100x objectives image is clear.\nUSING THE CEDAR OIL\n1. Drop some cedar oil on to the top of the 100x objective when the \n 100x objective is being used. NOTE: To maintain a good quality \n image, rotate the turret right and left several times to eliminate \n bubbles in the cedar oil. \n2. After finishing the observation, wipe off the cedar oil.\n3. Do not use the 40x objective until you have wiped off all of the \n cedar oil. \n \nOPERATION (cont.)\nADJUSTING THE CONDENSER APERTURE\n1. The numerical aperture of the condenser should match the \n numerical aperture of the objective being used.\n2. To make sure that the objectives are imaging properly \n (especially the 40x and 100x), follow this procedure:\n 1. Take off the eyepiece.\n 2. Look through the eyepiece.\n 3. The smallest circle or light that you can see is the \n eyepiece's exit pupil.\n 4. Adjust the aperture of the iris diaphragm in the \n condenser to 70% or 80% for the best contrast for \n observation (See Fig. 2.).\nFig. 2 - Condenser Diaphram Aperture\nExit Pupil\nof Objective\nAperture of\nDiaphragm\nTROUBLESHOOTING\nProblemP ossible CauseS olution\n1. Image not clear. 1.Specimen is in incorrect \n position.\n2. Lens is dirty.\n3. Cedar oil not placed on \n immersion objective.\n4. Bubbles in Cedar oil.\n5. Cedar oil on 40x objective.\n6. Iris diaphragm open too wide.\n1. Re-position specimen.\n2. Clean lens.\n3. Put a drop of Cedar oil on \n immersion objective.\n4. Rotate turret several times to \n eliminate bubbles.\n5. Clean 40x objective.\n6. Reduce size of iris diaphragm.\n1. Condenser position is incorrect.\n2. Lens is dirty.\n3. Specimen is not placed level. \n1. Re-position condenser.\n2. Clean lens.\n3. Re-position specimen so it is level.\n1. Iris diaphragm opening too small.\n2. Position of condenser too low.\n3. Lens is dirty.\n1. Open iris diaphragm wider.\n2. Raise condenser.\n3. Clean lens.\n1. Specimen is in incorrect position.1 . Re-position specimen.\n2. Poor illumination.\n3. Illumination not bright.\n4. Cannot focus at high \n magnification.\n1. Stage is too high.1 . Re-position stage.5. Objective lenses touch \n specimen.\n18", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "13\nUSING THE VERTICAL TUBE -\nMODELS AY11230/11234\n1. The vertical tube can be used for \n instructional viewing or to \nphotograph the image witrh a \ndigital camera or micro TV \nunit.\n2. Loosen the retention screw, then rotate \n the adjustment ring to change the \n length of the vertical tube.\n3. Make sure that both the images in \nOPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11230 Model AY11234\n14\nObjectives\nRevolving Turret\nCoarse \nAdjustment\nKnob\nMODEL AY11236\nMICROSCOPE USAGE\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \nCONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "15\nSPECIFICATIONS \n1. Length of mechanical tube: 160mm\n2. Conjugate distance between object and image: 195mm\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n4. Illumination: Input 110V or 200V; Output: 20W\n5. Fine adjustment range: .002mm\n6. Coarse Adjustment Range: 20mm\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n8. Condenser Elevation Range: 15mm\n9. Iris diaphragm aperture: 2mm-30mm\nObjective Specifications\nClassification Working \nDistance\nMagnificationOptical \nSystem\nNumerical\nAperture\nDry0 .1 37.42mm4x Adjustable\nFocus\nDry0 .65 0.57mm40x Spring\nAdjustable\nFocus\nOil\nImmer-\nsion\n1.25 0.18mm100x Spring\nAdjustable\nFocus\nDry0 .25 7.14mm10x\nAchromatic\nObjective\nNote: For oil immersion, please use the index of refraction 1.515 oil\nPlain Field \nEyepiece\n10x 18mm\nEyepiece Specifications\nClassification MagnificationF ield of View (FOV)\nDiameter\n10x\n40x\n100x\n400x\n4x\n10x\n40x (s)\n1000x100x (oil,s)\nTotal Magnification\nObjective\nMagnification Eyepiece\n16\nPARTS LIST\nOPERATION\n1. Remove all components from package. Identify all parts before \n assembling instrument.\n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only.\n3. Place the specimen on the stage and secure with spring clips.\n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm.\n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON.\n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen.\nName Qty\nMicroscope Stand\nAchromatic \nObjective\n4x (parfocal distance adjustable)\n1\n1\n2\n1\n1\n1\n1\n1\n10x Wide Field Eyepiece w/Pointer\nAbbe Condenser NA1.25\nPlastic Dust Cover\nLens Cleaning Tissue\n1Cedar Oil\n11A Fuse (spare)\nSpare 6V20W Halogen Bulb\nSpecification\nInspection Certificate\nPacking List\n1\n1\n1\n10x 1\n40x (s) (parfocal distance adjustable)\n100x (oil,s) (parfocal distance adjustable)\n1", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "5\nOPERATION (cont.)\nUSING THE 5-HOLE DIAPHRAGM\n1. To obtain the best contrast for observing, match the hole size to \n the objective that is being used to view the specimen. \n2. Each hole has a corresponding number from 1 to 5. 1 is the \n smallest hole; 5 is the largest hole.\n Use the following guidelines to match the hole number to the \n objective that you have selected: \n 40x objective: Use #5 hole\n 10x objective: Use #4 or #3 hole\n 4x objective: Use #2 or #1 hole\nCOARSE KNOB ADJUSTMENT - Model AY11240\n1. The coarse adjustment knob has an adjustable heavy-light nut \n (See Fig.1).\n2. To adjust the knob loosen or tighten the nut.\n NOTE: Adjusting the nut too tight will make focusing difficult. \n Adjusting the nut too loose will cause the tube to slide. \nHeavy-Light\nAdjustment Nut\nFig. 1- Coarse Adjustment Knob\n7. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter.\n8. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus.\n6. To clearly see the outline of the \n specimen, rotate the coarse \n adjustment knob and lower \n the barrel to the space limiter.\n7. Rotate the fine adjustment knob \n until the image is in sharp focus. \n When using other objectives, rotate \n the fine focus adjustment until the \n image is in focus.\nModel AY11240 Model AY11238\n6\nMODEL AY11228/AY11232\nMICROSCOPE USAGE\nBARSKA Model AY11228 and Model AY11232 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction.\nCONSTRUCTION\nBARSKA Model AY11228 is a fixed power stereo microscope. It is \nconstructed with two optical paths at the same angle. It is \nequipped with transmitted illumination and oblique illumination. \nBy using this instrument, the user can observe and enlarge the \nright side stereo image. BARSKA Model AY11232 is a zoom stereo \nmicroscope. The object being viewed is enlarged through two \nidentical sized sets of right and left eye lenses. The zoom provides \ndifferent magnification and features an inversion system which \nallows the image to be viewed normally and right side up.\nModel AY11228 Model AY11232\nDiopter\nAdjustment\nDiopter\nAdjustment\nPrism\nCap\nPrism\nCap\nEyepiece\nStage\nLens\nStage\nVertical \nPole\nIllumination\nControls\nRotary\nCase\nIllumination\nControls\nSpring \nClips\nSpring \nClips\nFocus\nKnob\nFocus\nKnob\nMagnification\nAdjustment\nKnob\nFocus\nKnob\nTightening\nKnob\nOblique\nIlluminator\nOblique\nIlluminator\nLens \nHousing\nEyepiece", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "illumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is \nenlarged through two identical sized sets of right and left eye \nlenses. The zoom provides different magnification and features an \ninversion system which allows the image to be viewed normally \nand right side up.\n109\nModel AY11230 Model AY11234\nDiopter\nAdjustment Diopter\nAdjustment\nPrism\nCap\nPrism\nCap\nEyepiece\nStage\nLens\nStage\nVertical \nTube\nVertical \nTube\nIllumination\nControls\nRotary\nCase\nSpring \nClips\nSpring \nClips\nFocus\nKnob\nMagnification\nAdjustment\nKnob\nFocus\nKnob\nTightening\nKnob\nOblique\nIlluminatorOblique\nIlluminator\nLens \nHousing\nEyepiece\nIllumination\nControls", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "CONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \nModel AY11236\nFine \nAdjustment\nKnob\nStage\nCondenser \nFocusing\nKnob\nEyepiece\nStand\nLamp \nOn/Off\nSwitch\nLamp \nPower\nCord\nRotating Head\nStage Clip\nAdjustment\nInterpupillary Slide Adjustment", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image\nstacks with a 2- to 3- mm interval in the Z-axis were obtained\nthrough a 203dry lens (0.8 NA) with the confocal aperture set to 1\nAiry unit or less. All image capture was performed using Zen Blue\nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany),\nand analyses were performed using Zen Blue or FIJI. 45\n2.5. Image analysis\nDuring all image quantification, the experimenter was blind to the\nexperimental groups. For quantification of the total number of cells\nwithin the DRG, a modified optical dissector stereological method\nwas used 11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To\naccount for tissue shrinkage duringprocessing, the mean thickness\n(t) of each section on one slide (ie, 1 in 5 sections) was calculated by\ntaking the mean of the thickest and thinnest cell-containing regions\n(ie, not fiber tract-containing regions) of the section (NB: no optical\ncorrection to thickness was applied; given the use of a dry lens, this\nvalue will not reflect actual section thickness, though this was kept\nconsistent throughout the study). The cell-containing, cross-\nsectional area ( a) was then calculated, using the middle optical\nsection from the series and drawi ng around the cell-containing\nregions. Section volume (Vsec) was then calculated:\nVsec ¼ t 3a\nUsing the Cavalieri principle, the cell-containing volume of the\nDRG was calculated 11:\nVDRG ¼ /C22a 3/C22t 3l\nwhere /C22a 5 mean cell-containing cross-sectional area, /C22t 5\nmean section thickness, and l 5“length” of the DRG (determined\nfrom the total number of sections collected). The number of\nneurons per section ( Nsec) was quantified in all immunostained\nsections. This included only neurons with a visible nucleus (in the\nNeuN channel), excluded cells with a nucleus visible within the\ntop frame of the Z-stack, and included any neurons with a nucleus\nvisible in any other field within Z-stack, including the bottom frame\nof Z-stack. The cell density or the number of cells per unit vol (Nv)\nwas then calculated:\nNv ¼ Nsec\nVsec\nFinally, the total number of cells per DRG ( NDRG) was\ncalculated:\nNDRG ¼ Nv 3VDRG\nFor quantification of the proportion of FB-labelled cells co-\nlabelled with afferent subpopulation markers, initially, the total\nnumber of FB-filled neuronal cell profiles with a visible nucleus\nanywhere within the section was counted, with the observer blind\nto other channels. The other channel was then revealed, and\ninstances of co-labelling were quantified. No stereological\ncorrection was applied, given that the similar size of neuronal\nnuclei would prevent over-counts of large neurons and that no\ncomparisons of the total number of labelled cells were made. For\nsoma area analyses, the area of neuronal soma expressing the\nappropriate marker was measured in the optical section within\nthe Z-stack in which that neuron was at its largest, by drawing\naround the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n2.6. Tissue clearing and 3D volumetric analyses\nDorsal root ganglia were extracted from animals 4 weeks post-\nSNItrans for whole DRG analyses. In this study, tissue was extracted\nfrom a combination of MrgD CreERT2;Ai14, Th CreERT2;Ai14, and\nCalcaCreERT2;Ai14 lines (mixed sex). 3 One month after SNI trans,\nanimals were transcardially perfused with sterile saline followed by\na fixative containing 4% formaldehyde. Ipsilateral and contralateral\nL4 DRG were removed and postfixed for 24 hours on a shaker at\nroom temperature before being washed in PBS and stored\nat 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol\nin PBS) until clearing. Tissue clearing was then performed as\npreviously described. 67 In brief, the tissue was exposed to\na gradient of 1-propanol containing 0.3% triethylamine (30, 50,\n75, 90, 95, 100, 100%) and washed in this solution at 37˚C for\n24 hours. The tissue was then rehydrated in PBS and labelled with\nprimary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "The illumination of my AY11236 microscope is not very strong, what can I do to solve this?", - "target_page": 10, - "target_passage": "1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "5\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s40/s98/s41/s32/s77/s110/s32/s84/s69/s89\n/s32\n/s45/s48/s46/s50\n/s45/s48/s46/s49\n/s48/s46/s48\n/s48/s46/s49\n/s48/s46/s50\n/s32\n/s40/s97/s41/s32/s70/s101/s32/s84/s69/s89\n/s32\n/s88/s77/s67/s68/s32/s97/s115/s121/s109/s109/s101/s116/s114/s121\n/s45/s50/s53/s48 /s48 /s50/s53/s48 /s53/s48/s48 /s55/s53/s48 /s49/s48/s48/s48\n/s45/s48/s46/s48/s48/s52\n/s48/s46/s48/s48/s48\n/s48/s46/s48/s48/s52\n/s70/s105/s101/s108/s100/s32/s32/s40/s79/s101/s41\n/s40/s99/s41/s32/s77/s110/s32/s70/s89\n/s32\n/s32\nFIG. 2. (color online) XMCD asymmetry versus applied field\nalong the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As\n(10 nm) film. (a) FeL3, total electron yield; (b) Mn L3,\ntotal electron yield; (c) Mn L3, fluorescent yield. Black and\nred points are data for increasing and decreasing fields resp ec-\ntively; lines are to guide the eye.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "OPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet before changing the \n bulb.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11228 Model AY11232\nMODEL AY11230/AY11234\nMICROSCOPE USAGE\nBARSKA Model AY11230 and Model AY11234 are trinocular \nmicroscopes designed for biological studies such as specimen \nexamination. They can also be used for examining bacteria and for \ngeneral clinical and medical studies. Simple design and use and the \nvertical tube make them is useful for school classroom instruction.\nCONSTRUCTION\nBARSKA Model AY11230 is a fixed power trinocular stereo \nmicroscope. It is constructed with two optical paths at the same \nangle. It is equipped with transmitted illumination and oblique \nillumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "CONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is \nequipped with transmitted illumination. By using this instrument, \nthe user can observe specimens at magnification from 40x to \n1000x by selecting the desired objective lens. Coarse and fine \nfocus adjustments provide accuracy and image detail. The rotating \nhead allows the user to position the eyepieces for maximum \nviewing comfort and easy access to all adjustment knobs. \nModel AY11236\nFine \nAdjustment\nKnob\nStage\nCondenser \nFocusing\nKnob\nEyepiece\nStand\nLamp \nOn/Off\nSwitch\nLamp \nPower\nCord\nRotating Head\nStage Clip\nAdjustment\nInterpupillary Slide Adjustment", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "illumination. By using this instrument, the user can observe and \nenlarge the right side stereo image. BARSKA Model AY11234 is a \nzoom trinocular stereo microscope. The object being viewed is \nenlarged through two identical sized sets of right and left eye \nlenses. The zoom provides different magnification and features an \ninversion system which allows the image to be viewed normally \nand right side up.\n109\nModel AY11230 Model AY11234\nDiopter\nAdjustment Diopter\nAdjustment\nPrism\nCap\nPrism\nCap\nEyepiece\nStage\nLens\nStage\nVertical \nTube\nVertical \nTube\nIllumination\nControls\nRotary\nCase\nSpring \nClips\nSpring \nClips\nFocus\nKnob\nMagnification\nAdjustment\nKnob\nFocus\nKnob\nTightening\nKnob\nOblique\nIlluminatorOblique\nIlluminator\nLens \nHousing\nEyepiece\nIllumination\nControls", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "11\nSPECIFICATIONS \nModel AY11230\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: 60mm\n4. Elevator Adjustment Range: 110mm\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique illumination: 12V 10W Halogen Lamp\nOptical Specifications - Model AY11230\n20x, 40x\nObjective Zoom Scale\n- 0.5x\n95\n7x-\n45x\n28.6-\n4.4\n3.5x-\n22.5x\n5.3x-\n33.8x\n10.5x-\n67.5x\n14x-\n90x\n57.2-\n8.8\n38.1-\n5.9\n19.0-\n2.9\n14.3-\n2.2\n156 102 44 30\n0.75x 1.5x 2xAccessory Large Objective\nWorking Distance (mm)\nWF10x/20mm\nTotal Magnification\nField of View Objective Dia. (mm)\n8.8x-\n56x\n25.7-\n4.0\n4.4x-\n28x\n6.6x-\n42x\n13.2x-\n84x\n17.6x-\n112x\n51.4-\n8\n34.3-\n5.3\n17.1-\n2.7\n12.9-\n2.0\nWF12.5x/18mm\nTotal Magnification\nField of View Objective Dia. (mm)\n10.5x-\n67.5x\n22.9-\n3.6\n5.3x-\n33.8x\n7.9x-\n58.6x\n15.7x-\n101x\n21x-\n135x\n45.8-\n7.2\n30.5-\n4.8\n15.3-\n24\n11.5-\n1.8\nWF15x/16mm\nTotal Magnification\nField of View Objective Dia. (mm)\n14x-\n90x\n17.0-\n2.7\n7x-\n45x\n10.5x-\n67.5x\n21x-\n135x\n28x-\n180x\n34.0-\n5.4\n22.7-\n3.6\n11.3-\n1.8\n8.5-\n1.4\nWF20x/12mm\nTotal Magnification\nField of View Objective Dia. (mm)\n17.5x-\n112.5x\n12.9-\n2.0\n8.8x-\n56.3x\n13x-\n84.4x\n26.3x-\n169x\n35x-\n225x\n25.8-\n4.0\n17.2-\n2.7\n8.6-\n1.3\n6.5-\n1.0\nWF25x/9mm\nTotal Magnification\nField of View Objective Dia. (mm)\n2x, 4x 90mmWide Field 10x, 20mm\nTotal\nMagnification\nWorking DistanceEyepiece Magnification\n& Field Diameter (mm)\nObjective\nMagnification\nOptical Specifications - Model AY11234\nModel AY11234\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: >50mm\n4. Elevator Adjustment Range: 110mm\n5. Diopter Adjustment Range: +/- 5 diopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique Illumination: 12V 10W Halogen Lamp\n Transmitted Illumination: 12V 10W Halogen Lamp\n12\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down.\n3. Fix the binocular body on the stand \n with the tightening screw.\n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nName\nModel AY11230\nModel AY11230 Model AY11234\nModel AY11234\nQty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n10V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1\nDust Cover1\nBlack/White Working Stage1\nSpecifications 1\nPacking Slip 1\nQuality Inspection Certificate1\n1 ea.\n(spare)\nName Qty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n12V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "15\nSPECIFICATIONS \n1. Length of mechanical tube: 160mm\n2. Conjugate distance between object and image: 195mm\n3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n4. Illumination: Input 110V or 200V; Output: 20W\n5. Fine adjustment range: .002mm\n6. Coarse Adjustment Range: 20mm\n7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n8. Condenser Elevation Range: 15mm\n9. Iris diaphragm aperture: 2mm-30mm\nObjective Specifications\nClassification Working \nDistance\nMagnificationOptical \nSystem\nNumerical\nAperture\nDry0 .1 37.42mm4x Adjustable\nFocus\nDry0 .65 0.57mm40x Spring\nAdjustable\nFocus\nOil\nImmer-\nsion\n1.25 0.18mm100x Spring\nAdjustable\nFocus\nDry0 .25 7.14mm10x\nAchromatic\nObjective\nNote: For oil immersion, please use the index of refraction 1.515 oil\nPlain Field \nEyepiece\n10x 18mm\nEyepiece Specifications\nClassification MagnificationF ield of View (FOV)\nDiameter\n10x\n40x\n100x\n400x\n4x\n10x\n40x (s)\n1000x100x (oil,s)\nTotal Magnification\nObjective\nMagnification Eyepiece\n16\nPARTS LIST\nOPERATION\n1. Remove all components from package. Identify all parts before \n assembling instrument.\n2. Attach 4x, 10x and 40x objectives by screwing into revolving \n turret. Tighten and secure to maximum finger pressure only.\n3. Place the specimen on the stage and secure with spring clips.\n NOTE: The cover glass must face upward (the thinner glass is \n the cover glass), otherwise when the 40x objective is used the \n specimen cannot be observed. Observation is best when the \n thickness of the cover glass is 0.1-1.1mm and the cover glass \n is 0.17mm.\n4. Plug power cord into an electrical outlet. Turn microscope \n lamp ON.\n5. Observe the specimen using the lowest magnification objective \n first. The 10x objective provides a larger field of view making it \n easier to search the specimen.\nName Qty\nMicroscope Stand\nAchromatic \nObjective\n4x (parfocal distance adjustable)\n1\n1\n2\n1\n1\n1\n1\n1\n10x Wide Field Eyepiece w/Pointer\nAbbe Condenser NA1.25\nPlastic Dust Cover\nLens Cleaning Tissue\n1Cedar Oil\n11A Fuse (spare)\nSpare 6V20W Halogen Bulb\nSpecification\nInspection Certificate\nPacking List\n1\n1\n1\n10x 1\n40x (s) (parfocal distance adjustable)\n100x (oil,s) (parfocal distance adjustable)\n1", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "13\nUSING THE VERTICAL TUBE -\nMODELS AY11230/11234\n1. The vertical tube can be used for \n instructional viewing or to \nphotograph the image witrh a \ndigital camera or micro TV \nunit.\n2. Loosen the retention screw, then rotate \n the adjustment ring to change the \n length of the vertical tube.\n3. Make sure that both the images in \nOPERATION (cont.)\nSELECTING OBJECTIVE \nMAGNIFICATION \n1. There are two objectives. The lower \n magnification objective has a greater \n depth of field and view.\n2. In order to observe the specimen \n easily use the lower magnification \n objective first. Then, by rotating the \n case, the magnification can be \n changed.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nFOCUSING\n1. Remove the lens protective cover.\n2. Place the specimen on the working \n stage.\n3. Focus the specimen with the left eye \n first while turning the focus knob until \n the image appears clear and sharp.\n4. Rotate the right eyepiece ring until the \n images in each eyepiece coincide and \n are sharp and clear.\nCHANGING THE BULB\n1. Disconnect the power cord.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate and \n replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\nFOCUSING\n1. Turn the focusing knob away or toward \n you until a clear image is viewed.\n2. If the image is unclear, adjust the \n height of the elevator up or down, \n then turn the focusing knob again.\nZOOM MAGNIFICATION\n1. Turn the zoom magnification knob to \n the desired magnification and field of \n view.\n2. In most situations, it is recommended \n that you focus at the lowest \n magnification, then move to a higher \n magnification and re-focus as \n necessary.\n3. If the image is not clear to both eyes \n at the same time, the diopter ring may \n need adjustment.\nDIOPTER RING ADJUSTMENT\n1. To adjust the eyepiece for viewing with \n or without eyeglasses and for \n differences in acuity between the right \n and left eyes, follow the following \n steps:\n a. Observe an image through the left \n eyepiece and bring a specific point \n into focus using the focus knob.\n b. By turning the diopter ring \n adjustment for the left eyepiece, \n bring the same point into sharp \n focus.\n c.Then bring the same point into \n focus through the right eyepiece \n by turning the right diopter ring.\n d.With more than one viewer, each \n viewer should note their own \n diopter ring position for the left \n and right eyepieces, then before \n viewing set the diopter ring \n adjustments to that setting.\nCHANGING THE BULB\n1. Disconnect the power cord from the \n electrical outlet.\n2. When the bulb is cool, remove the \n oblique illuminator cap and remove \n the halogen bulb with cap.\n3. Replace with a new halogen bulb.\n4. Open the window in the base plate \n and replace the halogen lamp or \n fluorescent lamp of transmitted \n illuminator.\n \nModel AY11230 Model AY11234\n14\nObjectives\nRevolving Turret\nCoarse \nAdjustment\nKnob\nMODEL AY11236\nMICROSCOPE USAGE\nBARSKA Model AY11236 is a powerful fixed power compound \nmicroscope designed for biological studies such as specimen \nexamination. It can also be used for examining bacteria and \nfor general clinical and medical studies and other scientific uses. \nCONSTRUCTION\nBARSKA Model AY11236 is a fixed power compound microscope. \nIt is constructed with two optical paths at the same angle. It is", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "7\nSPECIFICATIONS \nModel AY11228\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: 60mm\n4. Elevator Adjustment Range: 110mm\n5. Right Diopter Adjustment Range: +4 to -6 dopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique illumination: 12V 10W Halogen Lamp\nOptical Specifications - Model AY11228\n20x, 40x\nObjective Zoom Scale\n- 0.5x\n95\n7x-\n45x\n28.6-\n4.4\n3.5x-\n22.5x\n5.3x-\n33.8x\n10.5x-\n67.5x\n14x-\n90x\n57.2-\n8.8\n38.1-\n5.9\n19.0-\n2.9\n14.3-\n2.2\n156 102 44 30\n0.75x 1.5x 2xAccessory Large Objective\nWorking Distance (mm)\nWF10x/20mm\nTotal Magnification\nField of View Objective Dia. (mm)\n8.8x-\n56x\n25.7-\n4.0\n4.4x-\n28x\n6.6x-\n42x\n13.2x-\n84x\n17.6x-\n112x\n51.4-\n8\n34.3-\n5.3\n17.1-\n2.7\n12.9-\n2.0\nWF12.5x/18mm\nTotal Magnification\nField of View Objective Dia. (mm)\n10.5x-\n67.5x\n22.9-\n3.6\n5.3x-\n33.8x\n7.9x-\n58.6x\n15.7x-\n101x\n21x-\n135x\n45.8-\n7.2\n30.5-\n4.8\n15.3-\n24\n11.5-\n1.8\nWF15x/16mm\nTotal Magnification\nField of View Objective Dia. (mm)\n14x-\n90x\n17.0-\n2.7\n7x-\n45x\n10.5x-\n67.5x\n21x-\n135x\n28x-\n180x\n34.0-\n5.4\n22.7-\n3.6\n11.3-\n1.8\n8.5-\n1.4\nWF20x/12mm\nTotal Magnification\nField of View Objective Dia. (mm)\n17.5x-\n112.5x\n12.9-\n2.0\n8.8x-\n56.3x\n13x-\n84.4x\n26.3x-\n169x\n35x-\n225x\n25.8-\n4.0\n17.2-\n2.7\n8.6-\n1.3\n6.5-\n1.0\nWF25x/9mm\nTotal Magnification\nField of View Objective Dia. (mm)\n2x, 4x 90mmWide Field 10x, 20mm\nTotal\nMagnification\nWorking DistanceEyepiece Magnification\n& Field Diameter (mm)\nObjective\nMagnification\nOptical Specifications - Model AY11232\nModel AY11232\n1. Interpupillary Adjustment: 55mm - 75mm\n2. Working Stage Diameter: 95mm\n3. Focus Knob Adjustment Range: >50mm\n4. Elevator Adjustment Range: 110mm\n5. Diopter Adjustment Range: +/- 5 diopters\n6. Illumination: \n Input Voltage: 110V AC or 220V\n Output: Oblique Illumination: 12V 10W Halogen Lamp\n Transmitted Illumination: 12V 10W Halogen Lamp\n8\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Tighten the knob on the stand to \n prevent the elevator from sliding \n down.\n3. Fix the binocular body on the stand \n with the tightening screw.\n4. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment knobs \n change the oblique or transmitted \n light independently. The transmitted \n illuminator fluorescent lamp cannot \n be adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting \n of the sample. \n1. Remove components from package. \n identify all parts before assembling. \n2. Check the input voltage to ensure that \n it conforms to the microscopes \n requirement.\nSELECTING THE ILLUMINATION \n1. Depending on microscope use, select \n oblique or transmitted illumination. \n2. The Brightness Adjustment Knobs \n change the oblique or transmitted light \n independently. The transmitted \n illuminator fluorescent lamp cannot be \n adjusted.\n3. The angle of the oblique lamp can be \n adjusted to ensure optimum lighting of \n the sample.\nCHANGING THE INTERPUPILLARY \nDISTANCE\n1. The distance between the observer's \n pupils is the interpupillary distance. \n2. To adjust the interpupillary distance \n rotate the prism caps until both eyes \n coincide with the image in the \n eyepiece. \n \nName\nModel AY11228\nModel AY11228 Model AY11232\nModel AY11232\nQty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n10V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1\nDust Cover1\nBlack/White Working Stage1\nSpecifications 1\nPacking Slip 1\nQuality Inspection Certificate1\n1 ea.\n(spare)\nName Qty\nBinocular Body (incl. 2x, 4x obj.)1\n10x Wide Field Eyepiece 2\nEyeshade\n12V 10W Halogen Lamp \n12V 10W Halogen Lamp w/cup\n2\nFuse 2A (spare)1\nLens Cleaning Tissue1", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "4\n/s48 /s52/s48 /s56/s48\n/s52\n/s53\n/s45/s49/s48/s48/s48 /s48 /s49/s48/s48/s48\n/s45/s52\n/s45/s50\n/s48\n/s50\n/s52\n/s72\n/s69\n/s32/s40/s79/s101/s41\n/s32/s65/s112/s112/s108/s105/s101/s100/s32/s102/s105/s101/s108/s100/s32/s40/s79/s101/s41\n/s77/s111/s109/s101/s110/s116/s32/s40/s49/s48\n/s45/s53\n/s32/s101/s109/s117/s41\n/s48 /s50/s48 /s52/s48\n/s48\n/s49/s48/s48\n/s50/s48/s48\n/s51/s48/s48\n/s32\n/s32\n/s100/s32/s40/s110/s109/s41\n/s72/s32/s61/s32/s48/s46/s53/s32/s107/s79/s101\n/s72/s32/s61/s32/s48\n/s32\n/s32\n/s84/s32/s40/s75/s41\n/s32\nFIG. 1. (color) Main figure: Major (red/black) and minor\n(green) hysteresis loops along the [110] axis at 5 K, for a\nFe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop\nfor a control (Ga,Mn)As (20 nm) film along the same axis\n(blue). Left inset: Magnetization versus temperature for the\nFe/(Ga,Mn)As film at remanence (black) and under a 500 Oe\napplied field (red). Right inset: Exchange bias field versus\nthicknessd of the (Ga,Mn)As film (points) and fit showing\n1/d dependence (dashed line).\nM. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P.\nCampion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van\nder Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B\n73, 165205 (2006).\n16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y.\nWang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G.\nvan der Laan, and E. Arenholz, J. Appl. Phys.102, 023902\n(2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image\nstacks with a 2- to 3- mm interval in the Z-axis were obtained\nthrough a 203dry lens (0.8 NA) with the confocal aperture set to 1\nAiry unit or less. All image capture was performed using Zen Blue\nEdition software (Carl Zeiss Microscopy GmbH, Jena, Germany),\nand analyses were performed using Zen Blue or FIJI. 45\n2.5. Image analysis\nDuring all image quantification, the experimenter was blind to the\nexperimental groups. For quantification of the total number of cells\nwithin the DRG, a modified optical dissector stereological method\nwas used 11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To\naccount for tissue shrinkage duringprocessing, the mean thickness\n(t) of each section on one slide (ie, 1 in 5 sections) was calculated by\ntaking the mean of the thickest and thinnest cell-containing regions\n(ie, not fiber tract-containing regions) of the section (NB: no optical\ncorrection to thickness was applied; given the use of a dry lens, this\nvalue will not reflect actual section thickness, though this was kept\nconsistent throughout the study). The cell-containing, cross-\nsectional area ( a) was then calculated, using the middle optical\nsection from the series and drawi ng around the cell-containing\nregions. Section volume (Vsec) was then calculated:\nVsec ¼ t 3a\nUsing the Cavalieri principle, the cell-containing volume of the\nDRG was calculated 11:\nVDRG ¼ /C22a 3/C22t 3l\nwhere /C22a 5 mean cell-containing cross-sectional area, /C22t 5\nmean section thickness, and l 5“length” of the DRG (determined\nfrom the total number of sections collected). The number of\nneurons per section ( Nsec) was quantified in all immunostained\nsections. This included only neurons with a visible nucleus (in the\nNeuN channel), excluded cells with a nucleus visible within the\ntop frame of the Z-stack, and included any neurons with a nucleus\nvisible in any other field within Z-stack, including the bottom frame\nof Z-stack. The cell density or the number of cells per unit vol (Nv)\nwas then calculated:\nNv ¼ Nsec\nVsec\nFinally, the total number of cells per DRG ( NDRG) was\ncalculated:\nNDRG ¼ Nv 3VDRG\nFor quantification of the proportion of FB-labelled cells co-\nlabelled with afferent subpopulation markers, initially, the total\nnumber of FB-filled neuronal cell profiles with a visible nucleus\nanywhere within the section was counted, with the observer blind\nto other channels. The other channel was then revealed, and\ninstances of co-labelling were quantified. No stereological\ncorrection was applied, given that the similar size of neuronal\nnuclei would prevent over-counts of large neurons and that no\ncomparisons of the total number of labelled cells were made. For\nsoma area analyses, the area of neuronal soma expressing the\nappropriate marker was measured in the optical section within\nthe Z-stack in which that neuron was at its largest, by drawing\naround the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n2.6. Tissue clearing and 3D volumetric analyses\nDorsal root ganglia were extracted from animals 4 weeks post-\nSNItrans for whole DRG analyses. In this study, tissue was extracted\nfrom a combination of MrgD CreERT2;Ai14, Th CreERT2;Ai14, and\nCalcaCreERT2;Ai14 lines (mixed sex). 3 One month after SNI trans,\nanimals were transcardially perfused with sterile saline followed by\na fixative containing 4% formaldehyde. Ipsilateral and contralateral\nL4 DRG were removed and postfixed for 24 hours on a shaker at\nroom temperature before being washed in PBS and stored\nat 280˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol\nin PBS) until clearing. Tissue clearing was then performed as\npreviously described. 67 In brief, the tissue was exposed to\na gradient of 1-propanol containing 0.3% triethylamine (30, 50,\n75, 90, 95, 100, 100%) and washed in this solution at 37˚C for\n24 hours. The tissue was then rehydrated in PBS and labelled with\nprimary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What event marks the beginning of the field of artificial intelligence?", - "target_page": 22, - "target_passage": "The field of AI research was founded at a workshop at Dartmouth College in 1956.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the\nnear and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks.[314]\n28 countries including the United States, China, and the European Union issued a declaration at the start\nof the summit, calling for international co-operation to manage the challenges and risks of artificial\nintelligence.[315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety\ncommitments on the development of AI.[317][318]\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity.\nThe study of logic led directly to Alan Turing's theory of computation, which suggested that a machine,\nby shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical\nreasoning.[319][320] This, along with concurrent discoveries in cybernetics, information theory and\nneurobiology, led researchers to consider the possibility of building an \"electronic brain\".[r] They\ndeveloped several areas of research that would become part of AI,[322] such as McCullouch and Pitts\ndesign for \"artificial neurons\" in 1943,[115] and Turing's influential 1950 paper 'Computing Machinery\nand Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was\nplausible.[323][320]\nThe field of AI research was founded at a workshop at Dartmouth College in 1956.[s][6] The attendees\nbecame the leaders of AI research in the 1960s.[t] They and their students produced programs that the\npress described as \"astonishing\":[u] computers were learning checkers strategies, solving word problems\nin algebra, proving logical theorems and speaking English.[v][7] Artificial intelligence laboratories were\nset up at a number of British and U.S. universities in the latter 1950s and early 1960s.[320]\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in\ncreating a machine with general intelligence and considered this the goal of their field.[327] In 1965\nHerbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can\ndo\".[328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating\n'artificial intelligence' will substantially be solved\".[329] They had, however, underestimated the difficulty\nof the problem.[w] In 1974, both the U.S. and British governments cut off exploratory research in\nresponse to the criticism of Sir James Lighthill[331] and ongoing pressure from the U.S. Congress to fund\nmore productive projects.[332] Minsky's and Papert's book Perceptrons was understood as proving that\nartificial neural networks would never be useful for solving real-world tasks, thus discrediting the\napproach altogether.[333] The \"AI winter\", a period when obtaining funding for AI projects was difficult,\nfollowed.[9]\nIn the early 1980s, AI research was revived by the commercial success of expert systems,[334] a form of\nAI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for\nAI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired\nthe U.S. and British governments to restore funding for academic research.[8] However, beginning with\nthe collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longer-\nlasting winter began.[10]\nHistory", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Artificial intelligence\nArtificial intelligence (AI), in its broadest sense, is intelligence exhibited by machines, particularly\ncomputer systems. It is a field of research in computer science that develops and studies methods and\nsoftware that enable machines to perceive their environment and use learning and intelligence to take\nactions that maximize their chances of achieving defined goals.[1] Such machines may be called AIs.\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search);\nrecommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google\nAssistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,\nChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\napplications, often without being called AI because once something becomes useful enough and common\nenough it's not labeled AI anymore.\"[2][3]\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\ntraditional goals of AI research include reasoning, knowledge representation, planning, learning, natural\nlanguage processing, perception, and support for robotics.[a] General intelligence—the ability to complete\nany task performed by a human on an at least equal level—is among the field's long-term goals.[4] To\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\nsearch and mathematical optimization, formal logic, artificial neural networks, and methods based on\nstatistics, operations research, and economics.[b] AI also draws upon psychology, linguistics, philosophy,\nneuroscience, and other fields.[5]\nArtificial intelligence was founded as an academic discipline in 1956,[6] and the field went through\nmultiple cycles of optimism throughout its history,[7][8] followed by periods of disappointment and loss of\nfunding, known as AI winters.[9][10] Funding and interest vastly increased after 2012 when deep learning\noutperformed previous AI techniques.[11] This growth accelerated further after 2017 with the transformer\narchitecture,[12] and by the early 2020s many billions of dollars were being invested in AI and the field\nexperienced rapid ongoing progress in what has become known as the AI boom. The emergence of\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\nseveral unintended consequences and harms in the present and raised concerns about the risks of AI and\nits long-term effects in the future, prompting discussions about regulatory policies to ensure the safety\nand benefits of the technology.\nGoals", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The word \"robot\" itself was coined by Karel\nČapek in his 1921 play R.U.R., the title\nstanding for \"Rossum's Universal Robots\".\nEdward Fredkin argues that \"artificial intelligence is the next step in evolution\", an idea first proposed by\nSamuel Butler's \"Darwin among the Machines\" as far back as 1863, and expanded upon by George\nDyson in his 1998 book Darwin Among the Machines: The Evolution of Global Intelligence.[398]\nThought-capable artificial beings have appeared as\nstorytelling devices since antiquity,[399] and have been a\npersistent theme in science fiction.[400]\nA common trope in these works began with Mary Shelley's\nFrankenstein, where a human creation becomes a threat to\nits masters. This includes such works as Arthur C. Clarke's\nand Stanley Kubrick's 2001: A Space Odyssey (both 1968),\nwith HAL 9000, the murderous computer in charge of the\nDiscovery One spaceship, as well as The Terminator (1984)\nand The Matrix (1999). In contrast, the rare loyal robots\nsuch as Gort from The Day the Earth Stood Still (1951) and\nBishop from Aliens (1986) are less prominent in popular culture.[401]\nIsaac Asimov introduced the Three Laws of Robotics in many stories, most notably with the \"Multivac\"\nsuper-intelligent computer. Asimov's laws are often brought up during lay discussions of machine\nethics;[402] while almost all artificial intelligence researchers are familiar with Asimov's laws through\npopular culture, they generally consider the laws useless for many reasons, one of which is their\nambiguity.[403]\nSeveral works use AI to force us to confront the fundamental question of what makes us human, showing\nus artificial beings that have the ability to feel, and thus to suffer. This appears in Karel Čapek's R.U.R.,\nthe films A.I. Artificial Intelligence and Ex Machina, as well as the novel Do Androids Dream of Electric\nSheep?, by Philip K. Dick. Dick considers the idea that our understanding of human subjectivity is altered\nby technology created with artificial intelligence.[404]\nArtificial intelligence and elections – Use and impact of AI on political elections\nArtificial intelligence content detection – Software to detect AI-generated content\nBehavior selection algorithm – Algorithm that selects actions for intelligent agents\nBusiness process automation – Automation of business processes\nCase-based reasoning – Process of solving new problems based on the solutions of similar\npast problems\nComputational intelligence – Ability of a computer to learn a specific task from data or\nexperimental observation\nDigital immortality – Hypothetical concept of storing a personality in digital form\nEmergent algorithm – Algorithm exhibiting emergent behavior\nFemale gendering of AI technologies – Gender biases in digital technology\nIn fiction\nSee also", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for\nthe Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w\neb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html).\nArchived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.\nhtml) on 26 August 2007. Retrieved 30 August 2007.\nMcCarthy, John (2007), \"From Here to Human-Level AI\", Artificial Intelligence, p. 171\nMcCarthy, John (1999), What is AI? (http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde\nx.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi\ncial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved\n4 December 2022\nMcCauley, Lee (2007). \"AI armageddon and the three laws of robotics\". Ethics and Information\nTechnology. 9 (2): 153–164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo\nc/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007%\n2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729\n49).\nMcGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge\ndiscovery\". The Knowledge Engineering Review. 20 (1): 39–61.\ndoi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408).\nS2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656).\nMcGaughey, E (2022), Will Robots Automate Your Job Away? Full Employment, Basic Income,\nand Economic Democracy (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448),\np. 51(3) Industrial Law Journal 511–559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213\n9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364\n39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract_id=3044448),\narchived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper\ns.cfm?abstract_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023\nMerkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall,\nGraham (eds.). Search Methodologies: Introductory Tutorials in Optimization and Decision\nSupport Techniques. Springer Science & Business Media. ISBN 978-1-4614-6940-7.\nMinsky, Marvin (1967), Computation: Finite and Infinite Machines, Englewood Cliffs, N.J.:\nPrentice-Hall\nMoravec, Hans (1988). Mind Children (https://archive.org/details/mindchildrenfutu00mora).\nHarvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2\n0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26\nJuly 2020. Retrieved 18 November 2019.\nMorgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new\ns/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a\nnd-anxiety). The Economist. Archived (https://web.archive.org/web/20180112214621/https://\nwww.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une\nmployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved\n13 January 2018.\nMüller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among\nExperts\" (http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF). AI Matters. 1 (1): 9–11.\ndoi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478).\nS2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web.\narchive.org/web/20160115114604/http://www.sophia.de/pdf/2014_PT-AI_polls.pdf) (PDF)\nfrom the original on 15 January 2016.\nNeumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\".\nImage and Vision Computing. 26 (1): 82–101. doi:10.1016/j.imavis.2007.08.013 (https://doi.\norg/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co\nrpusID:10767011).", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent\nmental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt\nthat this approach would be able to imitate all the processes of human cognition, especially perception,\nrobotics, learning and pattern recognition,[335] and began to look into \"sub-symbolic\" approaches.[336]\nRodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that\nmove and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete\nand uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most\nimportant development was the revival of \"connectionism\", including neural network research, by\nGeoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural\nnetworks can recognize handwritten digits, the first of many successful applications of neural\nnetworks.[343]\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\nmathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"\nfocus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,\neconomics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\nthe AI effect).[345] However, several academic researchers became concerned that AI was no longer\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\nfounded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded\ninstitutions by the 2010s.[4]\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11]\nFor many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both\nhardware improvements (faster computers,[347] graphics processing units, cloud computing[348]) and\naccess to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's\nsuccess led to an enormous increase in interest and funding in AI.[z] The amount of machine learning\nresearch (measured by total publications) increased by 50% in the years 2015–2019.[306]\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\nfocussed their careers on these issues. The alignment problem became a serious field of academic\nstudy.[283]\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous\ninterest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program\ntaught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was\nreleased in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT,\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\ngaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout\nyear, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI\nboom, where large companies began investing billions of dollars in AI research. According to AI Impacts,\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Glossary of artificial intelligence – List of definitions of terms and concepts commonly used\nin the study of artificial intelligence\nIntelligence amplification – Use of information technology to augment human intelligence\nIntelligent agent – Software agent which acts autonomously\nMind uploading – Hypothetical process of digitally emulating a brain\nOrganoid intelligence – Use of brain cells and brain organoids for intelligent computing\nRobotic process automation – Form of business process automation technology\nWetware computer – Computer composed of organic material\na. This list of intelligent traits is based on the topics covered by the major AI textbooks,\nincluding: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel\n(1998) and Nilsson (1998)\nb. This list of tools is based on the topics covered by the major AI textbooks, including: Russell\n& Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and\nNilsson (1998)\nc. It is among the reasons that expert systems proved to be inefficient for capturing\nknowledge.[30][31]\nd. \"Rational agent\" is general term used in economics, philosophy and theoretical artificial\nintelligence. It can refer to anything that directs its behavior to accomplish goals, such as a\nperson, an animal, a corporation, a nation, or in the case of AI, a computer program.\ne. Alan Turing discussed the centrality of learning as early as 1950, in his classic paper\n\"Computing Machinery and Intelligence\".[42] In 1956, at the original Dartmouth AI summer\nconference, Ray Solomonoff wrote a report on unsupervised probabilistic machine learning:\n\"An Inductive Inference Machine\".[43]\nf. See AI winter § Machine translation and the ALPAC report of 1966\ng. Compared with symbolic logic, formal Bayesian inference is computationally expensive. For\ninference to be tractable, most observations must be conditionally independent of one\nanother. AdSense uses a Bayesian network with over 300 million edges to learn which ads\nto serve.[93]\nh. Expectation–maximization, one of the most popular algorithms in machine learning, allows\nclustering in the presence of unknown latent variables.[95]\ni. Some form of deep neural networks (without a specific learning algorithm) were described\nby: Warren S. McCulloch and Walter Pitts (1943)[115] Alan Turing (1948);[116] Karl Steinbuch\nand Roger David Joseph (1961).[117] Deep or recurrent networks that learned (or used\ngradient descent) were developed by: Frank Rosenblatt(1957);[116] Oliver Selfridge\n(1959);[117] Alexey Ivakhnenko and Valentin Lapa (1965);[118] Kaoru Nakano (1971);[119]\nShun-Ichi Amari (1972);[119] John Joseph Hopfield (1982).[119] Precursors to\nbackpropagation were developed by: Henry J. Kelley (1960);[116] Arthur E. Bryson\n(1962);[116] Stuart Dreyfus (1962);[116] Arthur E. Bryson and Yu-Chi Ho (1969);[116]\nBackpropagation was independently developed by: Seppo Linnainmaa (1970);[120] Paul\nWerbos (1974).[116]\nj. Geoffrey Hinton said, of his work on neural networks in the 1990s, \"our labeled datasets\nwere thousands of times too small. [And] our computers were millions of times too slow.\"[121]\nExplanatory notes", - "page_start": 28, - "page_end": 28, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Berryhill, Jamie; Heang, Kévin Kok; Clogher, Rob; McBride, Keegan (2019). Hello, World:\nArtificial Intelligence and its Use in the Public Sector (https://oecd-opsi.org/wp-content/uploa\nds/2019/11/AI-Report-Online.pdf) (PDF). Paris: OECD Observatory of Public Sector\nInnovation. Archived (https://web.archive.org/web/20191220021331/https://oecd-opsi.org/wp\n-content/uploads/2019/11/AI-Report-Online.pdf) (PDF) from the original on 20 December\n2019. Retrieved 9 August 2020.\nBertini, M; Del Bimbo, A; Torniai, C (2006). \"Automatic annotation and semantic retrieval of\nvideo sequences using multimedia ontologies\". MM '06 Proceedings of the 14th ACM\ninternational conference on Multimedia. 14th ACM international conference on Multimedia.\nSanta Barbara: ACM. pp. 679–682.\nBostrom, Nick (2014). Superintelligence: Paths, Dangers, Strategies. Oxford University Press.\nBostrom, Nick (2015). \"What happens when our computers get smarter than we are?\" (https://w\nww.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smarter_than_w\ne_are/transcript). TED (conference). Archived (https://web.archive.org/web/2020072500571\n9/https://www.ted.com/talks/nick_bostrom_what_happens_when_our_computers_get_smart\ner_than_we_are/transcript) from the original on 25 July 2020. Retrieved 30 January 2020.\nBrooks, Rodney (10 November 2014). \"artificial intelligence is a tool, not a threat\" (https://web.a\nrchive.org/web/20141112130954/http://www.rethinkrobotics.com/artificial-intelligence-tool-th\nreat). Archived from the original (http://www.rethinkrobotics.com/artificial-intelligence-tool-thr\neat) on 12 November 2014.\nBrooks, Rodney (1990). \"Elephants Don't Play Chess\" (http://people.csail.mit.edu/brooks/paper\ns/elephants.pdf) (PDF). 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Archived (https://web.arc\nhive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le\ncun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024.\nRetrieved 8 December 2023.\nGood, I. J. (1965), Speculations Concerning the First Ultraintelligent Machine (https://exhibits.st\nanford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230\n710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original\non 10 July 2023, retrieved 5 October 2024\nGoodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016), Deep Learning (https://web.archive.or\ng/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the\noriginal (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017\nGoodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a\n'right to explanation'\". AI Magazine. 38 (3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606.\n08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741).\nS2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959).\nGovernment Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses\nRisks to Privacy (https://www.gao.gov/products/gao-22-106096). gao.gov (Report). Archived\n(https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609\n6) from the original on 13 September 2024. Retrieved 5 October 2024.\nGrant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And\nNeither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl\ne-apple.html). The New York Times. Archived (https://web.archive.org/web/2024091415503\n2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from\nthe original on 14 September 2024. Retrieved 5 October 2024.\nGoswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0\n4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html). CNBC. Archived (http\ns://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the\n-state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023.\nRetrieved 19 June 2023.\nHarari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic.\ncom/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330). The Atlantic.\nArchived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi\nne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25\nSeptember 2021. Retrieved 23 September 2021.\nHarari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v=\nLWiM-LuRe6w). YouTube. Archived (https://web.archive.org/web/20240930110823/https://w\nww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024.\nRetrieved 5 October 2024.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What would a superintelligence need?", - "target_page": 27, - "target_passage": "possess intelligence far surpassing that of the brightest and most gifted human mind.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "calculation and qualitative, value-based judgement.[264]\nIt has been argued AI will become so powerful that humanity may irreversibly lose control of it. This\ncould, as physicist Stephen Hawking stated, \"spell the end of the human race\".[265] This scenario has been\ncommon in science fiction, when a computer or robot suddenly develops a human-like \"self-awareness\"\n(or \"sentience\" or \"consciousness\") and becomes a malevolent character.[q] These sci-fi scenarios are\nmisleading in several ways.\nFirst, AI does not require human-like sentience to be an existential risk. Modern AI programs are given\nspecific goals and use learning and intelligence to achieve them. Philosopher Nick Bostrom argued that if\none gives almost any goal to a sufficiently powerful AI, it may choose to destroy humanity to achieve it\n(he used the example of a paperclip factory manager).[267] Stuart Russell gives the example of household\nrobot that tries to find a way to kill its owner to prevent it from being unplugged, reasoning that \"you\ncan't fetch the coffee if you're dead.\"[268] In order to be safe for humanity, a superintelligence would have\nto be genuinely aligned with humanity's morality and values so that it is \"fundamentally on our side\".[269]\nSecond, Yuval Noah Harari argues that AI does not require a robot body or physical control to pose an\nexistential risk. The essential parts of civilization are not physical. Things like ideologies, law,\ngovernment, money and the economy are built on language; they exist because there are stories that\nbillions of people believe. The current prevalence of misinformation suggests that an AI could use\nlanguage to convince people to believe anything, even to take actions that are destructive.[270]\nThe opinions amongst experts and industry insiders are mixed, with sizable fractions both concerned and\nunconcerned by risk from eventual superintelligent AI.[271] Personalities such as Stephen Hawking, Bill\nGates, and Elon Musk,[272] as well as AI pioneers such as Yoshua Bengio, Stuart Russell, Demis\nHassabis, and Sam Altman, have expressed concerns about existential risk from AI.\nIn May 2023, Geoffrey Hinton announced his resignation from Google in order to be able to \"freely speak\nout about the risks of AI\" without \"considering how this impacts Google.\"[273] He notably mentioned\nrisks of an AI takeover,[274] and stressed that in order to avoid the worst outcomes, establishing safety\nguidelines will require cooperation among those competing in use of AI.[275]\nIn 2023, many leading AI experts endorsed the joint statement that \"Mitigating the risk of extinction from\nAI should be a global priority alongside other societal-scale risks such as pandemics and nuclear\nwar\".[276]\nSome other researchers were more optimistic. AI pioneer Jürgen Schmidhuber did not sign the joint\nstatement, emphasising that in 95% of all cases, AI research is about making \"human lives longer and\nhealthier and easier.\"[277] While the tools that are now being used to improve lives can also be used by\nbad actors, \"they can also be used against the bad actors.\"[278][279] Andrew Ng also argued that \"it's a\nmistake to fall for the doomsday hype on AI—and that regulators who do will only benefit vested\ninterests.\"[280] Yann LeCun \"scoffs at his peers' dystopian scenarios of supercharged misinformation and\neven, eventually, human extinction.\"[281] In the early 2010s, experts argued that the risks are too distant in\nExistential risk", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Finding a provably correct or optimal solution is intractable for many important problems.[15] Soft\ncomputing is a set of techniques, including genetic algorithms, fuzzy logic and neural networks, that are\ntolerant of imprecision, uncertainty, partial truth and approximation. Soft computing was introduced in\nthe late 1980s and most successful AI programs in the 21st century are examples of soft computing with\nneural networks.\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and\nsuperintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these\nsolutions will lead indirectly to the field's long-term goals.[378][379] General intelligence is difficult to\ndefine and difficult to measure, and modern AI has had more verifiable successes by focusing on specific\nproblems with specific solutions. The sub-field of artificial general intelligence studies this area\nexclusively.\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental\nstates, in the same sense that human beings do. This issue considers the internal experiences of the\nmachine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because\nit does not affect the goals of the field: to build machines that can solve problems using intelligence.\nRussell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way\nhumans are is not one that we are equipped to take on.\"[380] However, the question has become central to\nthe philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction.\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and\n\"easy\" problems of consciousness.[381] The easy problem is understanding how the brain processes\nsignals, makes plans and controls behavior. The hard problem is explaining how this feels or why it\nshould feel like anything at all, assuming we are right in thinking that it truly does feel like something\n(Dennett's consciousness illusionism says this is an illusion). While human information processing is easy\nto explain, human subjective experience is difficult to explain. For example, it is easy to imagine a color-\nblind person who has learned to identify which objects in their field of view are red, but it is not clear\nwhat would be required for the person to know what red looks like.[382]\nComputationalism is the position in the philosophy of mind that the human mind is an information\nprocessing system and that thinking is a form of computing. Computationalism argues that the\nrelationship between mind and body is similar or identical to the relationship between software and\nhardware and thus may be a solution to the mind–body problem. This philosophical position was inspired\nby the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by\nphilosophers Jerry Fodor and Hilary Putnam.[383]\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed\ncomputer with the right inputs and outputs would thereby have a mind in exactly the same sense human\nbeings have minds.\"[ac] Searle challenges this claim with his Chinese room argument, which attempts to\nNarrow vs. general AI\nMachine consciousness, sentience, and mind\nConsciousness\nComputationalism and functionalism", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia3.pdf" - }, - { - "text": "show that even a computer capable of perfectly simulating human behavior would not have a mind.[387]\nIt is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel),\nand if so, to what degree.[388] But if there is a significant chance that a given machine can feel and suffer,\nthen it may be entitled to certain rights or welfare protection measures, similarly to animals.[389][390]\nSapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may\nprovide another moral basis for AI rights.[389] Robot rights are also sometimes proposed as a practical\nway to integrate autonomous agents into society.[391]\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI\nsystems. Similarly to the legal status of companies, it would have conferred rights but also\nresponsibilities.[392] Critics argued in 2018 that granting rights to AI systems would downplay the\nimportance of human rights, and that legislation should focus on user needs rather than speculative\nfuturistic scenarios. They also noted that robots lacked the autonomy to take part to society on their\nown.[393][394]\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI\nsentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot\nanalogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created\nand carelessly exploited.[390][389]\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the\nbrightest and most gifted human mind.[379] If research into artificial general intelligence produced\nsufficiently intelligent software, it might be able to reprogram and improve itself. The improved software\nwould be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and\nVernor Vinge called a \"singularity\".[395]\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped\ncurve, slowing when they reach the physical limits of what the technology can do.[396]\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted\nthat humans and machines may merge in the future into cyborgs that are more capable and powerful than\neither. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert\nEttinger.[397]\nAI welfare and rights\nFuture\nSuperintelligence and the singularity\nTranshumanism", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia3.pdf" - }, - { - "text": "An ontology represents knowledge as a set\nof concepts within a domain and the\nrelationships between those concepts.\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\ndescribed below have received the most attention and cover the scope of AI research.[a]\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\nsolve puzzles or make logical deductions.[13] By the late 1980s and 1990s, methods were developed for\ndealing with uncertain or incomplete information, employing concepts from probability and\neconomics.[14]\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\"combinatorial explosion\": They become exponentially slower as the problems grow.[15] Even humans\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\nproblems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\nKnowledge representation and knowledge engineering[17]\nallow AI programs to answer questions intelligently and\nmake deductions about real-world facts. Formal knowledge\nrepresentations are used in content-based indexing and\nretrieval,[18] scene interpretation,[19] clinical decision\nsupport,[20] knowledge discovery (mining \"interesting\" and\nactionable inferences from large databases),[21] and other\nareas.[22]\nA knowledge base is a body of knowledge represented in a\nform that can be used by a program. An ontology is the set\nof objects, relations, concepts, and properties used by a\nparticular domain of knowledge.[23] Knowledge bases need\nto represent things such as objects, properties, categories,\nand relations between objects;[24] situations, events, states,\nand time;[25] causes and effects;[26] knowledge about\nknowledge (what we know about what other people\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will\nremain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\nknowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition,\nthe problem of obtaining knowledge for AI applications.[c]\nReasoning and problem-solving\nKnowledge representation\nPlanning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "38 \n \nFigure 4.20 Explanation for why ProbeInconsistentTopping is equivalent to owl:Nothing \n \n4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms) \nAll of the classes that we have created so far have only used necessary axioms to describe them. \nNecessary axioms can be read as, If something is a member of this class then it is necessary to fulfil these \nconditions. With necessary axioms alone, we cannot say that: If something fulfils these conditions then it \nmust be a member of this class. \nLet’s illustrate this with an example. We will create a subclass of Pizza called CheesyPizza, which \nwill be a Pizza that has at least one kind of CheeseTopping. \nExercise 20: Create the CheesyPizza class \n_____________________________________________________________________________________ \n1. Select Pizza in the class hierarchy on the Classes tab. \n2. Select the Add Subclass icon (see figure 4.4). Name the new subclass CheesyPizza. \n3. Make sure CheesyPizza is selected. Click on the Add icon (+) next to the SubClass Of field in the \nDescription view. \n4. Select the Class expression editor tab. Type in the new axiom: hasTopping some CheeseTopping. \nRemember you can use to auto-complete each word in the axiom, e.g., type hasT and \nthen to auto-complete the rest. If you haven’t typed enough for Protégé to \nunambiguously choose one entity or Description Logic keyword you will be prompted with a menu of \npossible completions. Click OK to enter the new restriction axiom. \n_____________________________________________________________________________________", - "page_start": 38, - "page_end": 38, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Turing, Alan (October 1950). \"Computing Machinery and Intelligence\" (https://academic.oup.co\nm/mind/article/LIX/236/433/986238). Mind. 59 (236): 433–460.\ndoi:10.1093/mind/LIX.236.433 (https://doi.org/10.1093%2Fmind%2FLIX.236.433).\nISSN 1460-2113 (https://search.worldcat.org/issn/1460-2113). JSTOR 2251299 (https://ww\nw.jstor.org/stable/2251299). S2CID 14636783 (https://api.semanticscholar.org/CorpusID:146\n36783).\nUNESCO Science Report: the Race Against Time for Smarter Development (https://unesdoc.un\nesco.org/ark:/48223/pf0000377433/PDF/377433eng.pdf.multi). Paris: UNESCO. 2021.\nISBN 978-9-2310-0450-6. Archived (https://web.archive.org/web/20220618233752/https://un\nesdoc.unesco.org/ark:/48223/pf0000377433/PDF/377433eng.pdf.multi) from the original on\n18 June 2022. Retrieved 18 September 2021.\nUrbina, Fabio; Lentzos, Filippa; Invernizzi, Cédric; Ekins, Sean (7 March 2022). \"Dual use of\nartificial-intelligence-powered drug discovery\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PM\nC9544280). Nature Machine Intelligence. 4 (3): 189–191. doi:10.1038/s42256-022-00465-9\n(https://doi.org/10.1038%2Fs42256-022-00465-9). PMC 9544280 (https://www.ncbi.nlm.nih.\ngov/pmc/articles/PMC9544280). PMID 36211133 (https://pubmed.ncbi.nlm.nih.gov/3621113\n3). S2CID 247302391 (https://api.semanticscholar.org/CorpusID:247302391).\nValance, Christ (30 May 2023). \"Artificial intelligence could lead to extinction, experts warn\" (htt\nps://www.bbc.com/news/uk-65746524). BBC News. Archived (https://web.archive.org/web/2\n0230617200355/https://www.bbc.com/news/uk-65746524) from the original on 17 June\n2023. Retrieved 18 June 2023.\nValinsky, Jordan (11 April 2019), \"Amazon reportedly employs thousands of people to listen to\nyour Alexa conversations\" (https://www.cnn.com/2019/04/11/tech/amazon-alexa-listening/in\ndex.html), CNN.com, archived (https://web.archive.org/web/20240126033535/https://www.c\nnn.com/2019/04/11/tech/amazon-alexa-listening/index.html) from the original on 26 January\n2024, retrieved 5 October 2024\nVerma, Yugesh (25 December 2021). \"A Complete Guide to SHAP – SHAPley Additive\nexPlanations for Practitioners\" (https://analyticsindiamag.com/a-complete-guide-to-shap-sha\npley-additive-explanations-for-practitioners). Analytics India Magazine. Archived (https://we\nb.archive.org/web/20231125045938/https://analyticsindiamag.com/a-complete-guide-to-sha\np-shapley-additive-explanations-for-practitioners/) from the original on 25 November 2023.\nRetrieved 25 November 2023.\nVincent, James (7 November 2019). \"OpenAI has published the text-generating AI it said was\ntoo dangerous to share\" (https://www.theverge.com/2019/11/7/20953040/openai-text-genera\ntion-ai-gpt-2-full-model-release-1-5b-parameters). The Verge. Archived (https://web.archive.\norg/web/20200611054114/https://www.theverge.com/2019/11/7/20953040/openai-text-gene\nration-ai-gpt-2-full-model-release-1-5b-parameters) from the original on 11 June 2020.\nRetrieved 11 June 2020.\nVincent, James (15 November 2022). \"The scary truth about AI copyright is nobody knows what\nwill happen next\" (https://www.theverge.com/23444685/generative-ai-copyright-infringement\n-legal-fair-use-training-data). The Verge. Archived (https://web.archive.org/web/2023061905\n5201/https://www.theverge.com/23444685/generative-ai-copyright-infringement-legal-fair-us\ne-training-data) from the original on 19 June 2023. Retrieved 19 June 2023.\nVincent, James (3 April 2023). \"AI is entering an era of corporate control\" (https://www.theverge.\ncom/23667752/ai-progress-2023-report-stanford-corporate-control). The Verge. Archived (ht\ntps://web.archive.org/web/20230619005803/https://www.theverge.com/23667752/ai-progres\ns-2023-report-stanford-corporate-control) from the original on 19 June 2023. Retrieved\n19 June 2023.", - "page_start": 64, - "page_end": 64, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h\nttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), Global Catastrophic Risks, Oxford\nUniversity Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20\n08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc\ne.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved\n24 September 2021\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace\nAutomation\" (2015) 29(3) Journal of Economic Perspectives 3.\nBerlinski, David (2000). The Advent of the Algorithm (https://archive.org/details/adventofalgorith\n0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world\ncat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch\nive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved\n22 August 2020.\nBoyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585\n9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.\nCukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", Foreign Affairs, vol.\n98, no. 4 (July/August 2019), pp. 192–198. George Dyson, historian of computing, writes (in\nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable\nwill not be complicated enough to behave intelligently, while any system complicated\nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer\nscientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core,\ndead simple stupid. They work, but they work by brute force.\" (p. 198.)\nEvans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/\n10.5209%2Frev_TK.2015.v12.n2.49072). Teknokultura. 12 (2).\ndoi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49\n072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).\nFrank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the\n21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order). The Diplomat. Archived (https://web.archiv\ne.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024.\nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of\ndominance that the rest of the world views with a mixture of awe, envy, and resentment:\nartificial intelligence... From AI models and research to cloud computing and venture capital,\nU.S. companies, universities, and research labs – and their affiliates in allied countries –\nappear to have an enormous lead in both developing cutting-edge AI and commercializing it.\nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the\nworld combined.\"\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I.\nchatbots to get their facts right — without destroying itself in the process?\" New York Times\nMagazine (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia-\nai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime\ns.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback\nMachine\nFurther reading", - "page_start": 66, - "page_end": 66, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Gibbs, Samuel (27 October 2014). \"Elon Musk: artificial intelligence is our biggest existential\nthreat\" (https://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligenc\ne-ai-biggest-existential-threat). The Guardian. Archived (https://web.archive.org/web/201510\n30054330/http://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligen\nce-ai-biggest-existential-threat) from the original on 30 October 2015. Retrieved 30 October\n2015.\nGoffrey, Andrew (2008). \"Algorithm\". In Fuller, Matthew (ed.). Software studies: a lexicon (http\ns://archive.org/details/softwarestudiesl00full_007). Cambridge, Mass.: MIT Press. pp. 15 (htt\nps://archive.org/details/softwarestudiesl00full_007/page/n29)–20. ISBN 978-1-4356-4787-9.\nGoldman, Sharon (14 September 2022). \"10 years later, deep learning 'revolution' rages on, say\nAI pioneers Hinton, LeCun and Li\" (https://venturebeat.com/ai/10-years-on-ai-pioneers-hinto\nn-lecun-li-say-deep-learning-revolution-will-continue). VentureBeat. Archived (https://web.arc\nhive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le\ncun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024.\nRetrieved 8 December 2023.\nGood, I. J. (1965), Speculations Concerning the First Ultraintelligent Machine (https://exhibits.st\nanford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230\n710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original\non 10 July 2023, retrieved 5 October 2024\nGoodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016), Deep Learning (https://web.archive.or\ng/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the\noriginal (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017\nGoodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a\n'right to explanation'\". AI Magazine. 38 (3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606.\n08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741).\nS2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959).\nGovernment Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses\nRisks to Privacy (https://www.gao.gov/products/gao-22-106096). gao.gov (Report). Archived\n(https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609\n6) from the original on 13 September 2024. Retrieved 5 October 2024.\nGrant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And\nNeither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl\ne-apple.html). The New York Times. Archived (https://web.archive.org/web/2024091415503\n2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from\nthe original on 14 September 2024. Retrieved 5 October 2024.\nGoswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0\n4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html). CNBC. Archived (http\ns://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the\n-state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023.\nRetrieved 19 June 2023.\nHarari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic.\ncom/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330). The Atlantic.\nArchived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi\nne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25\nSeptember 2021. Retrieved 23 September 2021.\nHarari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v=\nLWiM-LuRe6w). YouTube. Archived (https://web.archive.org/web/20240930110823/https://w\nww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024.\nRetrieved 5 October 2024.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Scharre, Paul, \"Killer Apps: The Real Dangers of an AI Arms Race\", Foreign Affairs, vol. 98, no.\n3 (May/June 2019), pp. 135–144. \"Today's AI technologies are powerful but unreliable.\nRules-based systems cannot deal with circumstances their programmers did not anticipate.\nLearning systems are limited by the data on which they were trained. AI failures have\nalready led to tragedy. Advanced autopilot features in cars, although they perform well in\nsome circumstances, have driven cars without warning into trucks, concrete barriers, and\nparked cars. In the wrong situation, AI systems go from supersmart to superdumb in an\ninstant. When an enemy is trying to manipulate and hack an AI system, the risks are even\ngreater.\" (p. 140.)\nSchulz, Hannes; Behnke, Sven (1 November 2012). \"Deep Learning\" (https://www.researchgat\ne.net/publication/230690795). KI – Künstliche Intelligenz. 26 (4): 357–363.\ndoi:10.1007/s13218-012-0198-z (https://doi.org/10.1007%2Fs13218-012-0198-z).\nISSN 1610-1987 (https://search.worldcat.org/issn/1610-1987). S2CID 220523562 (https://ap\ni.semanticscholar.org/CorpusID:220523562).\nSerenko, Alexander; Michael Dohan (2011). \"Comparing the expert survey and citation impact\njournal ranking methods: Example from the field of Artificial Intelligence\" (http://www.aserenk\no.com/papers/JOI_AI_Journal_Ranking_Serenko.pdf) (PDF). Journal of Informetrics. 5 (4):\n629–649. doi:10.1016/j.joi.2011.06.002 (https://doi.org/10.1016%2Fj.joi.2011.06.002).\nArchived (https://web.archive.org/web/20131004212839/http://www.aserenko.com/papers/J\nOI_AI_Journal_Ranking_Serenko.pdf) (PDF) from the original on 4 October 2013. Retrieved\n12 September 2013.\nSilver, David; Huang, Aja; Maddison, Chris J.; et al. (28 January 2016). \"Mastering the game of\nGo with deep neural networks and tree search\" (https://www.nature.com/articles/nature1696\n1). Nature. 529 (7587): 484–489. Bibcode:2016Natur.529..484S (https://ui.adsabs.harvard.e\ndu/abs/2016Natur.529..484S). doi:10.1038/nature16961 (https://doi.org/10.1038%2Fnature1\n6961). PMID 26819042 (https://pubmed.ncbi.nlm.nih.gov/26819042). S2CID 515925 (http\ns://api.semanticscholar.org/CorpusID:515925). Archived (https://web.archive.org/web/20230\n618213059/https://www.nature.com/articles/nature16961) from the original on 18 June 2023.\nRetrieved 19 June 2023.\nVaswani, Ashish, Noam Shazeer, Niki Parmar et al. \"Attention is all you need.\" Advances in\nneural information processing systems 30 (2017). Seminal paper on transformers.\nVincent, James, \"Horny Robot Baby Voice: James Vincent on AI chatbots\", London Review of\nBooks, vol. 46, no. 19 (10 October 2024), pp. 29–32. \"[AI chatbot] programs are made\npossible by new technologies but rely on the timelelss human tendency to\nanthropomorphise.\" (p. 29.)\nWhite Paper: On Artificial Intelligence – A European approach to excellence and trust (https://e\nc.europa.eu/info/sites/info/files/commission-white-paper-artificial-intelligence-feb2020_en.pd\nf) (PDF). Brussels: European Commission. 2020. Archived (https://web.archive.org/web/202\n00220173419/https://ec.europa.eu/info/sites/info/files/commission-white-paper-artificial-intell\nigence-feb2020_en.pdf) (PDF) from the original on 20 February 2020. Retrieved\n20 February 2020.\n\"Artificial Intelligence\" (http://www.iep.utm.edu/art-inte). Internet Encyclopedia of Philosophy.\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Artificial_intelligence&oldid=1268183823\"\nExternal links", - "page_start": 69, - "page_end": 69, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "Where can I find the Inspect tool to evaluate the safety of our models?", - "target_page": 21, - "target_passage": "The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations available under a MIT open-source licence which is freely available on GitHub", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Chapter 13. RAS, monitoring, and troubleshooting 711\nFigure 13-44 Support menu", - "page_start": 732, - "page_end": 732, - "source_file": "sg247938.pdf" - }, - { - "text": "C Supplementary materials for models\nWe present in this section the model characteristics\nwe collected for the 46 evaluated models.\nFor evaluating prompt-based models such as\nintfloat/e5-mistral-instruct-7b, we provide the\nprompts we used in Table 8.\nD Evaluation results\nThis section presents the results obtained for each\nmodel on each task. To be relevant, we used the\nsame metrics as in MTEB, which varies from one\ntype of task to another:\n12", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "Chapter 5. Graphical user interface 151\nYou can also choose SAS Chain View to view directly attached expansion enclosures, as \nshown in Figure 5-34. A useful view of the entire SAS chain is displayed, with selectable \ncomponents that show port numbers and canister numbers, along with a cable diagram for \neasy cable tracking.\nFigure 5-34 SAS Chain View\nYou can select any Enclosure to get more information, including serial number and model \ntype, as shown in Figure 5-35 where Expansion Enclosure 3 is selected. You can also see the \nEvents and Component Details areas on the right side of the pane, which shows information \nthat relates to the enclosure or component you select.\nFigure 5-35 Enclosure Details\nSelect", - "page_start": 172, - "page_end": 172, - "source_file": "sg247938.pdf" - }, - { - "text": "INDEX\nIMPORTANT NOTES\nCongratulations on your purchase of this high quality BARSKA \nmicroscope. With proper care, this microscope will provide many \nyears of use. Please read the following instruction s before \noperating this instrument.\n1. Do not attempt to disassemble the instrument. This product has \n been carefully assembled at the factory and should only be \n examined by a factory-trained technician. \n2. This instrument should only be used in an environment with an \n indoor temperature range of 32oF to 104oF.\n3. Do not use this instrument in an environment with a lot of dust.\n Cover the instrument when not in use.\n4. Do not subject the instrument to shock.\nMaintenance............................................\nModel AY11240/Model AY11238..................\nModel AY11228/Model AY11232..................\nModel AY11230/Model AY11234..................\nModel AY11236........................................\nWarranty Information................................\n1\n2-5\n6-9\n10-13\n14-18\nBack Cover\n1\nMAINTENANCE\nProper care and storage of this instrument is essential. Please read \nthe following guidelines:\n1. Keep the instrument in a dry and moisture-free location.\n2. Do not expose to acid, alkali fumes or moisture.\n3. Keep optical parts clean and free of dust. To clean optical parts \n gently wipe with lens cleaning tissue and a mixture of alcohol \n and diethyl ether. Depending on weather conditions, the \n following are the recommended mixture ratios:\n Wet weather: 1:2\n Dry Weather: 1:1\n4. After use, cover the instrument with the plastic dust cover.\n5. If instrument is to be stored for an extended period of time, \n remove the eyepiece and oculars and store in a moisture-proof \n container.\nMODEL AY11240/AY11238\n2\nMICROSCOPE USAGE\nBARSKA Model AY11240 and Model AY11238 are designed for \nbiological studies such as specimen examination. They can also \nbe used for examining bacteria and for general clinical and medical \nstudies. Simple design and use is especially useful for school \nclassroom instruction.\nCONSTRUCTION\nBARSKA Model AY11240 is a fixed tube type. For comfortable \nobservation, the arm can be easily tilted at any angle from 90o \nvertical to 45o level. It is also equipped with a coarse adjustment \nand fine adjustment as well as a space limiter to protect the \nobjective from contacting and damaging the specimen. BARSKA \nModel AY11238 features a monocular tube that is slanted at a 45o \nangle. The head rotates 360o. The Eyepiece Set Screw prevents \nthe eyepiece from falling out of the tube.\nCoarse \nAdjustment\nKnob\nFine \nAdjustment\nKnob\nStand\n5-Hole\nDiaphragm\nand CondenserConcave\nMirror\nStage\nSpring Clips\nObjectives\nBarrel\nRevolving Turret\nEyepiece\nCoarse \nAdjustment\nKnob\nFine \nAdjustment\nKnob\nStand\n5-Hole\nDiaphragm\nand Condenser\nLamp \nOn/Off\nSwitch\nLamp \nPower\nCord\nStage\nSpring \nClips\nObjectives\nRotating Head\nRevolving \nTurret\nEyepiece\nStage Height\nLimit Adjustment\nMonocular Tube\nEyepiece \nSet Screw\nModel AY11240 Model AY11238", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "NAVWEPS 00-80T-80 \nOPERATING STRENGTH LIMITATIONS \nATTACHMENT FITTING FATiGUE FAILURES FATIGUE CRACKS IN STRUCTURAL SAMPLE \nFigure 5.7. Examples of Fatigue Failures \n346", - "page_start": 363, - "page_end": 363, - "source_file": "00-80T-80.pdf" - }, - { - "text": "12 \n \n \nFigure 4.2 Renderer tab \n \nFigure 4.3: The Active Ontology Tab with a New Comment", - "page_start": 12, - "page_end": 12, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 51 of 57 \n \n \n3.6.2 The Catalogue details view \nThis page presents a detailed view of the issues per catalogue. The “Download as report” drop-down \nmenu provides a list o f all avail able catalogues. As a next step, the user can choose whether to see \nthe catalogue dashboard, the distribution availability or dataset schema violations. The catal ogue \ndashboard is the default view when visiting this page.", - "page_start": 50, - "page_end": 50, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "European Data Portal Version 4.3 – User Manual Page 42 of 57 \n \n \nFigure 8 – Error message dialog.", - "page_start": 41, - "page_end": 41, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "4\nPARTS LIST\nOPERATION\n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. \n3. Place the specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm.\n4. Adjust the stand to an angle that \n provides comfortable observation.\n5. Rotate and adjust concave mirror to \n light the field of view. NOTE: Do not \n reflect the Sun with the mirror. \n This can cause serious eye injury \n or permanent eye damage.\n6. Observe the specimen using the \n lowest magnification objective first. \n The 4x objective provides a larger \n field of view to search specimen. \n1. Remove components from package. \n identify all parts before assembling. \n2. Attach 4x, 10x and 40x objectives \n to revolving turret. 3. Place the \n specimen on the stage and \n secure with spring clips. NOTE: The \n cover glass must face upward (the \n thinner glass is the cover glass), \n otherwise when the 40x objective is \n used the specimen cannot be \n observed. Observation is best when \n the thickness of the cover glass is \n 0.1-1.1mm and the cover glass is \n 0.17mm.\n4. Plug power cord into an electrical \n outlet. Turn microscope \n lamp ON.\n5. Observe the specimen using the \n lowest magnification objective \n first. The 4x objective provides a \n larger field of view to search \n specimen.\nName\nModel AY11240\nModel AY11240 Model AY11238\nModel AY11238\nQty\nMicroscope Stand\nAchromatic \nObjective\n4x\n1\nPlain Concave Mirror1\nPlastic Dust Cover1\n10x Wide Field Eyepiece 1\nLens Cleaning Tissue1\nSpecification1\nInspection Certificate1\nPacking List 1\n1\n10x 1\n40x (s) 1\nName Qty\nMicroscope Stand\nAchromatic \nObjective\n4x\n1\n10x Wide Field Eyepiece 1\nPlastic Dust Cover1\nSpare Bulb 1\nLens Cleaning Tissue1\nSpecification1\nInspection Certificate1\nPacking List 1\n1\n10x 1\n40x (s) 1", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "records and perform manual comparative evaluations of 50 LLM-generated and 50 clinician-\ngenerated summary notes within the context of complex ED encounters. This approach is unlikely\nscalable, invoking complex postimplementation governance questions that remain unanswered in\nthe medical literature and invoke the need for future research focused on the possibility of AI\nperforming the clinical evaluations.56 Lastly, the relatively infrequent but potentially significant\npatient safety implications of model output incorrectness and incompleteness warrants further\nmodel refinement and repeat clinical evaluation, as described in the eAppendix 1 inSupplement 1\noverview of our rigorous preimplementation model development and testing framework.\nConclusions\nThis study’s results suggest promise for future thoughtful integration of LLM-generated EM-to-IP\nhandoff notes into clinical admission workflows, as well as the associated potential downstream\nquality and efficiency gains. Our novel clinical evaluation framework demonstrates an effective\npreimplementation strategy to measure potential patient safety implications of incorrectness\nidentified in LLM-generated clinical care summaries, which will guide future model refinement and\nimplementation strategies. In the absence of a current written standard of care in EM, this innovation\ncould represent a transformative advancement in the quality of EM-to-IP transitions of care.\nARTICLE INFORMATION\nAccepted for Publication:October 7, 2024.\nPublished: December 3, 2024. doi:10.1001/jamanetworkopen.2024.48723\nOpen Access:This is an open access article distributed under the terms of theCC-BY License. © 2024 Hartman V\net al.JAMA Network Open.\nCorresponding Author:Vince Hartman, MS, Abstractive Health, 333 E 56 St, Apt 7N, New York, NY 10022 (vince\n@abstractivehealth.com).\nAuthor Affiliations:Abstractive Health, New York, New York (Hartman, Zhang, Poddar); Department of\nEmergency Medicine, NewYork-Presbyterian/Weill Cornell Medicine, New York (McCarty, Fortenko, Sharma,\nSteel); Department of Population Health, NewYork-Presbyterian/Weill Cornell Medicine, New York (Sholle,\nCampion); Clinical and Translational Science Center, Weill Cornell Medicine, New York, New York (Campion).\nAuthor Contributions:Mr Hartman and Dr Zhang had full access to all of the data in the study and take\nresponsibility for the integrity of the data and the accuracy of the data analysis.\nConcept and design:Hartman, Zhang, Poddar, McCarty, Fortenko, Campion, Steel.\nAcquisition, analysis, or interpretation of data:All authors.\nDrafting of the manuscript:Hartman, Zhang, Poddar, McCarty, Campion, Steel.\nCritical review of the manuscript for important intellectual content:All authors.\nStatistical analysis:Hartman, Zhang, Poddar, Sholle.\nObtained funding:Hartman, Campion.\nAdministrative, technical, or material support:Hartman, Zhang, Poddar, Sholle, Sharma, Campion, Steel.\nSupervision: Zhang, Poddar, McCarty, Sharma, Campion, Steel.\nConflict of Interest Disclosures:Dr Hartman reported holding equity in Abstractive Health during the conduct of\nthe study and holding a patent for automated summarization of a hospital stay using machine learning issued to\nAbstractive Health. No other disclosures were reported.\nFunding/Support: Our research received support from NewYork-Presbyterian and Weill Cornell Medicine,\nincluding the Joint Clinical Trials Office and Clinical and Translational Science Center (grant No. UL1TR002384).\nRole of the Funder/Sponsor:The funder had no role in the design and conduct of the study; collection,\nmanagement, analysis, and interpretation of the data; preparation, review, or approval of the manuscript; and\ndecision to submit the manuscript for publication.\nData Sharing Statement:See Supplement 2.\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 9/12", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed8.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What was the age category of most new opiate/crack users during the crime peak in the mid-1990s?", - "target_page": 9, - "target_passage": "mplying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "New opiate and crack-cocaine users: characteristics and trends 10 \n \nbefore 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests. \n \nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 31 \n \nAppendix \nCharts showing age-of-onset distributions (by percentage of total cohort) for different \ncohorts based on year of first treatment", - "page_start": 30, - "page_end": 30, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 29 \n \nFigure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 \nand 2013, by age of individual at first presentation. \n \nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age \nprofile throughout. Rises in average age of initiation have also been reported recently in cohorts \nof Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible \nexplanations. \n There is a genuine shift towards new initiates being older, and for them to present to \ntreatment much faster than in previous years. \n There is a consistent, but small number of individuals who mis-report their age of onset \nwhen attending treatment i.e. who report that they have only been using opiates/crack for \na short period when in fact they have been using for a far longer period, and that this is \nstarting to really bias the numbers for recent cohorts because attendees from the original \nepidemic are becoming smaller. \nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of \nolder initiates, although mis-reporting may also explain that phenomenon. Either way though, as \nthis analysis has made clear throughout, absolute numbers of new OCUs appear to be small – \nprobably fewer than 10,000 per annum and the numbers of those involved with crime will be \nsmaller still. In addition, despite a flattening in the probable trend in new users, there is currently \nno sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to \nresume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 3 \n \nSummary \nExecutive summary \nThis paper uses a range of datasets and methodologies to: \n obtain working estimates for the number of individuals in England who started using \nopiates/crack from 2005 to 2013;1 \n examine the characteristics of these individuals. \nThe main findings of the paper are as follows. \n It is estimated that around 5,000 to 8,000 individuals started using opiates or crack-\ncocaine in 2013. There is a high degree of uncertainty around this figure due to the \nsparse data on this population, but sense-checks based on treatment and criminal justice \nsystem data suggest the true figure is unlikely to be much larger than 10,000. \n Data also suggest that the number of current opiate/crack initiates involved with crime \nmay be even lower. The number of arrestees testing positive for the first time for opiates \n(or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first \n11 months of 2013, a fall of around 70 per cent2. Furthermore, of the new positive testers \nin 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a \nproportion of the true population, it does suggest that the number of new, young initiates \ninvolved with crime – those who have the potential to inflict most societal harm – has \ndecreased markedly, probably just to a few thousand per year; and that this group now \nmake up a small minority of the total number of opiate/crack-cocaine users (estimated to \nbe 294,000 in 2011/12), most of whom are older, longer-term users. \n In terms of trends in new opiate/crack-cocaine users, all available data suggest that \nfigures have dipped by at least a fifth since 2005 and have dropped hugely since the late \n1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very \nrapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the \nepidemic years, published estimates of new opiate/crack-cocaine users in Manchester \nand Bolton show rates more than 11 times larger. \n However, the findings also suggest that between 2011 and early 2014, the number of \nnew opiate/crack-cocaine users stopped decreasing and instead stabilised at a \n(historically) low level. Further analysis was conducted to try and determine whether this \nwas a precursor to a new rise in initiates. Though the data are not totally conclusive, the \nresults suggest that a marked increase in new opiate/crack-cocaine users in the near \nfuture is unlikely. If anything, findings suggested that the downward trend may be set to \nresume. \n Analysis also revealed some possible changes in characteristics of the new opiate/crack-\ncocaine initiates. There is a trend in the treatment data towards new initiates coming to \ntreatment earlier in their drug-using careers than previous cohorts and also to have \n \n1 At the time of writing, data was unavailable for the period after November 2013. \n2 It is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. \n3 787 if adjusted for the missing month.", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 20 \n \nTable 9: Table showing the age breakdown of individuals testing positive for opiates-only or \npositive-for-both as a proportion of all individuals first testing positive in that year. \nYear of \nfirst test \nAge \n18 - 24 \nAge \n25 - 29 \nAge \n30 - 34 \nAge \n35 - 39 \nAge \n40 over \n \nTotal \n2004 26% 27% 24% 16% 7% 100% \n2005 23% 27% 24% 17% 9% 100% \n2006 25% 26% 22% 17% 11% 100% \n2007 24% 25% 21% 16% 13% 100% \n2008 21% 23% 21% 18% 16% 100% \n2009 23% 22% 20% 17% 18% 100% \n2010 22% 21% 20% 17% 20% 100% \n2011 22% 19% 20% 16% 22% 100% \n2012 19% 20% 22% 17% 23% 100% \n2013 17% 20% 22% 16% 25% 100% \n \nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the \nnumber and the proportion of new positive testers. However, the proportion of those aged 40+ \nhas consistently risen and now constitutes the largest group of all new individuals testing \npositive. \nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very \ndifferent age profile to that we would expect from a cohort of recent initiates. It is far older, \nsuggesting again that many of those are actually pre-existing users only tested (positively) for \nthe first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence \ndemonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to \nbe longer-term users who have only been first arrested in 2013, rather than genuinely new \nOCUs. \nIn the next section, analysis will examine whether there has been a possible shift towards an \nolder profile amongst new initiates. But even taking this into account, it is unlikely that the \nmajority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 \nbelow, which compares the age-of-initiation curve from Figure 11 (in the next section) to the \n2013 ‘new-individuals’ cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 4 \n \ninitiated use at an older age. Currently it is not possible to determine whether this is a \nreporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users. \n The report has several important policy implications. Even though numbers of new \ninitiates involved with crime have dropped to the low thousands, putting downward \npressure on crime, identification and early diversion to treatment remains paramount. \nFrontier Economics have estimated that the average4 lifetime crime cost of an injecting \ndrug user is £445,000, so the potential for social harm – even from a small number of \nindividuals – remains large and potentially long-lasting. This means local areas need to \nmanage both the (relatively large) stock of current users, and the (much smaller) flow of \nnew initiates, whose treatment needs may be different. There is no evidence of any new \nepidemic in this country, but given the impact of the epidemic of the 80s and early 90s on \ncrime, ongoing monitoring of recent trends is required to spot early signs of any emerging \nproblems. \nAims and Methodology \nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use \nin driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates \nexist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al., 2013), \nthere are no estimates for the number of new OCUs each year (throughout this paper the \nnumber of new OCUs is also referred to as ‘incidence’). This is important for three main \nreasons. \ni) Stock and flows: Simply knowing the stock of OCUs tells us nothing about the flows in \nand out – i.e. if the stock were constant each year that could mean that no one starts \nusing these drugs and no one quits or it could mean all existing users quit but that they \nare wholly replaced by new users, or any similar scenario in between. Clearly the policy \nresponse would need to be quite different for each of these cases, so knowing the true \nsituation is important. \nii) Early-warning system: Research by the Home Office and others has shown that there \nis generally a lag between the start of a heroin/crack epidemic and the point at which it \nbecomes visible on administrative datasets. Closing this gap is important for policy, and \npart of the reason for its existence is the lack of incidence estimates. Evidence also \nsuggests epidemics spread from area to area, so it is important to monitor local as well \nas national trends. \niii) The social harm that can arise: Though research suggests that not all OCUs resort to \nacquisitive crime to help finance their drug use, numerous studies show that a \nproportion consistently do and these individuals can be extremely prolific offenders \n(Morgan, 2014). One study by Frontier Economics estimated that the average lifetime \ncost to society of an injecting drug user was £445,000 from crime alone. Hence \nanalysing and identifying new OCUs is a policy priority (Frontier Economics, 2010). \nThere are two inter-connected reasons why regular national incidence estimates have not been \nattempted before5. The first is that data on this issue are sparse given the ‘hidden’ nature of \nopiate/crack markets and that date of first use is not something that gets recorded at the \nmoment it actually occurs. The second reason, which flows from the first, is that current \n \n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few \nindividuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to \nacquisitive crime at all (Morgan, 2014). \n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 21 \n \nFigure 8: Comparison of new DIP and treatment cohorts, by age \n \nThe DIP cohort has a far older age profile even than the 2014 cohort of treatment initiates, who \nthemselves have a far older age-of-initiation profile than previous treatment cohorts. As such, it \nseems highly unlikely that all, or even most, of the 4,281 positive testers in 2013 are new \ninitiates. \nOf course, even if just the small number of DIP testers (78716) who were aged under 25 in 2013 \nwere considered to be new initiates, this would still need to be multiplied up by three factors to \nprovide an estimate for total new initiates: i) the non-arrest rate (to account for the fact that only \na proportion of crime-involved initiates will get arrested in a given year); ii) the fact that DIP’s \ncoverage (in terms of age, geography and PNC-referenced individuals) is not 100 per cent; iii) \nthe likelihood that up to half of all new initiates will not be involved with crime at all. As an \nillustration, multiplying up 787 by these factors produces a figure close to 10,000.17 \nThese calculations are speculative and based on a number of assumptions. They are intended \nas a sense-check on the results for the next section. The fragility of the modelling should not \ndetract from the simple fact that the absolute number of new positive testers in 2013 is low \nrelative to the estimated size of the total population. This alone suggests that numbers of new \nusers in 2013 is markedly lower than in previous years. \n \n \n16 The figure in Table 8 is 721, but adjusting for the missing month of data this becomes 787. \n17 Assuming an arrest rate of 17% (see appendix), and that 50% of OCUs do not commit acquisitive crime (Gossop et al., \n2003) and the coverage figures shown in the appendix.", - "page_start": 20, - "page_end": 20, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 30 \n \nConclusion \nThis report has attempted to draw together available data and evidence to estimate the number \nof new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look \nbriefly at their characteristics. This is important as previous research has suggested that – \nmostly through the actions of a minority - this group has the potential to have a large impact on \ncrime trends and therefore to impose significant societal costs. \nThough data on this population is imperfect, a number of different data sources and \nmethodologies are available to estimate OCU incidence. From these, three key conclusions \nemerge: \n The number of new opiate/crack users is clearly far lower now than it was in the 1980s \nand early 1990s and has even dropped 20-45% since 2005. \n This means numbers of new users in 2013 may be around 5,000-8,000 with an \napproximate upper bound of 10,000; and numbers involved with prolific criminality will be \nlower still. \n The downward trend in new OCUs has flattened since about 2011, but available data do \nnot suggest that this is the precursor to a new increase. If anything, the downward trend \nmay resume in 2014, though the situation requires further monitoring. \nFor local areas then, this report suggests that it is still important to identify new OCUs as the \narrestee data showed that a proportion of these are likely to offend over a long period of time. \nBut also, there was some evidence of a shift to older initiates, which may require a slightly \ndifferent treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 32", - "page_start": 31, - "page_end": 31, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: \ncharacteristics and trends \nResearch Report 90 \nNick Morgan, Daniel Heap, Amy Elliott, Tim Millar \nJanuary 2016", - "page_start": 0, - "page_end": 0, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "According to the National Database Treatment Monitoring System, how many people started using opiates/crack between 2005 and 2014?", - "target_page": 22, - "target_passage": " Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "New opiate and crack-cocaine users: characteristics and trends 22 \n \n2. Estimating an incidence trend from \ntreatment data \nThis section uses treatment data from the National Database Treatment Monitoring System \n(NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the \nnumbers of people presenting to services with problem drug misuse and information about the \ndrug treatment they receive. All drug treatment agencies in England provide a basic level of \ninformation to the NDTMS on their activities each month. The data for this report included all \nunique individuals presenting to treatment with opiates or crack-cocaine listed as their primary \ndrug between 2005 and 2014. All individuals whose age of first use was listed as below ten or \nbefore 2005 were then excluded. Excluding individuals who started using opiates/crack before \n2005 resulted in a large number of records being left out, due to the fact that the majority of the \ntreatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack \nuse surged in the UK. However, this exclusion is necessary for the incidence methodology, as \nexplained later in this section. The remaining dataset included 52,829 individuals, as shown in \nTable 10. \nTable 10: Descriptive statistics from the NDTMS data. \nReason for exclusion \nNumber of \nindividuals \nexcluded \nTotal number \nof individuals \nanalysed \nInitial sample prior to exclusion 0 243,588 \nNo age at first use recorded or age \nwas below 10 or higher than age at \nfirst treatment \n443 243,145 \nYear of first use before 2005 190,316 52,829 \nPercentage of total sample \ninitiating 2005–14 n/a 21.7% \n \nThe majority of those presenting for treatment between 2005 and 2014 started using \nopiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an \nopiate/crack initiation date between 2005 and 2014. This suggests an average of just under \n5,000 new starters per year during this period. But this would be an under-estimate of incidence \nbecause it is likely that some of those who began use between 2005 and 2014 would not yet \nhave come to treatment during that period. \nTo correct for this, we use two variants of a methodology employed by researchers in Millar et \nal. (2001) and Hickman et al. (2001). These papers discuss the methodology in detail. \nIn brief, the method uses the lag-to-treatment distribution for the sample coupled with the \nnumber of new treatment presentations in a given year to estimate OCU incidence in that year. \nSo, when presenting to treatment, all individuals are asked to provide the year in which they first \nbegan using their primary drug, which for this analysis was limited to opiates and/or crack-", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 3 \n \nSummary \nExecutive summary \nThis paper uses a range of datasets and methodologies to: \n obtain working estimates for the number of individuals in England who started using \nopiates/crack from 2005 to 2013;1 \n examine the characteristics of these individuals. \nThe main findings of the paper are as follows. \n It is estimated that around 5,000 to 8,000 individuals started using opiates or crack-\ncocaine in 2013. There is a high degree of uncertainty around this figure due to the \nsparse data on this population, but sense-checks based on treatment and criminal justice \nsystem data suggest the true figure is unlikely to be much larger than 10,000. \n Data also suggest that the number of current opiate/crack initiates involved with crime \nmay be even lower. The number of arrestees testing positive for the first time for opiates \n(or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first \n11 months of 2013, a fall of around 70 per cent2. Furthermore, of the new positive testers \nin 2013, only 721 were aged 18–24.3 Though this arrestee data will capture only a \nproportion of the true population, it does suggest that the number of new, young initiates \ninvolved with crime – those who have the potential to inflict most societal harm – has \ndecreased markedly, probably just to a few thousand per year; and that this group now \nmake up a small minority of the total number of opiate/crack-cocaine users (estimated to \nbe 294,000 in 2011/12), most of whom are older, longer-term users. \n In terms of trends in new opiate/crack-cocaine users, all available data suggest that \nfigures have dipped by at least a fifth since 2005 and have dropped hugely since the late \n1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very \nrapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the \nepidemic years, published estimates of new opiate/crack-cocaine users in Manchester \nand Bolton show rates more than 11 times larger. \n However, the findings also suggest that between 2011 and early 2014, the number of \nnew opiate/crack-cocaine users stopped decreasing and instead stabilised at a \n(historically) low level. Further analysis was conducted to try and determine whether this \nwas a precursor to a new rise in initiates. Though the data are not totally conclusive, the \nresults suggest that a marked increase in new opiate/crack-cocaine users in the near \nfuture is unlikely. If anything, findings suggested that the downward trend may be set to \nresume. \n Analysis also revealed some possible changes in characteristics of the new opiate/crack-\ncocaine initiates. There is a trend in the treatment data towards new initiates coming to \ntreatment earlier in their drug-using careers than previous cohorts and also to have \n \n1 At the time of writing, data was unavailable for the period after November 2013. \n2 It is 68 per cent if the 2013 figure is adjusted to correct for the missing month of data. \n3 787 if adjusted for the missing month.", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 27 \n \nbetween March 2011 and March 2015 can also be seen in the raw numbers for total new OCU \ntreatment presentations.22 \nFigure 10: New treatment presentations for opiate/crack use. \n \n \nFigure 10 shows that, rather than increasing in the current year, new presentations for \nopiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a \ndecrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics \nhave been missed before (see Morgan, 2014), and the potential social harm that a fresh \nincrease in new OCUs could cause, further analysis was conducted on the most recent data to \ntry and determine whether the apparent flattening in trends was actually caused by the early \nstages of a significant surge in new users. \nThe treatment data was broken down by age to check whether the slight fall in total new \npresentations in 2014/15 masked an increase in younger treatment presentations. This showed \ninstead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to \n3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a \nfaster rate over the last year than for those aged over-25. Furthermore, separate statistics \nproduced for those in treatment aged 18-and-under also show a fall in aggregate numbers in \ntreatment for opiates and crack. \nWe also looked at trends at the local level, given that previous epidemics have started in very \nspecific areas and have taken several years to spread nationally. This means that the start of an \nepidemic can be hidden in the national data because it has not reached enough areas to \nregister. \n \n22 Note that this series counts the start of any new treatment journey, regardless of whether an individual has been in treatment \nbefore. So unlike our definition of ‘new’ elsewhere it includes individuals who have been to treatment previously.", - "page_start": 26, - "page_end": 26, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 5 \n \nmethods for calculating incidence are complicated and imperfect. It should be acknowledged in \nadvance that this paper does not fully resolve these issues. It is merely intended as a first step, \nto obtain workable estimates upon which to base policy until more sophisticated methods are \ndeveloped. That said, every effort is made in this analysis to sense-check the results against \nother available datasets. The datasets used and the structure of the paper is as follows. \ni) Drug Interventions Programme (DIP) data. In part one, we produce general \ndescriptive statistics from these data, which capture individuals who test positive for \nopiates/crack-cocaine following arrest or charge. Due to the limitations in coverage of \nthese data over time, we draw only broad conclusions, some of which act as a sense-\ncheck for the main results from part two. \nii) Data on presentations to treatment from the National Drug Treatment Monitoring \nSystem (NDTMS). In part two, we use two models based on previous research papers \nto calculate OCU incidence at the national level between 2005 and 2013. Most of the \nmain conclusions come from this section.", - "page_start": 4, - "page_end": 4, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 24 \n \nTable 12: Estimated 20-year lag-to-treatment distribution for model one \n \nThe cumulative percentages from the table above can then be combined with statistics showing \nactual numbers of first presentations to treatment by year of onset to calculate an incidence \ntrend, as demonstrated in Table 13. \nTable 13: Table showing the data used to estimate incidence in model one and the results21 \n \nYear of 1st treatment \n2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 Total \nPercentag\ne of total \nincidence \naccounted \nfor by \nobserved \nEstimated \nnumber yet \nto come to \ntreatment \nEstimated \ntotal \nincidence \nYear \n1st \nuse \n2005 1,305 1,508 1,533 1,250 938 800 512 408 376 330 8,960 85% 1,523 10,483 \n2006 - 1,297 1,727 1,624 1,116 821 611 471 470 358 8,495 82% 1,824 10,319 \n2007 - - 1,482 1,906 1,532 1,020 671 566 491 416 8,084 79% 2,183 10,268 \n2008 - - - 1,446 1,857 1,456 840 659 570 424 7,252 75% 2,437 9,689 \n2009 - - - - 1,580 1,811 1,018 727 627 527 6,290 70% 2,701 8,990 \n2010 - - - - - 1,404 1,101 933 757 544 4,739 62% 2,864 7,602 \n2011 - - - - - - 1,001 1,109 988 646 3,744 53% 3,269 7,013 \n2012 - - - - - - - 967 1,149 920 3,036 41% 4,287 7,324 \n2013 - - - - - - - - 1,021 1,204 2,225 27% 6,065 8,290 \n2014 - - - - - - - - - 869 869 12% \nTotal 1,305 2,805 4,742 6,226 7,023 7,312 5,754 5,840 6,449 6236.4 53,693 \n \nReading down the year columns, the table shows that of the 6,449 people who presented for \nopiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another \n470 said they started using in 2006, and so on. \nReading across the table shows that of all those who said they began using opiates/crack in \n2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per \ncent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from \nTable 12). Another 1,508 presented for the first time a year later, and so on. The first number in \nthe totals column (8,960) therefore represents all individuals who said they began using in 2005. \nIt is therefore the ‘observed’ incidence level. The column to the right of this is the cumulative \npercentages from the estimated lag-to-treatment distribution in Table 12. This shows the \n \notherwise similar data (i.e. first treatment presentation and year of initiation) from OCUs attending treatment in the \nManchester area. \n21 Note that the data for 2014 only includes Jan–Oct as this was all that was available. Hence we do not do not attempt to \ncalculate an incidence estimate for 2014 and we adjust all the values in that column by multiplying by (12/10) to account for \nthe missing months.", - "page_start": 23, - "page_end": 23, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 30 \n \nConclusion \nThis report has attempted to draw together available data and evidence to estimate the number \nof new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look \nbriefly at their characteristics. This is important as previous research has suggested that – \nmostly through the actions of a minority - this group has the potential to have a large impact on \ncrime trends and therefore to impose significant societal costs. \nThough data on this population is imperfect, a number of different data sources and \nmethodologies are available to estimate OCU incidence. From these, three key conclusions \nemerge: \n The number of new opiate/crack users is clearly far lower now than it was in the 1980s \nand early 1990s and has even dropped 20-45% since 2005. \n This means numbers of new users in 2013 may be around 5,000-8,000 with an \napproximate upper bound of 10,000; and numbers involved with prolific criminality will be \nlower still. \n The downward trend in new OCUs has flattened since about 2011, but available data do \nnot suggest that this is the precursor to a new increase. If anything, the downward trend \nmay resume in 2014, though the situation requires further monitoring. \nFor local areas then, this report suggests that it is still important to identify new OCUs as the \narrestee data showed that a proportion of these are likely to offend over a long period of time. \nBut also, there was some evidence of a shift to older initiates, which may require a slightly \ndifferent treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 10 \n \nbefore 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests. \n \nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 23 \n \ncocaine. From this information it is possible to create a distribution, for all presentations, of the \nlag-time between initiation and their first presentation at treatment. This might show – for \nexample – that only ten per cent of all individuals presenting to treatment do so in the first year \nof use, but that 25 per cent present within two years, and so on. This means that for each year, \nwe can estimate the number of individuals who have begun an opiate-crack career but who \nhave yet to come to treatment. Adding these to the numbers who began in that year and have \ncome to treatment gives our total incidence estimate for each year. \nThe first model uses NDTMS data for the cohort starting use in 2005 (n=8,960), the lag-time \ndistribution for those initiating use in 2005 and presenting to treatment between 2005 and \n201418 is shown below. \nTable 11: Time-to-treatment distribution for those initiating use in 2005 and presenting to \ntreatment between 2005 and 2014.19 \nLag time to \ntreatment (years) 0-1 1-2 2-3 3-4 4-5 5-6 6-7 7-8 8-9 9-10 \nPercentage 15% 17% 17% 14% 10% 9% 6% 5% 4% 4% \nCumulative \npercentage 15% 31% 49% 62% 73% 82% 88% 92% 96% 100% \n \nTable 11 shows that 15 per cent of the individuals who started use in 2005 and had presented \nfor treatment by 2014, presented within one year of initiation. A further 17 per cent presented \nbetween one and two years after initiation, prior to coming to treatment, meaning that overall 31 \nper cent of the sample said they came to treatment within two years of first using opiates/crack. \n(The fact this is not 32% is simply due to rounding). \nAs a basis for the total lag-to-treatment distribution, the main limitation with the above analysis \nis that it assumes all individuals coming to treatment do so within ten years. Examining data \nfrom earlier cohorts suggests this is inaccurate, as a small proportion of OCUs will continue to \nuse these drugs for a long time, sometimes two decades or more, before seeking treatment, \nand some never will. However, we cannot use an earlier cohort for the distribution because this \nis equivalent to using out-of-date data. The average lag-to-treatment is likely to have reduced \nover time given the expansion of treatment places and the influence of DIP. Using old data will \nmiss this and bias the estimates. Even using the 2005 cohort’s distribution contains the \nassumption that the time-to-treatment lag has not altered significantly between 2005 and \n2013/14. So, to try and obtain the most accurate model, we used the figures from the 2005 \ncohort for the first ten years, as above, on the basis that this covers the majority of individuals \nand for that we want the most up-to-date data possible whilst maintaining a long enough time \nperiod. We then index the trend at that point to an older cohort, and use data from that cohort to \nmodel the ‘tail’ of the distribution – i.e. those who take longer than ten years to reach \ntreatment.20 The result is a 20-year lag-to-treatment distribution, shown in Table 12 below. \n \n18 Data for 2014 was available until October 2014. This was converted to annual figures by multiplying up by 1.2 to account for \nthe missing months in a linear fashion. \n19 The percentages from this table can be calculated from the numbers in Table 13. \n20 In reality there is always a trade-off in this methodology between the up-to-dateness of the cohort used to measure the lag-\nto-treatment and the number of years of lag measured, i.e. we could use a more recent cohort, say 2008. But that would \nmean excluding all those who take longer than seven years to come to treatment, an even larger proportion. We are \nindebted to Tim Millar for providing the dataset used to model the ‘tail’ of the distribution. It contained a longer time series of", - "page_start": 22, - "page_end": 22, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 4 \n \ninitiated use at an older age. Currently it is not possible to determine whether this is a \nreporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users. \n The report has several important policy implications. Even though numbers of new \ninitiates involved with crime have dropped to the low thousands, putting downward \npressure on crime, identification and early diversion to treatment remains paramount. \nFrontier Economics have estimated that the average4 lifetime crime cost of an injecting \ndrug user is £445,000, so the potential for social harm – even from a small number of \nindividuals – remains large and potentially long-lasting. This means local areas need to \nmanage both the (relatively large) stock of current users, and the (much smaller) flow of \nnew initiates, whose treatment needs may be different. There is no evidence of any new \nepidemic in this country, but given the impact of the epidemic of the 80s and early 90s on \ncrime, ongoing monitoring of recent trends is required to spot early signs of any emerging \nproblems. \nAims and Methodology \nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use \nin driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates \nexist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al., 2013), \nthere are no estimates for the number of new OCUs each year (throughout this paper the \nnumber of new OCUs is also referred to as ‘incidence’). This is important for three main \nreasons. \ni) Stock and flows: Simply knowing the stock of OCUs tells us nothing about the flows in \nand out – i.e. if the stock were constant each year that could mean that no one starts \nusing these drugs and no one quits or it could mean all existing users quit but that they \nare wholly replaced by new users, or any similar scenario in between. Clearly the policy \nresponse would need to be quite different for each of these cases, so knowing the true \nsituation is important. \nii) Early-warning system: Research by the Home Office and others has shown that there \nis generally a lag between the start of a heroin/crack epidemic and the point at which it \nbecomes visible on administrative datasets. Closing this gap is important for policy, and \npart of the reason for its existence is the lack of incidence estimates. Evidence also \nsuggests epidemics spread from area to area, so it is important to monitor local as well \nas national trends. \niii) The social harm that can arise: Though research suggests that not all OCUs resort to \nacquisitive crime to help finance their drug use, numerous studies show that a \nproportion consistently do and these individuals can be extremely prolific offenders \n(Morgan, 2014). One study by Frontier Economics estimated that the average lifetime \ncost to society of an injecting drug user was £445,000 from crime alone. Hence \nanalysing and identifying new OCUs is a policy priority (Frontier Economics, 2010). \nThere are two inter-connected reasons why regular national incidence estimates have not been \nattempted before5. The first is that data on this issue are sparse given the ‘hidden’ nature of \nopiate/crack markets and that date of first use is not something that gets recorded at the \nmoment it actually occurs. The second reason, which flows from the first, is that current \n \n4 The average is useful, but hides the fact that offending within the opiate/crack population is highly skewed with a few \nindividuals responsible for the majority of crime and many individuals manage to use heroin and crack without resorting to \nacquisitive crime at all (Morgan, 2014). \n5 Though regular national-level estimates have not been attempted, studies have estimated incidence at various times and at", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 28 \n \nThe analysis showed that of the 149 Drug Action Team areas in England, 72 per cent had \ndecreases in new OCU treatment numbers in the year to September 2014 compared to the \nprevious year. Furthermore, of the 42 areas showing an increase, only 11 also showed a rise for \nthe 12 months to September 2010 compared with the 12 months to September 2014, and most \nof these involved small numbers of individuals. \nOverall then, the very recent data on treatment presentations do not currently suggest that the \nnumber of new OCUs is on the verge of increasing, merely that it flattened for a period. \nA number of factors could explain the flattening. Most importantly, if there was some sort of \nshock that caused a one-off reduction in the lag-time to treatment this could make it appear as if \nincidence was rising when in fact new users may be falling but a greater percentage may simply \nbe turning up to treatment faster. Such a shock may have occurred given the reduction in heroin \nsupply seen from the end of 2010 through to 2012 (see Ahmad et al,. 2016). If users unable to \nobtain heroin used this enforced abstinence as a spur to seek treatment and hence to present to \ntreatment services earlier than they otherwise would have done, this could cause a one-off \n‘concertina effect’ in which treatment numbers initially flatten or even rise but then fall again. \nThis would also explain why the downward trend has apparently resumed: evidence suggests \nthe reduction in supply has also ended. \nHowever, further analysis revealed some other possibilities based on the characteristics of \nthose attending opiate/crack treatment for the first time in recent years. The Appendix includes a \nseries of graphs with age-of-onset distributions for those who first attended treatment in 2013, \nand then 2012, and so on back to 2004. These show that the majority of those who presented to \ntreatment in 2004 initiated use in the mid-1990s in line with the likely peak of the epidemic. But \nby 2012 a far greater number of individuals presenting to treatment say they started using \nopiates/crack only a year or two before.23 In other words, there appears to be a shift towards a \nshorter lag between initiation and treatment. This shift looks even more dramatic when using \nproportions rather than absolute numbers, see the Appendix. \nFurthermore, these individuals (those who seem to have both initiated recently and presented to \ntreatment within a year or two of initiation) show a notably different age-of-initiation profile \ncompared to the established profile in the literature, which peaks around 18–22 (Donmall & \nJones, 2005). These individuals have a notably older age profile: see figure 11 chart, which \ncompares recent initiates who presented to treatment in 2005 with recent initiates who \npresented to treatment in 2013. \n \n23 This shift does not appear to be related to the reduction in heroin supply occurring around 2010/11. As Appendix 1 \ndemonstrates, the pattern emerges far earlier.", - "page_start": 27, - "page_end": 27, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What proportion of opiate users tested in 2004 were still positive a decade later?", - "target_page": 18, - "target_passage": "Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest)", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "New opiate and crack-cocaine users: characteristics and trends 10 \n \nbefore 1960 was removed and because DIP tests are only administered to those aged 18 and \nover, so only using data to 2013 means it would not be possible for anyone to be born in 1996 \nor afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that \npositive opiate tests drop off sharply for those born after 1982. This is in line with other evidence \nsuggesting that the number of new users of opiates decreased sharply in the 2000s. This needs \nto be considered when interpreting the analysis that follows. When DIP and the NDTMS \ntreatment system began in the mid-2000s, there already existed a cohort of around 320,000 \nOCUs, according to available estimates by Hay et al., (2013). And most of these individuals \nbegan using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data \ncapture this means it is hard to separate the gradual inclusion of more and more individuals \nfrom this original cohort from genuinely new users of these drugs. \nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests. \n \nFigure 3, which shows the age of the individual at a positive test, also reveals that although the \naverage age at positive test is 32, the peak is quite flat, with high numbers of positive tests still \nbeing recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 20 \n \nTable 9: Table showing the age breakdown of individuals testing positive for opiates-only or \npositive-for-both as a proportion of all individuals first testing positive in that year. \nYear of \nfirst test \nAge \n18 - 24 \nAge \n25 - 29 \nAge \n30 - 34 \nAge \n35 - 39 \nAge \n40 over \n \nTotal \n2004 26% 27% 24% 16% 7% 100% \n2005 23% 27% 24% 17% 9% 100% \n2006 25% 26% 22% 17% 11% 100% \n2007 24% 25% 21% 16% 13% 100% \n2008 21% 23% 21% 18% 16% 100% \n2009 23% 22% 20% 17% 18% 100% \n2010 22% 21% 20% 17% 20% 100% \n2011 22% 19% 20% 16% 22% 100% \n2012 19% 20% 22% 17% 23% 100% \n2013 17% 20% 22% 16% 25% 100% \n \nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the \nnumber and the proportion of new positive testers. However, the proportion of those aged 40+ \nhas consistently risen and now constitutes the largest group of all new individuals testing \npositive. \nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very \ndifferent age profile to that we would expect from a cohort of recent initiates. It is far older, \nsuggesting again that many of those are actually pre-existing users only tested (positively) for \nthe first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence \ndemonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to \nbe longer-term users who have only been first arrested in 2013, rather than genuinely new \nOCUs. \nIn the next section, analysis will examine whether there has been a possible shift towards an \nolder profile amongst new initiates. But even taking this into account, it is unlikely that the \nmajority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 \nbelow, which compares the age-of-initiation curve from Figure 11 (in the next section) to the \n2013 ‘new-individuals’ cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 13 \n \npopulation there exists a small group of frequent repeat users. 1,828 individuals (1.7% of this \npopulation) accounted for just over ten per cent of all positive tests (30,471 tests in total). These \nindividuals provided between 16 and 57 positive tests over the period 2004 to 2013. \nFigure 4: Proportion of positive tests by number of times an individual tested positive. \n \nThe age and year-of-birth distributions for the 104,817 individuals reveals a similar profile to the \ndistribution for total tests (Figures 5 and 6).", - "page_start": 12, - "page_end": 12, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 15 \n \nThe relationship between the total opiates-only or positive-for-both tests and the individuals \nresponsible for them can also be shown over time, as Table 5 illustrates11. \nTable 5: Table showing trends in total positive opiates-only or positive-for-both., in unique \nindividuals testing positive, and in new individuals testing positive. \n \nOf central interest for this paper is the third row which shows numbers of individuals testing \npositive for opiates only or were positive-for-both for the first time. All the previous caveats \nabout DIP trends need to be borne in mind when looking at those figures. Clearly the rise in new \npositive testers in the early period will be affected by the changes to DIP coverage through \nthose years, as possibly will the sharp fall in positive testers in the latter period. However, \ngraphing the data (see the red line in Figure 7 below) shows that the fall from 14,750 new \npositive testers in 2006 to 4,281 in 2013, is not only large (the drop is around 70 per cent even if \nwe use the adjusted figure for 2013) but also more or less linear. This means that there is no \nimmediate reason to suggest that the 2013 figures are artificially low due to changes in DIP \ncoverage (i.e. the fact that DIP ceased to be a centrally funded programme in April of that year). \nTaken together, the data from the period post-2006 (when DIP had achieved a high level of \ncoverage) certainly appear to show that the number of new crime-involved OCUs is unlikely to \nbe rising and may be falling markedly, see Figure 7. \n \n11 Individuals may have more than one positive test in a given year, which is why the numbers for tests are higher than the \nnumbers for individuals. Similarly, even new individuals not previously testing positive in a given year, may have multiple \npositive tests in the first year in which they test positive.", - "page_start": 14, - "page_end": 14, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 12 \n \n \nTable 3: Descriptive statistics for the DIP positive opiate-only/positive-for-both tests in which \nan individual can be identified with a PNC number. \n \nThe age and year of birth distributions are also similar and are shown in the Appendix. Thus, for \nthe majority of the analysis that follows, tests with no PNC number were excluded.10 \nThe charts and tables above use data from all positive tests, so will include cases where the \nsame individual has tested positively on more than one occasion. The following data look just at \nthe first test for each individual testing positive for opiates-only or positive-for-both. \nTable 4: Descriptive statistics on first positive opiate-only/positive-for-both tests. \nFirst positive opiate/opiate+cocaine tests (unique individuals) \nAge Year of birth \nNumber of tests 104,817 Number of tests 104,817 \nMean 31 Mean 1977 \nMedian 30 Median 1977 \nMode 27 Mode 1980 \nMinimum 18 Minimum 1960 \nMaximum 53 Maximum 1995 \n \nThere were just over 100,000 unique individuals who tested positive for opiates-only or positive-\nfor-both between 2004 and 2013. The distribution of the 296,008 positive tests these individuals \ngave, shows that the vast majority (55%) were only tested once (see Figure 4), which is likely to \nbe why the age statistics are quite similar between Table 3 and Table 4. However, within this \n \n10 Examining the data it is also clear that some areas recorded a higher proportion of cases without a PNC number than \nothers. Thus excluding these cases further affects the variation in geographic coverage across time. See Appendix for more. \nAll positive opiate/opiate+cocaine tests (including repeats) that were recorded on PNC; \nEngland 2004–2013 \nAge Year of birth \nNumber of tests 296,008 Number of tests 296,008 \nMean 32 Mean 1977 \nMedian 31 Median 1977 \nMode 28 Mode 1979 \nMinimum 18 Minimum 1960 \nMaximum 53 Maximum 1995", - "page_start": 11, - "page_end": 11, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 19 \n \ncent (25,000/150,000).14 It is then possible to model how many of the original population of \ncrime-involved OCUs would be likely to test positive in any given year. For example, if there \nwere 150,000 crime-involved OCUs in 2008, the chances of one of that group having a first test \nin 2013, providing they remained a crime-involved OCU throughout the period 2004–2013 is \ngiven by: \n(1 – probability of arrest)^8 = chance of not getting caught between 2004 and 2012 \nMultiplied by: \nProbability that they do get arrested in 2013 \nThis can then be calculated for a range of plausible values for the initial number of OCUs, and \nhence range of arrest rates, to give a range of plausible values for the number of new testers in \n2013 who were actually longer-term users. The results of this modelling suggest that we would \nexpect about 2,400–7,000 new positive tests from individuals who are actually longer-term \nOCUs.15 So the fact we only see 4,281 in the real data suggests that genuinely new initiates \nmay be a minority within this figure, as many (probably most) will be from the original cohort. \nThis is further reinforced by the next set of analyses, which break down the data on new positive \ntests per year by age. Table 8 shows how numbers of unique individuals testing positive for the \nfirst time break down by year and by age group. The age breakdowns are shown first in \nabsolute numbers and in the second table as a proportion of all those with a first test in that \nyear. \nTable 8: Unique individuals testing positive for opiates-only or positive-for-both, by age and \nby year of first test. \nYear of first \ntest Age 18-24 Age 25-29 Age 30-34 Age 35-39 Age 40 \nover Total \n2004 3,150 3,319 2,938 1,958 881 12,246 \n2005 2,391 2,832 2,548 1,791 977 10,539 \n2006 3,635 3,768 3,275 2,491 1,580 14,749 \n2007 3,182 3,359 2,869 2,178 1,803 13,391 \n2008 2,912 3,197 2,857 2,425 2,238 13,629 \n2009 2,711 2,594 2,304 1,998 2,048 11,655 \n2010 2,287 2,180 2,105 1,744 2,075 10,391 \n2011 1,772 1,519 1,622 1,274 1,726 7,913 \n2012 1,136 1,179 1,300 1,030 1,377 6,022 \n2013 721 850 938 704 1,068 4,281 \nTotal 23,897 24,797 22,756 17,593 15,773 104,816 \n \n \n14 Note that this rate is, in effect, the rate of arrest-and-testing-positive. \n15 The technical annex contains a section on exactly how this range was estimated.", - "page_start": 18, - "page_end": 18, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 18 \n \nTable 7: Number of unique individuals testing positive for opiates-only or positive-for-both, \nby year of first positive test. \n Number of unique individuals with positive opiate/opiate + cocaine tests per year \nFirst test year 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013 \n2004 12,246 3,171 3,299 3,090 2,992 2,573 2,311 1,766 1,513 1,092 1,191 \n2005 10,539 3,020 2,539 2,478 2,083 1,844 1,350 1,156 862 940 \n2006 14,750 3,896 3,280 2,701 2,507 1,819 1,610 1,140 1,244 \n2007 13,391 3,063 2,291 2,091 1,567 1,334 954 1,041 \n2008 13,629 2,670 2,263 1,612 1,366 978 1,067 \n2009 11,655 2,211 1,431 1,125 847 924 \n2010 10,391 1,385 1,052 733 800 \n2011 7,913 1,017 643 701 \n2012 6,022 823 898 \n2013 4,281 4,670 \nTotal 12,246 13,710 21,069 22,916 25,442 23,973 23,618 18,843 16,195 12,353 13,476 \n \nThese tables can be read both horizontally and vertically. Reading vertically (i.e. down the \ncolumns) it can be observed, for example, that of the 12,353 individuals with a positive test in \n2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive \nat least once in 2010 or before. \nReading horizontally – for example from left to right across the first row – it can be concluded \nthat of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; \n3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show \nwhether those who had a subsequent test in 2005 were the same individuals as those who had \na subsequent test in 2006. So reading the results of the two tables together, we can say that \n12,246 individuals had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in \n2005, resulting in 5,604 positive tests because some tested positive more than once in that \nyear. The last figure in each column gives the number of new users that year (10,539 in 2005, \n14,750 in 2006 and so on). \nThere are several observations to be drawn from these tables. First, it is clear that a proportion \nof opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of \nindividuals who tested positive for opiates at charge in 2004 also tested positive nearly a \ndecade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive \nin 2013, 1,092 (8.9%) had also tested positive almost a decade earlier. \nSecond, in relation to incidence, these numbers also allow for some back-of-the-envelope \nmodelling to address the extent to which the figure of 4,281 individuals, who are new positive \ntesters in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the \nfigures for 2008, when DIP was fully up and running, we know that around 25,000 unique \nindividuals had positive tests that year. This can be combined with available estimates of the \ntotal OCU population (Hay et al., 2013) and the proportion who are likely to be offending \n(Gossop et al., 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about \n150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per", - "page_start": 17, - "page_end": 17, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 17 \n \nDespite this, there are still a few things these data can tell us about the numbers and trends in \nnew OCUs. Firstly, despite the downward bias outlined above, it is clear that there are not \nenough new crime-involved OCUs entering the population to cause this trend to increase or \neven flatten. Secondly, it is assumed that the probability of arrest stays roughly constant through \nthe period, the trend in the number of new positive testers, who are actually captured from the \noriginal cohort, will gradually flatten, whereas the decline in new OCUs in the DIP data is almost \nlinear, suggesting that numbers entering the population are also falling. But most important is \nthat the absolute number of new positive testers in 2013 is only 4,281. Given that this figure is \nlikely to include some individuals who are actually long-standing OCUs, but who have evaded \narrest to that point, then the number of genuinely new arrested OCUs in 2013 must be lower \nthan 4,281, possibly markedly lower. \nTo investigate this further, the next two tables break down annual totals for all tests and all \nunique individuals, by the year of first test. \nTable 6: Number of positive opiates-only or positive-for-both. tests, by year of first positive \ntest. \n Number of tests per year (positive opiate/opiate + cocaine) \nYear of first \ntest 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Adjusted 2013 \n2004 17,174 5,604 7,091 6,784 6,509 5,292 4,863 3,341 2,629 1,800 1,964 \n2005 13,553 6,066 5,110 4,941 3,983 3,549 2,323 1,947 1,383 1,509 \n2006 20,656 7,784 6,152 5,139 4,629 3,257 2,649 1,806 1,970 \n2007 17,613 5,747 4,309 3,855 2,619 2,119 1,555 1,696 \n2008 17,883 4,970 4,026 2,626 2,180 1,562 1,704 \n2009 14,683 4,054 2,383 1,824 1,318 1,438 \n2010 13,075 2,332 1,638 1,154 1,259 \n2011 9,595 1,714 1,013 1,105 \n2012 7,265 1,359 1,483 \n2013 5,523 6,025 \nTotal 17,174 19,157 33,813 37,291 41,232 38,376 38,051 28,476 23,965 18,473 20,152 \n \n \n \ninvolved opiate/crack users will quit (or die) before being arrested and tested; 3) DIP’s geographical coverage is not 100 per \ncent; 4) Some may evade arrest through the entire series; and 5) Evidence suggests OCUs cycle in and out of periods of \nregular use and offending rather than offend at a high rate continuously. But clearly the gradual capture of the pre-existing \npopulation creates a big enough bias such that we cannot read the figures for new positive testers simply as an incidence \ntrend for crime-involved opiate/crack users.", - "page_start": 16, - "page_end": 16, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 42 \n \n \nModelling methodology \nThis brief section outlines the modelling process behind the conclusion in section one, which \nstates that we might expect somewhere between 2,400 and 7,000 individuals from the original \ncohort of users in 2004 to be captured within the 2013 figure of new DIP arrestees (who test \npositive for opiates-only or who are positive-for-both). \nWe begin by putting in a plausible range of crime-involved OCUs through the period. This \ncombines the total OCU estimates published by Hay et al., (ranging from around 320,000 OCUs \ndown to around 295,000 in recent years) with available estimates of the percentage who are \nlikely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the \nNTORS study (Gossop et al., 2003). As such, a range of between 170,000 and 100,000 crime-\ninvolved OCUs is likely to include all plausible values (see first row of table below). \nWe then calculate the rate at which that population is likely to be arrested and test positive by \nusing the number of individuals testing positive from 2008 (25,433), when DIP was fully up and \nrunning. This gives the second row of the table. Combining the values in the first two rows and \napplying the probability formula given in the main body of the text gives the third row: the \nprobability of first positive DIP test in 2013. Note that this assumes all these individuals continue \nto offend through the period, which may not be the case, hence final results are probably an \nupper bound. The final row simply multiples the figure in the first row by the figure in the third to \ngive our estimate of the original cohort who might appear in the 2013 DIP figures as new.", - "page_start": 41, - "page_end": 41, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "New opiate and crack-cocaine users: characteristics and trends 9 \n \ncocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the \nfact that DIP ceased to be a nationally funded programme in April 2013. \nThese data do show, however, that from 2006 onwards, between a third and half of all \nacquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those \ntests (depending on the year) resulted in a positive result for opiates-only or for both opiates and \ncocaine (hereafter labelled `positive-for-both’). \nThe reason for highlighting only the opiates-only and the `positive-for-both’ test results is that \nthe primary group of interest in this report are opiate and crack-cocaine users. To capture this \ngroup, cocaine-only tests must be excluded because DIP tests cannot distinguish between \npowder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous \nevidence has demonstrated that while there is much overlap between heroin and crack-cocaine \ncohorts (i.e. many of those who use heroin also use crack-cocaine), powder-cocaine users have \na quite different profile and are far less likely to be involved with acquisitive crime. Excluding the \ncocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who \nare not also using opiates or crack), but it also means we may miss some crack-cocaine-only \nusers, hence the figures may under-estimate the true population of OCUs slightly. \nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the \nperiod was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests \n(noting that the same individual may be included several times if they gave multiple positive \ntests). \nTable 2: Descriptive statistics on all positive opiate-only/positive-for-both tests. \nOpiate/opiate+cocaine positive tests in England 2004–2013 (all positive tests including repeats \nby the same individual) \nAge Year of birth \nNumber of tests 364,537 Number of tests 364,537 \nMean 32 Mean 1977 \nMedian 31 Median 1977 \nMode 28 Mode 1979 \nMinimum 18 Minimum 1960 \nMaximum 53 Maximum 1995 \n \nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these \nindividuals were in their mid-to-late teens during the crime peak of the mid-1990s.9 Given \nevidence suggesting that the average age of initiation for opiate/crack use is around 18–20 \n(Millar et al., 2001), this age profile would tentatively suggest that OCU incidence also peaked in \nthe 1990s and that this created a large cohort of users who would be approaching 40 today. \nThe minimum and maximum years of birth are fixed by construction, because anyone born \n \n9 Note that the dataset counts tests, not unique individuals, so the same person can appear more than once.", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "Who led the Fronde des princes?", - "target_page": 4, - "target_passage": "It was headed by the highest-ranking French nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "1655 portrait of Louis, the Victor of\nthe Fronde, portrayed as the god\nJupiter\nPortrait by Justus van Egmont\nbetween the years 1649–1652.\nCondé, attacked the rebels in Paris; the rebels were under the political control of Anne's\nold friend Marie de Rohan. Beaufort, who had escaped from the prison where Anne had\nincarcerated him five years before, was the military leader in Paris, under the nominal\ncontrol of Conti. After a few battles, a political compromise was reached; the Peace of\nRueil was signed, and the court returned to Paris.\nUnfortunately for Anne, her partial victory depended on Condé, who wanted to control the\nqueen and destroy Mazarin's influence. It was Condé's sister who pushed him to turn\nagainst the queen. After striking a deal with her old friend Marie de Rohan, who was able\nto impose the nomination of Charles de l'Aubespine, marquis de Châteauneuf as minister\nof justice, Anne arrested Condé, his brother Armand de Bourbon, Prince of Conti, and the\nhusband of their sister Anne Genevieve de Bourbon, duchess of Longueville. This situation\ndid not last long, and Mazarin's unpopularity led to the creation of a coalition headed\nmainly by Marie de Rohan and the duchess of Longueville. This aristocratic coalition was\nstrong enough to liberate the princes, exile Mazarin, and impose a condition of virtual\nhouse arrest on Queen Anne.\nAll these events were witnessed by Louis and\nlargely explained his later distrust of Paris and the higher aristocracy.[27] \"In one sense,\nLouis's childhood came to an end with the outbreak of the Fronde. It was not only that life\nbecame insecure and unpleasant – a fate meted out to many children in all ages – but that\nLouis had to be taken into the confidence of his mother and Mazarin on political and\nmilitary matters of which he could have no deep understanding\".[28] \"The family home\nbecame at times a near-prison when Paris had to be abandoned, not in carefree outings to\nother chateaux but in humiliating flights\".[28] The royal family was driven out of Paris\ntwice in this manner, and at one point Louis XIV and Anne were held under virtual arrest\nin the royal palace in Paris. The Fronde years planted in Louis a hatred of Paris and a\nconsequent determination to move out of the ancient capital as soon as possible, never to\nreturn.[29]\nJust as the first Fronde (the Fronde parlementaire of 1648–1649) ended, a second one (the\nFronde des princes of 1650–1653) began. Unlike that which preceded it, tales of sordid\nintrigue and half-hearted warfare characterized this second phase of upper-class\ninsurrection. To the aristocracy, this rebellion represented a protest for the reversal of their\npolitical demotion from vassals to courtiers. It was headed by the highest-ranking French\nnobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of\nMontpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of\nConti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and\nFrançois, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne,\nand Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.\nQueen Anne played the most important role in defeating the Fronde because she wanted to transfer absolute authority to her son.\nIn addition, most of the princes refused to deal with Mazarin, who went into exile for a number of years. The Frondeurs claimed\nto act on Louis's behalf, and in his real interest, against his mother and Mazarin.\nQueen Anne had a very close relationship with the Cardinal, and many observers believed that Mazarin became Louis XIV's", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV\nPortrait by Hyacinthe Rigaud , 1701\nKing of France (more...)\nReign 14 May 1643 – 1 September\n1715\nCoronation 7 June 1654\nReims Cathedral\nPredecessor Louis XIII\nSuccessor Louis XV\nRegent Anne of Austria (1643–1651)\nChief ministersSee list\nCardinal Mazarin\n(1643–1661)\nJean-Baptiste Colbert\n(1661–1683)\nThe Marquis of Louvois\n(1683–1691)\nBorn 5 September 1638\nChâteau de Saint-Germain-\nen-Laye, Saint-Germain-en-\nLaye, France\nDied 1 September 1715 (aged 76)\nPalace of Versailles,\nVersailles, France\nBurial 9 September 1715\nBasilica of Saint-Denis\nSpouses Maria Theresa of Spain (m. 1660; died 1683) \nFrançoise d'Aubigné,Marquise de Maintenon(private) (m. 1683) \nLouis XIV\nLouis XIV (Louis-Dieudonné; 5 September 1638 – 1 September 1715), also\nknown as Louis the Great (Louis le Grand) or the Sun King (le Roi Soleil),\nwas King of France from 1643 until his death in 1715. His verified reign of 72\nyears and 110 days is the longest of any sovereign.[1][a] An emblematic\ncharacter of the Age of Absolutism in Europe,[3] Louis XIV's legacy is widely\ncharacterized by French colonial expansion, the conclusion of Eighty Years'\nWar involving the Habsburgs, and his architectural bequest, marked by\ncommissioned works of art and buildings. His pageantry, opulent lifestyle and\nornate cultivated image earned him enduring admiration. Louis XIV raised\nFrance to be the exemplar nation-state of the early modern period, and\nestablished a cultural prestige which lasted through the subsequent centuries,\nand continues today.\nLouis began his personal rule of France in 1661, after the death of his chief\nminister Cardinal Mazarin, when the King famously declared that he would\ntake over the job himself.[4] An adherent of the divine right of kings, Louiscontinued his predecessors' work of creating a centralised state governed from\nthe capital. He sought to eliminate the remnants of feudalism persisting in parts\nof France; by compelling many members of the nobility to reside at his lavish\nPalace of Versailles, he succeeded in pacifying the aristocracy, many of whom\nhad participated in the Fronde rebellions during his minority. He thus became\none of the most powerful French monarchs and consolidated a system of\nabsolute monarchy in France that endured until the French Revolution. Louis\nalso enforced uniformity of religion under the Catholic Church. His revocation\nof the Edict of Nantes abolished the rights of the Huguenot Protestant minority\nand subjected them to a wave of dragonnades, effectively forcing Huguenots to\nemigrate or convert, virtually destroying the French Protestant community.\nDuring Louis's long reign, France emerged as the leading European power and\nregularly made war. A conflict with Spain marked his entire childhood, while\nduring his personal rule, Louis fought three major continental conflicts, each\nagainst powerful foreign alliances: the Franco-Dutch War, the Nine Years' War,\nand the War of the Spanish Succession. In addition, France contested shorter\nwars such as the War of Devolution and the War of the Reunions. Warfare\ndefined Louis's foreign policy, impelled by his personal ambition for glory and\npower: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's\nresources to the utmost, while in peacetime he concentrated on preparing for\nthe next war. He taught his diplomats that their job was to create tactical and\nstrategic advantages for the French military.[6] Upon his death in 1715,\nLouis XIV left his great-grandson and successor, Louis XV, a powerful but\nwar-weary kingdom, in major debt after the War of the Spanish Succession that\nhad raged on since 1701.\nSome of his other notable achievements include the construction of the Canal\ndu Midi, the patronage of artists, and the founding of the French Academy of\nSciences.\nEarly years", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis was twelve, a mob of angry Parisians broke into the royal palace and demanded to\nsee their king. Led into the royal bed-chamber, they gazed upon Louis, who was feigning\nsleep, were appeased, and then quietly departed.[25] The threat to the royal familyprompted Anne to flee Paris with the king and his courtiers.\nShortly thereafter, the conclusion of the Peace of Westphalia allowed Condé's army to\nreturn to aid Louis and his court. Condé's family was close to Anne at that time, and he\nagreed to help her attempt to restore the king's authority.[26] The queen's army, headed by\nEarly acts", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia5.pdf" - }, - { - "text": "famous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg.[81] He triumphed\nat the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles\nproved to be of little of strategic consequence,[82][83] mostly due to the nature of late 17th-century\nwarfare.[84]\nAlthough an attempt to restore James II failed at the Battle of the Boyne in 1690, France\naccumulated a string of victories from Flanders in the north, Germany in the east, and Italy and\nSpain in the south, to the high seas and the colonies. Louis personally supervised the captures of\nMons in 1691 and Namur in 1692. Luxembourg gave France the defensive line of the Sambre by\ncapturing Charleroi in 1693. France also overran most of the Duchy of Savoy after the battles of\nMarsaglia and Staffarde in 1693. While naval stalemate ensued after the French victory at the\nBattle of Beachy Head in 1690 and the Allied victory at Barfleur-La Hougue in 1692, the Battle of\nTorroella in 1694 exposed Catalonia to French invasion, culminating in the capture of Barcelona.\nThe Dutch captured Pondichéry in 1693, but a 1697 French raid on the Spanish treasure port of Cartagena, Spain, yielded a\nfortune of 10,000,000 livres.", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia5.pdf" - }, - { - "text": "closest surviving legitimate relative in France, would probably become regent to the prospective Louis XV. Accordingly, the king\ncreated a regency council as Louis XIII had in anticipation of Louis XIV's own minority, with some power vested in his\nTelevision\nMusicals\nHealth and death\nSuccession", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia5.pdf" - }, - { - "text": "historically waged local wars and plotted resistance to royal authority. Louis thus compelled and seduced the old military\naristocracy (the \"nobility of the sword\") into becoming his ceremonial courtiers, further weakening their power. In their place, he\nraised commoners or the more recently ennobled bureaucratic aristocracy (the \"nobility of the robe\"). He judged that royal\nauthority thrived more surely by filling high executive and administrative positions with these men because they could be more\neasily dismissed than nobles of ancient lineage and entrenched influence. It is believed that Louis's policies were rooted in his\nHeight of power\nCentralisation of power", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Lynn, John A. \"Food, funds, and fortresses: resource mobilization and positional warfare in the campaigns of LouisXIV.\" in Feeding Mars: Logistics in Western Warfare from the Middle Ages to the Present (Taylor and Francis,2019) pp. 150–172.\nAshley, Maurice P. Louis XIV and the Greatness of France (1965) ISBN 0029010802\nBeik, William. Louis XIV and Absolutism: A Brief Study with Documents (2000) ISBN 031213309X\nBeik, William. \"The Absolutism of Louis XIV as Social Collaboration.\" Past & Present 2005 (188): 195–224. online (https://muse.jhu.edu/article/188590) Archived (https://web.archive.org/web/20240422210856/https://muse.jhu.edu/article/188590) 22 April 2024 at the Wayback Machine at Project MUSE\nCampbell, Peter Robert. Louis XIV, 1661–1715 (London, 1993)\nChurch, William F., ed. The Greatness of Louis XIV. (1972).\nCowart, Georgia J. The Triumph of Pleasure: Louis XIV and the Politics of Spectacle University of Chicago Press,2008. ISBN 978-0-2261-1638-9\nCronin, Vincent. Louis XIV. London: HarperCollins, 1996. ISBN 978-1-8604-6092-0\nFurther reading", - "page_start": 32, - "page_end": 32, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV\nexperiences during the Fronde, when men of high birth readily took up the rebel cause against their king, who was actually the\nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French\nRevolution about a century later.\nUnder Louis, France was the leading European power, and most wars pivoted around its\naggressiveness. No European state exceeded it in population, and no one could match its\nwealth, central location, and very strong professional army. It had largely avoided the\ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial\nsystem that was hard-pressed to pay for its military adventures, and the tendency of most\nother powers to gang up against it.\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine\nYears' War, and the War of the Spanish Succession. There were also two lesser conflicts:\nthe War of Devolution and the War of the Reunions.[64] The wars were very expensive but\ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by\na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to\nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught\nhis diplomats that their job was to create tactical and strategic advantages for the French\nmilitary.[6] By 1695, France retained much of its dominance but had lost control of the seas\nto England and Holland, and most countries, both Protestant and Catholic, were in alliance\nagainst it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned\nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that\nFrance fight back by licensing French merchant ships to privateer and seize enemy\nmerchant ships while avoiding its navies:\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies inEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their coloniesin the East and West Indies; and Holland with all its possessions in the four corners of the world where it hasgreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness,Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which statessecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protectingand covering their trade.[65]\nVauban was pessimistic about France's so-called friends and allies:\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [allin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years ofpeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; theysupport it by making war against us in concert with the other powers, and they keep it going by means of themoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method ofconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the moreso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train manygood officers for the King, and in a short time force his enemies to sue for peace.[66]\nLouis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious\nfreedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the\npragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Territorial expansion of France\nunder Louis XIV (1643–1715) is\ndepicted in orange.\nillegitimate son Louis-Auguste de Bourbon, Duke of Maine.[129] Orléans, however, had Louis's will annulled by the Parlement of\nParis after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of\nthe rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges.[130]\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson,\nPhilip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish\nSuccession, which lasted for 13 years after the death of Charles II of Spain in 1700.[131]\n Louis XIII (1601–1643)\n Louis XIV (1638–1715)Louis, Grand Dauphin (1661–1711)Louis, Duke of Burgundy (1682–1712)Louis, Duke of Brittany (1707–1712)(1) Louis, Duke of Anjou (1710–1774)Philip V of Spain (1683–1746)Charles, Duke of Berry (1686–1714)Philippe I, Duke of Orléans (1640–1701)(2) Philippe II, Duke of Orléans (1674–1723)(3) Louis, Duke of Chartres (1703–1752)\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of\nthe House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin\nof French King Louis XIII (the father of Louis XIV) in the male line.\nAccording to Philippe de Courcillon's Journal, Louis on his deathbed advised his heir with these words:\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for\nvanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the\nburdens of your subjects.[132]\nSome historians point out that it was a customary demonstration of piety in those days to\nexaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed\ndeclarations in assessing his accomplishments. Rather, they focus on military and\ndiplomatic successes, such as how he placed a French prince on the Spanish throne. This,\nthey contend, ended the threat of an aggressive Spain that historically interfered in\ndomestic French politics. These historians also emphasise the effect of Louis's wars in\nexpanding France's boundaries and creating more defensible frontiers that preserved\nFrance from invasion until the Revolution.[132]\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his]\nsubjects.\" For example, he patronised the arts, encouraged industry, fostered trade and\ncommerce, and sponsored the founding of an overseas empire. Moreover, the significant\nreduction in civil wars and aristocratic rebellions during his reign are seen by these\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised\nFrance and marked the birth of the modern French state. They regard the political and military victories as well as numerous\ncultural achievements as how Louis helped raise France to a preeminent position in Europe.[133] Europe came to admire France\nfor its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values,\ngoods, and deportment. French became the universal language of the European elite.\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted\nFrance. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting\nevidence, they cite the literature of the time, such as the social commentary in Montesquieu's Persian Letters.[134]\nLine of succession in 1715\nLegacy\nReputation", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - }, - { - "text": "sculpture, theatre, dance, music, and the almanacs that diffused royal propaganda to the population at large.\nOver his lifetime, Louis commissioned numerous works of art to portray himself, among them over 300 formal portraits. The\nearliest portrayals of Louis already followed the pictorial conventions of the day in depicting the child king as the majestically\nroyal incarnation of France. This idealisation of the monarch continued in later works, which avoided depictions of the effect of\nsmallpox that Louis contracted in 1647. In the 1660s, Louis began to be shown as a Roman emperor, the god Apollo, or Alexander\nthe Great, as can be seen in many works of Charles Le Brun, such as sculpture, paintings, and the decor of major monuments.\nImage and depiction\nEvolution of royal portraiture", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What was one of Louis XIV's most ill-famed decrees?", - "target_page": 6, - "target_passage": "One of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Engraving of Louis XIV\nLouis and his family portrayed as\nRoman gods in a 1670 painting by\nJean Nocret. L to R: Louis's aunt,\nHenriette-Marie; his brother,\nPhilippe, duc d'Orléans; the Duke's\ndaughter, Marie Louise d'Orléans,\nand wife, Henriette-Anne Stuart; the\nQueen-mother, Anne of Austria;\nthree daughters of Gaston\nd'Orléans; Louis XIV; the Dauphin\nLouis; Queen Marie-Thérèse; la\nGrande Mademoiselle.\nwas persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis\nfeared the political concessions which they would demand in return. Only towards the\nclose of his reign under the extreme exigency of war, was he able, for the first time in\nFrench history, to impose direct taxes on the aristocracy. This was a step toward equality\nbefore the law and toward sound public finance, though it was predictably diminished by\nconcessions and exemptions won by the insistent efforts of nobles and bourgeois.[35]\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade.\nColbert's mercantilist administration established new industries and encouraged\nmanufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins\ntapestry manufactory. He invited manufacturers and artisans from all over Europe to\nFrance, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He\naimed to decrease imports while increasing French exports, hence reducing the net outflow\nof precious metals from France.\nLouis instituted reforms in military administration through Michel le Tellier and his son\nFrançois-Michel le Tellier, successive Marquis de Louvois. They helped to curb the\nindependent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted\nwar at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the\nold military aristocracy (noblesse d'épée, nobility of the sword) monopolizing senior military positions and the higher ranks.\nLouvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the\nsoldiers' material well-being and morale, and even tried to direct campaigns.\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France\nwas a patchwork of legal systems, with as many traditional legal regimes as there were\nprovinces, and two co-existing legal systems—customary law in the north and Roman civil\nlaw in the south.[36] The Grande Ordonnance de Procédure Civile of 1667, the CodeLouis, was a comprehensive legal code imposing a uniform regulation of civil procedure\nthroughout the kingdom. Among other things, it prescribed baptismal, marriage and death\nrecords in the state's registers, not the church's, and it strictly regulated the right of the\nParlements to remonstrate.[37] The Code Louis later became the basis for the Napoleonic\ncode, which in turn inspired many modern legal codes.\nOne of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of\n1685, the Code Noir (black code). Although it sanctioned slavery, it attempted to humanise\nthe practice by prohibiting the separation of families. Additionally, in the colonies, only\nRoman Catholics could own slaves, and these had to be baptised.\nLouis ruled through a number of councils:\nConseil d'en haut (\"High Council\", concerning the most important matters ofstate)—composed of the king, the crown prince, the controller-general offinances, and the secretaries of state in charge of various departments. Themembers of that council were called ministers of state.\nConseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\nConseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Royal procession passing the Pont-\nNeuf under Louis XIV\nAlternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French\ninstitutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that\nlargely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably\nforeseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own.[135]\nLouis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed\nthat Louis slighted him, criticised him thus:\nThere was nothing he liked so much as flattery, or, to put it more plainly,\nadulation; the coarser and clumsier it was, the more he relished it.\nFor his part, Voltaire saw Louis's vanity as the cause for his bellicosity:\nIt is certain that he passionately wanted glory, rather than the conquests\nthemselves. In the acquisition of Alsace and half of Flanders, and of all of\nFranche-Comté, what he really liked was the name he made for himself.[136]\nNonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the\nonly King of France worthy of the name\".[137] Leibniz, the German Protestant philosopher, commended him as \"one of the\ngreatest kings that ever was\".[138] And Lord Acton admired him as \"by far the ablest man who was born in modern times on the\nsteps of a throne\".[139] The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and\nwithout summoning the image of an eternally memorable age\".[140] Voltaire's history, The Age of Louis XIV, named Louis's reign\nas not only one of the four great ages in which reason and culture flourished, but the greatest ever.[141][142]\nNumerous quotes have been attributed to Louis XIV by legend.\nThe well-known \"I am the state\" (\"L'État, c'est moi.\") was reported from at least the late 18th century.[143] It was widely repeated\nbut also denounced as apocryphal by the early 19th century.[144][b][145]\nQuotes", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia5.pdf" - }, - { - "text": "He did say, \"Every time I appoint someone to a vacant position, I make a hundred unhappy and one ungrateful.\"[146][147] Louis is\nrecorded by numerous eyewitnesses as having said on his deathbed: \"Je m'en vais, mais l'État demeurera toujours.\" (\"I depart, but\nthe State shall always remain.\")[148]\nCoat of arms of Louis XIV\nNotesUpon his accession to the throne Louis assumed the royal coat of arms of France &\nNavarre.[149]\nAdopted1643–1715Crest The Royal crown of FranceHelmAn opened gold helmet, with blue and gold mantling.EscutcheonAzure, three fleurs-de-lis Or (for France) impaling Gules on a chain in cross saltire and orleOr an emerald Proper (for Navarre).SupportersThe two supporters are two angels, acting as heralds for the two realms. The dexter angelcarries a standard with the arms of France, and wears a tabard with the same arms. Thesinister angel also carries a standard and wears a tabard, but that of Navarre. Both arestanding on puffs of cloud.MottoThe motto is written in gold on a blue ribbon: MONTJOIE SAINT DENIS the war cry ofFrance, Saint Denis was also the abbey where the oriflamme was kept.OrdersThe escutcheons are surrounded first by the chain of the Order of Saint Michael and by thechain of the Order of the Holy Spirit, both were known as the ordres du roi.Other elementsAbove all is a pavilion armoyé with the Royal crown. From it, is a royal blue mantle with asemis of fleurs-de-lis Or, lined on the inside with ermine.Banner\n Royal standard of the king\nOn 5 April 1693, Louis also founded the Royal and Military Order of Saint Louis (French: Ordre Royal et Militaire de Saint-\nLouis), a military order of chivalry.[150][151] He named it after Louis IX and intended it as a reward for outstanding officers. It is\nnotable as the first decoration that could be granted to non-nobles and is roughly the forerunner of the Légion d'honneur, with\nwhich it shares the red ribbon (though the Légion d'honneur is awarded to military personnel and civilians alike).\nAncestors of Louis XIV\n8. Antoine of Navarre[154]\n4. Henry IV of France[152]\n9. Jeanne III of Navarre[154]\n2. Louis XIII of France\n10. Francesco I de' Medici, Grand Duke of Tuscany[155]\n5. Marie de' Medici[152]\n11. Joanna of Austria[155]\n1. Louis XIV of France\nArms\nOrder of Saint Louis\nFamily\nAncestry", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV\nPortrait by Hyacinthe Rigaud , 1701\nKing of France (more...)\nReign 14 May 1643 – 1 September\n1715\nCoronation 7 June 1654\nReims Cathedral\nPredecessor Louis XIII\nSuccessor Louis XV\nRegent Anne of Austria (1643–1651)\nChief ministersSee list\nCardinal Mazarin\n(1643–1661)\nJean-Baptiste Colbert\n(1661–1683)\nThe Marquis of Louvois\n(1683–1691)\nBorn 5 September 1638\nChâteau de Saint-Germain-\nen-Laye, Saint-Germain-en-\nLaye, France\nDied 1 September 1715 (aged 76)\nPalace of Versailles,\nVersailles, France\nBurial 9 September 1715\nBasilica of Saint-Denis\nSpouses Maria Theresa of Spain (m. 1660; died 1683) \nFrançoise d'Aubigné,Marquise de Maintenon(private) (m. 1683) \nLouis XIV\nLouis XIV (Louis-Dieudonné; 5 September 1638 – 1 September 1715), also\nknown as Louis the Great (Louis le Grand) or the Sun King (le Roi Soleil),\nwas King of France from 1643 until his death in 1715. His verified reign of 72\nyears and 110 days is the longest of any sovereign.[1][a] An emblematic\ncharacter of the Age of Absolutism in Europe,[3] Louis XIV's legacy is widely\ncharacterized by French colonial expansion, the conclusion of Eighty Years'\nWar involving the Habsburgs, and his architectural bequest, marked by\ncommissioned works of art and buildings. His pageantry, opulent lifestyle and\nornate cultivated image earned him enduring admiration. Louis XIV raised\nFrance to be the exemplar nation-state of the early modern period, and\nestablished a cultural prestige which lasted through the subsequent centuries,\nand continues today.\nLouis began his personal rule of France in 1661, after the death of his chief\nminister Cardinal Mazarin, when the King famously declared that he would\ntake over the job himself.[4] An adherent of the divine right of kings, Louiscontinued his predecessors' work of creating a centralised state governed from\nthe capital. He sought to eliminate the remnants of feudalism persisting in parts\nof France; by compelling many members of the nobility to reside at his lavish\nPalace of Versailles, he succeeded in pacifying the aristocracy, many of whom\nhad participated in the Fronde rebellions during his minority. He thus became\none of the most powerful French monarchs and consolidated a system of\nabsolute monarchy in France that endured until the French Revolution. Louis\nalso enforced uniformity of religion under the Catholic Church. His revocation\nof the Edict of Nantes abolished the rights of the Huguenot Protestant minority\nand subjected them to a wave of dragonnades, effectively forcing Huguenots to\nemigrate or convert, virtually destroying the French Protestant community.\nDuring Louis's long reign, France emerged as the leading European power and\nregularly made war. A conflict with Spain marked his entire childhood, while\nduring his personal rule, Louis fought three major continental conflicts, each\nagainst powerful foreign alliances: the Franco-Dutch War, the Nine Years' War,\nand the War of the Spanish Succession. In addition, France contested shorter\nwars such as the War of Devolution and the War of the Reunions. Warfare\ndefined Louis's foreign policy, impelled by his personal ambition for glory and\npower: \"a mix of commerce, revenge, and pique\".[5] His wars strained France's\nresources to the utmost, while in peacetime he concentrated on preparing for\nthe next war. He taught his diplomats that their job was to create tactical and\nstrategic advantages for the French military.[6] Upon his death in 1715,\nLouis XIV left his great-grandson and successor, Louis XV, a powerful but\nwar-weary kingdom, in major debt after the War of the Spanish Succession that\nhad raged on since 1701.\nSome of his other notable achievements include the construction of the Canal\ndu Midi, the patronage of artists, and the founding of the French Academy of\nSciences.\nEarly years", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Royal\nMonogram\nMembers of the Académie des\nsciences with Louis in 1667; in the\nbackground appears the new Paris\nObservatory.\nimportant both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's\nforeign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish\nthrone would ultimately be delivered to the House of Bourbon.[32]\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of\nMazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring\nthat he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government\nof my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers]\nwill assist me with your counsels when I ask for them. I request and order you to seal no orders except by my\ncommand . . . I order you not to sign anything, not even a passport . . . without my command; to render\naccount to me personally each day and to favor no one\".[33] Capitalizing on the widespread public yearning\nfor peace and order after decades of foreign and civil strife, the young king consolidated central political\nauthority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent,\nthe historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of\nLouis\".[34]\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on\nbankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in\n1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances.\nAlthough Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's\nafter him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the\nremote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the Parlement found him guilty\nand sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more\nefficient taxation. The principal taxes included the aides and douanes (both customs\nduties), the gabelle (salt tax), and the taille (land tax). The taille was reduced at first, and\ncertain tax-collection contracts were auctioned instead of being sold privately to a\nfavoured few. Financial officials were required to keep regular accounts, revising\ninventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income\nfrom the royal domain reached the king. Reform had to overcome vested interests: the\ntaille was collected by officers of the Crown who had purchased their post at a high price,\nand punishment of abuses necessarily lowered the value of the purchase. Nevertheless,\nColbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666,\nwith interest on the debt decreasing from 52 million to 24 million livres. The taille was\nreduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\nprogressed from 26 million to 55 million. The revenues of the royal domain were raised from 80,000 livres in 1661 to 5.5 million\nin 1671. In 1661, the receipts were equivalent to 26 million British pounds, of which 10 million reached the treasury. The\nexpenditure was around 18 million pounds, leaving a deficit of 8 million. In 1667, the net receipts had risen to 20 million pounds", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV in 1685, the year he\nrevoked the Edict of Nantes\nProtestant peasants rebelled\nagainst the officially sanctioned\ndragonnades (conversions enforced\nby dragoons, labeled \"missionaries\nin boots\") that followed the Edict of\nFontainebleau.\nrewarded converts to Catholicism.[68] This discrimination did not encounter much\nProtestant resistance, and a steady conversion of Protestants occurred, especially among\nthe noble elites.\nIn 1681, Louis dramatically increased his persecution of Protestants. The principle of cuius\nregio, eius religio generally also meant that subjects who refused to convert could\nemigrate, but Louis banned emigration and effectively insisted that all Protestants must be\nconverted. Secondly, following the proposal of René de Marillac and the Marquis of\nLouvois, he began quartering dragoons in Protestant homes. Although this was within his\nlegal rights, the dragonnades inflicted severe financial strain on Protestants and atrocious\nabuse. Between 300,000 and 400,000 Huguenots converted, as this entailed financial\nrewards and exemption from the dragonnades.[69]\nOn 15 October 1685, Louis issued the Edict of\nFontainebleau, which cited the redundancy of\nprivileges for Protestants given their scarcity after\nthe extensive conversions. The Edict of\nFontainebleau revoked the Edict of Nantes and\nrepealed all the privileges that arose therefrom.[4]\nBy his edict, Louis no longer tolerated the existence\nof Protestant groups, pastors, or churches in France.\nNo further churches were to be constructed, and those already existing were to be\ndemolished. Pastors could choose either exile or secular life. Those Protestants who had\nresisted conversion were now to be baptised forcibly into the established church.[70]\nHistorians have debated Louis's reasons for issuing the Edict of Fontainebleau. He may\nhave been seeking to placate Pope Innocent XI, with whom relations were tense and whose\naid was necessary to determine the outcome of a succession crisis in the Electorate of\nCologne. He may also have acted to upstage Emperor Leopold I and regain international\nprestige after the latter defeated the Turks without Louis's help. Otherwise, he may simply\nhave desired to end the remaining divisions in French society dating to the Wars of Religion by fulfilling his coronation oath to\neradicate heresy.[71][72]\nMany historians have condemned the Edict of Fontainebleau as gravely harmful to France.[73] In support, they cite the emigration\nof about 200,000 highly skilled Huguenots (roughly one quarter of the Protestant population, or 1% of the French population)\nwho defied royal decrees and fled France for various Protestant states, weakening the French economy and enriching that of\nProtestant states. On the other hand, some historians view this as an exaggeration. They argue that most of France's preeminent\nProtestant businessmen and industrialists converted to Catholicism and remained.[74]\nWhat is certain is that the reaction to the Edict was mixed. Even while French Catholic leaders exulted, Pope Innocent XI still\nargued with Louis over Gallicanism and criticized the use of violence. Protestants across Europe were horrified at the treatment of\ntheir co-religionists, but most Catholics in France applauded the move. Nonetheless, it is indisputable that Louis's public image in\nmost of Europe, especially in Protestant regions, was dealt a severe blow.\nIn the end, however, despite renewed tensions with the Camisards of south-central France at the end of his reign, Louis may have\nhelped ensure that his successor would experience fewer instances of the religion-based disturbances that had plagued his\nforebears. French society would sufficiently change by the time of his descendant, Louis XVI, to welcome tolerance in the form\nof the 1787 Edict of Versailles, also known as the Edict of Tolerance. This restored to non-Catholics their civil rights and the", - "page_start": 10, - "page_end": 10, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Félix, Joël. \"'The most difficult financial matter that has ever presented itself': paper money and the financing ofwarfare under Louis XIV.\" Financial History Review 25.1 (2018): 43–70 online (http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf) Archived (https://web.archive.org/web/20210226104833/http://centaur.reading.ac.uk/72452/2/The%20most%20difficult%20financial%20matter%20FH.pdf) 26February 2021 at the Wayback Machine.\nGoubert, Pierre (197). Louis XIV and Twenty Million Frenchmen. social history from Annales School. ISBN 978-0-3947-1751-7.\nJones, Colin. The Great Nation: France from Louis XIV to Napoleon (1715–1799) (2002)\nKlaits, Joseph. Printed propaganda under Louis XIV: absolute monarchy and public opinion (Princeton UniversityPress, 2015).\nLe Roy Ladurie, Emmanuel. The Ancien Régime: A History of France 1610–1774 (1999), survey by leader of theAnnales School ISBN 0631211969\nLewis, W. H. The Splendid Century: Life in the France of Louis XIV (1953) ISBN 0881339210\nMitford, Nancy (1966). The Sun King: Louis XIV at Versailles (2012 ed.). New York Review of Books. ISBN 978-1-5901-7491-3.\nPrest, Julia, and Guy Rowlands, eds. The Third Reign of Louis XIV, c. 1682–1715 (Taylor & Francis, 2016).\nRothkrug, Lionel. Opposition to Louis XIV: The Political and Social Origins of French Enlightenment (PrincetonUniversity Press, 2015).\nRowlands, Guy. The Dynastic State and the Army under Louis XIV: Royal Service and Private Interest, 1661–1701(2002)\nRubin, David Lee, ed. Sun King: The Ascendancy of French Culture during the Reign of Louis XIV. Washington:Folger Books and Cranbury: Associated University Presses, 1992.\nRule, John C., Louis XIV and the craft of kingship 1969.\nShennan, J. H. Louis XIV (1993)\nThompson, Ian. The Sun King's Garden: Louis XIV, André Le Nôtre And the Creation of the Gardens of Versailles.London: Bloomsbury Publishing, 2006 ISBN 1-5823-4631-3\nTreasure, Geoffrey. The Making of Modern Europe, 1648–1780 (3rd ed. 2003). pp. 230–296.\nWilkinson, Rich. Louis XIV (Routledge, 2007). ISBN 978-0-4153-5815-6\nCénat, Jean-Philippe. Le roi stratège: Louis XIV et la direction de la guerre, 1661–1715 (Presses universitaires deRennes, 2019).\nCroix, Alain. \"Vingt millions de Français et Louis XIV.\" Revue dhistoire moderne contemporaine 2 (2020): 27–46.\nEngerand, Fernand, editor (1899). (in French) Inventaire des tableaux du Roy rédigé en 1709 et 1710 par NicolasBailly. Paris: Ernest Leroux. Copy (http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) Archived (https://web.archive.org/web/20160307153902/http://gallica.bnf.fr/ark:/12148/bpt6k6323734m/f11.image) 7 March 2016 atthe Wayback Machine at Gallica.\nRanum, Orest, ed. (1972). The Century of Louis XIV (http://www.palgrave.com/in/book/9781349004997). Archived(https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997) from the\noriginal on 7 February 2018. Retrieved 7 July 2017. {{cite book}}: |work= ignored (help)\nWorks by or about Louis XIV (https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the+Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29) at the Internet Archive\nWorks by Louis XIV (https://librivox.org/author/9631) at LibriVox (public domain audiobooks) \nLouis XIV (http://www.history.com/topics/louis-xiv) Archived (https://web.archive.org/web/20170622232619/http://www.history.com/topics/louis-xiv) 22 June 2017 at the Wayback Machine at History.com\nFull text of marriage contract (https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/choiseul/ressource/pdf/D16590004.pdf), France National Archives transcription (in French)\nLe Siècle de Louis XIV by Voltaire, 1751, hosted by French Wikisource\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Louis_XIV&oldid=1267574624\"\nExternal links", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Issue\nmore...\nLouis, Grand Dauphin\nMarie Thérèse, Madame\nRoyale\nPhilippe Charles, Duke of\nAnjou\nIllegitimate :\nMarie Anne, Princess of Conti\nLouis, Count of Vermandois\nLouis Auguste, Duke of Maine\nLouis César, Count of Vexin\nLouise Françoise, Princess of\nCondé\nLouise Marie Anne,\nMademoiselle de Tours\nLouise, Baroness of La\nQueue\nFrançoise Marie, Duchess of\nOrléans\nLouis Alexandre, Count of\nToulouse\nNames\nLouis-Dieudonné de France\nHouse Bourbon\nFather Louis XIII\nMother Anne of Austria\nReligion Catholicism\nSignature\nLouis XIV as a young child,\nunknown painter\nLouis XIV was born on 5 September 1638 in the Château de Saint-Germain-en-\nLaye, to Louis XIII and Anne of Austria. He was named Louis Dieudonné\n(Louis the God-given)[7] and bore the traditional title of French heirs apparent:\nDauphin.[8] At the time of his birth, his parents had been married for 23 years.\nHis mother had experienced four stillbirths between 1619 and 1631. Leading\ncontemporaries thus regarded him as a divine gift and his birth a miracle of\nGod.[9]\nLouis's relationship with his mother was uncommonly affectionate for the time.\nContemporaries and eyewitnesses claimed that the Queen would spend all her\ntime with Louis.[10] Both were greatly interested in food and theatre, and it is\nhighly likely that Louis developed these interests through his close relationship\nwith his mother. This long-lasting and loving relationship can be evidenced by\nexcerpts in Louis's journal entries, such as:\n\"Nature was responsible for the first knots which tied me to my\nmother. But attachments formed later by shared qualities of the\nspirit are far more difficult to break than those formed merely by\nblood.\"[11]\nIt was his mother who gave Louis his belief in the absolute and divine power of\nhis monarchical rule.[12]\nDuring his childhood, he was taken care of by the governesses Françoise de\nLansac and Marie-Catherine de Senecey. In 1646, Nicolas V de Villeroy\nbecame the young king's tutor. Louis XIV became friends with Villeroy's young\nchildren, particularly François de Villeroy, and divided his time between the\nPalais-Royal and the nearby Hotel de Villeroy.\nSensing imminent death in the spring of 1643, King Louis XIII decided to put his affairs in\norder for his four-year-old son Louis XIV. Not trusting the judgement of his Spanish wife\nQueen Anne, who would normally have become the sole regent of France, the king\ndecreed that a regency council would rule on his son's behalf, with Anne at its head.[13]\nLouis XIII died on 14 May 1643. On 18 May[14] Queen Anne had her husband's will\nannulled by the Parlement de Paris, a judicial body of nobles and high-ranking clergy,[15]\nand she became sole regent. She exiled her husband's ministers Chavigny and Bouthilier\nand appointed the Count of Brienne as her minister of foreign affairs.[16] Anne kept thedirection of religious policy strongly in hand until her son's majority in 1661.\nShe appointed Cardinal Mazarin as chief minister, giving him the daily administration of\npolicy. She continued the policies of her late husband and Cardinal Richelieu, despite their\npersecution of her, in order to win absolute authority in France and victory abroad for her\nson. Anne protected Mazarin by exiling her followers the Duke of Beaufort and Marie de\nRohan, who conspired against him in 1643.[17]\nThe best example of Anne's loyalty to France was her treatment of one of Richelieu's men,\nthe Chancellor Pierre Séguier. Séguier had brusquely interrogated Anne in 1637 (like a\n\"common criminal\", as she recalled) following the discovery that she was giving military secrets to her father in Spain, and Anne\nwas virtually under house arrest for years. By keeping the effective Séguier in his post, Anne sacrificed her own feelings for the\ninterests of France and her son Louis.\nMinority and the Fronde\nAccession", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV (seated) with his son le\nGrand Dauphin (to the left), his\ngrandson Louis, Duke of Burgundy\n(to the right), his great-grandson\nLouis Duke of Anjou, and Madame\nde Ventadour, Anjou's governess,\nwho commissioned this painting;\nbusts of Henry IV and Louis XIII are\nin the background.\nThe Death of Louis XIV at the\nPalace of Versailles, Thomas Jones\nBarker, 1835-1840\nThe film, Le Roi Danse (2000; translated: The King Dances), directed by Gérard Corbiau, reveals Louis throughthe eyes of Jean-Baptiste Lully, his court musician.\nJulian Sands portrayed Louis in Roland Jaffe's Vatel (2000).\nAlan Rickman directed, co-wrote, and stars as Louis XIV in the film, A Little Chaos, which centres on constructionin the gardens of Versaille, at the time immediately before and after the death of Queen Maria Theresa.\nThe 2016 film The Death of Louis XIV, directed by Albert Serra, is set during the last two weeks of Louis XIV's lifebefore dying of gangrene, with the monarch played by Jean-Pierre Léaud.\nLouis XIV is portrayed by Thierry Perkins-Lyautey in the British television film Charles II: The Power and thePassion.\nThe 15-year-old Louis XIV, as played by the Irish actor Robert Sheehan, is a major character of the short-livedhistorical fantasy series Young Blades from January to June 2005.\nGeorge Blagden portrays Louis XIV in the Canal+ series Versailles which aired for three seasons from 2015.\nEmmanuel Moire portrayed Louis XIV in the 2005-07 Kamel Ouali musical Le Roi Soleil.\nDespite the image of a healthy and virile king that Louis sought to project, evidence exists\nto suggest that his health was not very good. He had many ailments: for example,\nsymptoms of diabetes, as confirmed in reports of suppurating periostitis in 1678, dental\nabscesses in 1696, along with recurring boils, fainting spells, gout, dizziness, hot flushes,\nand headaches.\nFrom 1647 to 1711, the three chief physicians to the king (Antoine Vallot, Antoine\nd'Aquin, and Guy-Crescent Fagon) recorded all of his health problems in the Journal de\nSanté du Roi (Journal of the King's Health), a daily report of his health. On 18 November\n1686, Louis underwent a painful operation for an anal fistula that was performed by the\nsurgeon Charles Felix de Tassy, who prepared a specially shaped curved scalpel for the\noccasion. The wound took more than two months to heal.[124]\nLouis died of gangrene at Versailles on 1 September 1715, four days before his 77th\nbirthday, after 72 years on the throne. Enduring much pain in his last days, he finally\n\"yielded up his soul without any effort, like a candle going out\", while reciting the psalm\nDeus, in adjutorium me festina (O Lord, make haste to help me).[125] His body was laid to\nrest in Saint-Denis Basilica outside Paris. It remained there undisturbed for about 80 years\nuntil revolutionaries exhumed and destroyed all of the remains found in the Basilica.[126]\nIn 1848, at Nuneham House, a piece of Louis's mummified heart, taken from his tomb and\nkept in a silver locket by Lord Harcourt, Archbishop of York, was shown to the Dean of\nWestminster, William Buckland, who ate a part of it.[127]\nCardinal Armand Gaston Maximilien de Rohan gave Last Rites (confession, viaticum, and\nunction) to king Louis XIV.[128]\nLouis outlived most of his immediate legitimate family. His last surviving legitimate son,\nLouis, Dauphin of France, died in 1711. Barely a year later, the Duke of Burgundy, the\neldest of the Dauphin's three sons and then heir-apparent to Louis, followed his father.\nBurgundy's elder son, Louis, Duke of Brittany, joined them a few weeks later. Thus, on his\ndeathbed, Louis's heir-apparent was his five-year-old great-grandson, Louis, Duke of Anjou, Burgundy's younger son.\nLouis foresaw an underaged successor and sought to restrict the power of his nephew Philip II, Duke of Orléans, who, as his\nclosest surviving legitimate relative in France, would probably become regent to the prospective Louis XV. Accordingly, the king", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Baptismal certificate, 1638\nLouis XIV, then Dauphin of France,\nin 1642, one year before his\naccession to the throne, by Philippe\nde Champaigne\nLouis XIV in 1643, by Claude Deruet\nEurope after the Peace of\nWestphalia in 1648\nThe Queen sought a lasting peace between Catholic nations, but only after a French victory over\nher native Spain. She also gave a partial Catholic orientation to French foreign policy. This was\nfelt by the Netherlands, France's Protestant ally, which negotiated a separate peace with Spain in\n1648.[18]\nIn 1648, Anne and Mazarin successfully negotiated the Peace of Westphalia, which ended the\nThirty Years' War.[19] Its terms ensured Dutch independence from Spain, awarded some autonomy\nto the various German princes of the Holy Roman Empire, and granted Sweden seats on the\nImperial Diet and territories controlling the mouths of the Oder, Elbe, and Weser Rivers.[20]\nFrance, however, profited most from the settlement. Austria, ruled by the Habsburg Emperor\nFerdinand III, ceded all Habsburg lands and claims in Alsace to France and acknowledged her de\nfacto sovereignty over the Three Bishoprics of Metz, Verdun, and Toul.[21] Moreover,\nmany petty German states sought French protection, eager to emancipate themselves from\nHabsburg domination. This anticipated the formation of the 1658 League of the Rhine,\nwhich further diminished Imperial power.\nAs the Thirty Years' War came to an end, a civil war known as the Fronde erupted in\nFrance. It effectively checked France's ability to exploit the Peace of Westphalia. Anne and\nMazarin had largely pursued the policies of Cardinal Richelieu, augmenting the Crown's\npower at the expense of the nobility and the Parlements. Anne was more concerned with\ninternal policy than foreign affairs; she was a very proud queen who insisted on the divine\nrights of the King of France.[22]\nAll this led her to advocate a forceful policy in all matters relating to the King's authority,\nin a manner that was much more radical than the one proposed by Mazarin. The Cardinal\ndepended totally on Anne's support and had to use all his influence on the Queen to temper\nsome of her radical actions. Anne imprisoned any aristocrat or member of parliament who\nchallenged her will; her main aim was to transfer to her son an absolute authority in the\nmatters of finance and justice. One of the leaders of the Parlement of Paris, whom she had\njailed, died in prison.[23]\nThe Frondeurs, political heirs of the disaffected feudal aristocracy, sought to protect their\ntraditional feudal privileges from the increasingly centralized royal government.\nFurthermore, they believed their traditional influence and authority was being usurped by\nthe recently ennobled bureaucrats (the Noblesse de Robe, or \"nobility of the robe\"), who\nadministered the kingdom and on whom the monarchy increasingly began to rely. This\nbelief intensified the nobles' resentment.\nIn 1648, Anne and Mazarin attempted to tax members of the Parlement de Paris. The\nmembers refused to comply and ordered all of the king's earlier financial edicts burned.\nBuoyed by the victory of Louis, duc d'Enghien (later known as le Grand Condé) at the\nBattle of Lens, Mazarin, on Queen Anne's insistence, arrested certain members in a show\nof force.[24] The most important arrest, from Anne's point of view, concerned Pierre\nBroussel, one of the most important leaders in the Parlement de Paris.\nPeople in France were complaining about the expansion of royal authority, the high rate of\ntaxation, and the reduction of the authority of the Parlement de Paris and other regional\nrepresentative entities. Paris erupted in rioting as a result, and Anne was forced, under\nintense pressure, to free Broussel. Moreover, on the night of 9–10 February 1651, when\nLouis was twelve, a mob of angry Parisians broke into the royal palace and demanded to\nsee their king. Led into the royal bed-chamber, they gazed upon Louis, who was feigning", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What did Louis XIV do to avoid the Spanish War of Succession in 1698?", - "target_page": 13, - "target_passage": "In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son le Grand Dauphin and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Louis XIV in 1670,\nengraved portrait by Robert\nNanteuil\nThe future Philip V being introduced\nas King of Spain by his grandfather,\nLouis XIV\nThe Battle of Tolhuis, Louis XIV crosses\nthe Lower Rhine at Lobith on 12 June\n1672; Rijksmuseum Amsterdam\nLouis XIV, 1670, by Claude\nLefèbvre\nand Lionne, however, made the renunciation conditional on\nthe full payment of a Spanish dowry of 500,000 écus.[40]\nThe dowry was never paid and would later play a part\npersuading his maternal first cousin Charles II of Spain to\nleave his empire to Philip, Duke of Anjou (later Philip V of\nSpain), the grandson of Louis XIV and Maria Theresa.\nThe War of Devolution did not focus on the payment of the\ndowry; rather, the lack of payment was what Louis XIV\nused as a pretext for nullifying Maria Theresa's\nrenunciation of her claims, allowing the land to \"devolve\"\nto him. In Brabant (the location of the land in dispute),\nchildren of first marriages traditionally were not\ndisadvantaged by their parents' remarriages and still\ninherited property. Louis's wife was Philip IV's daughter by\nhis first marriage, while the new king of Spain, Charles II, was his son by a subsequent\nmarriage. Thus, Brabant allegedly \"devolved\" to Maria Theresa, justifying France to attack\nthe Spanish Netherlands.\nDuring the Eighty Years' War with Spain, France supported the Dutch Republic as part\nof a general policy of opposing Habsburg power. Johan de Witt, Dutch Grand\nPensionary from 1653 to 1672, viewed this as crucial for Dutch security and a\ncounterweight against his domestic Orangist opponents. Louis provided support in the\n1665-1667 Second Anglo-Dutch War but used the opportunity to launch the War of\nDevolution in 1667. This captured Franche-Comté and much of the Spanish\nNetherlands; French expansion in this area was a direct threat to Dutch economic\ninterests.[41]\nThe Dutch opened talks with Charles II of England on a common diplomatic front\nagainst France, leading to the Triple Alliance, between England, the Dutch and\nSweden. The threat of an escalation and a secret treaty to divide Spanish possessions\nwith Emperor Leopold, the other major claimant to the throne of Spain, led Louis to relinquish many of his gains in the 1668\nTreaty of Aix-la-Chapelle.[42]\nLouis placed little reliance on his agreement with Leopold and as it was now clear French and Dutch aims were in direct conflict,\nhe decided to first defeat the Republic, then seize the Spanish Netherlands. This required breaking up the Triple Alliance; he paid\nSweden to remain neutral and signed the 1670 Secret Treaty of Dover with Charles, an Anglo-French alliance against the Dutch\nRepublic. In May 1672, France invaded the Republic, supported by Münster and the Electorate of Cologne.[43]\nRapid French advance led to a coup that toppled De Witt and brought William III to power.\nLeopold viewed French expansion into the Rhineland as an increasing threat, especially after\nthey seized the strategic Duchy of Lorraine in 1670. The prospect of Dutch defeat led Leopold\nto an alliance with Brandenburg-Prussia on 23 June, followed by another with the Republic on\n25th.[44] Although Brandenburg was forced out of the war by the June 1673 Treaty of Vossem,\nin August an anti-French alliance was formed by the Dutch, Spain, Emperor Leopold and the\nDuke of Lorraine.[45]\nThe French alliance was deeply unpopular in England, and only more so after the\ndisappointing battles against Michiel de Ruyter's fleet. Charles II of England made peace with\nthe Dutch in the February 1674 Treaty of Westminster. However, French armies held\nsignificant advantages over their opponents; an undivided command, talented generals like\nTurenne, Condé and Luxembourg and vastly superior logistics. Reforms introduced by\nLouvois, the Secretary of War, helped maintain large field armies that could be mobilised\nmuch more quickly, allowing them to mount offensives in early spring before their opponents\nwere ready.[46]\nRelations with the Dutch", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV\nexperiences during the Fronde, when men of high birth readily took up the rebel cause against their king, who was actually the\nkinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French\nRevolution about a century later.\nUnder Louis, France was the leading European power, and most wars pivoted around its\naggressiveness. No European state exceeded it in population, and no one could match its\nwealth, central location, and very strong professional army. It had largely avoided the\ndevastation of the Thirty Years' War. Its weaknesses included an inefficient financial\nsystem that was hard-pressed to pay for its military adventures, and the tendency of most\nother powers to gang up against it.\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine\nYears' War, and the War of the Spanish Succession. There were also two lesser conflicts:\nthe War of Devolution and the War of the Reunions.[64] The wars were very expensive but\ndefined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by\na mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to\nenhance his glory. In peacetime, he concentrated on preparing for the next war. He taught\nhis diplomats that their job was to create tactical and strategic advantages for the French\nmilitary.[6] By 1695, France retained much of its dominance but had lost control of the seas\nto England and Holland, and most countries, both Protestant and Catholic, were in alliance\nagainst it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned\nLouis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that\nFrance fight back by licensing French merchant ships to privateer and seize enemy\nmerchant ships while avoiding its navies:\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies inEurope, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their coloniesin the East and West Indies; and Holland with all its possessions in the four corners of the world where it hasgreat establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness,Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which statessecretly aid France's enemies by the troops that they hire to them, the money they lend them and by protectingand covering their trade.[65]\nVauban was pessimistic about France's so-called friends and allies:\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England[James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [allin Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years ofpeace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; theysupport it by making war against us in concert with the other powers, and they keep it going by means of themoney that they pay every year to... Allies.... We must therefore fall back on privateering as the method ofconducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the moreso since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train manygood officers for the King, and in a short time force his enemies to sue for peace.[66]\nLouis decided to persecute Protestants and revoke the 1598 Edict of Nantes, which awarded Huguenots political and religious\nfreedom. He saw the persistence of Protestantism as a disgraceful reminder of royal powerlessness. After all, the Edict was the\npragmatic concession of his grandfather Henry IV to end the longstanding French Wars of Religion. An additional factor in", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Marshal de Luxembourg\nIn July 1695, the city of Namur, occupied for three years by the French, was besieged by an allied\narmy led by William III. Louis XIV ordered the surprise destruction of a Flemish city to divert the\nattention of these troops. This led to the bombardment of Brussels, in which more than 4,000\nbuildings were destroyed, including the entire city centre. The strategy failed, as Namur fell three\nweeks later, but harmed Louis XIV's reputation: a century later, Napoleon deemed the\nbombardment \"as barbarous as it was useless\".[85]\nPeace was broached by Sweden in 1690. By 1692, both sides evidently wanted peace, and secret\nbilateral talks began, but to no avail.[86] Louis tried to break up the alliance against him by dealingwith individual opponents but did not achieve his aim until 1696 when the Savoyards agreed to the\nTreaty of Turin and switched sides. Thereafter, members of the League of Augsburg rushed to the\npeace table, and negotiations for a general peace began in earnest, culminating in the Peace of\nRyswick of 1697.[87]\nThe Peace of Ryswick ended the War of the League of Augsburg and disbanded the Grand Alliance. By manipulating their\nrivalries and suspicions, Louis divided his enemies and broke their power.\nThe treaty yielded many benefits for France. Louis secured permanent French sovereignty over all of Alsace, including\nStrasbourg, and established the Rhine as the Franco-German border (as it is to this day). Pondichéry and Acadia were returned to\nFrance, and Louis's de facto possession of Saint-Domingue was recognised as lawful. However, he returned Catalonia and most of\nthe Reunions.\nFrench military superiority might have allowed him to press for more advantageous terms. Thus, his generosity to Spain with\nregard to Catalonia has been read as a concession to foster pro-French sentiment and may ultimately have induced King Charles II\nto name Louis's grandson Philip, Duke of Anjou, heir to the Spanish throne.[88] In exchange for financial compensation, France\nrenounced its interests in the Electorate of Cologne and the Palatinate. Lorraine, which had been occupied by the French since\n1670, was returned to its rightful Duke Leopold, albeit with a right of way to the French military. William and Mary were\nrecognised as joint sovereigns of the British Isles, and Louis withdrew support for James II. The Dutch were given the right to\ngarrison forts in the Spanish Netherlands that acted as a protective barrier against possible French aggression. Though in some\nrespects the Treaty of Ryswick may appear a diplomatic defeat for Louis since he failed to place client rulers in control of the\nPalatinate or the Electorate of Cologne, he did fulfil many of the aims laid down in his 1688 ultimatum.[89] In any case, peace in1697 was desirable to Louis, since France was exhausted from the costs of the war.\nBy the time of the Peace of Ryswick, the Spanish succession had been a source of concern to European leaders for well over forty\nyears. King Charles II ruled a vast empire comprising Spain, Naples, Sicily, Milan, the Spanish Netherlands, and numerous\nSpanish colonies. He produced no children, however, and consequently had no direct heirs.\nThe principal claimants to the throne of Spain belonged to the ruling families of France and Austria. The French claim derived\nfrom Louis XIV's mother Anne of Austria (the older sister of Philip IV of Spain) and his wife Maria Theresa (Philip IV's eldest\ndaughter). Based on the laws of primogeniture, France had the better claim as it originated from the eldest daughters in two\ngenerations. However, their renunciation of succession rights complicated matters. In the case of Maria Theresa, nonetheless, the\nrenunciation was considered null and void owing to Spain's breach of her marriage contract with Louis. In contrast, no\nrenunciations tainted the claims of Emperor Leopold I's son Charles, Archduke of Austria, who was a grandson of Philip III's", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Battle of Fleurus, 1690\nLouis in 1690\nLouis XIV at the siege of\nNamur (1692)\nThe Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in\nLouis's political and diplomatic fortunes. It arose from two events in the Rhineland. First,\nin 1685, the Elector Palatine Charles II died. All that remained of his immediate family\nwas Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from\nsucceeding to her brother's lands and electoral dignity, but it was unclear enough for\narguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the\nprincess was demonstrably entitled to a division of the family's personal property. Louis\npressed her claims to land and chattels, hoping the latter, at least, would be given to her.[76]\nThen, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France,\ndied. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the\nBavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at\nthat time not more than 17 years old and not even ordained. Louis sought instead to install\nhis own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state\nremained an ally.[77]\nIn light of his foreign and domestic policies during the early 1680s, which were perceived\nas aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created\nconcern and alarm in much of Europe. This led to the formation of the 1686 League of\nAugsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated\nintention was to return France to at least the borders agreed to in the Treaty of\nNijmegen.[78] Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into\na permanent treaty fed Louis's fears that the Emperor would turn on France and attack the\nReunions after settling his affairs in the Balkans.[79]\nAnother event Louis found threatening was England's Glorious Revolution of 1688.\nAlthough King James II was Catholic, his two Anglican daughters, Mary and Anne,\nensured the English people a Protestant succession. But when James II's son James Francis\nEdward Stuart was born, he took precedence in succession over his sisters. This seemed to\nherald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince\nWilliam III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's\nwarning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest\nto him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-in-\nlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus\ntransforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to\nEngland to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to\nthe German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises.\nThis military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army\nof sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation\nof the Palatinate\").[80]\nFrench armies were generally victorious throughout the war because of Imperial commitments in\nthe Balkans, French logistical superiority, and the quality of French generals such as Condé's\nfamous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg.[81] He triumphed\nat the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Philip V of Spain\nLouis in 1701\nsucceeded to his father's throne.[90] The signatories, however, omitted to consult the ruler\nof these lands, and Charles II was passionately opposed to the dismemberment of his\nempire. In 1699, he re-confirmed his 1693 will that named Joseph Ferdinand as his sole\nsuccessor.[91]\nSix months later, Joseph Ferdinand died. Therefore, in 1700, Louis and William III\nconcluded a fresh partitioning agreement, the Treaty of London. This allocated Spain, the\nLow Countries, and the Spanish colonies to the Archduke. The Dauphin would receive all\nof Spain's Italian territories.[92] Charles II acknowledged that his empire could only remain\nundivided by bequeathing it entirely to a Frenchman or an Austrian. Under pressure from\nhis German wife, Maria Anna of Neuburg, Charles II named Archduke Charles as his sole\nheir.\nOn his deathbed in 1700, Charles II of Spain\nunexpectedly changed his will. The clear\ndemonstration of French military superiority for\nmany decades before this time, the pro-French\nfaction at the court of Spain, and even Pope\nInnocent XII convinced him that France was more likely to preserve his empire intact. He\nthus offered the entire empire to the Dauphin's second son Philip, Duke of Anjou, provided\nit remained undivided. Anjou was not in the direct line of French succession, thus his\naccession would not cause a Franco-Spanish union.[92] If Anjou refused, the throne would\nbe offered to his younger brother Charles, Duke of Berry. If the Duke of Berry declined it,\nit would go to Archduke Charles, then to the distantly related House of Savoy if Charles\ndeclined it.[93]\nLouis was confronted with a difficult choice. He could agree to a partition of the Spanish\npossessions and avoid a general war, or accept Charles II's will and alienate much of\nEurope. He may initially have been inclined to abide by the partition treaties, but the\nDauphin's insistence persuaded him otherwise.[94] Moreover, Louis's foreign minister,Jean-Baptiste Colbert, marquis de Torcy, pointed out that war with the Emperor would\nalmost certainly ensue whether Louis accepted the partition treaties or Charles II's will. He\nemphasised that, should it come to war, William III was unlikely to stand by France since\nhe \"made a treaty to avoid war and did not intend to go to war to implement the treaty\".[91] Indeed, in the event of war, it might be\npreferable to be already in control of the disputed lands. Eventually, therefore, Louis decided to accept Charles II's will. Philip,\nDuke of Anjou, thus became Philip V, King of Spain.\nMost European rulers accepted Philip as king, some reluctantly. Depending on one's views of the war's inevitability, Louis acted\nreasonably or arrogantly.[95] He confirmed that Philip V retained his French rights despite his new Spanish position. Admittedly,\nhe may only have been hypothesising a theoretical eventuality and not attempting a Franco-Spanish union. But his actions were\ncertainly not read as disinterested. Moreover, Louis sent troops to the Spanish Netherlands to evict Dutch garrisons and secure\nDutch recognition of Philip V. In 1701, Philip transferred the asiento (the right to supply slaves to Spanish colonies) to France, as\na sign of the two nations' growing connections. As tensions mounted, Louis decided to acknowledge James Stuart, the son of\nJames II, as King of England, Scotland and Ireland on the latter's death, infuriating William III. These actions enraged Britain and\nthe Dutch Republic.[96] With the Holy Roman Emperor and the petty German states, they formed another Grand Alliance and\ndeclared war on France in 1702. French diplomacy secured Bavaria, Portugal, and Savoy as Franco-Spanish allies.[97]\nEven before war was officially declared, hostilities began with Imperial aggression in Italy. Once finally declared, the War of the\nSpanish Succession lasted almost until Louis's death, at great cost to him and France.", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia5.pdf" - }, - { - "text": "famous pupil, François Henri de Montmorency-Bouteville, duc de Luxembourg.[81] He triumphed\nat the Battles of Fleurus in 1690, Steenkerque in 1692, and Landen in 1693, although, the battles\nproved to be of little of strategic consequence,[82][83] mostly due to the nature of late 17th-century\nwarfare.[84]\nAlthough an attempt to restore James II failed at the Battle of the Boyne in 1690, France\naccumulated a string of victories from Flanders in the north, Germany in the east, and Italy and\nSpain in the south, to the high seas and the colonies. Louis personally supervised the captures of\nMons in 1691 and Namur in 1692. Luxembourg gave France the defensive line of the Sambre by\ncapturing Charleroi in 1693. France also overran most of the Duchy of Savoy after the battles of\nMarsaglia and Staffarde in 1693. While naval stalemate ensued after the French victory at the\nBattle of Beachy Head in 1690 and the Allied victory at Barfleur-La Hougue in 1692, the Battle of\nTorroella in 1694 exposed Catalonia to French invasion, culminating in the capture of Barcelona.\nThe Dutch captured Pondichéry in 1693, but a 1697 French raid on the Spanish treasure port of Cartagena, Spain, yielded a\nfortune of 10,000,000 livres.", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Silver coin of Louis XIV, dated1674\nObverse. The Latin\ninscription is\nLVDOVICVS XIIII D[EI]\nGRA[TIA] (\"Louis\nXIV, by the grace of\nGod\").\nReverse. The Latin\ninscription is\nFRAN[CIÆ] ET\nNAVARRÆ REX 1674\n(\"King of France\nand of Navarre,\n1674\").\nThe Persian embassy to Louis XIV\nsent by Soltan Hoseyn in 1715.\nAmbassade de Perse auprès de\nLouis XIV, studio of Antoine Coypel.\nThe French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St\nGermain for a time, where no one, except a few intimates, was allowed to disturb him.[47] French military advantages allowed\nthem however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual\nexhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the\nScanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of Saint-\nGermain-en-Laye, Fontainebleau and Lund imposed on Denmark–Norway and Brandenburg.[48] Yet Louis's two primary goals,\nthe destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed.[49]\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In\n1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too\nmuch with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military\nforce alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary\ntreaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his\nrights and obligations under those treaties.\nCities and territories, such as Luxembourg and Casale, were prized for their strategic\npositions on the frontier and access to important waterways. Louis also sought\nStrasbourg, an important strategic crossing on the left bank of the Rhine and theretofore\na Free Imperial City of the Holy Roman Empire, annexing it and other territories in\n1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and\nwas thus not ceded to France in the Peace of Westphalia.\nFollowing these annexations, Spain declared war, precipitating the War of the Reunions.\nHowever, the Spanish were rapidly defeated because the Emperor (distracted by the\nGreat Turkish War) abandoned them, and the Dutch only supported them minimally. By\nthe Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation\nof most of the conquered territories, for 20 years.[50]\nLouis's policy of the Réunions may have raised France to its greatest size and power\nduring his reign, but it alienated much of Europe. This poor public opinion was\ncompounded by French actions off the Barbary Coast and at Genoa. First, Louis had\nAlgiers and Tripoli, two Barbary pirate strongholds, bombarded to obtain a favourable treaty and the liberation of Christian\nslaves. Next, in 1684, a punitive mission was launched against Genoa in retaliation for its support for Spain in previous wars.\nAlthough the Genoese submitted, and the Doge led an official mission of apology to Versailles, France gained a reputation for\nbrutality and arrogance. European apprehension at growing French might and the realisation of the extent of the dragonnades'\neffect (discussed below) led many states to abandon their alliances with France.[51] Accordingly, by the late 1680s, France became\nincreasingly isolated in Europe.\nFrench colonies multiplied in Africa, the Americas, and Asia during Louis's reign, and\nFrench explorers made important discoveries in North America. In 1673, Louis Jolliet and\nJacques Marquette discovered the Mississippi River. In 1682, René-Robert Cavelier, Sieur", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Conseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\nConseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (anhonorary post in most cases)—this was one of the few posts in the council available to the high aristocracy.[38]\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had\nmarried Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees.[39] The marriage\ntreaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants.[39] Mazarin\nRelations with the major colonies\nEarly wars in the Low Countries\nSpain", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The Franco-Spanish army led by the\nDuke of Berwick defeated decisively\nthe Alliance forces of Portugal,\nEngland, and the Dutch Republic at\nthe Battle of Almansa.\nThe Battle of Ramillies where the\nFrench fought the Dutch and British,\n23 May 1706\nLouis XIV depicted on a Louis d'or in\n1709\nMap of France after the death of\nLouis XIV\nimpact of this victory won the support of Portugal and Savoy. Later, the Battle of Ramillies\ndelivered the Low Countries to the Allies, and the Battle of Turin forced Louis to evacuate\nItaly, leaving it open to Allied forces. Marlborough and Eugene met again at the Battle of\nOudenarde, which enabled them to invade France.\nFrance established contact with Francis II Rákóczi and promised support if he took up the\ncause of Hungarian independence.\nDefeats, famine, and mounting debt greatly weakened France. Between 1693 and 1710,\nover two million people died in two famines, made worse as foraging armies seized food\nsupplies from the villages.[98] In desperation, Louis ordered a disastrous invasion of theEnglish island of Guernsey in the autumn of 1704 with the aim of raiding their successful\nharvest. By the winter of 1708–09, he was willing to accept peace at nearly any cost. He\nagreed that the entire Spanish empire should be surrendered to Archduke Charles, and also\nconsented to return to the frontiers of the Peace of Westphalia, giving up all the territories\nhe had acquired over 60 years. But he could not promise that Philip V would accept these\nterms, so the Allies demanded that Louis single-handedly attack his grandson to force\nthese terms on him. If he could not achieve this within the year, the war would resume.\nLouis would not accept these terms.[99]\nThe final phases of the War of the Spanish Succession demonstrated that the Allies could\nnot maintain Archduke Charles in Spain just as surely as France could not retain the entire\nSpanish inheritance for Philip V. The Allies were definitively expelled from central Spain\nby the Franco-Spanish victories at the Battles of Villaviciosa and Brihuega in 1710.\nFrench forces elsewhere remained obdurate despite their defeats. The Allies suffered a\nPyrrhic victory at the Battle of Malplaquet with 21,000 casualties, twice that of the\nFrench.[100] Eventually, France recovered its military pride with the decisive victory at\nDenain in 1712.\nFrench military successes near the end of the war took place against the background of a\nchanged political situation in Austria. In 1705, Emperor Leopold I died. His elder son and\nsuccessor, Joseph I, followed him in 1711. His heir was none other than Archduke Charles,\nwho secured control of all of his brother's Austrian landholdings. If the Spanish empire\nthen fell to him, it would have resurrected a domain as vast as Holy Roman Emperor\nCharles V's in the 16th century. To the maritime powers of Great Britain and the Dutch\nRepublic, this would have been as undesirable as a Franco-Spanish union.[101]\nAs a result of the fresh British perspective on the European balance of power, Anglo-\nFrench talks began, culminating in the 1713 Peace of Utrecht between Louis, Philip V of\nSpain, Anne of Great Britain, and the Dutch Republic. In 1714, after losing Landau and\nFreiburg, the Holy Roman Emperor also made peace with France in the Treaties of Rastatt\nand Baden.\nIn the general settlement, Philip V retained Spain and its colonies, while Austria received\nthe Spanish Netherlands and divided Spanish Italy with Savoy. Britain kept Gibraltar and\nMenorca. Louis agreed to withdraw his support for James Stuart, son of James II and\npretender to the thrones of Great Britain and Ireland, and ceded Newfoundland, Rupert's\nLand, and Acadia in the Americas to Anne. Britain gained the most from the treaty, but the\nfinal terms were much more favourable to France than those being discussed in peace\nTurning point\nConclusion of peace", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Spanish Succession lasted almost until Louis's death, at great cost to him and France.\nThe war began with French successes, but the talents of John Churchill, 1st Duke of Marlborough, and Eugene of Savoy checked\nthese victories and broke the myth of French invincibility. The duo allowed the Palatinate and Austria to occupy Bavaria after\ntheir victory at the Battle of Blenheim. Maximilian II Emanuel, Elector of Bavaria, had to flee to the Spanish Netherlands. The\nAcceptance of the will of Charles II and consequences\nCommencement of fighting", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Does nerve transection or crushing affect small afferents within the dorsal root ganglion in the same way?", - "target_page": 5, - "target_passage": "Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\nnumber of GFP 1 neurons. This loss of injured afferents resulted\nin a loss of neuron-containing (ie, excluding white matter regions)\nDRG volume (Fig. 1E), but not neuron density ( Fig. 1F). Cell loss\npredominantly occurred between 1 and 2 weeks postinjury and\nstabilized after this timepoint. Population distributions of the\ncross-sectional area of nucleated, tdTomato-expressing cell\nprofiles were not significantly different at 1 vs 8 weeks post-\nSNItrans, in contrast to GFP-expressing/injured afferents, in which\na loss of a population of small afferents at 8 weeks postinjury was\nobserved (Fig. 1G).\nSNItrans resulted in a mixed population of axotomized and intact\nafferents within the L4 DRG. Therefore, we developed an approach\nto restrict our analysis to axotomized afferents, without relying on\ntransgenic labelling, and used this as a complementary approach to\nconfirm our findings. We injected the neuronal tracer FB into the\nglabrous, tibial innervation territory of both hindpaws 1 week before\ncommon peroneal and tibial transection (SNItrans)o rc r u s h( S N Icrush)\nsurgeries (Figs. 2A and B). FastBlue-uptake was complete across\nneurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/\nC84), so this approach allowed us to profile a sample of the\naxotomized afferents. Both SNItrans (Fig. 2C)a n dS N Icrush (Fig. 2D)\ninjuries resulted in a rightward shift in population distributions of the\ncross-sectional area of nucleated, FB-labelled DRG neurons when\ncompared with contralateral DRG, consistent with a loss of small\nafferents post–nerve injury.\nAs a third complementary approach, we applied semiauto-\nmated volumetric analyses of nuclei size following tissue clearing.\nIn this study, whole DRGs were cleared 4 weeks after SNI trans for\nnuclei counting in “complete” tissue ( Figs. 2E–H). Nuclei were\nlabelled by TDP-43, in line with the study by West et al., 67 and\nwere quantified using Imaris software ( Fig. 2F, Video 1). We\nobserved a slight but significant rightward shift in nuclear spot\nvolume population distribution 4 weeks after SNItrans (Fig. 2G). In\naddition, there was a significant reduction in the number of small\nbut not medium or large nuclear spots, in support of a loss of\nsmall-diameter neuron populations (Fig. 2H).\nTogether, our data derived from several different experimental\napproaches show that a population of small-diameter afferents\nare lost following peripheral nerve injury.\n3.2. Spared nerve crush or transection results in death of\nMrgprd-expressing neurons\nTo date, determining cell loss among specific populations of\nafferent neurons has proved challenging due to the down-\nregulation of subpopulation-specific marker genes following\naxonal transection. 37,44 To overcome this issue, we took\nadvantage of transgenic strategies to label populations in\na manner that persisted after injury. Owing to the bias for the\nloss of small neurons and the known loss of IB4-binding central\nterminals postinjury, 36 we initially focused on nonpeptidergic\nnociceptive neurons. We used MrgD ChR2-YFP mice to identify\nneurons belonging to the largest of the 3 classes of non-\npeptidergic nociceptors, NP1. 55,59 To determine whether these\nneurons are lost following nerve injury, we used a stereological\nmethod to quantify L4 DRG MrgD-YFP 1 (yellow fluorescent\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2867", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "Research Paper PAIN 165 (2024) 2863–2876\nPeripheral nerve injury results in a biased loss of\nsensory neuron subpopulations\nAndrew H. Cooper a, Allison M. Barry b, Paschalina Chrysostomidou a, Romane Lolignier a, Jinyi Wang a,\nMagdalena Redondo Canales a, Heather F. Titterton a, David L. Bennett b, Greg A. Weir a,*\nAbstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n1. Introduction\nDorsal root ganglion (DRG) neurons represent a molecularly\nand functionally heterogeneous population. Under normal\nconditions, this diversity contributes to the ability of the\nsomatosensory nervous system to detect a myriad of sensory\nstimuli that result in the perceptions of touch, temperature,\nitch, and pain. Following nerve injury, physiological changes in\nDRG neurons lead to hyperexcitability, 57 which is a key\npathological driver of neuropathic pain. 20,63 Concomitant\nmolecular changes in discrete subpopulations also occur,\nand these have recently been comprehensively described in\nsingle-cell 37,44 and subpopulation-specific sequencing stud-\nies.3 These studies describe a transient and generalized\nreduction in the expression of subpopulation-specific genes\nfollowing nerve injury. 3,37,44\nIn addition to molecular changes, there is a rich literature\ndescribing the frank loss of DRG neurons following traumatic\nnerve injury in experimental rodent models. 24,50,53,56 Some\nstudies have suggested that neuron loss occurs in certain patient\ncohorts,48,66 but this is yet to be definitively demonstrated in\nhumans. In rodents, most studies support a preferential loss of\nsmall cells that give rise to unmyelinated fibers 53 but some\ncontrasting studies describe the preferential loss of large cells 6 or\nloss of cells of all sizes. 46 Variation is evident across studies in\nterms of experimental species, age, type of injury, and\nquantification methods.56 Shi et al. 50 used stereological counting\nmethods to identify a 54% loss of DRG neuron number 4 weeks\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\nEstimates for the degree of loss following commonly used nerve\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\ncrush) are not available and because of the neurochemical\nchanges following injury and the loss of subpopulation marker\ngene expression,5,44,50 the vulnerability of molecularly defined\nsubpopulations has not been characterized. Moreover, more\nrecent studies have cast doubt on the extent or even presence of\nDRG neuron death following nerve injury. One study which\ndeveloped a deep learning approach to assess rat DRG cellular\nplasticity found no loss of neurons up to 2 weeks post-SNI,49", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 3.Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD ChR2-YFP L4\nDRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3- mm intervals through the entirety of 30- mm-thick tissue\nsections. Scale bars 5100 mm. (C) Quantification of total number of MrgD-YFP 1cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG.\nTwo-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F 1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach\nused to generate data presented in (E–G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralatera lt o\ninjury. White boxes represent regions enlarged in (F). Scale bars 5100 mm (E) or 20 mm (F). (G) The proportion of FB-labelled DRG neurons decreased after spared\nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; side 3 injury interaction:\nF1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05, ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB,\nFastBlue; RM, repeated measures.\n2870 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed2.pdf" - }, - { - "text": "3.3. Spared nerve injury induces a loss of Trpm81 and\ncalcitonin gene-related peptide1 but not myelinated dorsal\nroot ganglion neurons\nLoss restricted to nonpeptidergic nociceptors would not fully\naccount for the degree of total neuron loss that we observed.\nTherefore, we studied a range of other subpopulations, both\nsmall and large in diameter, for their vulnerability to injury-\ninduced loss. To investigate potential loss of Trpm8 1 (cold-\nsensitive), calcitonin gene-related peptide 1 (CGRP) (peptider-\ngic), and myelinated subpopulations of DRG neurons following\nnerve injury, we applied our FB-labelling approach in Trpm8 FlpO;\nRC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2;\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\nmice, respectively ( Figs. 4A–D). Trpm8-tdTom was expressed\nFigure 2.Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- mm intervals through the entirety of a 30- mm-thick tissue section. Scale bar 5\n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNI trans:D 5 0.25, P ,\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush:D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\nvolumetric analyses after SNI trans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans. Kolmogorov–Smirnov tests of\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests: ** P , 0.01. ANOVA,\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2869", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "by a population of small-diameter, putative cold-sensitive\nneurons ( Fig. 4B), accounting for 8.3 6 0.27% of FB-labelled\nneurons in contralateral DRG. This decreased to 4.2 6 0.96%\nipsilateral to SNI trans injury ( Fig. 4E), indicating a partial loss of\nTrpm81 afferents. When examining peptidergic afferents, we\nfound that 48.1 6 2.42% of FB-labelled neurons in contralateral\nDRG were Calca-YFP 1,c o m p a r e dw i t h3 4 . 36 2.54% 4 weeks\nafter SNItrans injury (Figs. 4C and F), consistent with a partial loss\nof CGRP 1 afferents. We used a Thy1-CFP line that demon-\nstrates consistent expression postinjury 61 and labels a sample of\nmedium/large diameter myelinated afferents. CFP was largely\nrestricted to NF200 1 neurons, labelling 56% of this population.\nExpression was present in a heterogenous population of\nnociceptive (TrkA 1) and nonnociceptive (TrkA-) myelinated\nneurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral\nto injury, 15.66 1.8% of FB-labelled neurons expressed Thy1-\nCFP ( Figs. 4D and G). In contrast to unmyelinated subpopula-\ntions, this proportion was higher in ipsilateral DRG following\nSNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of\nThy1-CFP-expressing afferents, accompanied by a loss of Thy1-\nCFP-negative neurons. We did not observe significant alter-\nations in the population distributions of the cross-sectional area\nof surviving, damaged Trpm8-tdTom1,C a l c a - Y F P1,o rT h y 1 -\nCFP1 DRG neurons when compared with DRG contralateral to\nFigure 4.Spared nerve injury induces a loss of Trpm8 1 and CGRP1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B–D) FastBlue\nlabelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNI trans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury.\nImages are projections of optical sections at 3- mm intervals through the entirety of 30- mm-thick tissue sections. Scale bars 5 100 mm. (E–G) Quantification of the\nproportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNI trans. Paired t tests;\nTrpm8-tdTom: t2 55.31, P 50.034, n 53 mice; Calca-YFP: t 3 54.12, P 50.026, n 54 mice; Thy1-CFP: t 3 54.42, P 50.022, n 54 mice. *P ,0.05. CFP, cyan\nfluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue.\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2871", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is\nnot equally distributed across molecular populations.\n2. Methods\n2.1. Animals\nMice were housed in groups in humidity- and temperature-controlled\nrooms with free access to food and water, on a 12-hour light–dark\ncycle, and with environmental enrichment. Animal procedures were\nperformed under a UK Home Office Project Licence and in\naccordance with the UK Home Office (Scientific Procedures) Act\n(1986). All studies were approved by the Ethical Review Process\nApplications Panel of the University of Glasgow or Oxford and conform\nto the ARRIVE guidelines. Experiments were performed on adult male\nand female mice aged 7 to 16 weeks at the start of the experiments. All\nexperimental cohorts contained a mix of male and female mice, apart\nfrom the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush\nsurgery, which was exclusively female. Details of transgenic lines are\nprovided in Table 1.T a m o x i f e nw a sa d m i n i s t e r e db yi . p .i n j e c t i o no f\n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil\n(doses described inTable 1). There were 2 instances where animals\nwere excluded from data analysis : One (cyan fluorescent protein)\nThy1-CFP died of unknown causes not related to the procedure and\nbefore the experimental endpoint, and one MrgDCreERT2;Ai32\nexhibited no fluorophore expression and was therefore deemed to\nhave been incorrectly genotyped. Group sizes were based on the\nextent of neuronal loss 28d following sciatic nerve transection\nidentified by Shi et al.50 Givena 5 0.05, power5 0.8, and an effect\nsize of 4.81, power analysis projects that a group size of 3 mice would\nbe needed.\n2.2. Spared nerve transection and crush surgeries\nSpared nerve injury (transection of the common peroneal and\ntibial branches of the sciatic nerve; SNI trans) and common\nperoneal and tibial crush injury (SNI crush), in which nerve axons\nwere severed but the epineurium remained intact, were\nperformed as previously described.12 Anesthesia was induced\nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as\nrequired. Analgesia, consisting of carprofen (10 mg/kg) and\nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg)\nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper-\natively. The left hindpaw was secured with tape in hip abduction,\nand the operative field (lateral surface of the thigh) was shaved.\nOphthalmic ointment was applied to the eyes, and the shaved\narea was swabbed with chlorhexidine solution. A longitudinal\nincision was made in the skin at the lateral mid-thigh. Using blunt\ndissection, an opening was made through the biceps femoris,\nexposing the sciatic nerve and the 3 peripheral branches (sural,\ntibial, and common peroneal nerves). For SNI trans, the common\nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture\n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture\nwas removed using spring scissors. For SNIcrush, the exposed\ntibial and common peroneal nerves were clamped using a pair of\nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed\nto their second clip, leaving the nerve branches intact but\ntranslucent. The muscle was closed with one 6-0 Vicryl suture\n(Ethicon), and the skin incision was closed with one 10 mm\nwound clip (Alzet, Cupertino, CA). Animals were monitored daily\nfor self-mutilation, and no animals required sacrifice due to tissue\ndamage.\nTable 1\nTransgenic lines used in the study.\nUsed name Full name Putative population Ref Source Tamoxifen regime\nAtf3CreERT2 Atf3tm1.1(cre/ERT2)Msra Axotomised afferents 13 Gift: Dr Franziska Denk 50 mg/kg on days 0, 3, and 7 after surgery\nAvilFlpO Aviltm1(flpo)Ddg Sensory neurons 1 Gift: Prof David Ginty N.A.\nMrgDCreERT2 Mrgprdtm1.1(cre/ERT2)Wql Major class of nonpeptidergic\nneurons\n39 The Jackson Laboratory (RRID:\nIMSR_JAX:031286)\nGeneral: 1x 50 mg/kg in adulthood, (.1 week\nbefore experiment)\n3D volumetric analysis: 5x i.p. (0.5 mg/animal/", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating\nthat any loss of neurons within specific neuronal subpopulations\nwas not biased towards soma size. Collectively, these data show\nthat unrepaired axonal damage to peripheral sensory neurons\ninduces a partial loss of Trpm81 and CGRP 1 subpopulations,\nbut no major loss of myelinated afferents.\nBased on our findings of preferential loss of nonpeptidergic\nnociceptors, we re-analyzed a previous population-specific\ntranscriptomic dataset of mouse DRG neurons following nerve\ninjury for potential upregulation of cell death pathways (Fig. S7,\nhttp://links.lww.com/PAIN/C84).3 We found that early after injury\n(3 days post-SNI trans), nonpeptidergic (MrgD CreERT2-expressing)\nneurons showed enhanced enrichment of GO terms associated\nwith apoptosis, in contrast to a broad population of nociceptors\n(labelled with Scn10a CreERT2), peptidergic nociceptors (Calca-\nCreERT2), C-LTMRs (Th CreERT2), and A b-RA (rapidly adapting) and\nAd-LTMRs (A d/Ab-LTMR, Ntrk2 CreERT2;AdvillinFlpO), in which\nthere was less or no enrichment of cell death pathways. By\n4 weeks, only C-LTMR and A d/Ab-LTMR subtypes show any\noverrepresentation of cell death pathways (in the populations\nstudied). Both injury-specific and apoptotic signatures in non-\npeptidergic neurons were no longer significantly enriched,\nconsistent with a loss of axotomized nonpeptidergic afferents\nby this late timepoint postinjury. These data suggest that\napoptotic pathways are upregulated acutely after injury in a cell-\ntype-specific manner.\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\nloss in vitro\nEarlier studies postulated that a lack of neurotrophic support\nunderlies neuronal loss, which is supported by the observation\nthat exogenous GDNF treatment at the time of injury, or shortly\nafter, rescues the loss of IB4- binding central terminals\nposttransection. 5 We sought to use the DRG neurons from\nMrgDCreERT2 ;Ai32 mice to test this postulate and establish an\nin vitro platform capable of probing the molecular basis of loss,\nwith axonal transection during isolation providing a correlate\nfor in vivo nerve injury ( Figs. 5A–E). Twenty-four hours after\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F).\nHowever, in the absence of GFs, YFP 1 neurons only\naccounted for 1.7 6 0.6% of neurons after 28 days,\naccompanied by an apparent reduction in the overall number\nof neurons within the culture, despite all conditions being\nseeded at the same initial density ( Figs. 5C and F). YFP 1 cell\nloss was partially rescued by t he presence of GDNF, but not\nNGF alone, in the culture media ( Figs. 5D–F). These results\ncontrasted with experiment s using neurons derived from\nCalcaCreERT2 ;Ai32 mice, in which we observed no change in\nthe proportion of neurons that were Calca-YFP 1 after 28 days\nin culture, regardless of exogenous GF addition ( Figs. 5G–L).\nCollectively, these data support the use of DRG cultures to\nprobe the mechanisms underlying selective loss of sensory\nneurons following nerve injury a nd suggest a role for trophic\nsupport, particularly by GDNF sig naling, in preventing the loss\nof nonpeptidergic nociceptors.\n4. Discussion\nWe present data herein to support the hypothesis that\ntraumatic nerve injury in rodents leads to a profound loss of\nsmall-diameter DRG neurons. Taking advantage of newly\ndeveloped transgenic recombinase driver lines, we have\nshown that loss is biased across molecularly defined\nsubpopulations. Nonpeptidergic nociceptive neurons are\nparticularly susceptible to loss, with almost all Mrgprd 1\naxotomized afferents lost following an unrepaired transection\ninjury (SNI trans ) and roughly half lost following a model which\ncontrastingly allows for n erve regenerations (SNI crush ).\nFinally, we have observed that the vulnerability of Mrgprd 1", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "the multicellular unit. bioRxiv 2023.02.06.526934.\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue\nA. Unbiased analysis of the dorsal root ganglion after peripheral nerve\ninjury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN\n2023;164:728–40.\n[50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨ okfelt T. Effect of\nperipheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\nmouse: marked changes both in cell numbers and neuropeptide\nexpression. Neuroscience 2001;105:249–63.\n[51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional\ncharacterization of pulmonary neuroendocrine cells in lung development,\ninjury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531–6.\n[52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of\nGDNF in the uninjured DRG exerts analgesic effects on neuropathic pain\nfollowing segmental spinal nerve ligation in mice. J Pain 2011;12:\n1130–1139.\n[53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root\nganglion cells after transection of the rat sciatic nerve. J Comp Neurol\n2000;422:172–80.\n[54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons:\ndiagnosis and prevention. J Hand Surg Eur Vol 2011;36:730–4.\n[55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling-\nLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S,\nErnfors P. Unbiased classification of sensory neuron types by large-scale\nsingle-cell RNA sequencing. Nat Neurosci 2015;18:145–53.\n[56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on\nnumber and volume of dorsal root ganglion cell bodies. J Comp Neurol\n1997;388:307–12.\n[57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from\na neuroma. Nature 1974;248:740–43.\n[58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang\nY, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation\nof MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33:\n1360–73.\n[59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons\ninnervate most known classes of substantia gelatinosa neurons.\nJ Neurosci 2009;29:13202–9.\n[60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial\ncell line-derived neurotrophic factor normalizes neurochemical\nchanges in injured dorsal root ganglion neurons and prevents the\nexpression of experimental neuropathic pain. Neuroscience 2003;\n121:815–24.\n[61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan\nfluorescent protein (CFP) expressing cells in the retina of Thy1-CFP\ntransgenic mice before and after optic nerve injury. Neurosci Lett 2010;\n468:110–4.\n[62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM,\nAdelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR.\nMrgprdCre lineage neurons mediate optogenetic allodynia through an\nemergent polysynaptic circuit. PAIN 2021;162:2120–31.\n[63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB,\nBennett DL. Using an engineered glutamate-gated chloride channel to\nsilence sensory neurons and treat neuropathic pain at the source. Brain\n2017;140:2570–85.\n[64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and\nregeneration of cutaneous and muscular afferent neurons after peripheral\nnerve injury in adult rats. Exp Brain Res 2008;186:315–23.\n[65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G.\nVolumetric magnetic resonance imaging of dorsal root ganglia for the\nobjective quantitative assessment of neuron death after peripheral nerve\ninjury. Exp Neurol 2007;203:22–33.\n[66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after\nupper limb nerve injury and protective effect of repair: clinical evaluation\nusing volumetric magnetic resonance imaging of dorsal root ganglia.\nNeurosurgery 2013;73:632–40.\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "SNI-related gene expression signatures were less evident in\nMrgprd-expressing and C-LTMR neurons at later timepoints,\ncompared with other populations in injured DRG. 3 This could be\nexplained by a loss of axotomized neurons of these classes and\ntherefore sampling of only uninjured neurons at this time-\npoint.24,43,64 In terms of the transcriptional response to injury,\nnonpeptidergic nociceptors show enrichment of individual\nproapoptotic factors early after injury,23,68 and we extend these\nresults in this study, by describing a subpopulation-specific\nenrichment of GO terms associated with apoptosis that is evident\nas early as 3 days after injury. Such data and single-cell\ntranscriptomic profiling of all DRG neurons following injury 37,44\nmay offer the opportunity to elucidate the cell death pathways\nengaged and upstream effectors that enrich this process to\nnonpeptidergic nociceptive neurons.\n4.3. Implications for pain pathogenesis\nNeuronal loss has been proposed as a key contributor to poor\nfunctional recovery following nerve injury, 54 and biased survival of\ndifferent afferent types might be expected to contribute to\nmodality-specific sensory deficits. Beyond loss of function, does\nDRG neuron loss contribute to chronic pain, in either an adaptive or\nmaladaptive manner? Intrathecal delivery of GDNF is neuro-\nprotective and reverses the reduction in the number of IB4-binding\nDRG neurons and central terminals seen following transection. 5\nTreatment is concurrently analgesic and abrogates pain-related\nbehaviors.7,60 However, the pleiotropic nature of GDNF makes it\nimpossible to directly attribute the analgesic effects to the reversal\nof neuron loss. Indeed, it is possible that GDNF exerts its effect by\nactions on intact nonpeptidergic nociceptive afferents,52 activation\nof which is known to drive aversive behaviors in the neuropathic\nstate.62 These data leave the contribution of nonpeptidergic\nnociceptor loss to behavior in the GDNF treatment paradigm\nambiguous. Other pharmacological approaches have been found\neffective at reversing a neuronal loss in rodent models, but the\nimpact on pain behavior was not studied.21,22\nRodents develop marked mechanical and thermal hypersen-\nsitivity rapidly following nerve injury and before timepoints at\nwhich neuron loss is observed.10 This lack of a temporal\ncorrelation may suggest a limited contribution to evoked hyper-\nsensitivities. The temporal profile of ongoing tonic pain (eg, pain\naversiveness as measured by condition place preference\nassays26) is less defined and so is its correlation to the timing of\nneuron loss.\nThere are many anatomical sites within the somatosensory\nnervous system where differential loss of sensory neuron\npopulations could impact neurobiology. For example, loss of\ncutaneous afferents may afford more opportunity for plasticity in\nreinnervation patterns, such as collateral sprouting of uninjured or\nsurviving afferents, and the types of nerve endings made by\ndifferent molecular subpopulations.17,27 It also seems likely that the\ndeath of many neurons within a DRG could contribute to the\nexpansion and activation of immune cell types, which are known to\nplay a major role in neuropathic pain. 30,69 Finally, under normal\nconditions, peripheral sensory input is integrated into the dorsal\nhorn of the spinal cord by complex interneuron circuitry. Many\nspinal circuits are engaged by convergent input from different\nafferent types.9,41,70 Therefore, selective loss of input from discrete\nafferent types could undoubtedly impact the normal processing of\nremaining afferent signals. 34 Experimentally abrogating neuronal\nloss may be a fruitful approach to assess the contribution to\nnervous system plasticity (adaptive or maladaptive) following injury.\nIn this regard, our in vitro readout would be a useful experimental\nplatform to help delineate the precise cell death pathways and\nsignaling cascades engaged (which could then be experimentally", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "using volumetric magnetic resonance imaging of dorsal root ganglia.\nNeurosurgery 2013;73:632–40.\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological\nautomated analysis of biological structures. bioRxiv 2020:648337.\n[68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in\ndorsal root ganglion neurons following peripheral nerve injury.\nNeuroreport 2018;29:779–85.\n[69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum\nAI. Dorsal root ganglion macrophages contribute to both the initiation and\npersistence of neuropathic pain. Nat Commun 2020;11:264.\n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia\ngelatinosa mediate interaction of signals from primary afferents. J Physiol\n2010;588:2065–75.\n2876 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What are the EU's key nature conservation commitments for 2030?", - "target_page": 6, - "target_passage": "1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "3 \n \nbuild on the headline ambition to ensure that by 2050 all of the world’s ecosystems are \nrestored, resilient, and adequately protected. The world should commit to the net-gain \nprinciple to give nature back more than it takes. As part of this, the world should commit \nto no human-induced extinction of species, at minimum where avoidable. \nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to \nensure that Europe's biodiversity will be on the path to recovery by 2030 for the \nbenefit of people, the planet, the climate and our economy, in line with the 2030 Agenda \nfor Sustainable Development and with the objectives of the Paris Agreement on Climate \nChange. It addresses the five main drivers of biodiversity loss, sets out an enhanced \ngovernance framework to fill remaining gaps, ensures the full implemen tation of EU \nlegislation, and pulls together all existing efforts. This strategy is enterprising and \nincentivising in spirit and action. It reflects the fact that protecting and restoring nature \nwill need more than regulation alone . It will require action by citizens, businesses, \nsocial partners and the research and knowledge community, as well as strong \npartnerships between local, regional, national and European level. This strategy is in line \nwith the ambitions and commitment set out in President von der Leyen’s Political \nGuidelines and in the European Green Deal. \nAdopted in the heart of the COVID -19 pandemic, this strategy will also be a central \nelement of the EU’s recovery plan. It will be crucial to prevent and build resilience to \nfuture zoonosis outbr eaks and to provide immediate business and investment \nopportunities for restoring the EU’s economy. \nAll n ew initiatives and proposals will be underpinned by the Commission’s better \nregulation tools. Based on public consultations and on the identification of the \nenvironmental, social and economic impacts, impact assessments will contribute to \nensuring that all initiatives achieve their objectives in the most effective and least \nburdensome way and live up to a green oath to “do no harm”. \n2. PROTECTING AND RESTORING NATURE IN THE EUROPEAN UNION \nThe EU has legal frameworks, strategies and action plans to protect nature and restore \nhabitats and species. But protection has been incomplete, restoration has been small -\nscale, and the implementation and enforcement of legislation has been insufficient17. \nTo put biodiversity on the path to recovery by 2030 , we need to step up the protection \nand restoration of nature. This should be done by improving and widening our network \nof protected areas and by developing an ambitious EU Nature Restoration Plan. \n2.1. A coherent network of protected areas \nBiodiversity fares better in protected areas. However, the current network of legally \nprotected areas, including those under strict protection, is not sufficiently lar ge to \nsafeguard biodiversity. Evidence shows that the targets defined under the Convention on \nBiological Diversity are insufficient to adequately protect and restore nature 18. Global \n \n17 Mid-term review of the EU Biodiversity Strategy to 2020 (COM(2015) 478 and SWD(2015) 187); \nFitness Check of the EU Nature Legislation (Birds and Habitats Directives ) (SWD(2016) 472); Fitness \nCheck of the EU Water Legislation (SWD(2019) 439). \n18 The global Aichi biodiversity targets are that protected areas should cover 17% on land and 10% at sea, \nwhile scientific studies’ figures range from 30% to 70%. See e.g. IPBES 2019.", - "page_start": 3, - "page_end": 3, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "5 \n \nStates and the European Environment Agency, will put forward in 2020 criteria and \nguidance for identifying and designating additional areas, including a definition of strict \nprotection, as well as for appropriate management planning. In doing so, it will indicate \nhow other effective area -based conservation measures and greening of cities could \ncontribute to the targets. \nThe targets relate to the EU as a whole and could be broken down according to the EU \nbio-geographical regions and sea basins or at a more local level. Every Member State \nwill have to do its fair share of the effort based on objective ecological criteria , \nrecognising that each country has a different quantity and quality of biodiversity. \nParticular focus will be placed on protecting and restoring the tropical and sub -tropical \nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally \nhigh biodiversity value. \nIn addition, in order to have a truly coherent and resilient Trans -European Nature \nNetwork, it will be important to set up ecological corridors to prevent genetic isolation, \nallow for species migration, and maintain and enhance healthy ecosystems. In this \ncontext, investments in green and blue infrastructure 27 and cooperation across borders \namong Member States should be promoted and supported, including through the \nEuropean Territorial Cooperation. \nThe Commission will aim to agree the criteria and guidance for additional designations \nwith Member States by the end of 2021. Member States will then have until the end of \n2023 to demonstrate significant progress in legally designating new protected areas and \nintegrating ecological corridors. On this basis, the Commission will assess by 2024 \nwhether the EU is on track to meet its 2030 targets or whether stronger actions, including \nEU legislation, are needed. \nFinally, the Overseas Countries and Territories also host important biodiversity \nhotspots, not governed by EU environmental rules. The Commission encourages relevant \nMember States to consider promoting equal or equivalent rules in these countries and \nterritories. \nNature protection: key commitments by 2030 \n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea \narea and integrate ecological corridors, as part of a true Trans -European Nature \nNetwork. \n2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU \nprimary and old-growth forests. \n3. Effectively manage all protected area s, defining clear conservation objectives and \nmeasures, and monitoring them appropriately. \n \n27 Guidance on a strategic framework for further supporting the deployment of EU -level green and bl ue \ninfrastructure (SWD(2019) 193).", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "6 \n \n2.2. An EU Nature Restoration Plan: restoring ecosystems across \nland and sea \nProtecting the nature we have will not be enough to bring nature back into our lives. To \nreverse biodiversity loss, the world needs to be more ambitious on nature restoration. \nWith a new EU Nature Restoration Plan, Europe will lead the way. \nThe plan will help improve the health of existing and new protected areas, and bring \ndiverse and resilient nature back to all landscapes and ecosystems. This means reducing \npressures on habitats and species, and ensuring all use of ecosystems is sustainable. It \nalso means supporting the recovery of nature, limiting soil sealing and urban sprawl, and \ntackling po llution and invasive alien species. The plan will create jobs, reconcile \neconomic activities with nature growth and help ensure the long -term productivity and \nvalue of our natural capital. \n2.2.1. Strengthening the EU legal framework for nature restoration \nNature restoration is already partially required from the Member States in existing EU \nlegislation28. However, significant implementation and regulatory gaps hinder \nprogress. For instance, there is no requirement for Member States to have biodiversity \nrestoration plans. There are not always clear or binding targets and timelines and no \ndefinition or criteria on restoration or on the sustainable use of ecosystems. There is also \nno requirement to comprehensively map, monitor or assess ecosystem services, healt h or \nrestoration efforts. These issues are exacerbated by the gaps in implementation that \nprevent the existing legislation from achieving its objectives 29. Stronger implementation \nsupport and enforcement is required. To ensure that nature restoration across land and sea \npicks up, increases the EU’s resilience, and contributes to climate change mitigation and \nadaptation as a key nature -based solution, this strategy puts forward two strands of \nactions: \n Firstly, and subject to an impact assessment, the Commission will put forward a \nproposal for legally binding EU nature restoration targets in 2021 to restore \ndegraded ecosystems, in particular those with the most potential to capture and \nstore carbon and to prevent and reduce the impact of natural disaste rs. This will \nidentify the conditions in which the targets must be met, as well as the most \neffective measures to reach them. The impact assessment will also look at the \npossibility of an EU -wide methodology to map, assess and achieve good \ncondition of eco systems so they can deliver benefits such as climate regulation, \nwater regulation, soil health, pollination and disaster prevention and protection. \n \n In that context, the Commission will request and support Member States to raise \nthe level of implementation of existing legislation within clear deadlines. It will \nin particular request Member States to ensure no deterioration in conservation \ntrends and status of all prot ected habitats and species by 2030 30. In addition, \nMember States will have to ensure that at least 30% of species and habitats not \n \n28 Notably the EU Birds Directive (2009/147/EC), Habitats Directive (92/43/EEC), Water Framework \nDirective (2000/60/EC), Floods Directi ve (2007/60/EC) and Marine Strategy Framework Directive \n(2008/56/EC). \n29 See Fitness Check of the EU Nature Legislation (SWD(2016) 472) and Fitness Check of the EU Water \nLegislation (SWD(2019) 439). See also below, Section 3.2. \n30 Habitats and species listed under the Birds and Habitats Directives.", - "page_start": 6, - "page_end": 6, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "19 \n \nencouraging cooperation in education for environmental sustainabi lity in 2021. This \nwill provide guidance for schools and teachers on how to cooperate and exchange \nexperiences across Member States on biodiversity teaching. The Commission will also \nprovide support materials and facilitate the exchange of good practices in EU networks of \nteacher-training programmes. \n4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA \nBiodiversity is a priority of the EU’s external action and an integral part of efforts to \nmeet the United Nations Sustainable Development Goals. It will be mainstreamed \nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal \ndiplomacy’, and forthcoming green alliances 76. The Commi ssion will work closely with \nthe European Parliament and Member States to ensure a high level of EU ambition and \nmobilise all efforts for the good of the world’s biodiversity. \n4.1. Raising the level of ambition and commitment worldwide \nProtecting biodiversity is a global challenge and the next decade will be decisive. Global \nefforts under the United Nations Convention on Biological Diversity have largely been \ninsufficient. Nature cannot afford any half measures or lack of ambition. \nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in a \nhigh-ambition coalition on biodiversity – to agree an ambitious new global framework \nfor post -2020 at the upcoming 15 th Conference of the Parties to the Convention on \nBiological Diversity. \nWith this strategy, the Commission proposes ambitious commitments for the EU to bring \nto the table. The EU should also support governments and stakeholders across the globe \nto significantly step up their ambition and their action. \nThe Commission proposes that the EU ensures that the post -2020 global framework \nincludes, at a minimum, the elements outlined below: \n Overarching global goals for biodiversity for 2050, in line with the United \nNations 2030 Agenda for Sustainable Developmen t and the vision of ‘living in \nharmony with nature’. The ambition should be that , by 2050, all of the world’s \necosystems are restored, resilient, and adequately protected. The world \nshould commit to the net -gain principle to give nature back more than it t akes. \nThe world should commit to no human -induced extinction of species, at \nminimum where avoidable. \n Ambitious global 2030 targets in line with EU commitments in this strategy. \nThese should clearly address the drivers of biodiversity loss and be specific, \nmeasurable, actionable, relevant and time-bound. \n A much stronger implementation, monitoring and review process. Parties \nshould revise their National Biodiversity Strategies and Action Plans by the end \nof 2021, or as a minimum, submit national commitments f or the most important \ntargets. There should be a regular review cycle to look at progress towards the \n \n76 Green alliances focus on cooperation with African and other partners to implement the European Green \nDeal.", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "22 \n \npolicies. In addition, by integrating policy coherence for sustainable development in all \nits policies, the EU will reduce the pressure on biodiversity worldwide. In all of it s \ninternational cooperation, the EU should promote sustainable agricultural and fisheries \npractices and actions to protect and restore the world’s forests. Particular attention will \nalso be paid to sustainable water resource management, the restoration of degraded land, \nand the protection and restoration of biodiverse areas with high ecosystem services and \nclimate mitigation potential. A better protection of natural ecosystems, coupled with \nefforts to reduce wildlife trade and consumption, will also help pr event and build up \nresilience to possible future diseases and pandemics . The EU will enhance its support to \nglobal efforts to apply the One Health approach83, which recognises the intrinsic \nconnection between human health, animal health and healthy resilient nature. \nThe EU will step up support to partner countries across the world to achieve the new \nglobal targets, fight environmental crime, and tackle the drivers of biodiversity loss. In \nAfrica, the EU will launch the NaturAfrica initiative to protect wildl ife and key \necosystems while offering opportunities in green sectors for local populations. Similar \nprojects will be developed in other regions. The EU will also support the Western \nBalkans and EU Neighbourhood countries in their efforts to protect biodiversity. \nIn all of its work, the EU will strengthen the links between biodiversity protection and \nhuman rights, gender, health, education, conflict sensitivity, the rights -based approach, \nland tenure and the role of indigenous peoples and local communities. \nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and \ncivil society around the world. For example, in March 2020 , the Commission launched \nthe Global Biodiversity Coalition of national parks, aquariums, botanic gardens, zoos, \nnatural history and sciencemuseums to help raise awareness around the world on the need \nto protect and nurture biodiversity. The Commission will consider launching or joining \nother High Ambition Coalitions to help develop the post-2020 framework. \n5. CONCLUSION \nProtecting and restoring biodiversity is the only way to preserve the quality and \ncontinuity of human life on Earth. The commitments proposed in this strategy pave the \nway for ambitious and necessary changes – changes that will ensure the wellbeing and \neconomic prosperity of present and future generations in a healthy environment. The \nimplementation of these commitments will take into account the diversity of challenges \nacross sectors, regions and Member States, recognise the need to ensure social justice, \nfairness and inclusiveness in line with the European Pillar of Social Rights, and will \nrequire a sense of responsibility and strong joint efforts from the EU, its Member States, \nstakeholders and citizens. \nThe Commission invites the Europea n Parliament and the Council to endorse this \nstrategy ahead of the 15 th Conference of the Parties to the Convention on Biological \nDiversity. To ensure full political ownership of this strategy, the Commission will \nsuggest a standing progress point at the C ouncil and at the European Parliament. It will \nreview the strategy by 2024 to assess progress and whether further action is needed to \nmeet its objectives. \n \n83 https://www.who.int/features/qa/one-health/en/", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "4 \n \nefforts are needed and the EU itself needs to do more and better for natur e and build a \ntruly coherent Trans-European Nature Network. \nEnlarging protected areas is also an economic imperative. Studies on marine systems \nestimate that every euro invested in marine protected areas would generate a return of at \nleast €319. Similarly, the Nature Fitness Check20 showed that the benefits of Natura 2000 \nare valued at between €200-300 billion per year. The investment needs of the network are \nexpected to support as many as 500,000 additional jobs21. \nFor the good of our environment and our eco nomy, and to support the EU’s recovery \nfrom the COVID-19 crisis, we need to protect more nature. In this spirit, at least 30% of \nthe land and 30% of the sea should be protected in the EU . This is a minimum of an \nextra 4% for land and 19% for sea areas as compared to today22. The target is fully in line \nwith what is being proposed 23 as part of the post -2020 global biodiversity framework \n(see Section 4). \nWithin this, there should be specific focus on areas of very high biodiversity value or \npotential. These are the most vulnerable to climate change and should be granted special \ncare in the form of strict protection24. Today, only 3% of land and less than 1% of marine \nareas are strictly protected in the EU. W e need to do better to protect these areas. In this \nspirit, at least one third of protected areas – representing 10% of EU land and 10% of \nEU sea – should be strictly protected . This is also in line with the proposed global \nambition. \nAs part of this focus on strict protection, it will be crucial to define, map, monitor and \nstrictly protect all the EU’s remaining primary and old -growth forests25. It will also \nbe important to advocate for the same globally and ensure that EU actions do not result in \ndeforestation in other regions of the world. Primary and old-growth forests are the richest \nforest ecosystems that remove carbon from the atmosphere, while storing significant \ncarbon stocks. Significant areas of other carbon -rich ecosystems, such as peatlands, \ngrasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, \ntaking into account projected shifts in vegetation zones. \nMember States will be responsible for designating the additional protected and strictly \nprotected areas26. Designations should either help to complete the Natura 2000 network \nor be under national protection schemes. All protected areas will need to have clearly \ndefined conservation objectives and measures. The Commission, working with Member \n \n19 Brander et al. (2015), The benefits to people of expanding Marine Protected Areas. \n20 Fitness Check of the EU Nature Legislation (SWD(2016) 472). \n21 Member States’ Prioritised Action Frameworks 2020; Mutafoglu et al. (2017), Natura 2000 and Job s: \nScoping Study. \n22 Latest EU -27 statistics ( European database of nationally designated protected areas ) v. 2019, and \nNatura 2000 dataset ‘end 2018’ . Today, 26% of the EU’s land area is already protected, with 18% as \npart of Natura 2000 and 8% under national schemes. Of EU seas, 11 % are protected, with 8% in Natura \n2000 and 3% under additional national protection. To note: offshore wind projects will be possible if in \ncompliance with relevant environmental and nature protection legislation. \n23 Zero draft of the post -2020 global biod iversity framework (CBD/WG2020/2/3), available at \nhttps://www.cbd.int/conferences/post2020/wg2020-02/documents. \n24 Strict protection does not necessarily mean the area is not acce ssible to humans, but leaves natural \nprocesses essentially undisturbed to respect the areas’ ecological requirements. \n25 https://www.cbd.int/forest/definitions.shtml; Natura 2000 and Forests. \n26 Additional Natura 2000 designations will be implemented with support from EU funds and \nenforcement as appropriate.", - "page_start": 4, - "page_end": 4, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "15 \n \n9. There is a 50% reduction in the number of Red List species threatened by invasive \nalien species. \n10. The losses of nutrients from fertilisers are reduced by 50% , resulting in the reduction \nofthe use of fertilisers by at least 20%. \n11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. \n12. No chemical pesticides are used in sensitive areas such as EU urban green areas. \n13. The negative impacts on sensitive species and habitats, including on the seabed \nthrough fishing and extraction activities, are substantially reduced to achieve good \nenvironmental status. \n14. The by -catch of species is eliminated or reduced to a level that allows species \nrecovery and conservation. \n \n3. ENABLING TRANSFORMATIVE CHANGE \n3.1. A new governance framework \nIn the EU, there is currently no comprehensive governance framework to steer the \nimplementation of biodiversity commitments agreed at national, European or \ninternational level. To address the gap, the Commission will put in place a new \nEuropean biodiversit y governance framework . This will help map obligations and \ncommitments and set out a roadmap to guide their implementation. \nAs part of this new framework, the Commission will put in place a monitoring and \nreview mechanism. This will include a clear set o f agreed indicators and will enable \nregular progress assessment and set out corrective action if necessary. This mechanism \nwill feed the Environmental Implementation Review and contribute to the European \nSemester. \nThe new governance framework will ensure c o-responsibility and co -ownership by all \nrelevant actors in meeting the EU’s biodiversity commitments. It will support \nadministrative capacity building, transparency, stakeholder dialogue, and participatory \ngovernance at different levels. \nThe Commission wi ll assess the progress and suitability of this approach in 2023, and \nconsider whether a legally binding approach to governance is needed. \n3.2. Stepping up implementation and enforcement of EU \nenvironmental legislation \nAll environmental legislation relies on proper implementation and enforcement. Over the \nlast 30 years, the EU has put in place a solid legislative framework to protect and restore \nits natural capital. However, recent evaluations show that although legislation is fit for \npurpose, implementation on the ground is lagging behind 60. This is having dramatic \nconsequences on biodiversity and comes with a substantial economic cost 61. The full \nimplementation and enforcement of EU environmental legislation is therefore at the \nheart of this strategy , for which political support and financial and human resources \nwill need to be prioritised. \n \n60 See 2015 State of Nature in the EU report (COM (2015)219). \n61 The costs of non-implementation are estimated at EUR 50 billion per year.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "EN EN \n \n \n \nEUROPEAN \nCOMMISSION \nBrussels, 20.5.2020 \nCOM(2020) 380 final \n \nCOMMUNICATION FROM THE COMMISSION TO THE EUROPEAN \nPARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL \nCOMMITTEE AND THE COMMITTEE OF THE REGIONS \nEU Biodiversity Strategy for 2030 \n \nBringing nature back into our lives", - "page_start": 0, - "page_end": 0, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "20 \n \ntargets, with the ability to ratchet up action if needed. These reviews should be \nbased on an independent , science-based gap-analysis and foresight proces s, with \ncommon headline indicators for all Parties. \n An enabling framework to bring the ambition to life, across areas such as \nfinance, capacity, research, innovation and technology. \n Fair and equitable sharing of the benefits from the use of genetic resour ces \nlinked to biodiversity. \n A principle of equality . This includes respect for the rights and the full and \neffective participation of indigenous peoples and local communities. There should \nbe an inclusive approach with participation of all stakeholders, i ncluding women, \nyouth, civil society, local authorities, the private sector, academia and scientific \ninstitutions. \n4.2. Using external action to promote the EU’s ambition \n4.2.1. International Ocean Governance \nIn line with the International Ocean Governance agenda 77, the EU will support the \nconclusion of an ambitious legally binding agreement on marine biological diversity of \nareas beyond national jurisdiction (BBNJ) by the end of 2020. It must set clear global \nprocedures for identifying, designating and effectively managing ecologically \nrepresentative marine protected areas in the high seas. It should be ratified and \nimplemented as quickly as possible. \nThe EU should also use all of its diplomatic leverage and outreach capacities to help \nbroker agreement on the design ation of three vast Marine Protected Areas in the \nSouthern Ocean78, two of which were co -proposed by the EU in East Antarctica and in \nthe Weddell Sea. If agreed, this would constitute one of the biggest acts of nature \nprotection in history. \nWork will conti nue with partner countries and regional organisations to put in place \nmeasures to protect and sustainably use sensitive maritime ecosystems and species, \nincluding in areas beyond national jurisdiction, with a focus on marine biodiversity \nhotspots. The EU s hould continue supporting Small Island Developing States and other \nrelevant partner countries to participate in meetings of regional and global organisations \nand bodies, and to implement relevant international commitments and regulations. \nThe EU will appl y zero tolerance towards illegal, unreported and unregulated \nfishing and will combat overfishing, including through WTO negotiations on a global \nagreement to ban harmful fisheries subsidies. \nIn international negotiations, the EU should advocate that marine minerals in the \ninternational seabed area cannot be exploited before the effects of deep -sea mining on \nthe marine environment, biodiversity and human activities have been sufficiently \nresearched, the risks are understood and the technologies and operational practices are \nable to demonstrate no serious harm to the environment, in line with the precautionary \n \n77 International ocean governance agenda: an agenda for the future (JOIN(2016) 49). \n78 In the framework of the Commission for the Conservation of Antarctic Marine Living Resources.", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "16 \n \nAs regards the Birds and Habitats Directives, enforcement will focus on completing the \nNatura 2000 network , the effective management of all sites, species -protection \nprovisions, and species and habitats that show declining trends. The Commission will \nalso ensure that environment-related legislation with an impact on biodiversity 62 is better \nimplemented, enforced and – where necessary – reviewed and revised. \nThe Commission will strive to improve compliance assurance , working closely with \nMember States and European networks of environmental agencies, inspectors, auditors, \npolice, prosecutors and judges. \nIn addition, the Commission will support civil society’s role as a compliance watchdog \nand will engage with Member States to improve access to justice in national courts in \nenvironmental matters for individuals and NGOs. It will also broaden standing for N GOs \nby proposing a revision of the Aarhus Regulation63. \n3.3. Building on an integrated and whole-of-society approach \n3.3.1. Business for biodiversity \nIn the partnership spirit of this strategy, all parts of the economy and society will have to \nplay their role. Industry and business have an impact on nature, but they also produce the \nimportant innovations, partnerships and expertise that can help address biodiversity loss. \nTo ensure environmental and social interests are fully embedded into business strategies, \nthe Com mission will put forward a new initiative in 2021 on sustainable corporate \ngovernance. This initiative, which may take the form of a legislative proposal, will \naddress human rights and environmental duty of care and due diligence across economic \nvalue chains in a proportionate way according to different sizes of entreprises 64. This will \nhelp ensure that shareholder and stakeholder interests are fully aligned with the \nobjectives set out in this strategy. In addition, in 2020, the Commission launched a \nreview of the reporting obligations of businesses under the Non-Financial Reporting \nDirective65, with a view to improving the quality and scope of non -financial disclosures, \nincluding on environmental aspects such as biodiversity. \nThrough its existing platforms 66, the Commission will help to build a European \nBusiness for Biodiversity movement, taking inspiration from recent initiatives 67 and \nmaking this movement an integral part of the European Climate Pact. Particular attention \nwill be paid to measures to incentiv ise and eliminate barriers for the take -up of nature -\nbased solutions, as these can lead to significant business and employment opportunities \nin various sectors68 and are the key to innovation for economic or societal needs that rely \non nature. \n \n62 Such as the Directives on Environmental Impact Assessment (2014/52/EU), on Strategic Environmental \nAssessment (2001/42/EC), on Environmental Liability (2004/35/CE) and on Environmental Crime \n(2008/99/EC). \n63 https://ec.europa.eu/environment/aarhus/ \n64 Study on due diligence requirements through the supply chain – Final Report. \n65 Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non -financial and \ndiversity information by certain large undertakings. \n66 Such as the EU Business @ Biodiversity Platform (B@B). \n67 See for example Business for Nature or One Planet Business for Biodiversity. \n68 BenDor et al. (2015), Estimating the Size and Impact of the Ecological Restoration Economy.", - "page_start": 16, - "page_end": 16, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "Was there a biodiversity governance framework in place in the EU before the European Commission's proposal?", - "target_page": 16, - "target_passage": "In the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "15 \n \n9. There is a 50% reduction in the number of Red List species threatened by invasive \nalien species. \n10. The losses of nutrients from fertilisers are reduced by 50% , resulting in the reduction \nofthe use of fertilisers by at least 20%. \n11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. \n12. No chemical pesticides are used in sensitive areas such as EU urban green areas. \n13. The negative impacts on sensitive species and habitats, including on the seabed \nthrough fishing and extraction activities, are substantially reduced to achieve good \nenvironmental status. \n14. The by -catch of species is eliminated or reduced to a level that allows species \nrecovery and conservation. \n \n3. ENABLING TRANSFORMATIVE CHANGE \n3.1. A new governance framework \nIn the EU, there is currently no comprehensive governance framework to steer the \nimplementation of biodiversity commitments agreed at national, European or \ninternational level. To address the gap, the Commission will put in place a new \nEuropean biodiversit y governance framework . This will help map obligations and \ncommitments and set out a roadmap to guide their implementation. \nAs part of this new framework, the Commission will put in place a monitoring and \nreview mechanism. This will include a clear set o f agreed indicators and will enable \nregular progress assessment and set out corrective action if necessary. This mechanism \nwill feed the Environmental Implementation Review and contribute to the European \nSemester. \nThe new governance framework will ensure c o-responsibility and co -ownership by all \nrelevant actors in meeting the EU’s biodiversity commitments. It will support \nadministrative capacity building, transparency, stakeholder dialogue, and participatory \ngovernance at different levels. \nThe Commission wi ll assess the progress and suitability of this approach in 2023, and \nconsider whether a legally binding approach to governance is needed. \n3.2. Stepping up implementation and enforcement of EU \nenvironmental legislation \nAll environmental legislation relies on proper implementation and enforcement. Over the \nlast 30 years, the EU has put in place a solid legislative framework to protect and restore \nits natural capital. However, recent evaluations show that although legislation is fit for \npurpose, implementation on the ground is lagging behind 60. This is having dramatic \nconsequences on biodiversity and comes with a substantial economic cost 61. The full \nimplementation and enforcement of EU environmental legislation is therefore at the \nheart of this strategy , for which political support and financial and human resources \nwill need to be prioritised. \n \n60 See 2015 State of Nature in the EU report (COM (2015)219). \n61 The costs of non-implementation are estimated at EUR 50 billion per year.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "22 \n \npolicies. In addition, by integrating policy coherence for sustainable development in all \nits policies, the EU will reduce the pressure on biodiversity worldwide. In all of it s \ninternational cooperation, the EU should promote sustainable agricultural and fisheries \npractices and actions to protect and restore the world’s forests. Particular attention will \nalso be paid to sustainable water resource management, the restoration of degraded land, \nand the protection and restoration of biodiverse areas with high ecosystem services and \nclimate mitigation potential. A better protection of natural ecosystems, coupled with \nefforts to reduce wildlife trade and consumption, will also help pr event and build up \nresilience to possible future diseases and pandemics . The EU will enhance its support to \nglobal efforts to apply the One Health approach83, which recognises the intrinsic \nconnection between human health, animal health and healthy resilient nature. \nThe EU will step up support to partner countries across the world to achieve the new \nglobal targets, fight environmental crime, and tackle the drivers of biodiversity loss. In \nAfrica, the EU will launch the NaturAfrica initiative to protect wildl ife and key \necosystems while offering opportunities in green sectors for local populations. Similar \nprojects will be developed in other regions. The EU will also support the Western \nBalkans and EU Neighbourhood countries in their efforts to protect biodiversity. \nIn all of its work, the EU will strengthen the links between biodiversity protection and \nhuman rights, gender, health, education, conflict sensitivity, the rights -based approach, \nland tenure and the role of indigenous peoples and local communities. \nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and \ncivil society around the world. For example, in March 2020 , the Commission launched \nthe Global Biodiversity Coalition of national parks, aquariums, botanic gardens, zoos, \nnatural history and sciencemuseums to help raise awareness around the world on the need \nto protect and nurture biodiversity. The Commission will consider launching or joining \nother High Ambition Coalitions to help develop the post-2020 framework. \n5. CONCLUSION \nProtecting and restoring biodiversity is the only way to preserve the quality and \ncontinuity of human life on Earth. The commitments proposed in this strategy pave the \nway for ambitious and necessary changes – changes that will ensure the wellbeing and \neconomic prosperity of present and future generations in a healthy environment. The \nimplementation of these commitments will take into account the diversity of challenges \nacross sectors, regions and Member States, recognise the need to ensure social justice, \nfairness and inclusiveness in line with the European Pillar of Social Rights, and will \nrequire a sense of responsibility and strong joint efforts from the EU, its Member States, \nstakeholders and citizens. \nThe Commission invites the Europea n Parliament and the Council to endorse this \nstrategy ahead of the 15 th Conference of the Parties to the Convention on Biological \nDiversity. To ensure full political ownership of this strategy, the Commission will \nsuggest a standing progress point at the C ouncil and at the European Parliament. It will \nreview the strategy by 2024 to assess progress and whether further action is needed to \nmeet its objectives. \n \n83 https://www.who.int/features/qa/one-health/en/", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "19 \n \nencouraging cooperation in education for environmental sustainabi lity in 2021. This \nwill provide guidance for schools and teachers on how to cooperate and exchange \nexperiences across Member States on biodiversity teaching. The Commission will also \nprovide support materials and facilitate the exchange of good practices in EU networks of \nteacher-training programmes. \n4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA \nBiodiversity is a priority of the EU’s external action and an integral part of efforts to \nmeet the United Nations Sustainable Development Goals. It will be mainstreamed \nthroughout bilateral and multilateral engagements, through the EU’s ‘Green Deal \ndiplomacy’, and forthcoming green alliances 76. The Commi ssion will work closely with \nthe European Parliament and Member States to ensure a high level of EU ambition and \nmobilise all efforts for the good of the world’s biodiversity. \n4.1. Raising the level of ambition and commitment worldwide \nProtecting biodiversity is a global challenge and the next decade will be decisive. Global \nefforts under the United Nations Convention on Biological Diversity have largely been \ninsufficient. Nature cannot afford any half measures or lack of ambition. \nIn this spirit, the EU is ready to lead all efforts – working with like-minded partners in a \nhigh-ambition coalition on biodiversity – to agree an ambitious new global framework \nfor post -2020 at the upcoming 15 th Conference of the Parties to the Convention on \nBiological Diversity. \nWith this strategy, the Commission proposes ambitious commitments for the EU to bring \nto the table. The EU should also support governments and stakeholders across the globe \nto significantly step up their ambition and their action. \nThe Commission proposes that the EU ensures that the post -2020 global framework \nincludes, at a minimum, the elements outlined below: \n Overarching global goals for biodiversity for 2050, in line with the United \nNations 2030 Agenda for Sustainable Developmen t and the vision of ‘living in \nharmony with nature’. The ambition should be that , by 2050, all of the world’s \necosystems are restored, resilient, and adequately protected. The world \nshould commit to the net -gain principle to give nature back more than it t akes. \nThe world should commit to no human -induced extinction of species, at \nminimum where avoidable. \n Ambitious global 2030 targets in line with EU commitments in this strategy. \nThese should clearly address the drivers of biodiversity loss and be specific, \nmeasurable, actionable, relevant and time-bound. \n A much stronger implementation, monitoring and review process. Parties \nshould revise their National Biodiversity Strategies and Action Plans by the end \nof 2021, or as a minimum, submit national commitments f or the most important \ntargets. There should be a regular review cycle to look at progress towards the \n \n76 Green alliances focus on cooperation with African and other partners to implement the European Green \nDeal.", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "18 \n \nlegislation and guidance on green public procurement , the Commission will integrate \ncriteria and monitoring to boost nature-based solutions. \n3.3.3. Measuring and integrating the value of nature \nBiodiversity considerations need to be better integrated into public and business decision-\nmaking at all levels. Building on existing work 74, the Commission will develop in 2021 \nmethods, criteria and standards to describe the essential features of biodiversity, its \nservices, values, and sustainable use. \nThese will include measuring the environmental footprint of products and \norganisations on the environment , including through life -cycle approaches and natural \ncapital accounting. In this context, the Commission will support the establi shment of an \ninternational natural capital accounting initiative. \n3.3.4. Improving knowledge, education and skills \nThe fight against biodiversity loss must be underpinned by sound science. Investing in \nresearch, innovation and knowledge exchange will be key to ga thering the best data and \ndeveloping the best nature -based solutions. Research and innovation can test and develop \nhow to prioritise ‘green’ over ‘grey’ solutions and help the Commission to support \ninvestments in nature-based solutions, such as in old-industrialised, low-income or disaster-\nhit areas. \nThe new Skills Agenda will play a key role in the transition to a green economy and the \nfight against biodiversity loss, focusing on training and reskilling of the workforce across \na wide range of sectors. \nThe future Horizon Europe programme will include a long-term strategic research \nagenda for biodiversity, including a science policy mechanism for research -based \noptions for ratcheting up the implementation of biodiversity commitments , with \nincreased funding. Horizon Europe ’s Missions75 will significantly contribute to filling \nknowledge gaps and finding solutions to improve the health of ecosystems and their \ncontribution to human health. \nIn parallel, the Commission will promote and facilitate partnerships, including a \ndedicated Biodiversity Partnership, to make the bridge between science, policy and \npractice and make nature -based solutions a reality on the ground. The Commission will \nalso establish in 2020 a new Knowledge Centre for Biodiversity in close cooperation \nwith the European Environment Agency. The Centre will: (i) track and assess progress \nby the EU and its partners including in relation to implementation of biodiversity related \ninternational instruments; (ii) foster cooperation and partnership, including between \nclimate and biodiversity scientists; and (iii) underpin policy development. Moreover, t he \nCommission will increase its support to the Intergovernmental science-policy Platform on \nBiodiversity and Ecosystem Services. \nTo help integrate biodiversity and ecosystems into school, higher education and \nprofessional training, the Commission will propose a Council Recommendation on \n \n74 SWD(2019) 305. \n75 Missions on adaptation to climate change including societal transformation , on healthy oceans, seas \ncoastal and inland waters, on climate-neutral and smart cities, and on soil health and food.", - "page_start": 18, - "page_end": 18, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "21 \n \nprinciple79 and taking into account the call of the European Parliament 80. In parallel, the \nEU will continue to fund research on the impact of deep -sea mining activities and on \nenvironmentally-friendly technologies. The EU should also advocate for more \ntransparency in international bodies such as the International Seabed Authority. \n4.2.2. Trade policy \nTrade policy will actively support and be part of the ecological transition . In this \nspirit, the Commission will ensure full implementation and enforcement of the \nbiodiversity provisions in all trade agreements, including through the EU Chief Trade \nEnforcement Officer. The Commission will better assess the impact of trade agreements \non biodiversity, with follow -up action to strengthen the biodiversity provisions of \nexisting and new agreements if relevant. The Commission will also present in 2021 a \nlegislative proposal and other measures to avoid or minimise the placing of products \nassociated with deforestation or forest degradation on the EU market 81, and to promote \nforest-friendly imports and value chains. The Commission will take a number of steps to \ncrack down on illegal wildlife trade . This trade contributes to the depletion or \nextinction of entire species, is the world’s fourth most lucrative black market and is \nthought to be one of the causes behind the emergence of zoonotic diseases. It is a human, \neconomic and environmental duty to dismantle it. \nWith this in mind, the Commission will revise the EU Action Plan against Wildlife \nTrafficking in 2021 and propose a further tightening of the rules on EU ivory trade \nlater this year. It will explore a possibl e revision of the Environmental Crime Directive, \nincluding by looking at expanding its scope and introducing specific provisions for types \nand levels of criminal sanctions. It will consider strengthening the coordinating and \ninvestigative capacities of the European Anti -Fraud Office (OLAF) to work with \nMember States and non -EU countries to prevent illicit trade and the entry of illicit \nproducts into the Single Market. \nThe Commission will continue to engage with partner countries to ensure a smooth and \nfair transition, mobilising in particular Aid for Trade to ensure that partners reap the \nbenefits of biodiversity-friendly trade. \n4.2.3. International cooperation, neighbourhood policy and resource \nmobilisation \nDelivering an ambitious post -2020 global biodiversity framework will require greater \ncooperation with partners, increased support and financing and phasing out of subsidies \nharmful to biodiversity . In the last decade, the EU and its Member States collectiv ely \nupheld their commitment to double financial flows to developing countries for \nbiodiversity82. The EU is ready to continue working with its partners and further \nincrease its support post-2020. This will be part of its work on biodiversity conservation, \nrestoration, sustainable use and mainstreaming in all development and partnership \n \n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection \nand shall be based on the precautionary principle. \n80 European Parliament Resolution on international ocean governance (2017/2055(INI)). \n81 In line with the Commission Communication on Stepping up EU Action to Protect and Resto re the \nWorld’s Forests (COM(2019) 352). \n82 Including international financing where biodiversity is the principal objective and where it is a \nsignificant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States \nfinancial reports submitted to the Convention on Biological Diversity in 2015 and 2018.", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "17 \n \n3.3.2. Investments, pricing and taxation \nTackling biodiversity loss and restoring ecosystems will require significant public and \nprivate investments at national and European level. This will mean making the most of \nall relevant EU programmes and financing instruments. The Co mmission will strengthen \nits biodiversity proofing framework 69, inter alia by using in an appropriate way the \ncriteria established under the EU taxonomy, to ensure that EU funding supports \nbiodiversity-friendly investments. \nTo meet the needs of this strategy, including investment priorities for Natura 2000 and \ngreen infrastructure, at least €20 billion a year 70 should be unlocked for spending on \nnature. This will require mobilising private and public funding at national and EU \nlevel71, including through a range of different programmes in the next long -term EU \nbudget. Moreover, as nature restoration will make a major contribution to climate \nobjectives, a significant proportion of the 25% of the EU budget dedicated to climate \naction will be invested on biodiversity and nature-based solutions. \nUnder Invest EU, a dedicated natural -capital and circular -economy initiative will be \nestablished to mobilise at least €10 billion over the next 10 years, based on public/private \nblended finance. Nature and biodiversity is also a priority for the European Green Deal \nInvestment Plan. To help unlock the investment needed, the EU must provide long -term \ncertainty for investors and help embed sustainability in the financial system. The EU \nsustainable finance taxonomy will help guide investment towards a green recovery and \nthe deployment of nature -based solutions. In 2021, the Commission will adopt a \ndelegated act under the Taxonomy Regulation72 to establish a common classification of \neconomic activities that substantially contribute to protecting and restoring biodiversity \nand ecosystems . This will be further supported by a Renewed Sustainable Finance \nStrategy later this year which will help ensure that the financial system contributes to \nmitigating ex isting and future risks to biodiversity and better reflect how biodiversity \nloss affects companies’ profitability and long-term prospects73. \nThe Commission will further promote tax systems and pricing that reflect environmental \ncosts, including biodiversi ty loss. This should encourage changes in national fiscal \nsystems to shift the tax burden from labour to pollution, under -priced resources, and \nother environmental externalities. The ‘ user pays’ and ‘polluter pays’ principles have \nto be applied to prevent and correct environmental degradation. \nPublic authorities’ purchasing power represents 14% of EU GDP and can serve as a \npowerful driver of demand for the products and services of companies that invest in or \ncontribute to nature -based solutions. To tap into this potential, when proposing further \n \n69 See Common framework and guidance documents for biodiversity proofing of the EU budget . \n70 The cost estimate is based on the 2018 Impact Assessment of the LIFE Regulation (SWD(2018) 292), a \nStudy on the costs of implementing the Target 2 of the EU Biodiversity Strategy to 2020 and data \nsubmitted by 16 Member States under Article 8(1) of the Habitats Directive. The Commission will \nupdate the estimate, notably based on Member States’ P rioritised Action Frameworks under the \nHabitats Directive. \n71 Including the Common Agricultural Policy, Cohesion Policy funds, Horizon Europe, the European \nMaritime and Fisheries Fund, LIFE and external action funds. \n72 See EU taxonomy for sustainable activities. \n73 World Wildlife Fund (2019), The Nature of Risk – A Framework for Understanding Nature -Related \nRisk to Business.", - "page_start": 17, - "page_end": 17, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "5 \n \nStates and the European Environment Agency, will put forward in 2020 criteria and \nguidance for identifying and designating additional areas, including a definition of strict \nprotection, as well as for appropriate management planning. In doing so, it will indicate \nhow other effective area -based conservation measures and greening of cities could \ncontribute to the targets. \nThe targets relate to the EU as a whole and could be broken down according to the EU \nbio-geographical regions and sea basins or at a more local level. Every Member State \nwill have to do its fair share of the effort based on objective ecological criteria , \nrecognising that each country has a different quantity and quality of biodiversity. \nParticular focus will be placed on protecting and restoring the tropical and sub -tropical \nmarine and terrestrial ecosystems in the EU’s outermost regions given their exceptionally \nhigh biodiversity value. \nIn addition, in order to have a truly coherent and resilient Trans -European Nature \nNetwork, it will be important to set up ecological corridors to prevent genetic isolation, \nallow for species migration, and maintain and enhance healthy ecosystems. In this \ncontext, investments in green and blue infrastructure 27 and cooperation across borders \namong Member States should be promoted and supported, including through the \nEuropean Territorial Cooperation. \nThe Commission will aim to agree the criteria and guidance for additional designations \nwith Member States by the end of 2021. Member States will then have until the end of \n2023 to demonstrate significant progress in legally designating new protected areas and \nintegrating ecological corridors. On this basis, the Commission will assess by 2024 \nwhether the EU is on track to meet its 2030 targets or whether stronger actions, including \nEU legislation, are needed. \nFinally, the Overseas Countries and Territories also host important biodiversity \nhotspots, not governed by EU environmental rules. The Commission encourages relevant \nMember States to consider promoting equal or equivalent rules in these countries and \nterritories. \nNature protection: key commitments by 2030 \n1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea \narea and integrate ecological corridors, as part of a true Trans -European Nature \nNetwork. \n2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU \nprimary and old-growth forests. \n3. Effectively manage all protected area s, defining clear conservation objectives and \nmeasures, and monitoring them appropriately. \n \n27 Guidance on a strategic framework for further supporting the deployment of EU -level green and bl ue \ninfrastructure (SWD(2019) 193).", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "16 \n \nAs regards the Birds and Habitats Directives, enforcement will focus on completing the \nNatura 2000 network , the effective management of all sites, species -protection \nprovisions, and species and habitats that show declining trends. The Commission will \nalso ensure that environment-related legislation with an impact on biodiversity 62 is better \nimplemented, enforced and – where necessary – reviewed and revised. \nThe Commission will strive to improve compliance assurance , working closely with \nMember States and European networks of environmental agencies, inspectors, auditors, \npolice, prosecutors and judges. \nIn addition, the Commission will support civil society’s role as a compliance watchdog \nand will engage with Member States to improve access to justice in national courts in \nenvironmental matters for individuals and NGOs. It will also broaden standing for N GOs \nby proposing a revision of the Aarhus Regulation63. \n3.3. Building on an integrated and whole-of-society approach \n3.3.1. Business for biodiversity \nIn the partnership spirit of this strategy, all parts of the economy and society will have to \nplay their role. Industry and business have an impact on nature, but they also produce the \nimportant innovations, partnerships and expertise that can help address biodiversity loss. \nTo ensure environmental and social interests are fully embedded into business strategies, \nthe Com mission will put forward a new initiative in 2021 on sustainable corporate \ngovernance. This initiative, which may take the form of a legislative proposal, will \naddress human rights and environmental duty of care and due diligence across economic \nvalue chains in a proportionate way according to different sizes of entreprises 64. This will \nhelp ensure that shareholder and stakeholder interests are fully aligned with the \nobjectives set out in this strategy. In addition, in 2020, the Commission launched a \nreview of the reporting obligations of businesses under the Non-Financial Reporting \nDirective65, with a view to improving the quality and scope of non -financial disclosures, \nincluding on environmental aspects such as biodiversity. \nThrough its existing platforms 66, the Commission will help to build a European \nBusiness for Biodiversity movement, taking inspiration from recent initiatives 67 and \nmaking this movement an integral part of the European Climate Pact. Particular attention \nwill be paid to measures to incentiv ise and eliminate barriers for the take -up of nature -\nbased solutions, as these can lead to significant business and employment opportunities \nin various sectors68 and are the key to innovation for economic or societal needs that rely \non nature. \n \n62 Such as the Directives on Environmental Impact Assessment (2014/52/EU), on Strategic Environmental \nAssessment (2001/42/EC), on Environmental Liability (2004/35/CE) and on Environmental Crime \n(2008/99/EC). \n63 https://ec.europa.eu/environment/aarhus/ \n64 Study on due diligence requirements through the supply chain – Final Report. \n65 Directive 2014/95/EU amending Directive 2013/34/EU as regards disclosure of non -financial and \ndiversity information by certain large undertakings. \n66 Such as the EU Business @ Biodiversity Platform (B@B). \n67 See for example Business for Nature or One Planet Business for Biodiversity. \n68 BenDor et al. (2015), Estimating the Size and Impact of the Ecological Restoration Economy.", - "page_start": 16, - "page_end": 16, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "EN EN \n \n \n \nEUROPEAN \nCOMMISSION \nBrussels, 20.5.2020 \nCOM(2020) 380 final \n \nCOMMUNICATION FROM THE COMMISSION TO THE EUROPEAN \nPARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL \nCOMMITTEE AND THE COMMITTEE OF THE REGIONS \nEU Biodiversity Strategy for 2030 \n \nBringing nature back into our lives", - "page_start": 0, - "page_end": 0, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "20 \n \ntargets, with the ability to ratchet up action if needed. These reviews should be \nbased on an independent , science-based gap-analysis and foresight proces s, with \ncommon headline indicators for all Parties. \n An enabling framework to bring the ambition to life, across areas such as \nfinance, capacity, research, innovation and technology. \n Fair and equitable sharing of the benefits from the use of genetic resour ces \nlinked to biodiversity. \n A principle of equality . This includes respect for the rights and the full and \neffective participation of indigenous peoples and local communities. There should \nbe an inclusive approach with participation of all stakeholders, i ncluding women, \nyouth, civil society, local authorities, the private sector, academia and scientific \ninstitutions. \n4.2. Using external action to promote the EU’s ambition \n4.2.1. International Ocean Governance \nIn line with the International Ocean Governance agenda 77, the EU will support the \nconclusion of an ambitious legally binding agreement on marine biological diversity of \nareas beyond national jurisdiction (BBNJ) by the end of 2020. It must set clear global \nprocedures for identifying, designating and effectively managing ecologically \nrepresentative marine protected areas in the high seas. It should be ratified and \nimplemented as quickly as possible. \nThe EU should also use all of its diplomatic leverage and outreach capacities to help \nbroker agreement on the design ation of three vast Marine Protected Areas in the \nSouthern Ocean78, two of which were co -proposed by the EU in East Antarctica and in \nthe Weddell Sea. If agreed, this would constitute one of the biggest acts of nature \nprotection in history. \nWork will conti nue with partner countries and regional organisations to put in place \nmeasures to protect and sustainably use sensitive maritime ecosystems and species, \nincluding in areas beyond national jurisdiction, with a focus on marine biodiversity \nhotspots. The EU s hould continue supporting Small Island Developing States and other \nrelevant partner countries to participate in meetings of regional and global organisations \nand bodies, and to implement relevant international commitments and regulations. \nThe EU will appl y zero tolerance towards illegal, unreported and unregulated \nfishing and will combat overfishing, including through WTO negotiations on a global \nagreement to ban harmful fisheries subsidies. \nIn international negotiations, the EU should advocate that marine minerals in the \ninternational seabed area cannot be exploited before the effects of deep -sea mining on \nthe marine environment, biodiversity and human activities have been sufficiently \nresearched, the risks are understood and the technologies and operational practices are \nable to demonstrate no serious harm to the environment, in line with the precautionary \n \n77 International ocean governance agenda: an agenda for the future (JOIN(2016) 49). \n78 In the framework of the Commission for the Conservation of Antarctic Marine Living Resources.", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What is the EU's tolerance for unauthorised fishing?", - "target_page": 21, - "target_passage": "The EU will apply zero tolerance towards illegal, unreported and unregulated fishing", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "11 \n \nenergy41. It will also review in 2021 the data on biofuels with high indirect land -use \nchange risk and establish a trajectory for their gradual phase out by 2030. \nThe overall objective is to ensure that EU regulatory framework on bioenergy is in line \nwith the increased ambition set out in the European Green Deal. \n2.2.6. Restoring the good environmental status of marine ecosystems \nRestored and properly protected marine ecosystems bring substantial health, social \nand economic benefits to coastal communities and the EU as a whole. The need for \nstronger action is all the more acute as marine and coastal ecosystem biodiversity loss is \nseverely exacerbated by global warming42. \nAchieving good environmental status of marine ecosystems, including through strictly \nprotected areas, must involve the restoration of carbon -rich ecosystems as well as \nimportant fish spawning and nursery areas. Some of today’s sea uses endanger food \nsecurity, fishers’ livelihoods, and the fishery and seafood sectors. Marine resources \nmust be harvested sustainably and there must be zero-tolerance for illegal practices. \nIn this regard, the full implementation of the EU’s Common Fisheries Policy, the Marine \nStrategy Framework Directive and the Birds and Habitats Directives is essential. \nThe application of an ecosystem-based management approach under EU legislation43 will \nreduce the adverse impacts of fishing, extraction and other human activities, especially \non sensitive species and seabed habitats. To support this, national maritime spatial \nplans, which Member States have to deliver in 2021, should aim at covering all maritime \nsectors and activities, as well as area -based c onservation-management measures. 44 The \nCommission will also propose a new action plan to conserve fisheries resources and \nprotect marine ecosystems by 2021. Where necessary, measures will be introduced to \nlimit the use of fishing gear most harmful to biodiv ersity, including on the seabed. It will \nalso look at how to reconcile the use of bottom -contacting fishing gear with biodiversity \ngoals, given it is now the most damaging activity to the seabed. This must be done in a \nfair and just way for all. The Europe an Maritime and Fisheries Fund should also support \nthe transition to more selective and less damaging fishing techniques. \nHealthy fish stocks are key to the long-term prosperity of fishermen and the health of our \noceans and biodiversity. This makes it all the more important to maintain or reduce \nfishing mortality at or under Maximum Sustainable Yield levels. This will help achieve \na healthy population age and size distribution for fish stocks. \nThe by-catch of species threatened with extinction must also be eliminated or reduced \nto a level that allows full recovery. This should also be the case for those in bad \nconservation status or not in good environmental status. Furthermore, the by -catch of \nother species45 must be eliminated or, where this is not possibl e, minimised so as not to \n \n41 Article 29 of the EU Renewable Energy Directive 2018/2001. \n42 See for example Intergovernmental Panel on Climate Change (2019), Special Report on the Ocean and \nthe Cryosphere in a Changing Climate. \n43 The Common Fisheries Policy, the Marine Strategy Framework Directive (2008/56/EC) and the \nMaritime Spatial Planning Directive (2014/89/EU). \n44 The Commission will report on the implementation of the Maritime Spatial Planning Directive by \nMarch 2022 at the latest, including the application of ecosystem-based management. \n45 Protected by international and EU law.", - "page_start": 11, - "page_end": 11, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "12 \n \nthreaten their conservation status. To support this, data collection on by -catch for all \nsensitive species needs to be stepped up. \nIn addition, fisheries-management measures must be established in all marine protected \nareas according to clearly defined conservation objectives and on the basis of the best \navailable scientific advice. \n2.2.7. Restoring freshwater ecosystems \nThe EU’s legal framework on water is ambitious but implementation is lagging behind \nand enforcement must be stepped up 46. Greater efforts are needed to restore freshwater \necosystems and the natural functions of rivers in order to achieve the objectives of the \nWater Framework Directive. This can be done by removing or adjusting barriers that \nprevent the passage of migrating fish and improving the flow of water and sediments. To \nhelp make this a reality, at least 25,000 km of rivers will be restored into free -flowing \nrivers by 203047 through the removal of primarily obsolete barriers and the restoration of \nfloodplains and wetl ands. Technical guidance and support to the Member States to \nidentify sites and help mobilise funding will be provided by the Commission in 2021, in \nconsultation with all relevant authorities48. Member State authorities should review water \nabstraction and impoundment permits to implement ecological flows in order to achieve \ngood status or potential of all surface waters and good status of all groundwater by 2027 \nat the latest, as required by the Water Framework Directive 49. To that effect, the \nCommission will provide technical support to Member States on their measures by 2023. \nOverall, large -scale river and floodplain restoration investments 50 can provide a major \neconomic boost for the restoration sector and for local socioeconomic activities such as \ntourism a nd recreation. At the same time, these investments can improve water \nregulation, flood protection, nursery habitats for fish, and the removal of nutrient \npollution. \n2.2.8. Greening urban and peri-urban areas \nGreen urban spaces, from parks and gardens to green ro ofs and urban farms, provide a \nwide range of benefits for people. They also provide opportunities for businesses and a \nrefuge for nature. They reduce air, water and noise pollution, provide protection from \nflooding, droughts and heat waves, and maintain a connection between humans and \nnature51. \nThe recent lockdowns due to the COVID-19 pandemic have shown us the value of green \nurban spaces for our physical and mental wellbeing . While protection of some urban \n \n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water \nTreatment Directive (SWD(2019) 700). \n47 The target of 25,000 km is based on the Commission’s assessment of what is achievable in the EU by \n2030. \n48 The guidelines will take a wide range of issues into account , including hydropower generation, flood \nmanagement, water supply, agriculture and navigability. \n49 These measures should be planned in the 3 rd River Basin Management Plans to be adopted by Member \nStates in 2021, under the Water Framework Directive. \n50 Fitness Check of the EU Water Legislation (SWD(2019) 439). \n51 EnRoute project.", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "21 \n \nprinciple79 and taking into account the call of the European Parliament 80. In parallel, the \nEU will continue to fund research on the impact of deep -sea mining activities and on \nenvironmentally-friendly technologies. The EU should also advocate for more \ntransparency in international bodies such as the International Seabed Authority. \n4.2.2. Trade policy \nTrade policy will actively support and be part of the ecological transition . In this \nspirit, the Commission will ensure full implementation and enforcement of the \nbiodiversity provisions in all trade agreements, including through the EU Chief Trade \nEnforcement Officer. The Commission will better assess the impact of trade agreements \non biodiversity, with follow -up action to strengthen the biodiversity provisions of \nexisting and new agreements if relevant. The Commission will also present in 2021 a \nlegislative proposal and other measures to avoid or minimise the placing of products \nassociated with deforestation or forest degradation on the EU market 81, and to promote \nforest-friendly imports and value chains. The Commission will take a number of steps to \ncrack down on illegal wildlife trade . This trade contributes to the depletion or \nextinction of entire species, is the world’s fourth most lucrative black market and is \nthought to be one of the causes behind the emergence of zoonotic diseases. It is a human, \neconomic and environmental duty to dismantle it. \nWith this in mind, the Commission will revise the EU Action Plan against Wildlife \nTrafficking in 2021 and propose a further tightening of the rules on EU ivory trade \nlater this year. It will explore a possibl e revision of the Environmental Crime Directive, \nincluding by looking at expanding its scope and introducing specific provisions for types \nand levels of criminal sanctions. It will consider strengthening the coordinating and \ninvestigative capacities of the European Anti -Fraud Office (OLAF) to work with \nMember States and non -EU countries to prevent illicit trade and the entry of illicit \nproducts into the Single Market. \nThe Commission will continue to engage with partner countries to ensure a smooth and \nfair transition, mobilising in particular Aid for Trade to ensure that partners reap the \nbenefits of biodiversity-friendly trade. \n4.2.3. International cooperation, neighbourhood policy and resource \nmobilisation \nDelivering an ambitious post -2020 global biodiversity framework will require greater \ncooperation with partners, increased support and financing and phasing out of subsidies \nharmful to biodiversity . In the last decade, the EU and its Member States collectiv ely \nupheld their commitment to double financial flows to developing countries for \nbiodiversity82. The EU is ready to continue working with its partners and further \nincrease its support post-2020. This will be part of its work on biodiversity conservation, \nrestoration, sustainable use and mainstreaming in all development and partnership \n \n79 Under Article 191.2 TFEU, the Union policy on the environment shall aim at a high level of protection \nand shall be based on the precautionary principle. \n80 European Parliament Resolution on international ocean governance (2017/2055(INI)). \n81 In line with the Commission Communication on Stepping up EU Action to Protect and Resto re the \nWorld’s Forests (COM(2019) 352). \n82 Including international financing where biodiversity is the principal objective and where it is a \nsignificant secondary objective, in line with CBD COP11 Decision XI/4 and EU and Member States \nfinancial reports submitted to the Convention on Biological Diversity in 2015 and 2018.", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "20 \n \ntargets, with the ability to ratchet up action if needed. These reviews should be \nbased on an independent , science-based gap-analysis and foresight proces s, with \ncommon headline indicators for all Parties. \n An enabling framework to bring the ambition to life, across areas such as \nfinance, capacity, research, innovation and technology. \n Fair and equitable sharing of the benefits from the use of genetic resour ces \nlinked to biodiversity. \n A principle of equality . This includes respect for the rights and the full and \neffective participation of indigenous peoples and local communities. There should \nbe an inclusive approach with participation of all stakeholders, i ncluding women, \nyouth, civil society, local authorities, the private sector, academia and scientific \ninstitutions. \n4.2. Using external action to promote the EU’s ambition \n4.2.1. International Ocean Governance \nIn line with the International Ocean Governance agenda 77, the EU will support the \nconclusion of an ambitious legally binding agreement on marine biological diversity of \nareas beyond national jurisdiction (BBNJ) by the end of 2020. It must set clear global \nprocedures for identifying, designating and effectively managing ecologically \nrepresentative marine protected areas in the high seas. It should be ratified and \nimplemented as quickly as possible. \nThe EU should also use all of its diplomatic leverage and outreach capacities to help \nbroker agreement on the design ation of three vast Marine Protected Areas in the \nSouthern Ocean78, two of which were co -proposed by the EU in East Antarctica and in \nthe Weddell Sea. If agreed, this would constitute one of the biggest acts of nature \nprotection in history. \nWork will conti nue with partner countries and regional organisations to put in place \nmeasures to protect and sustainably use sensitive maritime ecosystems and species, \nincluding in areas beyond national jurisdiction, with a focus on marine biodiversity \nhotspots. The EU s hould continue supporting Small Island Developing States and other \nrelevant partner countries to participate in meetings of regional and global organisations \nand bodies, and to implement relevant international commitments and regulations. \nThe EU will appl y zero tolerance towards illegal, unreported and unregulated \nfishing and will combat overfishing, including through WTO negotiations on a global \nagreement to ban harmful fisheries subsidies. \nIn international negotiations, the EU should advocate that marine minerals in the \ninternational seabed area cannot be exploited before the effects of deep -sea mining on \nthe marine environment, biodiversity and human activities have been sufficiently \nresearched, the risks are understood and the technologies and operational practices are \nable to demonstrate no serious harm to the environment, in line with the precautionary \n \n77 International ocean governance agenda: an agenda for the future (JOIN(2016) 49). \n78 In the framework of the Commission for the Conservation of Antarctic Marine Living Resources.", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "http://www.legislation.gov.uk/id/uksi/2021/582", - "page_start": 91, - "page_end": 91, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Contract number: ECHA/2019/355 FWC conditions of October 2018 \n38 \nOLAF’s own staff or by any outside body authorised to do so on its behalf. \nSuch checks and audits may be initiated at any moment during the provision of \nthe services and up to five years starting from the payment of the balance of the \nlast specific contract issued under this FWC \nThe audit procedure is initiated on the date of receipt of the relevant letter sent \nby the contracting authority. Audits are carried out on a confidential basis. \nII.24.2 The contractor must keep all original documents stored on any appropriate \nmedium, including digitised originals if authorised under national law, for a period \nof five years starting from the payment of the balance of the last specific contract \nissued under this FWC. \nII.24.3 The contractor must grant the contracting authority’s staff and outside personnel \nauthorised by the contracting authority the appropriate right of access to sites and \npremises where the FWC is implemented and to all the information, including \ninformation in electronic format, neede d to conduct such checks and audits. The \ncontractor must ensure that the information is readily available at the moment of \nthe check or audit and, if so requested, that information is handed over in an \nappropriate format. \nII.24.4 On the basis of the findi ngs made during the audit, a provisional report is drawn \nup. The contracting authority or its authorised representative must send it to the \ncontractor, who has 30 days following the date of receipt to submit observations. \nThe contractor must receive the final report within 60 days following the expiry of \nthe deadline to submit observations. \nOn the basis of the final audit findings, the contracting authority may recover all \nor part of the payments made in accordance with Article II.23 and may take any \nother measures which it considers necessary. \nII.24.5 In accordance with Council Regulation (Euratom, EC) No 2185/96 of \n11 November 1996 concerning on -the-spot checks and inspection carried out by \nthe Commission in order to protect the European Communities’ financial interests \nagainst fraud and other irregularities and Regulation (EU, Euratom) No 883/2013 \nof the European Parliament and of the Council of 11 September 2013 concerning \ninvestigations conducted by the European Anti -Fraud Office, the European Anti -\nFraud Office may carry out investigations, including on the spot checks and \ninspections, to establish whether there has been fraud, corruption or any other \nillegal activity under the contract affecting the financial interests of the Union. \nFindings arising from an investigation may lead to criminal prosecution under \nnational law. \n The investigations may be carried out at any moment during the provision of the \nservices and up to five years starting from the payment of the balance of the last \nspecific contract issued under this FWC. \nII.24.6 The Court of Auditors, the European Public Prosecutor’s Office established by \nCouncil Regulation (EU) 2017/19397 7 (‘the EPPO’) and, for the processing of \npersonal data, the European Data Protection Supervisor have the same righ ts as \nthe contracting authority, particularly right of access, for the purpose of checks, \n \n7 Council Regulation (EU) 2017/1939 of 12 October 2017 implementing enhanced cooperation on the \nestablishment of the European Public Prosecutor’s Office", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 123 \nObviously, most informal, and — in particular — irregular and illegal types of work do not respect \nlegal OSH obligations — and at the same time legal monitoring obligat ions also fail. The EU \nFundamental Rights Agency (FRA) published s everal case studies and examples in a series called \n‘Severe labour exploitation reports ;359 these studies provide an insight into most irregular working \nconditions. \nUndeclared work is defined as paid and lawful (not criminal) activity but undeclared to public authorities. (‘paid \nactivities that are lawful as regards their nature but not declared to public authorities, taking into account the \ndifferences in the regulatory systems of Member States’.) \nIn 2018, the European Commission estimated the scale of undeclared work in the EU. According to this estimate, \non average, 11.6% of total labour input in the private sector is undeclared, and undeclared work constitutes on \naverage 16.4% of gross value added. The main sectors according to the Special Flash Eurobarometer from 2019360 \nare personal services (childcare/elderly care/cleaning) followed by construction and hospitality services. 361 The \n‘European Platform tackling undeclared work’ provides fact sheets about the type and quantity of undeclared work \nin all EU Member States.362 \nThe compliance of enterprises with OSH regulations is supervised by state institutions, mainly the \nLabour Inspectorates.363 At EU level, the SLIC developed common principles for their work. These \ncommon principles aim at harmonising their work and facilitate collaboration; they include planning and \nmonitoring, inspectors ’ competencies and independence, prevention, protection, and assistance and \nguidance for inspectors, and internal and external communication. 364 \nPractically all labour inspections in the EU Member States worked in the past two decades on \norganisational and strategic measures to achieve an effective and broad impact, and also to better \nadapt to new and emerging risks. 365 To enhance the level of implementation in terms of coverage and \nquality, many labour inspections developed smart enforcement and supervision concepts.366 \n On average, two million visits per year were made by labour inspectorates, in approximately 22 million \nbusinesses in the EU, in the decade 2010- 2020, with a steady decline over the years. 367 .368 Many \nenterprises that are regarded as low -risk establish ments have never been inspected by a labour \ninspectorate. Often more than one inspection is done in large enterprises, for example, as a follow -up \ninspection; there might also be more than one annual inspection in enterprises with high risks. The \nlabour inspection is also tasked to supervise enterprises with many separated sites or establishments, \nfor example, construction companies and shops of supermarket chains. The visit of one headquarter or \none shop cannot be regarded as a visit of a representative selec tion of enterprises’ locations, which \npossibly show different levels of safety and health. \nIn the decade between 2000 and 2010, the development of the resources of labour inspections show a \nmixed picture, some countries extended the capacities of labour i nspections, others cut \nresources.369 For the period between 2010 and 2020, the European Trade Union Institute (ETU I) \ncounted a decrease of labour inspectors and inspections in 20 of 27 Member States, a drop of 7% for \ninspectors and of 18% for inspections. 370 Again, the picture between Member States differs but , in \ngeneral, budget or staff cuts dominate. ESENER findings show that there was a significant decline \nbetween 2014 and 2019 regarding the number of visits by Labour Inspectorates.371 \nAlthough labour inspections are at the core of supervision of working conditions, other state authorities", - "page_start": 122, - "page_end": 122, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 134 \ntackling undeclared work’ provides fact sheets of the type and quantity of undeclared work in all EU \nMember States;464 Eurofound published several reports on platform work ,465 and the FRA had a series \nof publications and fact sheets on severe cases of exploitation, particularly of migrant workforces. 466 \nAlso, the creation of the European Labour Authority (ELA)467 is partly a consequence of the often \nirregular working conditions of mobile, posted, contracted or seasonal workers who leave their \ncountry to work in the EU or in another European country. ELA particularly aims to mitigate such critical \nissues related to labour mobility and social security coordination between countries. \nIn this report, the quantitative data and the interpretation of the developments will cover — in an ideal \ncase — the period 2005 to 2020. In 2004, a major extension of the EU took place, from 15 to 25 \nMember States. If it is not possible to cover the whole period, the analysis is limited to the maximum \npossible period. If comparability is high, for a very few selected data a further look back to the 1990s \nwas taken. \nMoreover, there can be major comparability difficulties caused by the change of methodological \napproaches, geographical coverage an d other context factors during the last 10 to 30 years. Major \nchallenges for comparative assessments of EU -wide harmonised data collections from different years \nwere: \n• The EU went through several enlargement processes, expanded from EU-12 to EU-15 in \n1994, expanded from EU-15 to EU-25 in 2004, to EU27 in 2007 and to EU28 in 2013, and \nfrom 2020 on — due to the departure of the United Kingdom — the EU consists of 27 Member \nStates. In statistical publications the identifier EU27_2020 is often used to dist inguish this \nperiod from the EU27 phase between 2008 and 2012, before Croatia joined and the EU27 \nbecame EU28. \n• Methodologies of data collection changed, questions in surveys were abandoned or \nchanged, and sample sizes or structures changed, for example, the given period in survey \nquestions changed. One example is from the EWCS: the time categories for health-related \nabsence from work changed from ‘between 10 and 20 days’ to absence of ‘more than 15 \ndays’. \n• Important structural decisions were taken in the sector of economic statistics , like the \nchange of the statistical composition and the coding of economic sectors, NACE Code 1, \nRevision 1 (NACE 1.1) was applied until 2007, and from 2008 NACE Code 2 is applied. \n• The survey providers use(d) for occupation and educational attainment different \ncategories and aggregations levels, for example, ESEG, ISCED or ISCO. \n• Some important categories and definitions are not fully harmonised in statistics, for example, \nthe definition of ‘manual worker’ or of ‘migration status’. 468 \n \n7.3 Qualitative data and research \nQuantitative data gain importance by a comprehensive description of the reasons behind these \ndata and their development, by interpretation and analysis . Such analytical explanations are \nelaborated by (roughly categorised): the providers of the quantitative data themselves, in addition by \nscientists at universities and governmental institutions, by European, national or regional governmental \norganisations, by business federations and trade unions, by professional associations and by \ninternational organisations. \nThis analytical work covers a large variety of topics like detailed studies and reports on risks, exposures \nand outcomes , on the development and application of effective technical and organisational \npreventive measures, on preventive OSH systems and infrastructures, for example, evaluations and \nassessments of the level of implementation of OSH directives, and finally on the societal, economic \nand legal frame and context of OSH.", - "page_start": 133, - "page_end": 133, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "15 \n \n9. There is a 50% reduction in the number of Red List species threatened by invasive \nalien species. \n10. The losses of nutrients from fertilisers are reduced by 50% , resulting in the reduction \nofthe use of fertilisers by at least 20%. \n11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan. \n12. No chemical pesticides are used in sensitive areas such as EU urban green areas. \n13. The negative impacts on sensitive species and habitats, including on the seabed \nthrough fishing and extraction activities, are substantially reduced to achieve good \nenvironmental status. \n14. The by -catch of species is eliminated or reduced to a level that allows species \nrecovery and conservation. \n \n3. ENABLING TRANSFORMATIVE CHANGE \n3.1. A new governance framework \nIn the EU, there is currently no comprehensive governance framework to steer the \nimplementation of biodiversity commitments agreed at national, European or \ninternational level. To address the gap, the Commission will put in place a new \nEuropean biodiversit y governance framework . This will help map obligations and \ncommitments and set out a roadmap to guide their implementation. \nAs part of this new framework, the Commission will put in place a monitoring and \nreview mechanism. This will include a clear set o f agreed indicators and will enable \nregular progress assessment and set out corrective action if necessary. This mechanism \nwill feed the Environmental Implementation Review and contribute to the European \nSemester. \nThe new governance framework will ensure c o-responsibility and co -ownership by all \nrelevant actors in meeting the EU’s biodiversity commitments. It will support \nadministrative capacity building, transparency, stakeholder dialogue, and participatory \ngovernance at different levels. \nThe Commission wi ll assess the progress and suitability of this approach in 2023, and \nconsider whether a legally binding approach to governance is needed. \n3.2. Stepping up implementation and enforcement of EU \nenvironmental legislation \nAll environmental legislation relies on proper implementation and enforcement. Over the \nlast 30 years, the EU has put in place a solid legislative framework to protect and restore \nits natural capital. However, recent evaluations show that although legislation is fit for \npurpose, implementation on the ground is lagging behind 60. This is having dramatic \nconsequences on biodiversity and comes with a substantial economic cost 61. The full \nimplementation and enforcement of EU environmental legislation is therefore at the \nheart of this strategy , for which political support and financial and human resources \nwill need to be prioritised. \n \n60 See 2015 State of Nature in the EU report (COM (2015)219). \n61 The costs of non-implementation are estimated at EUR 50 billion per year.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "85 \nProhibition on arrival of vessels into England \n3. —(1) A controller must not cause or permit a vessel whose last point of departure was a \ncountry or territory listed in paragraph 5 to moor at a port in England unless mooring at a port in \nEngland— \n(a) is reasonably necessary to secure the safety of the vessel or the health and safety of any \nperson aboard it; or \n(b) is otherwise required pursuant to a direction issue d under Schedule 3A to the Merchant \nShipping Act 1995. \n(2) This paragraph does not apply in relation to— \n(a) a commercially operated vessel carrying no passengers; \n(b) a vessel operated by or in support of Her Majesty’s Government in the United Kingdom; \n(c) a vessel operated by or in support of a foreign cou ntry or territory where, prior to its \narrival in England, a United Kingdom Government Dep artment has provided written \nconfirmation to the operator that the vessel is car rying passengers who are travelling to \nconduct official business with the United Kingdom. \n4. The countries or territories referred to in paragraph 2(1) are— \n(a) Argentina; \n(b) Brazil; \n(c) Cape Verde; \n(d) Chile; \n(e) Ethiopia; \n(f) The Maldives; \n(g) Oman; \n(h) Qatar; \n(i) South Africa; \n(j) Turkey; \n(k) United Arab Emirates. \n5. The countries or territories referred to in paragraph 3(1) are— \nTurkey \n6. A controller who contravenes paragraph 2(1) or 3(1 ) commits an offence punishable on \nsummary conviction by a fine. \n SCHEDULE 14 Regulation 20(4)(c) \nAmounts of fixed penalties \nAmounts of fixed penalties \n1. The amounts specified for the purposes of regulati on 20(4)(c) are the amounts specified in \nparagraphs 2 to 17 in relation to the offences described in each paragraph. \nRegulation 19(1)(a) \n2. Breach of regulation 3(1), (2) (3) (5), (7) or (8) (without reasonable excuse fail to provide \npassenger information, or evidence of having provid ed passenger information, or to update \npassenger information)— \n(a) in the case of the first fixed penalty notice, £500;", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "What are the missions of the Sumitomo Mitsui Financial Group?", - "target_page": 7, - "target_passage": "• To provide optimum added value to our customers and together with them achieve growth • To create sustainable shareholder value through business growth• To create sustainable shareholder value through business growth • To provide a challenging and professionally rewarding work environment for our dedicated employees• To provide a challenging and professionally rewarding work environment for our dedicated employee", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Sumitomo Mitsui Financial Group CSR Report\nDigest version\nwww.smfg.co.jp/english", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "President\nSumitomo Mitsui Financial Group, Inc.\nINDEX\nForeword\nCommitment from the Top\nA Conversation with Tadao Ando, \nTakeshi Kunibe and Koichi Miyata\nOur Mission and CSR at SMFG\nʪSpecific Examples of CSR Activitiesʫ\nEnvironmental Activities\nSocial Contribution Activities\nTogether with Our Customers\nTogether with Our Shareholders \nand Markets\nTogether with Our Employees\n1\n3\nMeasures to Support Reconstruction \nafter the March 11 \nEarthquake and Tsunami8\n11\n21\nCorporate Outline/Editorial Policy 29\n25\n13\n17\n19\nPriority Issues for Us 9\nWhat can we do now to spur the \nreconstruction and revitalization of Japan, \nand help resolve global issues?\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and \nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami \nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas.\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, \noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of \nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, \nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them.\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group \nwith the highest trust of our clients, society and other stakeholders”with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of \n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times, \nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\u0011\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0011\u0013\nToday, Tomorrow and Beyond\nKoichi Miyata", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "information on CSR activitiesinformation on CSR activities\nCSR disclosure \nthrough \nspecific examples\nComprehensive \ndisclosure of \nCSR activities\nEnriched \nCSR disclosure\nɿ\nɿ\nɿ\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” )\nNote: Certain items in this report refer to activities taking place after April 2011.\nDecember 2011 \nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.\n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005\nTEL: +81-3-3282-8111\nSumitomo MitsuiSumitomo Mitsui\nBanking CorporationBanking Corporation\nSMBC Nikko SecuritiesSMBC Nikko Securities ORIX Credit ORIX Credit PROMISE *PROMISE * Sumitomo Mitsui CardSumitomo Mitsui Card CedynaCedyna\nSMFG Card & CreditSMFG Card & Credit Sumitomo MitsuiSumitomo Mitsui\nFinance and LeasingFinance and Leasing\nThe Japan The Japan \nResearch InstituteResearch Institute SMBC Friend SecuritiesSMBC Friend Securities\nDaiwa SB InvestmentsDaiwa SB Investments\nSumitomo Mitsui Auto ServiceSumitomo Mitsui Auto Service\nSMFG SUMITOMO MITSUI FINANCIAL GROUP\nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\nCSR report 2011 (digest version)\nCSR report (online version, Japanese only)\nCSR report 2011 \n(digest version with examples of activities and \nstatistical performance, online PDF file)\nwww.smfg.co.jp/responsibility\n\u0013\u001a CSR REPORT 2011 CSR REPORT 2011 \u0014\u0011", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group \nis fulfilling as we work to create a sustainable society.\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \nthe essence of business itself, and our initiatives act upon this.\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \n2011 (digest version, with examples of activities and stat istical performance), with more detailed information on CSR \nactivities and statistical data omitted in the CSR Report 2011 (digest version).\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nour CSR and other activities in greater detail.\nFrom the current fiscal year, we are including third-party opinions in the website version.\nEditorial Policy\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\nOur CSR reporting\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide.\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\nReference guidelines\n Sumitomo Mitsui Financial Group, Inc.\n Sumitomo Mitsui Banking Corporation\n SMFG Card & Credit, Inc.\n Sumitomo Mitsui Card Company, Limited\n Cedyna Financial Corporation\n Sumitomo Mitsui Finance and Leasing Co., Ltd.\n The Japan Research Institute, Limited\n SMBC Friend Securities Co., Ltd.\n SMBC Nikko Securities Inc.\n THE MINATO BANK, LTD.\n Kansai Urban Banking Corporation\n Other Group companies\nScope of this Report\nThroughout this report, “Sumitomo Mitsui Financial Group” or “SMFG” refers to the holding company alone. “The SMFG Group” \nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\nCompany name abbreviations and other special terminology\nAbout this Report\nCorporate Outline (as of September 30, 2011)\nCompany Name\nBusiness Description\nEstablished\nHead Office\nChairman of the Board\nPresident\nCapital\nStock Exchange Listings\nSumitomo Mitsui Financial Group, Inc.\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \nnon-bank subsidiaries, as well as the performance of ancillary functions\nDecember 2, 2002\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\nMasayuki Oku \nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n¥2,337.8 billion\nTokyo Stock Exchange (First Section) \nOsaka Securities Exchange (First Section) \nNagoya Stock Exchange (First Section)\nɿɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nStructure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\nPeriod Covered \nPublication Date of \nJapanese Document\nContact\nCovers CSR baselines and CSR activities at SMFG and its Group companies,Covers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examplescentered on specific examples\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of \nCSR activities at SMFGCSR activities at SMFG\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed \ninformation on CSR activitiesinformation on CSR activities\nCSR disclosure \nthrough \nspecific examples\nComprehensive \ndisclosure of \nCSR activities\nEnriched \nCSR disclosure\nɿ\nɿ\nɿ", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "communication between employees.communication between employees.\nAccepting middle school students\nfor workplace experience programs\nSendai Branch\nPOINT UP MallSumitomo Mitsui\nCard staff\nBOOKOFF CORP Group\nSumitomo Mitsui \nCardholders\n*Research by Nikko Asset Management Co., Ltd. \nSumitomo Mitsui Financial Group CSR Report \nSMFG and \nits Group companies \nparticipate in neighborhood \ncleanup programs\nDonations through \n“The World Bank \nGreen Fund”\nSMBC Nikko Securities’ \n“Green Week”\nSupporting education in \ndeveloping countries, \ntogether with our customers \nand employees\nSMFG as a corporate citizen: Working to create a prosperous society for all\nSocial Contribution \nActivities\nFor further details,\n please see our website.\nMitsui Sumitomo VISA Card\n\u0013\u0016 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0017", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "The Group CSR Department and assigned depa rtments also conduct a joint examination of plans for the following financial year, The Group CSR Department and assigned departments also conduct a joint examination of plans for the following financial year, \nthe findings of which are subsequently assessed by the Group CSR Committee. the findings of which are subsequently assessed by the Group CSR Committee. \nIn this way, we use the PDCA cycle in our CSR initiatives.In this way, we use the PDCA cycle in our CSR initiatives.\nOur Mission\nContributing to the Sustainable Development of Society\nCSR Group Initiatives\nSolid Management Structure\n(corporate governance, internal controls, compliance,\nrisk management, information disclosure, etc.)\nCustomers Shareholders\nand the Market\nThe Environment\nand Society Employees\nHighly-valued\nproducts and\nservices\nSound \nManagement\nSocial and\ncommunity activities\nand environmental\nactivities\nCorporate culture\nrespecting\nthe individual\nBoard of Directors\nSumitomo Mitsui \nBanking Corporation\nSMFG Card & Credit, Inc.\nThe Japan Research \nInstitute Limited\nSMBC Friend Securities \nCo., Ltd.\nSumitomo Mitsui Finance \nand Leasing Co., Ltd.\nChairman: Director in charge of SMFG\nCorporate Planning Department\nCommittee members: General Managers of SMFG, \nSumitomo Mitsui Banking Corporation, \nSMFG Card & Credit, Sumitomo Mitsui Card, \nCedyna, Sumitomo Mitsui Finance and Leasing, \nThe Japan Research Institute, \nSMBC Friend Securities, SMBC Nikko Securities, \nTHE MINATO BANK and \nKansai Urban Banking Corporation \nAdministered by: Group CSR Department of SMFG\nStrategic advisor: \nJRI Center for the Strategy of Emergence\nManagement Committee\nGroup CSR Committee\nCSR Liaison Committee\nSMFG CSR promotion structure\nOur Mission\nCustomers\nPromoting CSR through\ncore operations\nShareholders and the Market\nThe Environment and Society\nEmployees\nPlan\nDo\nCheck\nAct\nBasic CSR Policy\n(Business Ethics)\nWe intend to be a financial services group for which all officers and employees work We intend to be a financial services group for which all officers and employees work \nwith pride and commitment. For this purpose, we respect people and develop with pride and commitment. For this purpose, we respect people and develop \nemployees with extensive professional knowledge and capabilities, thereby creating a employees with extensive professional knowledge and capabilities, thereby creating a \nfree and active business environment.free and active business environment.\n4.\nFree and Active \nBusiness Environment\nWe intend to be a financial services group that maintains fair, transparent, and sound We intend to be a financial services group that maintains fair, transparent, and sound \nmanagement based on the principle of self-responsibility. For this purpose, along with management based on the principle of self-responsibility. For this purpose, along with \nearning the firm confidence of our shareholders, our customers, and the general public, earning the firm confidence of our shareholders, our customers, and the general public, \nwe take a long-term view of our business and operate it efficiently, and actively disclose we take a long-term view of our business and operate it efficiently, and actively disclose \naccurate business information about the Group. Through these activities, we work to accurate business information about the Group. Through these activities, we work to \nmaintain continued growth based on a sound financial position.maintain continued growth based on a sound financial position.\n2.Sound Management\nWe intend to be a financial services group that contributes to the healthy development We intend to be a financial services group that contributes to the healthy development \nof society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "At Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths \nextracted from IC chips from expired credit extracted from IC chips from expired credit \ncards are recycled.cards are recycled.\nAs part of its core leasing operations, As part of its core leasing operations, \nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is \nhelping reduce customers’ environmental helping reduce customers’ environmental \nSMBC jointly organizes the “eco japan cup,” an SMBC jointly organizes the “eco japan cup,” an \nenvironmental business contest, together withenvironmental business contest, together with \nthe Ministry of the Environment, the Ministrythe Ministry of the Environment, the Ministry \nof Internal Affairs andof Internal Affairs and Communi Communications, cations, \nthe Ministry of Land, Infrastructure,he Ministry of Land, Infrastructure, Trans Trans-\nport and Tourism, Development Bank of port and Tourism, Development Bank of \nJapan Inc. and Environmental Business Japan Inc. and Environmental Business \nWomen. The competition has four major Women. The competition has four major \ncategories – business, culture, lifestyle, and categories – business, culture, lifestyle, and \npolicy-making.policy-making.\nIn eco japan cup 2010, the “SMBC Eco-BankingIn eco japan cup 2010, the “SMBC Eco-Banking \nOffice Prize” was launched in the cultural Office Prize” was launched in the cultural \ndivision. Entries were solicited on creating division. Entries were solicited on creating \neco-friendly bank branches through envieco-friendly bank branches through envi-\nronment protection measures including ronment protection measures including \nadvanced energy initiatives and reductionadvanced energy initiatives and reduction \nof carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning \nproposals (for example, efficient use of proposals (for example, efficient use of \ntimber from forest thinning) have been timber from forest thinning) have been \nadopted at environm ent-friendly model adopted at environment-friendly model \nbranches that the bank is developing.branches that the bank is developing.\n* After intermediate processing, waste materials \nother than the rare earths and the cards with \nno IC chips are both sent off for final disposal, \nin conformity with established procedures.\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each \nDecember, is one of JapanDecember, is one of Japan’s largest envis largest envi-\nronmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held \nthe SMFG Environmental Business Forum, the SMFG Environmental Business Forum, \na unique event to which the whole SMFG a unique event to which the whole SMFG \nGroup contributed.Group contributed.\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum \nenables encounters and information enables encounters and information \nexchange in the field of environmental exchange in the field of environmental \nbusiness. SMFG and its Group companies business. SMFG and its Group companies \nprovide various platforms, including businessprovide various platforms, including business \nmatching events, stands and catalogue matching events, stands and catalogue \nexhibitions, and lectures and seminars, exhibitions, and lectures and seminars, \nwith the aim of giving new business with the aim of giving new business \nopportunities to companies and otheropportunities to companies and other \norganizations that are considering entering organizations that are considering entering \nthe environmental business, expanding the environmental business, expanding \ntheir marketing channels within it, or just their marketing channels within it, or just \ngathering information.gathering information.\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare \nearth product per expired card.earth product per expired card.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "of society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a \ncrucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such \nrecognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady \ndevelopment of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate \ncitizen, to make a positive contribution to society.citizen, to make a positive contribution to society.\n3.\nContributing to \nSocial Development\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of \ncompliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business \nactivities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and \ninspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral \nstandards in our business practices.standards in our business practices.\n5.Compliance\nSMFG CSR Values\nParticipation in global initiatives\nRecent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.Recent years have seen a growing range of international initiatives to deal with threats to the sustainability of the global environment.\nAs a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of As a global citizen, the SMFG Group, mindful of its societal influence as a financial institution, follows the guidelines and principles of \nthe following initiatives and organizations:the following initiatives and organizations:\nCSR activities and the PDCA cycle\nThe 10 principles advocated by \nthe United Nations in the areas of \nhuman rights, labor standards, the \nenvironment, and anti-corruption \nmeasures\nUnited Nations \nGlobal Compact\nThe global partnership between the UNEP and \nfinancial institutions who are signatories to the \nUNEP FI Statements seeks to identify, promote, and \nensure best environmental and sustainability prac-\ntice at all operational levels of financial institutions\nThe United Nations Environment \nProgramme Finance Initiative (UNEP FI)\nAn initiative to measure, manage \nand alleviate climate change by \nencouraging sustained dialog \nwith institutional investors and \nbusiness leaders on this issue\nCarbon Disclosure Project \n(CDP)\nA set of guiding principles for man-\naging social and environmental \nissues in project finance, based on \nthe guidelines of the International \nFinance Corporation (IFC)\nEquator Principles\n\u0012\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0012\u0013", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this \ncorporate social responsibilitycorporate social responsibility DNA embedded in the business DNA embedded in the business \nphilosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 \nyears of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving \nproblems facing the international problems facing the international community through our financial community through our financial \nservice service operations.operations.\nPriority Issues for Us\nAs one of JapaAs one of Japan’s leading financial services groups, s leading financial services groups, \nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues \nwe have identified as significantly impacting the nation.we have identified as significantly impacting the nation.\n\u0011\u001a CSR REPORT 2011 CSR REPORT 2011 \u0012\u0011", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Six-Asset Balanced Fund (distribution type, growth type)\nNikko DWS New Resource Fund\nUBS (JP) Climate Change Fund\nDWS New Resources Technology Fund\nNikko World Trust – Nikko Green New Deal Fund\n(JPY Non-hedged Class)/(JPY Hedged Class)\nSMBC Nikko World Bank Bond Fund\nUBS (JP) Global Smart Grid Fund\n(¥ million)\nSpecific Examples of CSR Activities\nFor further details, please see our website.Sumitomo Mitsui Financial Group CSR Report \nTogether with Our Shareholders \nand Markets\nContributing to the development of sounder financial markets\nWe aim to further \nstrengthen communication \nwith our shareholders \nand investors\nTogether with our investors: \nCreating a platform for \nsocial contribution through \nthe financial markets\nSMFG has listed \nits shares on SRI indexes\nListing on the New York \nStock Exchange\n\u0012\u0018 CSR REPORT 2011 CSR REPORT 2011 \u0012\u0019\nShareholders’ meeting\n materials\nInvestor briefing\n materials", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Did Katsutoshi Konuma participate in the August 2011 expert roundtable on the role of the Sumitomo Mitsui Financial Group's new Food and Agricultural Assessment Loan? ", - "target_page": 8, - "target_passage": "Key comments of participants Together with Our Customers Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Sumitomo Mitsui Financial Group CSR Report\nDigest version\nwww.smfg.co.jp/english", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group \nis fulfilling as we work to create a sustainable society.\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \nthe essence of business itself, and our initiatives act upon this.\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \n2011 (digest version, with examples of activities and stat istical performance), with more detailed information on CSR \nactivities and statistical data omitted in the CSR Report 2011 (digest version).\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nour CSR and other activities in greater detail.\nFrom the current fiscal year, we are including third-party opinions in the website version.\nEditorial Policy\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\nOur CSR reporting\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide.\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\nReference guidelines\n Sumitomo Mitsui Financial Group, Inc.\n Sumitomo Mitsui Banking Corporation\n SMFG Card & Credit, Inc.\n Sumitomo Mitsui Card Company, Limited\n Cedyna Financial Corporation\n Sumitomo Mitsui Finance and Leasing Co., Ltd.\n The Japan Research Institute, Limited\n SMBC Friend Securities Co., Ltd.\n SMBC Nikko Securities Inc.\n THE MINATO BANK, LTD.\n Kansai Urban Banking Corporation\n Other Group companies\nScope of this Report\nThroughout this report, “Sumitomo Mitsui Financial Group” or “SMFG” refers to the holding company alone. “The SMFG Group” \nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\nCompany name abbreviations and other special terminology\nAbout this Report\nCorporate Outline (as of September 30, 2011)\nCompany Name\nBusiness Description\nEstablished\nHead Office\nChairman of the Board\nPresident\nCapital\nStock Exchange Listings\nSumitomo Mitsui Financial Group, Inc.\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \nnon-bank subsidiaries, as well as the performance of ancillary functions\nDecember 2, 2002\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\nMasayuki Oku \nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n¥2,337.8 billion\nTokyo Stock Exchange (First Section) \nOsaka Securities Exchange (First Section) \nNagoya Stock Exchange (First Section)\nɿɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nStructure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\nPeriod Covered \nPublication Date of \nJapanese Document\nContact\nCovers CSR baselines and CSR activities at SMFG and its Group companies,Covers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examplescentered on specific examples\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of \nCSR activities at SMFGCSR activities at SMFG\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed \ninformation on CSR activitiesinformation on CSR activities\nCSR disclosure \nthrough \nspecific examples\nComprehensive \ndisclosure of \nCSR activities\nEnriched \nCSR disclosure\nɿ\nɿ\nɿ", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "information on CSR activitiesinformation on CSR activities\nCSR disclosure \nthrough \nspecific examples\nComprehensive \ndisclosure of \nCSR activities\nEnriched \nCSR disclosure\nɿ\nɿ\nɿ\nApril 1, 2010 to March 31, 2011 ( “Fiscal 2010” )\nNote: Certain items in this report refer to activities taking place after April 2011.\nDecember 2011 \nGroup CSR Department, Sumitomo Mitsui Financial Group, Inc.\n1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005\nTEL: +81-3-3282-8111\nSumitomo MitsuiSumitomo Mitsui\nBanking CorporationBanking Corporation\nSMBC Nikko SecuritiesSMBC Nikko Securities ORIX Credit ORIX Credit PROMISE *PROMISE * Sumitomo Mitsui CardSumitomo Mitsui Card CedynaCedyna\nSMFG Card & CreditSMFG Card & Credit Sumitomo MitsuiSumitomo Mitsui\nFinance and LeasingFinance and Leasing\nThe Japan The Japan \nResearch InstituteResearch Institute SMBC Friend SecuritiesSMBC Friend Securities\nDaiwa SB InvestmentsDaiwa SB Investments\nSumitomo Mitsui Auto ServiceSumitomo Mitsui Auto Service\nSMFG SUMITOMO MITSUI FINANCIAL GROUP\nNote: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\nCSR report 2011 (digest version)\nCSR report (online version, Japanese only)\nCSR report 2011 \n(digest version with examples of activities and \nstatistical performance, online PDF file)\nwww.smfg.co.jp/responsibility\n\u0013\u001a CSR REPORT 2011 CSR REPORT 2011 \u0014\u0011", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "The Minato Bank has created a position The Minato Bank has created a position \ntitled “Service Care Manager” at each of titled “Service Care Manager” at each of \nits branches, filled by at least one branch its branches, filled by at least one branch \nmanagerial staffer, as part of measures to managerial staffer, as part of measures to \nmake branch visits more pleasant for make branch visits more pleasant for \ncustomers, following earlier nuts-and-bolts customers, following earlier nuts-and-bolts \nimprovements.improvements.\nService Care Managers are dedicated to Service Care Managers are dedicated to \nimproving support and services for the improving support and services for the \ncustomer at each branch. Their training customer at each branch. Their training \nincludes simulations of the problems faced includes simulations of the problems faced \nby persons with disabilities, awareness by persons with disabilities, awareness \nraising and support methods for the elderly raising and support methods for the elderly \nand persons with disabilities.and persons with disabilities.\nFor many years, food supply networks in For many years, food supply networks in \nJapan were premised on mass production and Japan were premised on mass production and \nmass consumption, enabling the country to mass consumption, enabling the country to \nmeet soaring food demand at a time of rapid meet soaring food demand at a time of rapid \ngrowth in the population and economy.growth in the population and economy. \nBut in recent years, consumers have come to But in recent years, consumers have come to \nplace more priority on factors other than place more priority on factors other than \nvolume and price, such as food safety and volume and price, such as food safety and \nhealthiness, and the cultural aspects of diet. healthiness, and the cultural aspects of diet. \nAs discussion continues on the need for As discussion continues on the need for \nfarmers to increase production scale and farmers to increase production scale and \nmove into processing and marketing, major move into processing and marketing, major \nchanges are underway in the agriculture and changes are underway in the agriculture and \nfisheries sector in Japan.fisheries sector in Japan.\nAgainst this backdrop, SMBC has developedAgainst this backdrop, SMBC has developed \na new financial product for this sector.a new financial product for this sector. \nNew queue-number display system \ninstalled at bank counters\nColors and special designs are used to make \nqueue-number displays more visible to all customers\n(The Minato Bank)\nSpecific Examples of CSR Activities\nFor further details, please see our website.Sumitomo Mitsui Financial Group CSR Report \nThe SMBC Food and Agricultural Assessment The SMBC Food and Agricultural Assessment \nLoan comes with conditions, depending on Loan comes with conditions, depending on \nthe results of an evaluation of food-producers’ the results of an evaluation of food-producers’ \nprogress in areas such as food safety and progress in areas such as food safety and \nenvironment-friendliness, healthiness and environment-friendliness, healthiness and \nnutritional value, and efficiency of distribution. nutritional value, and efficiency of distribution. \nThe Japan Research Institute researches The Japan Research Institute researches \nmeasures in the m e a s u r e s i n t h e \nareasareas of food and of food and \nfarming being taken farming being taken \nby the loan applicant, by the loan applicant, \nand drafts a simple and drafts a simple \n“diagnosis” stating “diagnosis” stating \nwhether there is room whether there is room \nfor future improvement. Ernst & Young for future improvement. Ernst & Young \nShinNihon LLC provides expert opinions on ShinNihon LLC provides expert opinions on \nongoing improvement of this system.ongoing improvement of this system.\nBy backing customer companies’ own By backing customer companies’ own", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "ongoing improvement of this system.ongoing improvement of this system.\nBy backing customer companies’ own By backing customer companies’ own \ninitiatives in the areas of food and agriculture initiatives in the areas of food and agriculture \nin this way, SMBC will be supporting measuresin this way, SMBC will be supporting measures \nto improve the diet of the Japanese and to improve the diet of the Japanese and \nstrengthen the agriculture and fisheries sector.strengthen the agriculture and fisheries sector.\nThe financial sector’s role in \nimproving the nation’s diet and \nin strengthening the agricultural \nand fisheries sectors\nRoundtable session: SMBC Food and Agricultural Assessment Loan\nMaking banking \na more pleasant experience \nfor all customers\nPeace of mind \nat the bank counter\nPreparing our businesses \nfor a higher old-age \ndependency ratio \nWith the old-age dependency ratio soaring, With the old-age dependency ratio soaring, \nthe SMFG Group aims to provide friendly, the SMFG Group aims to provide friendly, \neasy-to-use banking services for all its easy-to-use banking services for all its \ncustomers.customers.ɹ\nSome Group companies are likewise making Some Group companies are likewise making \ntheir facilities barrier-free at bank branches their facilities barrier-free at bank branches \nwith large numbers of customers, to tailor with large numbers of customers, to tailor \nservices to the needs of all customers.services to the needs of all customers.\nFor example at the Minato Bank, we have For example at the Minato Bank, we have \nequipped all ATMs at all our branches and equipped all ATMs at all our branches and \ncashpoints with voice-guidance handsets for cashpoints with voice-guidance handsets for \nthe visually impaired.the visually impaired.\nIn addition, we have set up priority seatingIn addition, we have set up priority seating \nin the lobby of each of our branches for in the lobby of each of our branches for \ncustomers who are very old or who have customers who are very old or who have \nmobility problems. We are also steadily mobility problems. We are also steadily \nintroducing queue-number displays using introducing queue-number displays using \nColor Universal Design (CUD) principles, Color Universal Design (CUD) principles, \nwhich are easier to read for customers with which are easier to read for customers with \neyesight concerns.eyesight concerns.A roundtable session with experts held in August 2011 \nconsidered the role of the new SMBC Food and Agricultural \nAssessment Loan in improving the food supply chain that \nlinks food and fishery producers with food processors and \nconsumers. Opinions were also exchanged on what other \nfuture role the bank might assume in this regard, given \nthe current situation and issues facing the food industry \nand agriculture \nin Japan.\n“We want to deliver value by creating demand and quality combined with safety, peace \nof mind and trust.”\nA further measure is installation of handheld A further measure is installation of handheld \nhearing support devices at all branches hearing support devices at all branches \n(except housing loan promotion offices), to (except housing loan promotion offices), to \nallay the concerns of hearing-impaired allay the concerns of hearing-impaired \ncustomers who find it difficult to converse customers who find it difficult to converse \nand follow spoken instructions. By using the and follow spoken instructions. By using the \ndevices as communication tools, bank devices as communication tools, bank \nemployees can respect customer privacy employees can respect customer privacy \nand do not have to talk loudly.and do not have to talk loudly.\nFurther measures include posting of “green Further measures include posting of “green \near” logos at branches to reassure customers ear” logos at branches to reassure customers \nthat the bank has facilities for conversingthat the bank has facilities for conversing", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Mitsui Charity Hospital at its establishmentMitsui Charity Hospital at its establishment\nBesshi copper mine in the Meiji era Besshi copper mine in the Meiji era And todayAnd today\nReconstruction \nafter the earthquake \nand tsunami\nMeasures for Japan’s regeneration\nFurther measures needed\nShrinking and aging population\nEnsuring peace of mind for the future\nEnvironmental measures \nCreating systems for sustainability\nGlobal challenges\nSymbiosis and diversity\nThe March 11 earthquake and tsunami (The Gr eat East Japan Earthquake) undermined power The March 11 earthquake and tsunami (The Great East Japan Earthquake) undermined power \ngeneration capacity and severed manufacturing supply chains across the nation. This was in addition generation capacity and severed manufacturing supply chains across the nation. This was in addition \nto the severe damage sustained by agriculture and fisheries in the Northeast.to the severe damage sustained by agriculture and fisheries in the Northeast.\nThe disaster also threw into relief many social issues facing the nation. By leveraging our role asThe disaster also threw into relief many social issues facing the nation. By leveraging our role as \na leading financial services group, we are committing our full range of resources to dealing with the a leading financial services group, we are committing our full range of resources to dealing with the \nenormous task of regional reconstruction after the earthquake, in partnership with stakeholders enormous task of regional reconstruction after the earthquake, in partnership with stakeholders \nincluding enterprises, local governments and non-profit organizations.including enterprises, local governments and non-profit organizations.\nThe SMFG Group has positioned environmental businesses as an area where it can most effectively The SMFG Group has positioned environmental businesses as an area where it can most effectively \nleverage its role as a leading financial services group. This is a priority field for the future.leverage its role as a leading financial services group. This is a priority field for the future.\nMeasures are being stepped up on a range of fronts — not only involving a low-carbon society, but Measures are being stepped up on a range of fronts — not only involving a low-carbon society, but \nalso dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to also dealing with issues such as water supply, soil contamination, energy and biodiversity. We aim to \ncontribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired contribute to sustainable development by supporting the worldwide adoption of Japan’s much-admired \ntechnological breakthroughs, with a particular focus on the Asian region.technological breakthroughs, with a particular focus on the Asian region.\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create \nframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle \nplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound \nbalance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives.\n˔\n˔\n˔\nWide-ranging financial support for the reconstruction of infrastructureWide-ranging financial support for the reconstruction of infrastructure", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "after the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates after the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates \nand increasing numbers of the aged. and increasing numbers of the aged. \nWe must now find ways for people to coexist in harmony with nature, based on a global perspective.We must now find ways for people to coexist in harmony with nature, based on a global perspective.\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society \nand the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\u0011\u0014 CSR REPORT 2011 CSR REPORT 2011 \u0011\u0015", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "President\nSumitomo Mitsui Financial Group, Inc.\nINDEX\nForeword\nCommitment from the Top\nA Conversation with Tadao Ando, \nTakeshi Kunibe and Koichi Miyata\nOur Mission and CSR at SMFG\nʪSpecific Examples of CSR Activitiesʫ\nEnvironmental Activities\nSocial Contribution Activities\nTogether with Our Customers\nTogether with Our Shareholders \nand Markets\nTogether with Our Employees\n1\n3\nMeasures to Support Reconstruction \nafter the March 11 \nEarthquake and Tsunami8\n11\n21\nCorporate Outline/Editorial Policy 29\n25\n13\n17\n19\nPriority Issues for Us 9\nWhat can we do now to spur the \nreconstruction and revitalization of Japan, \nand help resolve global issues?\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and \nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami \nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas.\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, \noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of \nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, \nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them.\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group \nwith the highest trust of our clients, society and other stakeholders”with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of \n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times, \nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\u0011\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0011\u0013\nToday, Tomorrow and Beyond\nKoichi Miyata", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "communication between employees.communication between employees.\nAccepting middle school students\nfor workplace experience programs\nSendai Branch\nPOINT UP MallSumitomo Mitsui\nCard staff\nBOOKOFF CORP Group\nSumitomo Mitsui \nCardholders\n*Research by Nikko Asset Management Co., Ltd. \nSumitomo Mitsui Financial Group CSR Report \nSMFG and \nits Group companies \nparticipate in neighborhood \ncleanup programs\nDonations through \n“The World Bank \nGreen Fund”\nSMBC Nikko Securities’ \n“Green Week”\nSupporting education in \ndeveloping countries, \ntogether with our customers \nand employees\nSMFG as a corporate citizen: Working to create a prosperous society for all\nSocial Contribution \nActivities\nFor further details,\n please see our website.\nMitsui Sumitomo VISA Card\n\u0013\u0016 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0017", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "At Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths \nextracted from IC chips from expired credit extracted from IC chips from expired credit \ncards are recycled.cards are recycled.\nAs part of its core leasing operations, As part of its core leasing operations, \nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is \nhelping reduce customers’ environmental helping reduce customers’ environmental \nSMBC jointly organizes the “eco japan cup,” an SMBC jointly organizes the “eco japan cup,” an \nenvironmental business contest, together withenvironmental business contest, together with \nthe Ministry of the Environment, the Ministrythe Ministry of the Environment, the Ministry \nof Internal Affairs andof Internal Affairs and Communi Communications, cations, \nthe Ministry of Land, Infrastructure,he Ministry of Land, Infrastructure, Trans Trans-\nport and Tourism, Development Bank of port and Tourism, Development Bank of \nJapan Inc. and Environmental Business Japan Inc. and Environmental Business \nWomen. The competition has four major Women. The competition has four major \ncategories – business, culture, lifestyle, and categories – business, culture, lifestyle, and \npolicy-making.policy-making.\nIn eco japan cup 2010, the “SMBC Eco-BankingIn eco japan cup 2010, the “SMBC Eco-Banking \nOffice Prize” was launched in the cultural Office Prize” was launched in the cultural \ndivision. Entries were solicited on creating division. Entries were solicited on creating \neco-friendly bank branches through envieco-friendly bank branches through envi-\nronment protection measures including ronment protection measures including \nadvanced energy initiatives and reductionadvanced energy initiatives and reduction \nof carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning \nproposals (for example, efficient use of proposals (for example, efficient use of \ntimber from forest thinning) have been timber from forest thinning) have been \nadopted at environm ent-friendly model adopted at environment-friendly model \nbranches that the bank is developing.branches that the bank is developing.\n* After intermediate processing, waste materials \nother than the rare earths and the cards with \nno IC chips are both sent off for final disposal, \nin conformity with established procedures.\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each \nDecember, is one of JapanDecember, is one of Japan’s largest envis largest envi-\nronmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held \nthe SMFG Environmental Business Forum, the SMFG Environmental Business Forum, \na unique event to which the whole SMFG a unique event to which the whole SMFG \nGroup contributed.Group contributed.\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum \nenables encounters and information enables encounters and information \nexchange in the field of environmental exchange in the field of environmental \nbusiness. SMFG and its Group companies business. SMFG and its Group companies \nprovide various platforms, including businessprovide various platforms, including business \nmatching events, stands and catalogue matching events, stands and catalogue \nexhibitions, and lectures and seminars, exhibitions, and lectures and seminars, \nwith the aim of giving new business with the aim of giving new business \nopportunities to companies and otheropportunities to companies and other \norganizations that are considering entering organizations that are considering entering \nthe environmental business, expanding the environmental business, expanding \ntheir marketing channels within it, or just their marketing channels within it, or just \ngathering information.gathering information.\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare \nearth product per expired card.earth product per expired card.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "What is the trend of flood risk in Canada in 2024?", - "target_page": 1, - "target_passage": "(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Trois façons dont des\ncollectivités au Canada\nréduisent leurs risques\nd’inondation\nISSUE\nDecember 2024\nCATEGORIES\nHome - Safety\nCommunity Affairs\nFinance - Insurance\nEditor's Picks\nFRANÇAIS\nHave your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\nThe top AI-powered tech trends\nin 2025\nEDITOR'S PICKS\n\n\n\n\nThree ways Canadian communities are reducing flood\nrisks\nwww.newscanada.com\nWord Count: 281\nMedia Attachments\nView\nRelated Posts\nTerms of Use\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\nexposed. There are large-scale programs available across the country providing flood protection\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\nprogram is helping build the resilience of communities and homes through a variety of\npreventative actions.\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\nby catching and absorbing rainfall and runoff from surrounding surfaces.\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n2023 and was viewed 27,000 times in its first year.\nRebate programs are a powerful motivation for homeowners to make upgrades that might\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\nwater monitors and alarms, to better prepare them for extreme weather events.\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n−\n+\n+\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "17rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nFigure11. Distributionsofchangesinrun-offforlowflows(flowsforlowest10%oftime)simulatedbytheJULESecosystem–\nhydrologymodelundertheensembleofsixclimateprojectionsat1.5 °C(blue)and2 °C(orange)globalwarming.Boxesshow\nthe25thand75thpercentilechanges,whiskersshowtherange,circlesshowthefourprojectionsthatdonotdefinetheendsof\ntherange,andcrossesshowtheensemblemeans.Numbersinsquarebracketsshowtheensemble-meanflowinthebaseline,\ninmillimetresofrainequivalent.\nTable 6.Globalmeanchangesat1.5 °Cglobalwarmingcomparedtopresentdayforindividualensemblemembers,forthe\nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean\nprecipitation(Pmean),meanrun-off(Rmean)andlowrun-off(Rlow).\nIPSL-\nCM5A-LR\nGFDL-\nESM2M\nHadGEM2-\nES\nIPSL-\nCM5A-MR\nMIROC-\nESM-CHEM ACCESS1-0\nensemble\nmean\nTXx(°C) 1.2 1.9 1.7 2.0 1.5 1.9 1.7\n......................................... ............................................ .......................................... ..................................... ......................................\nTX90p(%time) 10.0 15.7 16.2 19.2 14.1 18.3 15.6\n......................................... ............................................ .......................................... ..................................... ......................................\nCDD −1.2 0.7 −1.3 −5.4 0.0 −3.8 −1.6\n......................................... ............................................ .......................................... ..................................... ......................................\nRX5day(mm) 1.1 3.6 4.5 4.6 4.0 4.3 3.6\n......................................... ............................................ .......................................... ..................................... ......................................\ndroughtproxy 0.74 0.48 n.a. 0.39 0.16 0.31 0.42\n......................................... ............................................ .......................................... ..................................... ......................................\nfloodproxy 0.75 0.73 n.a. 0.73 0.79 0.73 0.75\n......................................... ............................................ .......................................... ..................................... ......................................\nPmean(%) 1.4 0.9 3.1 1.3 3.9 2.4 2.2\n......................................... ............................................ .......................................... ..................................... ......................................\nRmean(%) 2.1 0.7 5.4 0.7 6.7 5.0 3.9\n......................................... ............................................ .......................................... ..................................... ......................................\nRlow(%) −3.4 0.3 5.9 2.2 5.9 4.9 2.6\n......................................... ............................................ .......................................... ..................................... ......................................\ndays were projected to exceed the baseline 10th percentile, at 1.5°C this reduces by 15–20% or\nmore. Again, the patterns of change at 1.5°C retain a similar geographical pattern of greater\nincreases in the tropics than mid-latitudes (electronic supplementary material).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "11rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–20 –10 0 10 20\ndays\nHadGEM2-ES\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure4. Simulatedchangesinthenumberofconsecutivedrydaysrelativeto1981–2010,at2 °Cglobalwarming,forindividual\nHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.The\nlabelsaboveeachpanelidentifythedrivingCMIP5model(orensemblemean).\nTable 5.Global mean changes at 2°C global warming compared to present day for individual ensemble members, for the\nClimPACT indices, the flood and drought proxies used as input to the HCVI calculations, and percentage change in mean\nprecipitation(Pmean),meanrun-off(Rmean)andlowrun-off(Rlow).\nIPSL-\nCM5A-LR\nGFDL-\nESM2M\nHadGEM2-\nES\nIPSL-\nCM5A-MR\nMIRC-ESM-\nCHEM ACCESS1-0\nensemble\nmean\nTXx(°C) 2.1 2.8 2.5 2.9 2.4 2.8 2.6\n......................................... ............................................ .......................................... ..................................... ......................................\nTX90p(%time) 20.1 24.3 24.9 29.0 23.5 27.9 25.0\n......................................... ............................................ .......................................... ..................................... ......................................\nCDD −3.0 0.9 −3.4 −5.7 −2.0 −5.5 −2.9\n......................................... ............................................ .......................................... ..................................... ......................................\nRX5day(mm) 3.5 5.4 6.9 6.8 6.0 6.7 5.9\n......................................... ............................................ .......................................... ..................................... ......................................\ndroughtproxy 0.76 0.89 n.a. 0.38 0.38 0.66 0.61\n......................................... ............................................ .......................................... ..................................... ......................................\nfloodproxy 0.83 0.82 n.a. 0.75 0.73 0.78 0.78\n......................................... ............................................ .......................................... ..................................... ......................................\nPmean(%) 2.1 3.4 5.0 3.0 5.3 2.9 4.0\n......................................... ............................................ .......................................... ..................................... ......................................\nRmean(%) 2.4 6.5 8.1 4.4 8.6 4.9 5.8\n......................................... ............................................ .......................................... ..................................... ......................................\nRlow(%) −2.0 3.8 11.2 8.0 9.4 5.1 5.9\n......................................... ............................................ .......................................... ..................................... ......................................\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India\nand Bangladesh, for which such increases are projected in all ensemble members to some extent.\nIncreases of 2–4 days are also projected in parts of Brazil by all ensemble members, although\nthe magnitude and location within the country varied between members. Similar increases are\nprojected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\nThe HCVI calculated for 2°C global warming showed very large geographical variability\n(figure 7 ) which relates largely to differences in socio-economic factors [ 22]. Differences in the\nclimate change simulated in different ensemble members leads to some variation in the HCVI at", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "25rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nA detailed investigation of these factors is beyond the scope of this paper; nevertheless, this\nresult illustrates the important point that the nature and patterns of the climate forcing at a\nparticular level of global warming can play an important role in determining the patterns of\nregional impacts.\n5. Conclusion\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related\nextremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the\nglobal annual mean. There is a higher degree of spatial variation in our projections compared\nwith CMIP5-based studies.\nIn the model projections examined here, changes relating to the water cycle are complex, both\nin their geographical pattern and in the variation between different models. The length of flooding\nevents generally increases across world in all models, but maximum rainfall can either increase or\ndecrease depending on locations. Global patterns of increase and decrease show some consistency\nbetween the different GWLs, but also some local differences. Worldwide, most impacts broadly\ntend to increase with global warming in most areas. For global mean changes, even when the sign\nof change is uncertain, individual realizations generally show reduced impact at 1.5°C compared\nwith 2°C. However, this does not always hold even at the scale of major global river basins.\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in\napproximately three-quarters of countries assessed. The vulnerability increase can arise from\nincreases in either flooding or drought. Reduced drought leads to decreased vulnerability in a\nlimited number of cases.\nMost simulations here project a general increase in mean streamflow in most of the basins\nexamined, but with a number of notable exceptions in the tropics. While flows in the Ganges are\nconsistently projected to increase by 30–110% at 2°C, Amazon flows could either increase by 3%\nor decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of\nthe magnitude of changes that may be possible, so adaptation planning in particular should not\nrely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low\nstreamflows also increase in many basins, but not as many as for the mean flows—many basins\nsee decreased low flows in some or all projections.\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scaling-\nback the impacts at 2°C, if this is done with individual ensemble members rather than the\nensemble mean. However, this was not always the case for impacts that depend on more complex\nprocess or interactions between more than one climate variable, such as run-off and an indicator\nof vulnerability to food insecurity.\nDataaccessibility. This article has no additional data.\nCompetinginterests. We declare we have no competing interests.\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/2007–\n2013 under grant agreement no. 603864 (HELIX: ‘High-End cLimate Impacts and eXtremes’; www.\nhelixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint\nUK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion,\nAlissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous\nreviewers whose comments substantially improved the paper.\nReferences\n1. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and\nvulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth\nAssessment Report of the Intergovernmental Panel on Climate Change(eds CB Field et al.), pp.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "13rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nensemble mean\nIPSL-CM5A-LR GFDL-ESM2M\n–3 –2 –1 0 1 2 3\nchange in length of average flood event (days)\nIPSL-CM5A-MR MIROC-ESM-CHEM ACCESS1-0\nFigure6. Simulatedchangesintheaveragelengthoffloodevents(numberofdaysinwhichthecumulativedailyrainfallexcess\nispositive,comparedwiththe95thpercentilein1981–2010,at2 °Cglobalwarming,forindividualHadGEM3simulationsdriven\nbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemblemean.Thelabelsaboveeachpanelidentify\nthedrivingCMIP5model(orensemblemean).\nACCESS1-0\n–0.2 0 0.2 0.4 0.6 0.8 1.0 1.2 1.4\nIPSL-CM5A-LR\nensemble mean\nvulnerability to food insecurity\nIPSL-CM5A-MR MIROC-ESM-CHEM\nGFDL-ESM2M\nFigure 7.Hunger and Climate Vulnerability Index calculated for simulated climate states at 2°C global warming for five\nindividualHadGEM3simulationsdrivenbySSTsandSICsfromdifferentmembersoftheCMIP5ensemble,andtheensemble\nmean.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "8rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\nTable3. TimeofreachingGWLsof1.5 °Cand2 °CintherawoutputfromtheHadGEM3climatesimulations,drivenbydifferent\nsetsofCMIP5sea-surfacetemperatures.Thedatesarethecentreyearofa20-yearperiodforwhichtheclimatedataareapplied\ntothecalculationoftheClimPACTindices.\ndrivingSSTs 1.5 °C2 . 0 °C\nIPSL-CM5A-LR 2015 2030\n......................................... ............................................ .......................................... ..................................... ......................................\nGFDL-ESM2M 2040 2055\n......................................... ............................................ .......................................... ..................................... ......................................\nHadGEM2-ES 2027 2039\n......................................... ............................................ .......................................... ..................................... ......................................\nIPSL-CM5A-MR 2020 2034\n......................................... ............................................ .......................................... ..................................... ......................................\nMIROC-ESM-CHEM 2023 2035\n......................................... ............................................ .......................................... ..................................... ......................................\nACCESS1–0 2034 2046\n......................................... ............................................ .......................................... ..................................... ......................................\nup to present-day plus model-projected warming thereafter ( table 4 ). While this does lead to\ninconsistent definitions of dates of the GWLs for applications of the climate model output with\nand without bias correction, the focus here is on the level of warming relative to pre-industrial\nrather than the timing of this warming. Therefore, priority is given to an accurate quantification\nof GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming\nlevels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on\nthe model and warming level. This inconsistency would have consequences if these results were\napplied to time-dependent impacts and adaptation assessments, but that is not the case here so\nthis concern does not apply. However, one issue is that the time-dependent nature of the aerosol\nforcing means that the spatial pattern of regional climate responses varies over time, so this will\nlead to some degree of inconsistency between the analysis of the ClimPACT extremes and the\nHCVI and JULES impacts projections.\n3. Results\nFor a world at 2°C global warming, we present a range of outcomes to provide insight into the\nlevel of agreement between models for a particular projected change, and hence an indication\nof potential robustness of the projected changes for informing adaptation. We then make a\ncomparison of impacts at global warming 1.5°C to investigate the level of impact that would\nbe avoided by limiting global warming to different levels. Bearing in mind the uncertainty in\nregional climate outcomes, we address this in a number of ways. For individual realizations, we\ncompare the impacts at different warming levels to see if they are systematically smaller at 1.5°C,\neven if the sign of the change is uncertain. We also compare the range of outcomes at different\nGWLs, to see if the regional-scale uncertainty itself increases with global warming.\n(a) Climate-changeimpactsat2 °Cglobalwarming\nFor 2°C global warming, the ensemble-mean increase in annual daily maximum temperature was\nabove 2°C for most of the land surface, with the exception of the Indian subcontinent, most of", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "Have your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\n The top AI-powered tech trends\nin 2025\nRelated Posts\nTerms of Use\nEDITOR'S PICKS\n+ \n+ \nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada\nInc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n10 https://www.ipcc.ch/report/ar5/ \nWhat can users expect from UKCP18?\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\nOBSERVATIONS \nAnnual report: State of the UK Climate. Downloadable data. \nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi-\ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year.\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \nMARINE PROJECTIONS \nSea level rise. Storm surge. Past event case studies.\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events.", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "19rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n(b)\n(a)\n(c)\nPmean (%)\n6.0\n5.0\n4.0\n3.0\n2.0\n1.0\n0\n10.0\n8.0\n6.0\n4.0\n2.0\n0\n12.0\n8.0\n4.0\n0.0\n–4.0\nRmean (%)\nRlow (%)\nIPSL-CM5A-LR IPSL-CM5A-MRGFDL-ESM2M\nMIROC-ESM-CHEM\nACCESS1-0HadGEM2-ES\n1.5°C 2°C\nFigure13. Globalmeanpercentagechangesrelativeto1981–2010in( a)precipitationoverland,( b)meanrun-offflows,( c)low\nrun-offlows(10thpercentile),at2 °Cand1.5 °Cglobalwarming.\nthis comparison of the number of ‘unprecedented’ HCVI values at 1.5°C and 2°C should be\ntreated with caution. Nevertheless, the finding that some countries see HCVI values higher at\neither or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the\npotential to lead to unprecedented levels of vulnerability to food insecurity in some countries.\nMore robustly, it can be concluded that by this metric, overall worldwide vulnerability to food\ninsecurity generally increases with global warming, and for approximately three-quarters of\ncountries assessed, this increase is larger at 2°C than 1.5°C.\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global\nwarming compared to 1.5°C ( figure 20 ). This is often the case for both increases and decreases\nin flows—increasing the level of global warming magnifies the pattern of river flow changes,\nalthough not in all cases.\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins,\nbut this was not always the case, with many basins showing similar or smaller ranges at\n2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "6rsta.royalsocietypublishing.orgP h i l .T r a n s .R .S o c .A376:20160452 ........................................................\n0–0.2 0.2 0.4 0.6\nvulnerability to food insecurity\n0.8 1.0 1.2 1.4\nFigure1. HungerandClimateVulnerabilityIndexfor1981–2010climate(ensemblemeanacrossthebias-correctedHadGEM3\nensemble).\nTable2. ProxiesforfloodanddroughteventsusedintheHCVI.\nextremeweatherevent descriptionofproxy\naveragelengthoffloodevents numberofdaysinwhichthecumulativedailyrainfallexcessispositive,\ncomparedwiththe95thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\naveragelengthofdroughtevents numberofdaysinwhichthecumulativedailyrainfalldeficitispositive,\ncomparedwiththe20thpercentileinthe1981–2010average\n......................................... ............................................ .......................................... ..................................... ......................................\nUN Food and Agriculture Organization, UN Development Programme and UN Population\nFund [ 22]. The exposure component comprised proxies for the average length of flood and\ndrought events calculated with daily precipitation data [ 23]( table 2). These proxies were chosen\nabove other possible metrics as they were required to replace self-reported instances of flood\nand drought events used in the original HCVI, which correlate with undernutrition data at the\ncountry-level [23]. The proxies were therefore masked to only include data where a significant\nproportion of people live and grow crops before aggregating to country level and combining to\ncomprise a measure of exposure [ 23]; nevertheless, it is recognized that precipitation data alone\nmay not always be adequate for representing flood and drought events, so the current method is\nregarded as preliminary.\nThe impacts of projected climate change, therefore, act through changes in these quantities. In\nthe current version of the HCVI, climate-change impacts on other quantities such as crop yield\nare not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at\npresent-day conditions.\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected\nHadGEM3 ensemble is shown in figure 1 . The spatial pattern is compatible with HCVI values\ncalculated using reanalysis data at the CMIP5 grid-scale resolution [ 23]; the most vulnerable\nregions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables\ninclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How flooding was prevented in Vancouver? ", - "target_page": 1, - "target_passage": "In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown’s east side, an area historically prone to flooding. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Trois façons dont des\ncollectivités au Canada\nréduisent leurs risques\nd’inondation\nISSUE\nDecember 2024\nCATEGORIES\nHome - Safety\nCommunity Affairs\nFinance - Insurance\nEditor's Picks\nFRANÇAIS\nHave your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\nThe top AI-powered tech trends\nin 2025\nEDITOR'S PICKS\n\n\n\n\nThree ways Canadian communities are reducing flood\nrisks\nwww.newscanada.com\nWord Count: 281\nMedia Attachments\nView\nRelated Posts\nTerms of Use\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\nexposed. There are large-scale programs available across the country providing flood protection\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\nprogram is helping build the resilience of communities and homes through a variety of\npreventative actions.\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\nby catching and absorbing rainfall and runoff from surrounding surfaces.\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n2023 and was viewed 27,000 times in its first year.\nRebate programs are a powerful motivation for homeowners to make upgrades that might\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\nwater monitors and alarms, to better prepare them for extreme weather events.\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n−\n+\n+\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "40 \n21. —(1) Workers engaged in essential or emergency work s— \n(a) related to water supplies and sewerage services; and \n(b) carried out by, for, or on behalf of a water undert aker, sewerage undertaker, water supply \nlicensee, sewerage licensee or local authority, \nwhere they have travelled to the United Kingdom in the course of their work. \n(2) For the purposes of sub-paragraph (1)— \n(a) “essential or emergency works” includes— \n(i) inspections, maintenance, repairs, and asset replacement activities, \n(ii) monitoring, sampling and analysis of water supplies under the Private Water \nSupplies (England) Regulations 2016( a), the Water Supply (Water Quality) \nRegulations 2016(b), the Private Water Supplies (Wales) Regulations 2017(c), or the \nWater Supply (Water Quality) Regulations 2018(d); \n(b) “sewerage licensee” means the holder of a sewerage licence under section 17BA of the \nWater Industry Act 1991(e); \n(c) “sewerage services” has the meaning given in sectio n 219(1) of the Water Industry Act \n1991(f); \n(d) “water supply licensee” has the meaning given in se ctions 17A(7) and 219(1) of the \nWater Industry Act 1991(g). \n22. —(1) Workers engaged in essential or emergency work s relating to flood and coastal erosion \nrisk management on behalf of— \n(a) the Environment Agency; or \n(b) a lead local flood authority in England. \n(2) For the purposes of sub-paragraph (1)— \n(a) “flood” and “coastal erosion” have the meanings giv en in section 1 of the Flood and \nWater Management Act 2010(h); \n(b) “lead local flood authority” has the meaning given in section 6(7) of that Act; \n(c) “risk management” has the meaning given in section 3 of that Act(i). \n23. —(1) Workers engaged in essential or emergency work s— \n(a) related to— \n(i) a generating station, \n(ii) an electricity interconnector, \n(iii) a district heat network as defined in regulation 2 of the Heat Network (Metering and \nBilling) Regulations 2014(j), \n(iv) communal heating as defined in regulation 2 of the Heat Network (Metering and \nBilling) Regulations 2014, \n(v) automated ballast cleaning and track re-laying systems on a network, or \n(vi) the commissioning, maintenance and repair of indust rial machinery for use on a \nnetwork; or \n \n(a) S.I. 2016/618; relevant amending instruments are S.I. 2017/506, 2018/707 and 2019/558. \n(b) S.I. 2016/614; relevant amending instruments are S.I. 2017/506, 2018/706 and 378, 2019/526 and 558. \n(c) S.I. 2017/1041 (W. 270), as amended by S.I. 2018/ 647 (W. 121), S.I. 2019/460 (W. 110) and S.I. 2019/463 (W. 111). \n(d) S.I. 2018/647 (W. 121), as amended by S.I. 2019/4 63 (W. 111). \n(e) 1991 c. 56. Section 17BA(6) was inserted by secti on 4(1) of the Water Act 2014 (c. 21). The referenc e to “sewerage \nlicensee” was inserted in section 219(1) by paragraph 120(2)(f) of Schedule 7 to the Water Act 2014. \n(f) The definition of “sewerage services” was amended by paragraph 120 of Schedule 7 to the Water Act 2014. \n(g) Section 17A was inserted by section 1 of the Wate r Act 2014. \n(h) 2010 c. 29. \n(i) And see section 2 of the Flood and Water Manageme nt Act 2010 for the meaning of “risk”. \n(j) S.I. 2014/3120. There are no relevant amending in struments.", - "page_start": 39, - "page_end": 39, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "12 \n \nthreaten their conservation status. To support this, data collection on by -catch for all \nsensitive species needs to be stepped up. \nIn addition, fisheries-management measures must be established in all marine protected \nareas according to clearly defined conservation objectives and on the basis of the best \navailable scientific advice. \n2.2.7. Restoring freshwater ecosystems \nThe EU’s legal framework on water is ambitious but implementation is lagging behind \nand enforcement must be stepped up 46. Greater efforts are needed to restore freshwater \necosystems and the natural functions of rivers in order to achieve the objectives of the \nWater Framework Directive. This can be done by removing or adjusting barriers that \nprevent the passage of migrating fish and improving the flow of water and sediments. To \nhelp make this a reality, at least 25,000 km of rivers will be restored into free -flowing \nrivers by 203047 through the removal of primarily obsolete barriers and the restoration of \nfloodplains and wetl ands. Technical guidance and support to the Member States to \nidentify sites and help mobilise funding will be provided by the Commission in 2021, in \nconsultation with all relevant authorities48. Member State authorities should review water \nabstraction and impoundment permits to implement ecological flows in order to achieve \ngood status or potential of all surface waters and good status of all groundwater by 2027 \nat the latest, as required by the Water Framework Directive 49. To that effect, the \nCommission will provide technical support to Member States on their measures by 2023. \nOverall, large -scale river and floodplain restoration investments 50 can provide a major \neconomic boost for the restoration sector and for local socioeconomic activities such as \ntourism a nd recreation. At the same time, these investments can improve water \nregulation, flood protection, nursery habitats for fish, and the removal of nutrient \npollution. \n2.2.8. Greening urban and peri-urban areas \nGreen urban spaces, from parks and gardens to green ro ofs and urban farms, provide a \nwide range of benefits for people. They also provide opportunities for businesses and a \nrefuge for nature. They reduce air, water and noise pollution, provide protection from \nflooding, droughts and heat waves, and maintain a connection between humans and \nnature51. \nThe recent lockdowns due to the COVID-19 pandemic have shown us the value of green \nurban spaces for our physical and mental wellbeing . While protection of some urban \n \n46 Fitness Check of the EU Water Legislation (SWD(2019) 439); Evaluation of the Urban Waste Water \nTreatment Directive (SWD(2019) 700). \n47 The target of 25,000 km is based on the Commission’s assessment of what is achievable in the EU by \n2030. \n48 The guidelines will take a wide range of issues into account , including hydropower generation, flood \nmanagement, water supply, agriculture and navigability. \n49 These measures should be planned in the 3 rd River Basin Management Plans to be adopted by Member \nStates in 2021, under the Water Framework Directive. \n50 Fitness Check of the EU Water Legislation (SWD(2019) 439). \n51 EnRoute project.", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with \nsupport from the Washington State Department of Ecology’s \nPublic Participation Grant program.\nThis product was partly funded through a grant from the \nWashington Department of Ecology. While these materials \nwere reviewed for grant consistency, this does not necessarily \nconstitute endorsement by the department.\nSpecial thanks: the original version of this brochure in 2003 \nwas created by the Washington County, Oregon Solid Waste and \nRecycling Program in cooperation with the Washington Organic \nRecycling Council and the Composting Council of Oregon.\nTips to Remember:\n•\t Don’t\t put\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t \t\n\t \t compost\t thoroughly\tinto\texisting\tsoil\tbefore\t\t \t\n\t \t planting.\n•\t When\t transplanting,\tit’s\tbetter\tto\tamend\tthe\t\t \t\n\t \t whole\t bed,\tnot\tjust\tplanting\tholes,\tto\tpromote\t\t \t\n\t \t root\t growth.\n•\t Ask\t your\tcompost\tsupplier\twhich\tcompost\t\t\t\t\t\t\t\t\t\t\n\t \t product\t is\tbest\tfor\tyour\tintended\tuse.\n•\t Use\t compost\tat\tthe\trecommended\tapplication\t\t \t\n\t \t rate.\n•\t To\t maintain\thealthy\tsoil,\treapply\tcompost\tor\t\t \t\n\t \t mulch\t every\t1-2\tyears.\n•\t Many\t composts\tare\trich\tin\tplant\tnutrients,\tso\t\t \t\n\t \t you\t may\tbe\table\tto\treduce\tfertilizer\tuse\tafter\t\t \t\n\t \t applying\t compost.\n•\t Compost \tcan\talso\treduce\tyour\tlawn\tand\tgarden’s\t\t\n\t \t summer\t irrigation\tneeds.\n•\t Compost-amended\t soil\tand\tmulching\tslow\trun\t \t\n\t \t off,\t reduce\terosion,\tand\tbreak\tdown\tpollutants.\t\t\t\n\t \t When\t you\tuse\tcompost,\tyou’re\thelping\tto\t\t\t\t\t\t\t\t\t \t\n\t \t protect\t our\tprecious\tstreams,\trivers,\tlakes,\tand\t\t\t\n\t \t marine\t waters.\noriginal artwork provided by:\nwww.compostwashington.org www.ecy.wa.gov www.soilsforsalmon.org", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "OPERATIONS REVIEW\n9\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle\nmost of the 60 vessels currently working in the region, a considerable number, but one\nwhich will rise over coming years. First class engineering facilities have been planned\nand highly experienced management recruited. Alternative slipways offering\ncomparable capacity are only to be found in Darwin or Fremantle, a sea journey of\napproximately 1000 miles from this operational region. Australia has emerged as a\ncentre of excellence with respect to vessel repair work, the Dampier facility will both\nbenefit from and protect that valuable reputation. \nRehabilitated land for buildings and storage will finally extend over 17 hectares. The\nmajor oilfield services company Halliburton, have been attracted to the base as a\ntenant and a $1.1m purpose built building is being constructed for their use.\nNegotiations are also proceeding with other groups who recognise the unique\nadvantages of operating from this strategically positioned Base. Rental income and\nassociated revenues such as plant and labour hire will contribute significantly to the\noverall economics of the facility. \nProtected moorings for cyclone shelter will be established inside the breakwater for\nlong term lease to local tug operators. The demand arises from serious vessel and crew\nsafety considerations. The Dampier Port Authority are reluctant to see the continued\nuse of cyclone moorings in the Harbour, not only for safety reasons, but for\nenvironmental concerns as well. Oil spills are not acceptable under any circumstances\nand will be avoided whatever the cost. Tug owners share similar concerns, but in\naddition they need to remain in a position of readiness for crews and equipment to\nresume their important functions immediately following a cyclonic event. The number\nof specific purpose spread moorings, detailed on the adjacent plan will total 10 in the\nfirst phase of construction, a limit which will be assisted by an ability to remove vessels\nup to 100 tonnes from the water by wharf crane for tie down on cradles.\nConstruction of the Dampier Base commenced on the 9th\nOctober this year, with an expectation that all major elements\nof the project will be largely completed within 12 months. \nThe “Clough Challenge” Barge -\nShallow Water Construction Support Barge\nin the East Spar Field\n•\n•\n•", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "OPERATIONS REVIEW\n10\nWork on Dampier\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving\na capital budget of $13m.\nThe principle activities and facility developments involved in the expansion are:\nA. DREDGING \nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance\nchannel, vessel berths, cyclone moorings and to provide access to the slipway.\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of\ndredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%)\nand a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management\nrequirement and environmental considerations. \nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial\ndredging tool using the experience gained from the earlier Woodside project.\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting\nwhile fulfilling functional objectives.\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart\ndatum. The dredge spoil will be pumped ashore and used as fill around the Base.\nDredges are expected to be onsite for approximately 7 months commencing mid November.\nB. QUAY WALL ( BERTH 1)\nMarket research and customer needs have caused Mermaid to relocate and redesign the main\nberth to accommodate a wider range of vessels than originally contemplated. The berth is now\nlocated in deeper water with better vessel access.\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are\nnow four vessels operating in the region with 12,000 to 18,000 hp. When design commenced\nthere were none of this size. \nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide\n(MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest\nBASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "NAVWEPS 00-80’1-80 \nSlABILITY AND CONTROL \nMAXIMUM MOST FORWARD \nDEFLECTION CG FOR MANEUVERING \nCONTROLLABILITY \nDOWN POSITION \nTAIL \nLOAD \n!'.',i:'. \nWEIGHT \nTAKE OFF CONTROL \nREDUCED DOWNWASH \nDUE TO GROUND EFFECT \n. .:,.,. ‘,:::.;,y ,;,,.,,>: ::..‘~~,‘i;,:,‘,,:.~,,‘: y: :, ,: ,/. :“‘J.:;:‘j:~!,.: : :., :, .‘. ;. ~.. i... .,-: -, :,.: ~, :,., :.:, :~’ \nLANDING CONTROL \nFigure 4.19. Longitudinal Control Requirements \n176", - "page_start": 293, - "page_end": 293, - "source_file": "00-80T-80.pdf" - }, - { - "text": "the high positive local pressures. When the \nsection is at high angles of attack, the high \nlocal suction pressures at the leading edge \ncreate a chordwise force forward to actuate \nthe slat. The slot formed then allows the \nsection to continue to a higher angle of attack \nand produce a clno. greater than that of the \n41", - "page_start": 58, - "page_end": 58, - "source_file": "00-80T-80.pdf" - }, - { - "text": "OPERATIONS REVIEW\nleased facilities to seven third party vessels and protection for three of our own vessels using this\ntechnique by the cyclone season in 2001.\nAs more vessels seek protection, additional breakwaters can be constructed and sea room\ndredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four\nvessel specific mooring lines secured to special attachment points on the vessel.\nMany smaller vessels including Mermaid’s will be lifted from the water and tied down on purpose\nbuilt cradles for cyclones.\nF. ONSHORE LAND RECLAMATION.\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or\nneeds some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is\nsuitable for development in its present state.\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a\nfraction of the cost of importing fill from elsewhere.\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services\nsuch as traffic flows, land allocation and security, as well as fulfilling the many and complex\nregulatory requirements related to health, safety, quarantine, environmental management, dust,\ndangerous goods and hazchem materials have been the subject of considerable study prior to this\nimplementation stage. 13\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\nMERMAID MARINE \nAUSTRALIA LIMITED", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "ordinary consequence of flying operations, the \nprevention of sonic booms in populated areas \nbecomes a difficult and perplexing job. \nWhen the airplane is in supersonic flight, \nthe local pressure and velocity changes on the \nairplane surfaces are coincident with the \nformation of shock waves. The pressure jump \nthrough the shock waves in the immediate \nvicinity of the airplane surfaces is determined", - "page_start": 413, - "page_end": 413, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How can citizens in Fredericton easily access flood risk data?", - "target_page": 1, - "target_passage": "New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Trois façons dont des\ncollectivités au Canada\nréduisent leurs risques\nd’inondation\nISSUE\nDecember 2024\nCATEGORIES\nHome - Safety\nCommunity Affairs\nFinance - Insurance\nEditor's Picks\nFRANÇAIS\nHave your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\nThe top AI-powered tech trends\nin 2025\nEDITOR'S PICKS\n\n\n\n\nThree ways Canadian communities are reducing flood\nrisks\nwww.newscanada.com\nWord Count: 281\nMedia Attachments\nView\nRelated Posts\nTerms of Use\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly\nexposed. There are large-scale programs available across the country providing flood protection\nmeasures for communities at risk, such as Intact’s Municipal Climate Resiliency Grants. This\nprogram is helping build the resilience of communities and homes through a variety of\npreventative actions.\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically\nfound in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community\nGardens created a wetland on downtown’s east side, an area historically prone to flooding. Made\nup of natural elements like ponds and marshes, the wetland reduces the community’s flood risk\nby catching and absorbing rainfall and runoff from surrounding surfaces.\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the\nCity of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online\nflood prevention guidance. Residents can input their addresses to see if they are at risk and learn\ntips to reduce the risk of flooding around their properties. The portal launched in the summer of\n2023 and was viewed 27,000 times in its first year.\nRebate programs are a powerful motivation for homeowners to make upgrades that might\notherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of\neligible material and labour costs, up to a maximum of $1,000. More than 90 properties\ncompleted upgrades, including installing sump pumps, backup batteries, backwater valves, and\nwater monitors and alarms, to better prepare them for extreme weather events.\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n−\n+\n+\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for \nthe world) at the bus stops. Scanning the QR code now allows people to see not just the bus \ntimetable, but also the notes other travelers have left on that stop, including \"what's nearby, who's \nwaiting for whom, what number can you call for a good time. It's a cross between bus stop \nFacebook and digital graffiti\", that happened thanks to the openness of the original bus stop data. \nThe Social Life of Data Project will study instead how particular datasets have been used, who used \nthem, how those people are connected and what conversations happen around Open Data. \n3.3. Legal issues remain crucial\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this \nrule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing \nEaves, until a government get the licensing issue right, Open Data cannot bring all the possible \nbenefits in that country. If there are no guarantees that public data can be used without restriction, \nvery little happens in practice, and when it happens it may be something against the public interest. \nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process \nand analyze official crime data, also publishes online, with a proprietary license, anonymized \nsummaries of those data. When in 2010 another company, Report See Inc, scraped those data from \ntheir website to reuse them, Public Engines sued. \nReporting this, D. Eaves rightly points out that both companies are right: one is trying to protect its \ninvestment, the other is simply trying to reuse what IS public data, by getting it from the ONLY \nplace where it's available. This is what happens when public officials leave the ownership of public \ndata to the third parties hired to collect them. Please note that, in practice, it makes very little \ndifference whether those third parties are private, for-profit corporations or even other Public \nAdministrations. Unless, of course, there are national laws already in place that define in advance \nwhat is the license of all present and future Public Data, no matter how they were generated and by \nwhom, those data can be lost in any moment for society. In all other cases, the legal status of data \nwill be either officially closed and locked, or uncertain enough to prevent most or all reuses. In \nFebruary 2011, the news came that, even if they weren't the original copyright holders, Public \nEngines had been able to put together enough legal claims to convince Report See to give up. \nDisputes like this should not happen and would not happen if all contracts regarding collection and \nmanagement of PSI clearly specified that all the resulting data either go directly into the public \ndomain (after being anonymized if necessary, of course) or remain exclusive property of the \n13/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As \nother suggestions made here, these are activities that should start at the city and regional level, first \nwith custom-made education initiatives, then with specific data-based services. Engaging all these \nactors in the adoption of (local) Open Data will be one of the big challenges of the next years. \n5. Bibliography\nBesides those explicitly linked from the text, this report has drawn inspiration by many other \nresources. The most important ones are listed here, but the complete list should be much longer. We \nwish to thank first the authors of the works listed below and, immediately after, to all the activists, \ninside and outside governments worldwide, who are working on this topic. \n1. Are you prepared for the pitfalls of Gov 2.0? \n2. Can we use Mobile Tribes to pay for the costs of Open Data? \n3. Canada launches data.gc.ca - what works and what is broken \n4. Creative Commons and data bases: huge in 2011, what you can do \n5. Defining Gov 2.0 and Open Government \n6. How Government Data Can Improve Lives \n7. If you like solar, tell your utility to publish this map \n8. Indian corruption backlash builds after \"year of the treasure hunters\" \n9. Información Cívica / Just What is Civic Information? \n10.Is open government just about information? \n11.LSDI : In un click la mappa del crimine \n12.La casta è online: dategli la caccia! \n13.Linee guida UK sull'opendata \n14.MSc dissertation on Open Government Data in the UK \n15.Open Data (2): Effective Data Use . \n16.Open Data: quali prospettive per la pianificazione? \n17.Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data \nOpen? \n18.Open data, democracy and public sector reform \n19.Pubblicato Camere Aperte 2011 - blog - OpenParlamento \n20.Reasons for not releasing data in government \n21.The impact of open data: first evidence \n33/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 32, - "page_end": 32, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "website that tracks which councils have published public toilet open data, and which have not. A \nmap like this solves one specific, concrete problem in the ordinary, daily life of many people: \n\"Many older people have continence concerns and only go to places where they know there is a \ntoilet. \" \nIt is also possible and useful to pass the message that, when it comes to participation, activism and \ntransparency in politics, Open Data are a concrete and pacific weapon that is both very effective and \nvery easy to use for everybody. Dino Amenduni explained the first point well at the end of 2010 \nwith words and arguments that, while tightly bound to the current situation in Italy, apply, in spirit, \nalso to other countries: \nin order to have your voice heard, it is necessary to threaten the private interests of \npoliticians. The ways to achieve this goal are, in my opinion... Communication \nguerrilla: physical violence doesn't generate change anymore. Power is in the hands of \nthose who have data. But those data must be communicated, made usable, fun to use, \nshareable, in order to give the feeling that knowledge brings a concrete (economic or \nintangible) personal advantage \nProofs that participation to generation and usage of Open Data is easy would include, instead, \nexamples like electionleaflets. All citizens who can use a computer scanner and have Internet access \ncan upload on that website the leaflets distributed by the candidates during a campaign, making \nmuch easier (after other, more skilled volunteers have inserted the content of the leaflets in \nsearchable databases) comparisons between the candidates positions or making public some \ndisrespectful material (racist, insulting…). \n4.7. Involve NGOs, charities and business associations\nAs a final note and recommendation of this report, we'll note that, in comparison with hackers and \npublic officers, there are other parties that could and should play a role in Open Data adoption much \nbigger than what they have had so far. \nNGOs and charities, as well as professionals or business associations, all have lots to gain from \nOpen Data but don't seem, in many cases, to have realized this yet. Members of the first category \nshould routinely ask for support directly to Open Data civic hackers to gather (either from \ngovernment or citizens) more up to date information that is specifically relevant for their \ncampaigns. \nThe other associations, instead, should be much more active both in publishing Open Data about \ntheir activities, to gain better access to customers and guarantee fair market competition, and in \n32/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 31, - "page_end": 31, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that \nmakes it possible to use it on local issues, for the reasons and in the ways discussed in the next \nparagraph. For example, visualization techniques like those used by ABC News to show the effects \nof the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before \nand after the earthquake is to move a slider, should be routinely used to explain proposals about \nurban planning, zoning and related topics. \n4.6. Focus on local, specific issues to raise interest for Open \nData\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens \nto use Open Data in their political, economic and professional decisions, one of the final \nrecommendations of the Open Data, Open Society report confirms its importance and needs to be \nrepeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of \ncitizens that demand and use Open Data in the shortest possible time, to practice all the \nrecommendations of this report at the local level, \nMost people encounter their local governments much more often then their national ones. When \nworking within a single city or region it is much easier to inform citizens, raise their interest and \ninvolve them, because they would be searching local solutions to improve local services and/or \nsave local money. There may also be much more opportunities to do so, especially in this period of \nfinancial crisis that will see substantial decreases both in credit by financial institutions and in \nsubsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" \nmust be the keys for local activists and public employees working on local Open Data: \n• work on specific issues and with precise objectives \n• focus on immediate usefulness \n• work on demand, on the services that people want. Required services define what data must \nbe open, not the contrary \nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \n\"how do we get people to use the data that we publish?\" . The right question, instead, is \"what data \ndo people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, \nor that what they need can be done more quickly and cheaply by releasing some information in that \nway. \nA great example of what all this means is the Great British Public Toilet Map: a public participation \n31/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "since 1996. Such growth might be manageable if the costs of handling each requests was dropping \nrapidly, but it has more than quadrupled. \nUnfortunately, alternatives like charging for access to data or cutting the budget for providing them \nto citizens remain very common in spite of their negative effects. According to Eaves, the first \npractice has already caused a reduction in the number of freedom of information requests filed by \ncitizens, while budget cuts invariably and greatly delay processing times. \n3.2. Creative, unforeseen uses of local Open Data increase\nProofs that, as cited in the Open Data, Open Society report, \"Data is like soil\", that is valuable not \nin itself, but because of what grows on it, often in ways that the landowner couldn't imagine, \ncontinue to arrive. Here is an example from Day Two: Follow the Data, Iterating and the $1200 \nproblem: \nEd Reiskin noticed a problem with street cleaning. Some trucks would go out, coming \nback with little or no trash depending on the day and route they took. After getting the \ntonnage logs, his team quickly realized that changing certain routes and reducing \nservice on others would save money (less gas, parts, labor) and the environment (less \npollution, gas consumption, water). A year later, the department realized a little over a \nmillion dollars in savings. The point? Follow the data. \nThe value embedded in data isn't only economical or political, but also social. Here are a few \nexamples. \nAt the Amsterdam fire brigade, once a fire alarm starts, all sorts of data is collected , to maximize \nthe probabilities to save lives and property, about the location and the route to the emergency: \nconstructions on the way, latest updates from OpenStreetMap, the type of house and if possible \nmore data such as construction dates, materials, people living there and so on. \nUsing the geographical coordinates embedded in online photo databases like Flickr, digital \ncartographer Eric Fischer creates maps that highlight people behavior. For example, he documented \nhow, in Berlin, most locals tend to stay in the same neighborhoods and don't go to West Berlin or to \nthe outskirts of the city. This information has economic value, journalist Kayser-Bril noted: \"You \ncan then sell this for instance to businessmen who want to open a shop in Berlin for tourists, and \ntelling them where to go and where not to go.\" \nNorwegian transport company Kolumbus has embedded 1,200 bus stops with barcodes in the square \nQR format, that can encode text or URLs. Scanning those codes with a free software application for \nsmartphones loads a website that lists upcoming bus departure times. Later, Kolumbus partnered \n12/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 11, - "page_end": 11, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without \ninterruption, uncontrolled and unpredictable data releases are facts of life that are very hard to \npredict, practically impossible to avoid and increasingly common. Opening public government data, \nthat is providing plenty of officially verified information, becomes therefore also a damage control \nsolution, to prevent or at least minimize damages from such uncontrolled releases. Without official \nOpen Public Data, individual citizens, political parties or other organizations will start to process \nand compare (if they already aren't...) data from unofficial sources anyway, maybe from different \ncountries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong \nconclusions. This is not some theoretical possibility far in the future, as this real world example \n(from a comment to an Open Data discussion in an italian blog) proves: \n\"on the [non italian] Geonames website you can download geo-referenced data \nabout... 47000 Italian municipalities. That worries me, because there are only 8094 of \nthem. Besides, I grabbed a few random data about population, and I can guarantee you \nthat not one was right. What should be done in such cases? \nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they \nsuggest that, considering its current needs and problems, current societies want and need more Open \nData than they already have. \n2.1. Wikileaks and the Open Data movement\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published \nby Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence \nof a more or less conscious mixing of the two themes, because in a very general sense, both Open \nData and Wikileaks are about transparency, accountability and democracy. \nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks \nscandal. \nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and \ntransparency whenever government activities are concerned. Citizens must be able to know what \nthe state is actually doing but sometimes, be it for careful evaluation of all the alternatives or \nbecause of security, it must be possible to work behind closed doors, at least temporarily . We'll \ncome back to this point later in this report. \nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness \nand transparency in politics, not only there are deep differences between the two ideas but, in our \n5/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n10 https://www.ipcc.ch/report/ar5/ \nWhat can users expect from UKCP18?\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. \nThese components are described below and summarised in Table 1. UKCP18 will provide each of these components at \na higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\nOBSERVATIONS \nAnnual report: State of the UK Climate. Downloadable data. \nThe “State of the UK Climate” report for 2017 will be included as part of the UKCP18 package, \nbringing the observed data right up to date. This annual update8 covers trends, the multi-\ndecade climate record and significant weather events such as the early July 2015 hot spell \nand the exceptionally mild and wet December of the same year.\nQuality controlled UK observational datasets from the Met Office observing network, provided \nat spatial resolutions to match the land projections and for pre-defined administrative regions \nand river basins, will be available under an Open Government Licence9. For variables such as \ntemperature and precipitation these data sets will span the late 19th Century to the present \nday and will be provided for daily, monthly, seasonal, annual and long term averages. \nMARINE PROJECTIONS \nSea level rise. Storm surge. Past event case studies.\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, \nice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include \nan estimate of the year-to-year changes in sea level rise and a “plausible but highly unlikely” \nscenario known as H++. A new feature of UKCP18 will be assessing the credibility of making \nsea level rise projections to 2300. The projections will use the latest information from the \nCMIP5 models and application of the methods used in the Intergovernmental Panel on \nClimate Change’s (IPCC) Fifth Assessment Report10. \nThe UKCP09 storm surge projections will be updated to provide new estimates of the change \nin high water levels over the 21st Century. These estimates will be based on a combination of \nprojected mean sea level change and projections of change in the extremes due to changes in \natmospheric storminess. These “storminess” projections will use the same surge model used \nin operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to \ndrive the surge. New understanding of the modification of large-scale sea level change signals \nas they pass from the open ocean onto the shelf sea around the UK will be incorporated into \nthe UKCP18 marine projections. UKCP18 will also include storm surge historical case studies \nderived from applying plausible future sea level change to historical extreme events.", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "elections \n• Open Congress : a tool for political scientists to track the work and effectiveness of \nthe Brazilian congress \n• Paraguay: Who Do We Choose?: lists profiles of all candidates for many public posts. \nIn Brazil, the principle that \"what is not confidential should be available on the Internet in the open \ndata format\" is already discussed and, in principle, accepted, by some departments of the Brazilian \nfederal government. However, the preferred practice for now is (if there are no other obstacles) to \nonly publish data that have been explicitly requested by some citizens. \nA report presented in May 2011 at the First Global Conference on Transparency Research \nmentioned a couple of Open Data issues in Latin America that are worth noting, because they're \npresent even in Europe and North America, in spite of the different historical and social \nbackground: \n• \"Better coordination is needed between right to information campaigners and open data \nactivists.\" \n• \"If activist manage to target particular topics to add \"value\" to the discussion, demand for \nopen data could eventually increase in the region.\" \nIn Africa, mobile phones are much more available, and more essential than computer with Internet \naccess, often bypassing the need for real desktop PCs with many applications. Therefore, from a \npurely technical point of view, transparency, accountability and efficiency in government are \nquickly becoming accessible to most African citizens through mobile networks rather than through \nthe \"traditional\" Internet. However, there are still too few public departments and procedures that \nuse digital documents and procedures on a scale large enough to generate meaningful volumes of \ndigital data that could be then published online. \nWhile we write, Kenya is laying the legal groundwork to support Open Data. Permanent Secretary \nfor Information and Communications, Dr. Bitange Ndemo is reported as having been championing \nfor quite some time. In practice, big challenges remain for Open Data usage in Kenya. The easiest \none to solve is to technical, that is find skilled people that can package the data in ways that the \npublic can consume (even on mobile phones...). The real problem, however, is the fact that \n(summarizing from Thinking About Africa's Open Data): \nThere is a lot of Kenya data but it isn't accessible. The entities that hold the most public \nand infrastructure data are always government institutions. Getting information from \nthem can be very hard indeed. We don't know who to go to to get the data we need, and \n10/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 9, - "page_end": 9, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "the availability of Open Data. Of course, this isn't always possible. \n3.6.6. Unprepared Public Administrators\nIt is undeniable that today, especially at the local level, most Public Administrators that should or \nmay contribute to open the public data held by their organizations still ignore, and sometimes \ndisdain, Open Data proposals, principles and practices. This happens for many reasons. We'll only \nmention two of them that are quite common. They are interesting because, while being somewhat \nrelated and sharing common origins, one is very hard to fix, the other, at least in comparison, very \neasy. \nTo begin with, most of these administrators are people that, albeit very competent and committed to \ntheir work, were not really trained to live with so much of what they perceive as \"their\" documents \nand daily activities as Open Data implies regularly exposed to the public. This is true even among \nadministrators who are already well acquainted with mainstream \"Web 2.0\" practices. Many \nofficers who already have a regular presence on Facebook, Twitter or other social networks and \nregularly use those platforms to discuss their work with their constituents feel diffident about Open \nData in the same measure as their colleagues who don't even use computers yet. A cultural barrier \nlike this requires both strong demand from citizens and detailed examples of how Open Data can be \ngood for the local budget to be overcome in acceptable time frames. \nAnother factor that may keep administrators away from Open Data is the more or less unconscious \nassumption that, in order to use them, a City Major or Region Governor should be very skilled \nhimself, if not with actual programming, with \"Web 2.0\" tools, modern online services and/or \ngeneral software engineering principles. This is simply not true. Surely, Open Data is something \nthat is made possible only by modern digital technologies and the Internet, but at the end of the day \nit's \"simply\" a way to increase transparency, efficiency and cost reductions inside Public \nAdministration, and to create local jobs. If these hypotheses are as concrete as this and many other \nstudies explain, there is no need for a Major to have programming skills, like social networks or \nhave any other personal \"2.0\" skill or training to see the advantages of Open Data and delegate to \nhis or her IT staff their implementation. \n3.7. The privacy problem\nBeing perceived as a lethal attack to privacy remains one of the biggest misunderstandings that \nprevents adoption of Open Data. On one hand, there is no doubt that in an increasingly digital world \nit becomes harder and harder to protect privacy. But, exactly because the whole world is going \n22/34\nCopyright 2011 LEM, Scuola Superiore Sant'Anna. This work is released under a Creative Commons attribution license (http://creativecommons.org/licenses/by/3.0/)", - "page_start": 21, - "page_end": 21, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "In these mice, which lumbar levels were the dorsal root ganglion removed from?", - "target_page": 3, - "target_passage": "L3 to L5 DRGs were removed and postfixed for another 2 hours", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "3.3. Spared nerve injury induces a loss of Trpm81 and\ncalcitonin gene-related peptide1 but not myelinated dorsal\nroot ganglion neurons\nLoss restricted to nonpeptidergic nociceptors would not fully\naccount for the degree of total neuron loss that we observed.\nTherefore, we studied a range of other subpopulations, both\nsmall and large in diameter, for their vulnerability to injury-\ninduced loss. To investigate potential loss of Trpm8 1 (cold-\nsensitive), calcitonin gene-related peptide 1 (CGRP) (peptider-\ngic), and myelinated subpopulations of DRG neurons following\nnerve injury, we applied our FB-labelling approach in Trpm8 FlpO;\nRC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2;\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\nmice, respectively ( Figs. 4A–D). Trpm8-tdTom was expressed\nFigure 2.Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- mm intervals through the entirety of a 30- mm-thick tissue section. Scale bar 5\n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNI trans:D 5 0.25, P ,\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush:D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\nvolumetric analyses after SNI trans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans. Kolmogorov–Smirnov tests of\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests: ** P , 0.01. ANOVA,\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2869", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "Research Paper PAIN 165 (2024) 2863–2876\nPeripheral nerve injury results in a biased loss of\nsensory neuron subpopulations\nAndrew H. Cooper a, Allison M. Barry b, Paschalina Chrysostomidou a, Romane Lolignier a, Jinyi Wang a,\nMagdalena Redondo Canales a, Heather F. Titterton a, David L. Bennett b, Greg A. Weir a,*\nAbstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n1. Introduction\nDorsal root ganglion (DRG) neurons represent a molecularly\nand functionally heterogeneous population. Under normal\nconditions, this diversity contributes to the ability of the\nsomatosensory nervous system to detect a myriad of sensory\nstimuli that result in the perceptions of touch, temperature,\nitch, and pain. Following nerve injury, physiological changes in\nDRG neurons lead to hyperexcitability, 57 which is a key\npathological driver of neuropathic pain. 20,63 Concomitant\nmolecular changes in discrete subpopulations also occur,\nand these have recently been comprehensively described in\nsingle-cell 37,44 and subpopulation-specific sequencing stud-\nies.3 These studies describe a transient and generalized\nreduction in the expression of subpopulation-specific genes\nfollowing nerve injury. 3,37,44\nIn addition to molecular changes, there is a rich literature\ndescribing the frank loss of DRG neurons following traumatic\nnerve injury in experimental rodent models. 24,50,53,56 Some\nstudies have suggested that neuron loss occurs in certain patient\ncohorts,48,66 but this is yet to be definitively demonstrated in\nhumans. In rodents, most studies support a preferential loss of\nsmall cells that give rise to unmyelinated fibers 53 but some\ncontrasting studies describe the preferential loss of large cells 6 or\nloss of cells of all sizes. 46 Variation is evident across studies in\nterms of experimental species, age, type of injury, and\nquantification methods.56 Shi et al. 50 used stereological counting\nmethods to identify a 54% loss of DRG neuron number 4 weeks\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\nEstimates for the degree of loss following commonly used nerve\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\ncrush) are not available and because of the neurochemical\nchanges following injury and the loss of subpopulation marker\ngene expression,5,44,50 the vulnerability of molecularly defined\nsubpopulations has not been characterized. Moreover, more\nrecent studies have cast doubt on the extent or even presence of\nDRG neuron death following nerve injury. One study which\ndeveloped a deep learning approach to assess rat DRG cellular\nplasticity found no loss of neurons up to 2 weeks post-SNI,49", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating\nthat any loss of neurons within specific neuronal subpopulations\nwas not biased towards soma size. Collectively, these data show\nthat unrepaired axonal damage to peripheral sensory neurons\ninduces a partial loss of Trpm81 and CGRP 1 subpopulations,\nbut no major loss of myelinated afferents.\nBased on our findings of preferential loss of nonpeptidergic\nnociceptors, we re-analyzed a previous population-specific\ntranscriptomic dataset of mouse DRG neurons following nerve\ninjury for potential upregulation of cell death pathways (Fig. S7,\nhttp://links.lww.com/PAIN/C84).3 We found that early after injury\n(3 days post-SNI trans), nonpeptidergic (MrgD CreERT2-expressing)\nneurons showed enhanced enrichment of GO terms associated\nwith apoptosis, in contrast to a broad population of nociceptors\n(labelled with Scn10a CreERT2), peptidergic nociceptors (Calca-\nCreERT2), C-LTMRs (Th CreERT2), and A b-RA (rapidly adapting) and\nAd-LTMRs (A d/Ab-LTMR, Ntrk2 CreERT2;AdvillinFlpO), in which\nthere was less or no enrichment of cell death pathways. By\n4 weeks, only C-LTMR and A d/Ab-LTMR subtypes show any\noverrepresentation of cell death pathways (in the populations\nstudied). Both injury-specific and apoptotic signatures in non-\npeptidergic neurons were no longer significantly enriched,\nconsistent with a loss of axotomized nonpeptidergic afferents\nby this late timepoint postinjury. These data suggest that\napoptotic pathways are upregulated acutely after injury in a cell-\ntype-specific manner.\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\nloss in vitro\nEarlier studies postulated that a lack of neurotrophic support\nunderlies neuronal loss, which is supported by the observation\nthat exogenous GDNF treatment at the time of injury, or shortly\nafter, rescues the loss of IB4- binding central terminals\nposttransection. 5 We sought to use the DRG neurons from\nMrgDCreERT2 ;Ai32 mice to test this postulate and establish an\nin vitro platform capable of probing the molecular basis of loss,\nwith axonal transection during isolation providing a correlate\nfor in vivo nerve injury ( Figs. 5A–E). Twenty-four hours after\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F).\nHowever, in the absence of GFs, YFP 1 neurons only\naccounted for 1.7 6 0.6% of neurons after 28 days,\naccompanied by an apparent reduction in the overall number\nof neurons within the culture, despite all conditions being\nseeded at the same initial density ( Figs. 5C and F). YFP 1 cell\nloss was partially rescued by t he presence of GDNF, but not\nNGF alone, in the culture media ( Figs. 5D–F). These results\ncontrasted with experiment s using neurons derived from\nCalcaCreERT2 ;Ai32 mice, in which we observed no change in\nthe proportion of neurons that were Calca-YFP 1 after 28 days\nin culture, regardless of exogenous GF addition ( Figs. 5G–L).\nCollectively, these data support the use of DRG cultures to\nprobe the mechanisms underlying selective loss of sensory\nneurons following nerve injury a nd suggest a role for trophic\nsupport, particularly by GDNF sig naling, in preventing the loss\nof nonpeptidergic nociceptors.\n4. Discussion\nWe present data herein to support the hypothesis that\ntraumatic nerve injury in rodents leads to a profound loss of\nsmall-diameter DRG neurons. Taking advantage of newly\ndeveloped transgenic recombinase driver lines, we have\nshown that loss is biased across molecularly defined\nsubpopulations. Nonpeptidergic nociceptive neurons are\nparticularly susceptible to loss, with almost all Mrgprd 1\naxotomized afferents lost following an unrepaired transection\ninjury (SNI trans ) and roughly half lost following a model which\ncontrastingly allows for n erve regenerations (SNI crush ).\nFinally, we have observed that the vulnerability of Mrgprd 1", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "In this regard, our in vitro readout would be a useful experimental\nplatform to help delineate the precise cell death pathways and\nsignaling cascades engaged (which could then be experimentally\nmanipulated). Such studies should consider that plasticity may\nevolve over time. The loss of IB41 central terminals is transient\nfollowing crush and has even been observed to reverse at longer\ntimepoints following SNItrans.36 These observations, in conjunction\nwith ours of loss of neurons, raise the intriguing question of the\nsource of such central reinnervation.\n4.4. Study limitations\nOur efforts focused on traumatic nerve injury paradigms owing to\nprevious contrasting results using these robust and reproducible\nexperimental models. We did not extend our studies to systemic\nneuropathy models, such as chemotherapy or diabetic neurop-\nathy. A recent postmortem analysis reported a neuronal loss in\nthe DRG from patients with painful diabetic peripheral neurop-\nathy.19 Transcriptional responses vary substantially across\ndifferent nerve insults, 44 so it would be of interest to test whether\nneuronal loss and the subpopulation vulnerability reported in this\nstudy are common features across different types of insults.\nUsing multiple approaches, we assess the na ¨ıve mouse L4\nDRG to contain approximately 8000 neurons, consistent with\na previous estimate,67 and observed a frank loss of small-\ndiameter neurons following injury. However, the extent of loss\nobserved using our semiautomated approach was less than that\nobserved using manual techniques.67 Two major limitations in\nthis study may explain this discrepancy: First, owing to technical\nissues, the cleared DRG dataset is unpaired ipsilateral–contra-\nlateral which adds larger variability. Second, the analysis method\nis prone to undercounting deep nuclei. The signal-to-noise is\nbetter for superficial nuclei and smaller tissue volumes. Given the\nreduction in DRG volume after SNI trans, nuclei in larger\ncontralateral DRG may be undercounted.\nWhile we made efforts to profile the loss of several molecularly\ndiscrete sensory neuron populations, we acknowledge that not all\nsubtypes were profiled. Furthermore, recent single-cell RNA\nsequencing has given us a more granular appreciation of the\nheterogeneity of sensory neurons. 42 Future studies could\nleverage our experimental approach and new transgenic lines\nto characterize the loss of neurons in more detail. Such\nexperiments may be pertinent before embarking on molecular\nor functional profiling of populations post–nerve injury.\n4.5. Conclusions\nIn sum, we have provided data from multiple complementary\nexperimental approaches to support the hypothesis that DRG\nneurons are lost following nerve injury in mice. We describe\na substantial loss, which is biased towards specific subpopula-\ntions and particularly present in small-diameter nonpeptidergic\nnociceptive neurons.\nConflict of interest statement\nD.L.B. has acted as a consultant in the last 2 years for AditumBio,\nBiogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon\ntherapeutics, Neuvati, Olipass, Orion, Replay, SC Health Manag-\ners, Theranexus, Third Rock Ventures, and Vida Ventures on behalf\nof Oxford University Innovation. D.L.B. has received research\nfunding from Lilly and Astra Zeneca, and G.A.W. has received\nresearch funding from Ono Pharmaceutical. D.L.B. has received\n2874 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were\nexamined. Filtered count data of expressed and nondifferentially\nexpressed genes were used as a background.\n2.8. Dorsal root ganglion culture\nDorsal root ganglia were dissected from MrgD CreERT2;Ai32 and\nCalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and\nenzymatically digested at 37˚˚C for 80 minutes in dispase type II\n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington\nBiochemical), as described previously. 63 Mechanically dissoci-\nated cells were plated onto laminin/poly-D-lysine (R&D Systems,\nMinneapolis, MN) treated coverslips in complete Neurobasal Plus\nmedium (Neurobasal Plus media supplemented with 2% (vol/vol)\nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic\n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth\nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech,\nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor\n(GDNF, PeproTech) were added to the media under some\nconditions. Cytosine b-D-arabinofuranoside (4 mM) was added to\nthe media for 24 hours the day after plating to reduce the\nproliferation of nonneuronal cells. Media was refreshed 3 times\nper week thereafter. Cultures were fixed for 10 minutes at room\ntemperature with 4% paraformaldehyde and subsequently\nprocessed by immunocytochemistry (described earlier).\n2.9. Statistical analysis\nData are expressed as mean 6 SEM unless otherwise specified,\nand P values of less than 0.05 were considered significant. Power\ncalculations were performed using G*Power 3.1.9.7. 15 A\nquantitative Venn diagram was created using BioVenn. 25 All\nother statistical analyses were performed in Prism 10 (GraphPad\nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way\nRM ANOVAs (repeated measures analysis of variance), where\nappropriate. Normality was assessed by the Shapiro–Wilk test. If\nthe main analysis of variance effect was significant,ˇS´ıd ´ak or\nTukey multiple comparisons tests were performed. To compare\npopulation distributions of soma cross-sectional area or volume,\nKolmogorov–Smirnov tests were performed.\n3. Results\n3.1. Peripheral nerve injury induces a loss of small neurons\nfrom the dorsal root ganglion\nTo assess the gross loss of neurons from DRG following nerve\ninjury, we generated the Avil FlpO;Atf3CreERT2;RC::FLTG mouse\nline in which na ¨ıve and axotomized sensory neurons were\ndifferentially labelled. In this mouse line, all neurons express\ntdTomato (Flp-dependent) in the na ¨ıve state and switch to\nexpressing green fluorescent protein (GFP) upon axonal damage\nand concurrent tamoxifen treatment (Flp- and Cre-dependent)\n(Figs. 1A and B ). Following pilot experiments to optimize\ntamoxifen dosing regimen, this approach was both highly efficient\nand specific (with the caveat that it was necessary to wait for\nseveral days after nerve injury for Cre-induced GFP expression):\n14 days after SNI trans surgery, GFP was expressed by 99.1 6\n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we\nobserved GFP in only 4.66 0.7% of contralateral DRG neurons\n(Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used\na stereological approach to quantify the total number of neurons\nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as\nwell as contralateral to injury. One week after SNI trans,w e\nobserved 7809 6153 neurons per DRG; this was not significantly\ndifferent to the number of neurons in the contralateral DRG\n(7917 6 349), whereas cell number approximately halved by\n8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C).\nSeparating analysis into intact vs axotomized afferents revealed\nthat only axotomized afferents were lost, with no difference\nobserved in numbers of intact afferents ( Fig. 1D). Between 1 and\n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\nnumber of GFP 1 neurons. This loss of injured afferents resulted\nin a loss of neuron-containing (ie, excluding white matter regions)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "the multicellular unit. bioRxiv 2023.02.06.526934.\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue\nA. Unbiased analysis of the dorsal root ganglion after peripheral nerve\ninjury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN\n2023;164:728–40.\n[50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H ¨ okfelt T. Effect of\nperipheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\nmouse: marked changes both in cell numbers and neuropeptide\nexpression. Neuroscience 2001;105:249–63.\n[51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional\ncharacterization of pulmonary neuroendocrine cells in lung development,\ninjury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531–6.\n[52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of\nGDNF in the uninjured DRG exerts analgesic effects on neuropathic pain\nfollowing segmental spinal nerve ligation in mice. J Pain 2011;12:\n1130–1139.\n[53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root\nganglion cells after transection of the rat sciatic nerve. J Comp Neurol\n2000;422:172–80.\n[54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons:\ndiagnosis and prevention. J Hand Surg Eur Vol 2011;36:730–4.\n[55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, Hjerling-\nLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S,\nErnfors P. Unbiased classification of sensory neuron types by large-scale\nsingle-cell RNA sequencing. Nat Neurosci 2015;18:145–53.\n[56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on\nnumber and volume of dorsal root ganglion cell bodies. J Comp Neurol\n1997;388:307–12.\n[57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from\na neuroma. Nature 1974;248:740–43.\n[58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang\nY, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation\nof MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33:\n1360–73.\n[59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons\ninnervate most known classes of substantia gelatinosa neurons.\nJ Neurosci 2009;29:13202–9.\n[60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial\ncell line-derived neurotrophic factor normalizes neurochemical\nchanges in injured dorsal root ganglion neurons and prevents the\nexpression of experimental neuropathic pain. Neuroscience 2003;\n121:815–24.\n[61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan\nfluorescent protein (CFP) expressing cells in the retina of Thy1-CFP\ntransgenic mice before and after optic nerve injury. Neurosci Lett 2010;\n468:110–4.\n[62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM,\nAdelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR.\nMrgprdCre lineage neurons mediate optogenetic allodynia through an\nemergent polysynaptic circuit. PAIN 2021;162:2120–31.\n[63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB,\nBennett DL. Using an engineered glutamate-gated chloride channel to\nsilence sensory neurons and treat neuropathic pain at the source. Brain\n2017;140:2570–85.\n[64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and\nregeneration of cutaneous and muscular afferent neurons after peripheral\nnerve injury in adult rats. Exp Brain Res 2008;186:315–23.\n[65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G.\nVolumetric magnetic resonance imaging of dorsal root ganglia for the\nobjective quantitative assessment of neuron death after peripheral nerve\ninjury. Exp Neurol 2007;203:22–33.\n[66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after\nupper limb nerve injury and protective effect of repair: clinical evaluation\nusing volumetric magnetic resonance imaging of dorsal root ganglia.\nNeurosurgery 2013;73:632–40.\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is\nnot equally distributed across molecular populations.\n2. Methods\n2.1. Animals\nMice were housed in groups in humidity- and temperature-controlled\nrooms with free access to food and water, on a 12-hour light–dark\ncycle, and with environmental enrichment. Animal procedures were\nperformed under a UK Home Office Project Licence and in\naccordance with the UK Home Office (Scientific Procedures) Act\n(1986). All studies were approved by the Ethical Review Process\nApplications Panel of the University of Glasgow or Oxford and conform\nto the ARRIVE guidelines. Experiments were performed on adult male\nand female mice aged 7 to 16 weeks at the start of the experiments. All\nexperimental cohorts contained a mix of male and female mice, apart\nfrom the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush\nsurgery, which was exclusively female. Details of transgenic lines are\nprovided in Table 1.T a m o x i f e nw a sa d m i n i s t e r e db yi . p .i n j e c t i o no f\n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil\n(doses described inTable 1). There were 2 instances where animals\nwere excluded from data analysis : One (cyan fluorescent protein)\nThy1-CFP died of unknown causes not related to the procedure and\nbefore the experimental endpoint, and one MrgDCreERT2;Ai32\nexhibited no fluorophore expression and was therefore deemed to\nhave been incorrectly genotyped. Group sizes were based on the\nextent of neuronal loss 28d following sciatic nerve transection\nidentified by Shi et al.50 Givena 5 0.05, power5 0.8, and an effect\nsize of 4.81, power analysis projects that a group size of 3 mice would\nbe needed.\n2.2. Spared nerve transection and crush surgeries\nSpared nerve injury (transection of the common peroneal and\ntibial branches of the sciatic nerve; SNI trans) and common\nperoneal and tibial crush injury (SNI crush), in which nerve axons\nwere severed but the epineurium remained intact, were\nperformed as previously described.12 Anesthesia was induced\nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as\nrequired. Analgesia, consisting of carprofen (10 mg/kg) and\nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg)\nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper-\natively. The left hindpaw was secured with tape in hip abduction,\nand the operative field (lateral surface of the thigh) was shaved.\nOphthalmic ointment was applied to the eyes, and the shaved\narea was swabbed with chlorhexidine solution. A longitudinal\nincision was made in the skin at the lateral mid-thigh. Using blunt\ndissection, an opening was made through the biceps femoris,\nexposing the sciatic nerve and the 3 peripheral branches (sural,\ntibial, and common peroneal nerves). For SNI trans, the common\nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture\n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture\nwas removed using spring scissors. For SNIcrush, the exposed\ntibial and common peroneal nerves were clamped using a pair of\nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed\nto their second clip, leaving the nerve branches intact but\ntranslucent. The muscle was closed with one 6-0 Vicryl suture\n(Ethicon), and the skin incision was closed with one 10 mm\nwound clip (Alzet, Cupertino, CA). Animals were monitored daily\nfor self-mutilation, and no animals required sacrifice due to tissue\ndamage.\nTable 1\nTransgenic lines used in the study.\nUsed name Full name Putative population Ref Source Tamoxifen regime\nAtf3CreERT2 Atf3tm1.1(cre/ERT2)Msra Axotomised afferents 13 Gift: Dr Franziska Denk 50 mg/kg on days 0, 3, and 7 after surgery\nAvilFlpO Aviltm1(flpo)Ddg Sensory neurons 1 Gift: Prof David Ginty N.A.\nMrgDCreERT2 Mrgprdtm1.1(cre/ERT2)Wql Major class of nonpeptidergic\nneurons\n39 The Jackson Laboratory (RRID:\nIMSR_JAX:031286)\nGeneral: 1x 50 mg/kg in adulthood, (.1 week\nbefore experiment)\n3D volumetric analysis: 5x i.p. (0.5 mg/animal/", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 3.Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD ChR2-YFP L4\nDRGs 4 weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3- mm intervals through the entirety of 30- mm-thick tissue\nsections. Scale bars 5100 mm. (C) Quantification of total number of MrgD-YFP 1cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG.\nTwo-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; Side x Treatment interaction: F 1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach\nused to generate data presented in (E–G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralatera lt o\ninjury. White boxes represent regions enlarged in (F). Scale bars 5100 mm (E) or 20 mm (F). (G) The proportion of FB-labelled DRG neurons decreased after spared\nnerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with ˇS´ıd ´ak multiple comparisons tests; side 3 injury interaction:\nF1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05, ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB,\nFastBlue; RM, repeated measures.\n2870 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed2.pdf" - }, - { - "text": "using volumetric magnetic resonance imaging of dorsal root ganglia.\nNeurosurgery 2013;73:632–40.\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological\nautomated analysis of biological structures. bioRxiv 2020:648337.\n[68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in\ndorsal root ganglion neurons following peripheral nerve injury.\nNeuroreport 2018;29:779–85.\n[69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum\nAI. Dorsal root ganglion macrophages contribute to both the initiation and\npersistence of neuropathic pain. Nat Commun 2020;11:264.\n[70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia\ngelatinosa mediate interaction of signals from primary afferents. J Physiol\n2010;588:2065–75.\n2876 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "protein) neurons 28 days after sham surgery or SNI trans (Figs. 3A\nand B). SNI trans, but not sham, resulted in a significant decrease\n(54.0 6 6.6%) in the total number of MrgD-YFP 1 neurons in L4\nDRG ( Fig. 3C).\nYellow fluorescent protein expression in MrgD ChR2-YFP mice is\ndriven by the endogenous Mrgprd promotor, which has been\nreported to be upregulated or downregulated following axonal\ndamage.44,58 Such changes in promoter activity could affect the\nproportion of nonpeptidergic nociceptors identified by YFP\nexpression. Therefore, to verify these findings, we used\nMrgDCreERT2;Ai32 mice and tamoxifen administration before\ninjury, to permanently label Mrgprd-expressing afferents with\nChR2-YFP ( Figs. 3D–F). We then tested whether the proportion\nof cutaneous tibial afferents that were YFP 1 was altered following\nnerve injury. Following hindpaw FB injection, ;15% of contralat-\neral, FB-labelled DRG neurons expressed YFP. This was reduced\nto 6.0 61.2% 28 days after SNI crush injury and to only 1.7 60.9%\n28 days after SNI trans (Fig. 3G). Uptake by uninjured YFP 1\nneurons was equivalent 7 and 35 days after FB injection,\ndemonstrating that this reduction was not because 7 days were\ninsufficient for YFP 1 neurons to fully uptake FB (Fig. S3C, http://\nlinks.lww.com/PAIN/C84). No significant difference in the per-\ncentage of FB-labelled YFP 1 DRG neurons between ipsilateral\nand contralateral DRG was observed at 7 days following SNI trans\n(Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrat-\ning that loss occurred after this timepoint. Analysis of the cross-\nsectional soma area of FB-labelled, YFP 1 neurons in uninjured\nDRG revealed an area of 361 6 138 mm2 (mean 6 SD) (Fig. S4C,\nhttp://links.lww.com/PAIN/C84), which is a distribution profile\nmatching those neurons presumed lost. Collectively, these data\nshow that peripheral nerve injury results in a substantial loss of\nnonpeptidergic,Mrgprd-expressing neurons, with SNI trans (ie, an\nunrepaired axonal transection) resulting in an almost complete\nloss of this population.\nFigure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A)\nApproach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the Avil FlpO;Atf3CreERT2;RC::\nFLTG mouse line and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNI trans.\nScale bars 5100 mm. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG\n1, 2, 4, and 8 weeks after SNI trans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F4,10 537.98, P ,0.001. (D) Two-way RM ANOVA;\nTimepoint 3 Color interaction F4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): † P , 0.05 vs contra, ‡ P , 0.05 vs 1-week. (E)\nVolume of DRG-containing cells (ie, excluding white matter tracts) following SNI trans. One-way ANOVA with Tukey posttests; F4,10 5 21.25, P , 0.001, n 5 3. (F)\nNeuronal density within the DRG following SNI trans. One-way ANOVA; F4,10 52.77, P 50.09, n 53. (G) Population distribution of uninjured and injured afferents by\ncross-sectional area, 1 and 8 weeks post-SNI trans. Kolmogorov–Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P ,\n0.001; n 5 310 to 427 neurons from 3 mice. * P , 0.05, **P , 0.01, ***P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green\nfluorescent protein.\n2868 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Did the researcher responsible for quantifying the cells in the dorsal root ganglion know which group each mouse belonged to?", - "target_page": 4, - "target_passage": "During all image quantification, the experimenter was blind to the experimental groups.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "In this regard, our in vitro readout would be a useful experimental\nplatform to help delineate the precise cell death pathways and\nsignaling cascades engaged (which could then be experimentally\nmanipulated). Such studies should consider that plasticity may\nevolve over time. The loss of IB41 central terminals is transient\nfollowing crush and has even been observed to reverse at longer\ntimepoints following SNItrans.36 These observations, in conjunction\nwith ours of loss of neurons, raise the intriguing question of the\nsource of such central reinnervation.\n4.4. Study limitations\nOur efforts focused on traumatic nerve injury paradigms owing to\nprevious contrasting results using these robust and reproducible\nexperimental models. We did not extend our studies to systemic\nneuropathy models, such as chemotherapy or diabetic neurop-\nathy. A recent postmortem analysis reported a neuronal loss in\nthe DRG from patients with painful diabetic peripheral neurop-\nathy.19 Transcriptional responses vary substantially across\ndifferent nerve insults, 44 so it would be of interest to test whether\nneuronal loss and the subpopulation vulnerability reported in this\nstudy are common features across different types of insults.\nUsing multiple approaches, we assess the na ¨ıve mouse L4\nDRG to contain approximately 8000 neurons, consistent with\na previous estimate,67 and observed a frank loss of small-\ndiameter neurons following injury. However, the extent of loss\nobserved using our semiautomated approach was less than that\nobserved using manual techniques.67 Two major limitations in\nthis study may explain this discrepancy: First, owing to technical\nissues, the cleared DRG dataset is unpaired ipsilateral–contra-\nlateral which adds larger variability. Second, the analysis method\nis prone to undercounting deep nuclei. The signal-to-noise is\nbetter for superficial nuclei and smaller tissue volumes. Given the\nreduction in DRG volume after SNI trans, nuclei in larger\ncontralateral DRG may be undercounted.\nWhile we made efforts to profile the loss of several molecularly\ndiscrete sensory neuron populations, we acknowledge that not all\nsubtypes were profiled. Furthermore, recent single-cell RNA\nsequencing has given us a more granular appreciation of the\nheterogeneity of sensory neurons. 42 Future studies could\nleverage our experimental approach and new transgenic lines\nto characterize the loss of neurons in more detail. Such\nexperiments may be pertinent before embarking on molecular\nor functional profiling of populations post–nerve injury.\n4.5. Conclusions\nIn sum, we have provided data from multiple complementary\nexperimental approaches to support the hypothesis that DRG\nneurons are lost following nerve injury in mice. We describe\na substantial loss, which is biased towards specific subpopula-\ntions and particularly present in small-diameter nonpeptidergic\nnociceptive neurons.\nConflict of interest statement\nD.L.B. has acted as a consultant in the last 2 years for AditumBio,\nBiogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon\ntherapeutics, Neuvati, Olipass, Orion, Replay, SC Health Manag-\ners, Theranexus, Third Rock Ventures, and Vida Ventures on behalf\nof Oxford University Innovation. D.L.B. has received research\nfunding from Lilly and Astra Zeneca, and G.A.W. has received\nresearch funding from Ono Pharmaceutical. D.L.B. has received\n2874 A.H. Cooper et al. ·165 (2024) 2863–2876 PAIN®", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "Research Paper PAIN 165 (2024) 2863–2876\nPeripheral nerve injury results in a biased loss of\nsensory neuron subpopulations\nAndrew H. Cooper a, Allison M. Barry b, Paschalina Chrysostomidou a, Romane Lolignier a, Jinyi Wang a,\nMagdalena Redondo Canales a, Heather F. Titterton a, David L. Bennett b, Greg A. Weir a,*\nAbstract\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability\nof discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury\nhas recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label\nmolecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared\nnerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron\nloss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of\nMrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%)\nfollowing sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic\nnociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG\nneuron subpopulations can survive axotomy, with implications for our understanding of nerve injury–induced plasticity and pain.\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n1. Introduction\nDorsal root ganglion (DRG) neurons represent a molecularly\nand functionally heterogeneous population. Under normal\nconditions, this diversity contributes to the ability of the\nsomatosensory nervous system to detect a myriad of sensory\nstimuli that result in the perceptions of touch, temperature,\nitch, and pain. Following nerve injury, physiological changes in\nDRG neurons lead to hyperexcitability, 57 which is a key\npathological driver of neuropathic pain. 20,63 Concomitant\nmolecular changes in discrete subpopulations also occur,\nand these have recently been comprehensively described in\nsingle-cell 37,44 and subpopulation-specific sequencing stud-\nies.3 These studies describe a transient and generalized\nreduction in the expression of subpopulation-specific genes\nfollowing nerve injury. 3,37,44\nIn addition to molecular changes, there is a rich literature\ndescribing the frank loss of DRG neurons following traumatic\nnerve injury in experimental rodent models. 24,50,53,56 Some\nstudies have suggested that neuron loss occurs in certain patient\ncohorts,48,66 but this is yet to be definitively demonstrated in\nhumans. In rodents, most studies support a preferential loss of\nsmall cells that give rise to unmyelinated fibers 53 but some\ncontrasting studies describe the preferential loss of large cells 6 or\nloss of cells of all sizes. 46 Variation is evident across studies in\nterms of experimental species, age, type of injury, and\nquantification methods.56 Shi et al. 50 used stereological counting\nmethods to identify a 54% loss of DRG neuron number 4 weeks\nafter “mid-thigh” sciatic nerve transection in C57BL/6 mice.\nEstimates for the degree of loss following commonly used nerve\ninjury paradigms (eg, spared nerve injury [SNI] and sciatic nerve\ncrush) are not available and because of the neurochemical\nchanges following injury and the loss of subpopulation marker\ngene expression,5,44,50 the vulnerability of molecularly defined\nsubpopulations has not been characterized. Moreover, more\nrecent studies have cast doubt on the extent or even presence of\nDRG neuron death following nerve injury. One study which\ndeveloped a deep learning approach to assess rat DRG cellular\nplasticity found no loss of neurons up to 2 weeks post-SNI,49", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A–C, http://links.lww.com/PAIN/C84), indicating\nthat any loss of neurons within specific neuronal subpopulations\nwas not biased towards soma size. Collectively, these data show\nthat unrepaired axonal damage to peripheral sensory neurons\ninduces a partial loss of Trpm81 and CGRP 1 subpopulations,\nbut no major loss of myelinated afferents.\nBased on our findings of preferential loss of nonpeptidergic\nnociceptors, we re-analyzed a previous population-specific\ntranscriptomic dataset of mouse DRG neurons following nerve\ninjury for potential upregulation of cell death pathways (Fig. S7,\nhttp://links.lww.com/PAIN/C84).3 We found that early after injury\n(3 days post-SNI trans), nonpeptidergic (MrgD CreERT2-expressing)\nneurons showed enhanced enrichment of GO terms associated\nwith apoptosis, in contrast to a broad population of nociceptors\n(labelled with Scn10a CreERT2), peptidergic nociceptors (Calca-\nCreERT2), C-LTMRs (Th CreERT2), and A b-RA (rapidly adapting) and\nAd-LTMRs (A d/Ab-LTMR, Ntrk2 CreERT2;AdvillinFlpO), in which\nthere was less or no enrichment of cell death pathways. By\n4 weeks, only C-LTMR and A d/Ab-LTMR subtypes show any\noverrepresentation of cell death pathways (in the populations\nstudied). Both injury-specific and apoptotic signatures in non-\npeptidergic neurons were no longer significantly enriched,\nconsistent with a loss of axotomized nonpeptidergic afferents\nby this late timepoint postinjury. These data suggest that\napoptotic pathways are upregulated acutely after injury in a cell-\ntype-specific manner.\n3.4. Mrgprd dorsal root ganglion neurons are sensitive to\nloss in vitro\nEarlier studies postulated that a lack of neurotrophic support\nunderlies neuronal loss, which is supported by the observation\nthat exogenous GDNF treatment at the time of injury, or shortly\nafter, rescues the loss of IB4- binding central terminals\nposttransection. 5 We sought to use the DRG neurons from\nMrgDCreERT2 ;Ai32 mice to test this postulate and establish an\nin vitro platform capable of probing the molecular basis of loss,\nwith axonal transection during isolation providing a correlate\nfor in vivo nerve injury ( Figs. 5A–E). Twenty-four hours after\nplating, YFP was expressed by 16.3 6 1.3% of DRG neurons,\nwhich was reduced to 11.8 6 1.7% after 28 days of culture in\nthe presence of exogenous GFs, NGF and GDNF ( Fig. 5F).\nHowever, in the absence of GFs, YFP 1 neurons only\naccounted for 1.7 6 0.6% of neurons after 28 days,\naccompanied by an apparent reduction in the overall number\nof neurons within the culture, despite all conditions being\nseeded at the same initial density ( Figs. 5C and F). YFP 1 cell\nloss was partially rescued by t he presence of GDNF, but not\nNGF alone, in the culture media ( Figs. 5D–F). These results\ncontrasted with experiment s using neurons derived from\nCalcaCreERT2 ;Ai32 mice, in which we observed no change in\nthe proportion of neurons that were Calca-YFP 1 after 28 days\nin culture, regardless of exogenous GF addition ( Figs. 5G–L).\nCollectively, these data support the use of DRG cultures to\nprobe the mechanisms underlying selective loss of sensory\nneurons following nerve injury a nd suggest a role for trophic\nsupport, particularly by GDNF sig naling, in preventing the loss\nof nonpeptidergic nociceptors.\n4. Discussion\nWe present data herein to support the hypothesis that\ntraumatic nerve injury in rodents leads to a profound loss of\nsmall-diameter DRG neurons. Taking advantage of newly\ndeveloped transgenic recombinase driver lines, we have\nshown that loss is biased across molecularly defined\nsubpopulations. Nonpeptidergic nociceptive neurons are\nparticularly susceptible to loss, with almost all Mrgprd 1\naxotomized afferents lost following an unrepaired transection\ninjury (SNI trans ) and roughly half lost following a model which\ncontrastingly allows for n erve regenerations (SNI crush ).\nFinally, we have observed that the vulnerability of Mrgprd 1", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were\nexamined. Filtered count data of expressed and nondifferentially\nexpressed genes were used as a background.\n2.8. Dorsal root ganglion culture\nDorsal root ganglia were dissected from MrgD CreERT2;Ai32 and\nCalcaCreERT2;Ai32 mice .1 week after dosing with tamoxifen and\nenzymatically digested at 37˚˚C for 80 minutes in dispase type II\n(4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington\nBiochemical), as described previously. 63 Mechanically dissoci-\nated cells were plated onto laminin/poly-D-lysine (R&D Systems,\nMinneapolis, MN) treated coverslips in complete Neurobasal Plus\nmedium (Neurobasal Plus media supplemented with 2% (vol/vol)\nB27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic–antimycotic\n[ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth\nfactor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech,\nCranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor\n(GDNF, PeproTech) were added to the media under some\nconditions. Cytosine b-D-arabinofuranoside (4 mM) was added to\nthe media for 24 hours the day after plating to reduce the\nproliferation of nonneuronal cells. Media was refreshed 3 times\nper week thereafter. Cultures were fixed for 10 minutes at room\ntemperature with 4% paraformaldehyde and subsequently\nprocessed by immunocytochemistry (described earlier).\n2.9. Statistical analysis\nData are expressed as mean 6 SEM unless otherwise specified,\nand P values of less than 0.05 were considered significant. Power\ncalculations were performed using G*Power 3.1.9.7. 15 A\nquantitative Venn diagram was created using BioVenn. 25 All\nother statistical analyses were performed in Prism 10 (GraphPad\nSoftware, Inc, Boston, MA) or R using paired t tests or 1- or 2-way\nRM ANOVAs (repeated measures analysis of variance), where\nappropriate. Normality was assessed by the Shapiro–Wilk test. If\nthe main analysis of variance effect was significant,ˇS´ıd ´ak or\nTukey multiple comparisons tests were performed. To compare\npopulation distributions of soma cross-sectional area or volume,\nKolmogorov–Smirnov tests were performed.\n3. Results\n3.1. Peripheral nerve injury induces a loss of small neurons\nfrom the dorsal root ganglion\nTo assess the gross loss of neurons from DRG following nerve\ninjury, we generated the Avil FlpO;Atf3CreERT2;RC::FLTG mouse\nline in which na ¨ıve and axotomized sensory neurons were\ndifferentially labelled. In this mouse line, all neurons express\ntdTomato (Flp-dependent) in the na ¨ıve state and switch to\nexpressing green fluorescent protein (GFP) upon axonal damage\nand concurrent tamoxifen treatment (Flp- and Cre-dependent)\n(Figs. 1A and B ). Following pilot experiments to optimize\ntamoxifen dosing regimen, this approach was both highly efficient\nand specific (with the caveat that it was necessary to wait for\nseveral days after nerve injury for Cre-induced GFP expression):\n14 days after SNI trans surgery, GFP was expressed by 99.1 6\n0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we\nobserved GFP in only 4.66 0.7% of contralateral DRG neurons\n(Figs. S2A–D, http://links.lww.com/PAIN/C84). We then used\na stereological approach to quantify the total number of neurons\nin L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as\nwell as contralateral to injury. One week after SNI trans,w e\nobserved 7809 6153 neurons per DRG; this was not significantly\ndifferent to the number of neurons in the contralateral DRG\n(7917 6 349), whereas cell number approximately halved by\n8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C).\nSeparating analysis into intact vs axotomized afferents revealed\nthat only axotomized afferents were lost, with no difference\nobserved in numbers of intact afferents ( Fig. 1D). Between 1 and\n8 weeks after injury, we observed a 61.0 6 7.0% decrease in the\nnumber of GFP 1 neurons. This loss of injured afferents resulted\nin a loss of neuron-containing (ie, excluding white matter regions)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "neuron loss after nerve injury and to test the hypothesis that loss is\nnot equally distributed across molecular populations.\n2. Methods\n2.1. Animals\nMice were housed in groups in humidity- and temperature-controlled\nrooms with free access to food and water, on a 12-hour light–dark\ncycle, and with environmental enrichment. Animal procedures were\nperformed under a UK Home Office Project Licence and in\naccordance with the UK Home Office (Scientific Procedures) Act\n(1986). All studies were approved by the Ethical Review Process\nApplications Panel of the University of Glasgow or Oxford and conform\nto the ARRIVE guidelines. Experiments were performed on adult male\nand female mice aged 7 to 16 weeks at the start of the experiments. All\nexperimental cohorts contained a mix of male and female mice, apart\nfrom the cohort of MrgprdCreERT2;Ai32 mice that underwent SNIcrush\nsurgery, which was exclusively female. Details of transgenic lines are\nprovided in Table 1.T a m o x i f e nw a sa d m i n i s t e r e db yi . p .i n j e c t i o no f\n20 mg/mL tamoxifen (Sigma-Aldrich) dissolved in wheat germ oil\n(doses described inTable 1). There were 2 instances where animals\nwere excluded from data analysis : One (cyan fluorescent protein)\nThy1-CFP died of unknown causes not related to the procedure and\nbefore the experimental endpoint, and one MrgDCreERT2;Ai32\nexhibited no fluorophore expression and was therefore deemed to\nhave been incorrectly genotyped. Group sizes were based on the\nextent of neuronal loss 28d following sciatic nerve transection\nidentified by Shi et al.50 Givena 5 0.05, power5 0.8, and an effect\nsize of 4.81, power analysis projects that a group size of 3 mice would\nbe needed.\n2.2. Spared nerve transection and crush surgeries\nSpared nerve injury (transection of the common peroneal and\ntibial branches of the sciatic nerve; SNI trans) and common\nperoneal and tibial crush injury (SNI crush), in which nerve axons\nwere severed but the epineurium remained intact, were\nperformed as previously described.12 Anesthesia was induced\nwith 3% to 5% isoflurane and then maintained at 1.5% to 2% as\nrequired. Analgesia, consisting of carprofen (10 mg/kg) and\nbuprenorphine (0.05 mg/kg) (Glasgow) or carprofen (5 mg/kg)\nand local bupivacaine (2 mg/kg) (Oxford) was provided perioper-\natively. The left hindpaw was secured with tape in hip abduction,\nand the operative field (lateral surface of the thigh) was shaved.\nOphthalmic ointment was applied to the eyes, and the shaved\narea was swabbed with chlorhexidine solution. A longitudinal\nincision was made in the skin at the lateral mid-thigh. Using blunt\ndissection, an opening was made through the biceps femoris,\nexposing the sciatic nerve and the 3 peripheral branches (sural,\ntibial, and common peroneal nerves). For SNI trans, the common\nperoneal and tibial nerves were ligated using a 6-0 Vicryl suture\n(Ethicon, Raritan, NJ), and a 1- to 2-mm piece distal to the suture\nwas removed using spring scissors. For SNIcrush, the exposed\ntibial and common peroneal nerves were clamped using a pair of\nfine hemostats (Fine Science Tools, Heidelberg, Germany) closed\nto their second clip, leaving the nerve branches intact but\ntranslucent. The muscle was closed with one 6-0 Vicryl suture\n(Ethicon), and the skin incision was closed with one 10 mm\nwound clip (Alzet, Cupertino, CA). Animals were monitored daily\nfor self-mutilation, and no animals required sacrifice due to tissue\ndamage.\nTable 1\nTransgenic lines used in the study.\nUsed name Full name Putative population Ref Source Tamoxifen regime\nAtf3CreERT2 Atf3tm1.1(cre/ERT2)Msra Axotomised afferents 13 Gift: Dr Franziska Denk 50 mg/kg on days 0, 3, and 7 after surgery\nAvilFlpO Aviltm1(flpo)Ddg Sensory neurons 1 Gift: Prof David Ginty N.A.\nMrgDCreERT2 Mrgprdtm1.1(cre/ERT2)Wql Major class of nonpeptidergic\nneurons\n39 The Jackson Laboratory (RRID:\nIMSR_JAX:031286)\nGeneral: 1x 50 mg/kg in adulthood, (.1 week\nbefore experiment)\n3D volumetric analysis: 5x i.p. (0.5 mg/animal/", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "3.3. Spared nerve injury induces a loss of Trpm81 and\ncalcitonin gene-related peptide1 but not myelinated dorsal\nroot ganglion neurons\nLoss restricted to nonpeptidergic nociceptors would not fully\naccount for the degree of total neuron loss that we observed.\nTherefore, we studied a range of other subpopulations, both\nsmall and large in diameter, for their vulnerability to injury-\ninduced loss. To investigate potential loss of Trpm8 1 (cold-\nsensitive), calcitonin gene-related peptide 1 (CGRP) (peptider-\ngic), and myelinated subpopulations of DRG neurons following\nnerve injury, we applied our FB-labelling approach in Trpm8 FlpO;\nRC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2;\nAi32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP\nmice, respectively ( Figs. 4A–D). Trpm8-tdTom was expressed\nFigure 2.Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous\ninjection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNI trans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN\nimmunostaining in the L4 DRG. The image is a projection of optical sections at 3- mm intervals through the entirety of a 30- mm-thick tissue section. Scale bar 5\n100 mm. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNI trans (C) or SNI crush injury (D)\nreveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov–Smirnov tests of cumulative distributions; SNI trans:D 5 0.25, P ,\n0.001; n 5 183 or 191 neurons from 3 mice; SNI crush:D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG\nvolumetric analyses after SNI trans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot\ndetection feature. Scale bar 5 100 mm. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNI trans. Kolmogorov–Smirnov tests of\ncumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size,\nper DRG. Two-way RM ANOVA; size bin 3 injury interaction: F2,145 8.26, P 5 0.004; n 5 4 to 5 mice; ˇS´ıd ´ak multiple comparisons tests: ** P , 0.01. ANOVA,\nanalysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\nDecember 2024 ·Volume 165 ·Number 12 www.painjournalonline.com 2869", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "the multicellular unit. bioRxiv 2023.02.06.526934.\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue\nA. 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Mrgprd-expressing polymodal nociceptive neurons\ninnervate most known classes of substantia gelatinosa neurons.\nJ Neurosci 2009;29:13202–9.\n[60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial\ncell line-derived neurotrophic factor normalizes neurochemical\nchanges in injured dorsal root ganglion neurons and prevents the\nexpression of experimental neuropathic pain. Neuroscience 2003;\n121:815–24.\n[61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan\nfluorescent protein (CFP) expressing cells in the retina of Thy1-CFP\ntransgenic mice before and after optic nerve injury. Neurosci Lett 2010;\n468:110–4.\n[62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM,\nAdelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR.\nMrgprdCre lineage neurons mediate optogenetic allodynia through an\nemergent polysynaptic circuit. PAIN 2021;162:2120–31.\n[63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB,\nBennett DL. Using an engineered glutamate-gated chloride channel to\nsilence sensory neurons and treat neuropathic pain at the source. Brain\n2017;140:2570–85.\n[64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and\nregeneration of cutaneous and muscular afferent neurons after peripheral\nnerve injury in adult rats. Exp Brain Res 2008;186:315–23.\n[65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G.\nVolumetric magnetic resonance imaging of dorsal root ganglia for the\nobjective quantitative assessment of neuron death after peripheral nerve\ninjury. Exp Neurol 2007;203:22–33.\n[66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after\nupper limb nerve injury and protective effect of repair: clinical evaluation\nusing volumetric magnetic resonance imaging of dorsal root ganglia.\nNeurosurgery 2013;73:632–40.\n[67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "[30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M,\nLa Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional\ntoolbox for exploring peripheral neuroimmune interactions. PAIN 2020;\n161:2089–106.\n[31] Love MI, Huber W, Anders S. Moderated estimation of fold change and\ndispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550.\n[32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA,\nGarcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden\nES, Buzs ´aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE,\nZeng H. A toolbox of Cre-dependent optogenetic transgenic mice for\nlight-induced activation and silencing. Nat Neurosci 2012;15:793–802.\n[33] Madisen L, Zwingman TA, Sunkin SM, Oh SW, Zariwala HA, Gu H, Ng LL,\nPalmiter RD, Hawrylycz MJ, Jones AR, Lein ES, Zeng H. A robust and\nhigh-throughput Cre reporting and characterization system for the whole\nmouse brain. Nat Neurosci 2010;13:133–40.\n[34] McCoy ES, Taylor-Blake B, Street SE, Pribisko AL, Zheng J, Zylka MJ.\nPeptidergic CGRP a primary sensory neurons encode heat and itch and\ntonically suppress sensitivity to cold. Neuron 2013;78:138–51.\n[35] McKay Hart A, Brannstrom T, Wiberg M, Terenghi G. Primary sensory\nneurons and satellite cells after peripheral axotomy in the adult rat:\ntimecourse of cell death and elimination. Exp Brain Res 2002;142:308–18.\n[36] Molander C, Wang H, Rivero-Meli ´ an C, Grant G. Early decline and late\nrestoration of spinal cord binding and transganglionic transport of\nisolectin B4 from Griffonia simplicifolia I after peripheral nerve\ntransection or crush. Restor Neurol Neurosci 1996;10:123–33.\n[37] Nguyen MQ, Le Pichon CE, Ryba N. Stereotyped transcriptomic\ntransformation of somatosensory neurons in response to injury. Elife\n2019;8:e49679.\n[38] Oliveira ALR. Apoptosis of sensory neurons and satellite cells after sciatic\nnerve transection in C57BL/6J mice. Braz J Med Biol Res 2001;34:\n375–80.\n[39] Olson W, Abdus-Saboor I, Cui L, Burdge J, Raabe T, Ma M, Luo W.\nSparse genetic tracing reveals regionally specific functional organization\nof mammalian nociceptors. Elife 2017;6:e29507.\n[40] Plummer NW, Evsyukova IY, Robertson SD, de Marchena J, Tucker CJ,\nJensen P. Expanding the power of recombinase-based labeling to\nuncover cellular diversity. Development 2015;142:4385–93.\n[41] Prescott SA, Ratt ´ e S. Pain processing by spinal microcircuits: afferent\ncombinatorics. Curr Opin Neurobiol 2012;22:631–9.\n[42] Qi L, Iskols M, Shi D, Reddy P, Walker C, Lezgiyeva K, Voisin T, Pawlak M,\nKuchroo VK, Chiu I, Ginty DD, Sharma N. A DRG genetic toolkit reveals\nmolecular, morphological, and functional diversity of somatosensory\nneuron subtypes. bioRxiv 2023.2023.04.22.537932.\n[43] Reid AJ, Mantovani C, Shawcross SG, Terenghi G, Wiberg M. Phenotype\nof distinct primary sensory afferent subpopulations and caspase-3\nexpression following axotomy. Histochem Cell Biol 2011;136:71–8.\n[44] Renthal W, Tochitsky I, Yang L, Cheng YC, Li E, Kawaguchi R,\nGeschwind DH, Woolf CJ. Transcriptional reprogramming of distinct\nperipheral sensory neuron subtypes after axonal injury. Neuron 2020;\n108:128–44.e9.\n[45] Schindelin J, Arganda-Carreras I, Frise E, Kaynig V, Longair M, Pietzsch\nT, Preibisch S, Rueden C, Saalfeld S, Schmid B, Tinevez J-Y, White DJ,\nHartenstein V, Eliceiri K, Tomancak P, Cardona A. Fiji: an open-source\nplatform for biological-image analysis. Nat Methods 2012;9:676–82.\n[46] Schmalbruch H. Loss of sensory neurons after sciatic nerve section in the\nrat. Anat Rec 1987;219:323–9.\n[47] Schmitz C, Hof PR. Design-based stereology in neuroscience.\nNeuroscience 2005;130:813–31.\n[48] Schulte A, Degenbeck J, Aue A, Schindeh ¨ utte M, Schlott F, Schneider M,\nMonoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL.\nHuman dorsal root ganglia after plexus injury: either preservation or loss of\nthe multicellular unit. bioRxiv 2023.02.06.526934.\n[49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "SNI-related gene expression signatures were less evident in\nMrgprd-expressing and C-LTMR neurons at later timepoints,\ncompared with other populations in injured DRG. 3 This could be\nexplained by a loss of axotomized neurons of these classes and\ntherefore sampling of only uninjured neurons at this time-\npoint.24,43,64 In terms of the transcriptional response to injury,\nnonpeptidergic nociceptors show enrichment of individual\nproapoptotic factors early after injury,23,68 and we extend these\nresults in this study, by describing a subpopulation-specific\nenrichment of GO terms associated with apoptosis that is evident\nas early as 3 days after injury. Such data and single-cell\ntranscriptomic profiling of all DRG neurons following injury 37,44\nmay offer the opportunity to elucidate the cell death pathways\nengaged and upstream effectors that enrich this process to\nnonpeptidergic nociceptive neurons.\n4.3. Implications for pain pathogenesis\nNeuronal loss has been proposed as a key contributor to poor\nfunctional recovery following nerve injury, 54 and biased survival of\ndifferent afferent types might be expected to contribute to\nmodality-specific sensory deficits. Beyond loss of function, does\nDRG neuron loss contribute to chronic pain, in either an adaptive or\nmaladaptive manner? Intrathecal delivery of GDNF is neuro-\nprotective and reverses the reduction in the number of IB4-binding\nDRG neurons and central terminals seen following transection. 5\nTreatment is concurrently analgesic and abrogates pain-related\nbehaviors.7,60 However, the pleiotropic nature of GDNF makes it\nimpossible to directly attribute the analgesic effects to the reversal\nof neuron loss. Indeed, it is possible that GDNF exerts its effect by\nactions on intact nonpeptidergic nociceptive afferents,52 activation\nof which is known to drive aversive behaviors in the neuropathic\nstate.62 These data leave the contribution of nonpeptidergic\nnociceptor loss to behavior in the GDNF treatment paradigm\nambiguous. Other pharmacological approaches have been found\neffective at reversing a neuronal loss in rodent models, but the\nimpact on pain behavior was not studied.21,22\nRodents develop marked mechanical and thermal hypersen-\nsitivity rapidly following nerve injury and before timepoints at\nwhich neuron loss is observed.10 This lack of a temporal\ncorrelation may suggest a limited contribution to evoked hyper-\nsensitivities. The temporal profile of ongoing tonic pain (eg, pain\naversiveness as measured by condition place preference\nassays26) is less defined and so is its correlation to the timing of\nneuron loss.\nThere are many anatomical sites within the somatosensory\nnervous system where differential loss of sensory neuron\npopulations could impact neurobiology. For example, loss of\ncutaneous afferents may afford more opportunity for plasticity in\nreinnervation patterns, such as collateral sprouting of uninjured or\nsurviving afferents, and the types of nerve endings made by\ndifferent molecular subpopulations.17,27 It also seems likely that the\ndeath of many neurons within a DRG could contribute to the\nexpansion and activation of immune cell types, which are known to\nplay a major role in neuropathic pain. 30,69 Finally, under normal\nconditions, peripheral sensory input is integrated into the dorsal\nhorn of the spinal cord by complex interneuron circuitry. Many\nspinal circuits are engaged by convergent input from different\nafferent types.9,41,70 Therefore, selective loss of input from discrete\nafferent types could undoubtedly impact the normal processing of\nremaining afferent signals. 34 Experimentally abrogating neuronal\nloss may be a fruitful approach to assess the contribution to\nnervous system plasticity (adaptive or maladaptive) following injury.\nIn this regard, our in vitro readout would be a useful experimental\nplatform to help delineate the precise cell death pathways and\nsignaling cascades engaged (which could then be experimentally", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "Perazzoli G, Nieto FR, Joller N, Painter MW, Ma CHE, Omura T, Chesler\nEJ, Geschwind DH, Coppola G, Rangachari M, Woolf CJ, Costigan M.\nMechanistic differences in neuropathic pain modalities revealed by\ncorrelating behavior with global expression profiling. Cell Rep 2018;22:\n1301–12.\n[11] Coggeshall RE. A consideration of neural counting methods. Trends\nNeurosci 1992;15:9–13.\n[12] Decosterd I, Woolf CJ. Spared nerve injury: an animal model of persistent\nperipheral neuropathic pain. PAIN 2000;87:149–58.\n[13] Denk F, Ramer LM, Erskine ELKS, Nassar MA, Bogdanov Y, Signore M,\nWood JN, McMahon SB, Ramer MS. Tamoxifen induces cellular stress in\nthe nervous system by inhibiting cholesterol synthesis. Acta Neuropathol\nCommun 2015;3:74.\n[14] Dobin A, Davis CA, Schlesinger F, Drenkow J, Zaleski C, Jha S, Batut P,\nChaisson M, Gingeras TR. STAR: ultrafast universal RNA-seq aligner.\nBioinformatics 2013;29:15–21.\n[15] Faul F, Erdfelder E, Lang AG, Buchner A. G*Power 3: a flexible statistical\npower analysis program for the social, behavioral, and biomedical\nsciences. Behav Res Methods 2007;39:175–91.\n[16] Feng G, Mellor RH, Bernstein M, Keller-Peck C, Nguyen QT, Wallace M,\nNerbonne JM, Lichtman JW, Sanes JR. Imaging neuronal subsets in\ntransgenic mice expressing multiple spectral variants of GFP. Neuron\n2000;28:41–51.\n[17] Gangadharan V, Zheng H, Taberner FJ, Landry J, Nees TA, Pistolic J,\nAgarwal N, M ¨annich D, Benes V, Helmstaedter M, Ommer B, Lechner\nSG, Kuner T, Kuner R. Neuropathic pain caused by miswiring and\nabnormal end organ targeting. Nature 2022;606:137–45.\n[18] Guillery RW. On counting and counting errors. J Comp Neurol 2002;447:\n1–7.\n[19] Hall BE, Macdonald E, Cassidy M, Yun S, Sapio MR, Ray P, Doty M, Nara\nP, Burton MD, Shiers S, Ray-Chaudhury A, Mannes AJ, Price TJ, Iadarola\nMJ, Kulkarni AB. Transcriptomic analysis of human sensory neurons in\npainful diabetic neuropathy reveals inflammation and neuronal loss. Sci\nRep 2022;12:4729.\n[20] Haroutounian S, Nikolajsen L, Bendtsen TF, Finnerup NB, Kristensen AD,\nHasselstrøm JB, Jensen TS. Primary afferent input critical for maintaining\nspontaneous pain in peripheral neuropathy. PAIN 2014;155:1272–9.\n[21] Hart AM, Terenghi G, Kellerth JO, Wiberg M. Sensory neuroprotection,\nmitochondrial preservation, and therapeutic potential of n-acetyl-cysteine\nafter nerve injury. Neuroscience 2004;125:91–101.\n[22] Hart AM, Wiberg M, Youle M, Terenghi G. Systemic acetyl-l-carnitine\neliminates sensory neuronal loss after peripheral axotomy: a new clinical\napproach in the management of peripheral nerve trauma. Exp Brain Res\n2002;145:182–9.\n[23] Hu G, Huang K, Hu Y, Du G, Xue Z, Zhu X, Fan G. Single-cell RNA-seq\nreveals distinct injury responses in different types of DRG sensory\nneurons. Sci Rep 2016;6:31851.\n[24] Hu P, McLachlan EM. Selective reactions of cutaneous and muscle\nafferent neurons to peripheral nerve transection in rats. J Neurosci 2003;\n23:10559–67.\n[25] Hulsen T, de Vlieg J, Alkema W. BioVenn—a web application for the\ncomparison and visualization of biological lists using area-proportional\nVenn diagrams. BMC Genomics 2008;9:488.\n[26] King T, Vera-Portocarrero L, Gutierrez T, Vanderah TW, Dussor G, Lai J,\nFields HL, Porreca F. Unmasking the tonic-aversive state in neuropathic\npain. Nat Neurosci 2009;12:1364–6.\n[27] Leibovich H, Buzaglo N, Tsuriel S, Peretz L, Caspi Y, Katz B, Lev S,\nLichtstein D, Binshtok AM. Abnormal reinnervation of denervated areas\nfollowing nerve injury facilitates neuropathic pain. Cells 2020;9:1007.\n[28] Li H, Handsaker B, Wysoker A, Fennell T, Ruan J, Homer N, Marth G,\nAbecasis G, Durbin R; 1000 Genome Project Data Processing Subgroup.\nThe sequence alignment/map format and SAMtools. Bioinformatics\n2009;25:2078–9.\n[29] Li L, Zhou XF. Pericellular Griffonia simplicifolia I isolectin B4-binding ring\nstructures in the dorsal root ganglia following peripheral nerve injury in\nrats. J Comp Neurol 2001;439:259–74.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "Does the Oxbridge Academy have a guide on how to apply to college?", - "target_page": 21, - "target_passage": "To make the college registration process easier for you, we’ve compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Basic English Language Skills Basic English Language Skills\nCHAPTER 5:\nTIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a \ndaunting experience. Not only do you need to choose a course, but you \nalso need to make sure that you:\n• meet the entry requirements\n• meet the deadlines\n• fill in the forms correctly\n• send the forms to the right address\n• include all the necessary attachments\nTo make the college registration process easier for you, we’ve compiled a \ncomprehensive guide on how to register at Oxbridge Academy \n(www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general \ntips that will be relevant to the application and registration processes at \nother colleges.\nThere are 4 steps you need to follow when you want to \nregister as a student at Oxbridge Academy:\n1. Select Your Course\n2. Fill in Your Student Details\n3. Select Your Delivery Option\n4. Pay Your Registration Fee and Send in Your Form", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nSTEP 4 – PAY YOUR REGISTRATION FEE AND SEND IN \n YOUR FORM\nDifferent courses have different registration fees. Please check the course \nfees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to \nfind out how much you need to pay to register for your chosen course, and \npay this amount using the banking details provided at the bottom of the \nregistration form. Remember to attach your proof of payment.\nIf you are under the age of 18, your parent or guardian will need to sign \nthis section of the form to state that they are aware of your registration \nwith Oxbridge Academy, and that they do not have any objections. If you \nare unemployed, you will need a guarantor to sign this section of the \nform. Your parent or guarantor will be held responsible if you miss any of \nyour payments in relation to your course fees.", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nSTEP 1 – SELECT YOUR COURSE\n \nBefore you start filling in the registration form, you need to choose your \ncourse. Once you’ve identified the course that you would like to study, \nremember to check that you meet the entry requirements.\nYou can find the course name and course code for your chosen course on \nthe relevant detailed course information page on our website. Have a look \nat the example in the screenshot below (the course name and course code \nare circled in red):\n \n \nPlease make sure to check the accreditation status of your chosen course. \nSome of our courses are non-credit bearing skills development courses, \nwhich are neither accredited by external bodies nor registered on the NQF. \nPlease go to our website: oxbridgeacademy.co.za for more information \nabout our skills development courses.\n \n \n \nOxbridge Academy Short Course: Marketing Management \nADV101", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\n \nPLEASE REMEMBER TO ATTACH THE FOLLOWING \nDOCUMENTS TO YOUR REGISTRATION FORM:\nA copy of your ID\nProof of your highest grade passed\nProof of any other relevant qualifications you have obtained", - "page_start": 23, - "page_end": 23, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nDid you enjoy reading this book?\nJoin our online social community and share your opinion:\nwww.facebook.com/oxbridgeacademysa\ntwitter.com/oxbridgeEdu\nwww.linkedin.com/company/oxbridge-academy\nOxbridge Academy is an established distance learning college offer-\ning skills courses, national qualifications, and internationally recognised \ncourses to students in South Africa and abroad. \nWith our head office in Stellenbosch in the Western Cape, we cater to our \nstudents’ needs by recruiting industry-expert tutors to provide academic \nassistance via telephone and e-mail, as well as by designing our study \nmaterial in such a way that it is clear, simple, and easy for our students \nto understand. \nWith us, studying from home is easy, affordable, and convenient.\nCONTACT NUMBERS:\nTel: 021 1100 200\nTel:+2721 883 2454 (international)\nFax: 086 111 2121\nFax: +2721 883 2378 (international)\nWhatsapp: 0605671585\nEmail: info@oxbridgeacademy.co.za\nPostal Address:\nPO Box 12723, Die Boord, Stellenbosch, 7613\nWe are registered with the Department of Higher Education and Traini ng as a Private College in terms of Section \n31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.\nDeveloped for Oxbridge Academy", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nHERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER \nMARKS FOR YOUR WRITTEN ASSIGNMENTS:\n1. Read (and follow) the instructions carefully.\nIf you are an Oxbridge Academy student, the general assignment \nguidelines will be provided in your “Success” Study Guide. Specific \ninstructions will also be included at the beginning of each of your \nassignments.\n2. Read the questions carefully.\nMake sure you understand what is being asked of you, so that you \nfocus on answering the right questions, instead of providing irrelevant \ninformation.\n \n3. Remember that presentation is important.\nNeatness, spelling, and the structure of your assignment will all count \ntoward the mark that you receive for your assignment.\n4. Use your course material and other external sources to find answers \nto the assignment questions.\nBut make sure to use your own words – don’t just copy. You need to show \nthe person marking your assignment that you have developed a sound \nunderstanding of the subject.\n5. When you use ext ernal resources, remember to reference them \nproperly, and to include them in a bibliography.\nIf you don’t, you may be guilty of plagiarism (www.oxforddictionaries.\ncom/definition/english/plagiarism), which is a serious offence.\n6. Always hand in your own work, and make sure that you use your \nown words when you formulate your answers.\n7. When it comes to essay ques tions:\n• Plan/outline your answer before doing the final draft.\n• Remember that essays have titles, introductions, bodies, and \nconclusions.\n• Use headings and paragraphs to structure your answer.", - "page_start": 37, - "page_end": 37, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nIf you have any questions about your course work, you are always \nwelcome to approach your tutors for help. Just remember that your \ntutors cannot guess what your needs are: you will have to make \ncontact with your tutors and communicate your questions clearly if \nyou want to get the assistance that you need.\nWhen it comes to contacting your tutors, your best option will \nusually be to send an e-mail.\nHere are some important tips to keep in mind when \nrequesting help from a tutor via e-mail:\nUse a relevant and descriptive subject line.\nThis way, your tutor will immediately know what your e-mail is \nabout, and he or she will be more likely to open it. A good subject \nline might read as follows: “Enquiry regarding Assignment 1 for \nSafety Management 101”\nBe polite, and use an appropriate form of address.\nAlways start your e-mail with an appropriate form of address, \nsuch as “Hello Mr/Ms …” and sign it off with your full name and \nstudent number. This will help to give your message a friendly, yet \nprofessional tone.\nBe clear and concise.\nMake sure that your tutor will be able to understand what it is that \nyou are asking.", - "page_start": 33, - "page_end": 33, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nSEND YOUR REGISTRATION FORM\nCHOOSE YOUR COURSE\n1\nFILL IN THE \nREGISTRATION FORM\n2\nThe registration form \nfollows an easy-to-complete \nfour step layout.\n3\n4\n5\nIF YOU ARE REGISTERING \nFOR an ICB, or NATED\nCOURSE\nmake sure to indicate your \npreferred exam centre.\nIF YOU ARE UNDER \n18, OR IF YOU ARE \nUNEMPLOYED\nmake sure that your \nparent/guardian/guarantor \nsigns the form.\nATTACH THE FOLLOWING \nDOCUMENTS\n1. Copy of your ID\n2. Proof of highest\ngrade passed\n3. Proof of other\nqualifications\n4. Proof of payment\nPAY YOUR \nREGISTRATION FEE\nSend your registration form to the \nregistrations office at Oxbridge Academy via \none of the following channels:\nFax: 086 262 5550\nPost: PO Box 12723, Die Boord, 7613\nE-mail: registrar@oxbridgeacademy.co.za\n6\nA Summary of the\nRegistration Process \nat Oxbridge Academy\nAs soon as your details \nhave been captured \non our system you will \nreceive confirmation \nof your registration via \ne-mail or SMS", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nCHAPTER 6:\nLEARN HOW TO SUMMARISE YOUR STUDY MATERIAL\n \nTo be successful in your studies, you need to learn how to create \nmeaningful summaries of your course material. This is especially \nimportant if you are a distance learning student (www.oxbridgeacademy.\nco.za/distance-learning/), as you won’t have a teacher or lecturer to \npoint out key concepts, or to give you tips about the types of questions \nyou can expect in the exams.\nSUMMARISING YOUR WORK GIVES YOU AN OPPORTUNITY TO:\n• Organise your study material into a structure that makes sense to you.\n• Arrange your study material into a format that suits your learning style.\n• Create memory aids for yourself.\n• Identify key ideas and concepts.\n• Focus on what’s important.\n• Prepare for exams more easily.", - "page_start": 27, - "page_end": 27, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nIN THIS E-BOOK, WE’LL BE HELPING YOU TO:\n• Develop your basic English language skills.\n• Improve your English grammar.\n Apply your language and communication skills in a business contexT. \n(www.oxbridgeacademy.co.za/find-a- course/business-administration-\ncourses/) \n“Grammar is a litmus test. If job hopefuls can’t distinguish \nbetween ‘to’ and too’, their applications go into the bin”\nKyle Wiens, CEO of iFixit\n“Grammar often seems to be a low priority in education. Are \nschool undervaluing grammar, given that employers may rule out \napplications with sloppy writing?”\nThe New York Times", - "page_start": 5, - "page_end": 5, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "I have trouble writing effective summaries in English, do you have any tips?", - "target_page": 29, - "target_passage": "To make a good summary, you need to: • Keep it brief. • Make sure to use main headings and keywords. • Focus on the main ideas. • Classify and organise the information in a logical manner. • Use your own words where possible. • Include examples. • Remember that your summaries are there to help you", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nSUMMARIES\nGeneral Tips for Making Summaries\n• Underline or highlight key points as you work through your study \nmaterial, and make notes.\n• When you come across a word or concept you don’t understand, \nlook it up in a dictionary, or do some research on the concept, and \nadd your own definition to your summary.", - "page_start": 31, - "page_end": 31, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nSO WHAT EXACTLY IS A SUMMARY?\nA summary is more than just a condensed or shortened version of your \nwork. A summary requires you to analyse your study material, to identify \nthe key concepts, and to explain it in your own words.\nTo make a good summary, you need to:\n• Keep it brief.\n• Make sure to use main headings and keywords.\n• Focus on the main ideas.\n• Classify and organise the information in a logical manner.\n• Use your own words where possible.\n• Include examples.\n• Remember that your summaries are there to help you.\nYOU CAN MAKE YOUR SUMMARIES IN DIFFERENT FOR -\nMATS. HERE ARE SOME EXAMPLES:\nMind Maps (Spider Diagrams)\nA mind map is a visual expression of thoughts, ideas and concepts. It \nusually takes the form of a diagram, with the main concept in the centre, \nand the related concepts branching out from there. Here is an example:\n \nPayroll Contracts \nHR \nManager’s \nDuties \nStaff \nTraining \nDiscipline", - "page_start": 28, - "page_end": 28, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\nCHAPTER 6:\nLEARN HOW TO SUMMARISE YOUR STUDY MATERIAL\n \nTo be successful in your studies, you need to learn how to create \nmeaningful summaries of your course material. This is especially \nimportant if you are a distance learning student (www.oxbridgeacademy.\nco.za/distance-learning/), as you won’t have a teacher or lecturer to \npoint out key concepts, or to give you tips about the types of questions \nyou can expect in the exams.\nSUMMARISING YOUR WORK GIVES YOU AN OPPORTUNITY TO:\n• Organise your study material into a structure that makes sense to you.\n• Arrange your study material into a format that suits your learning style.\n• Create memory aids for yourself.\n• Identify key ideas and concepts.\n• Focus on what’s important.\n• Prepare for exams more easily.", - "page_start": 27, - "page_end": 27, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\n19. You cannot use a dictionary when summarising your study material.\n20. Plagiarism is not a serious offence.\n21. When writing an exam, you should always answer the questions in\nnumerical order.\n22. E-mail etiquette is important in the workplace.\n23. Mind maps help you to understand the relationships between con-\ncepts.\n24. When you answer an essay question, you should try to include as\nmuch information as possible.\nDo the following:\n25. Create a mind map to summarise Chapter 7 (How to Ask for Help\nfrom Your Tutor). (5)\n26. List 3 things you need to do if you want to earn good marks for your\nwritten assignments. (3)\n27. List 5 important things to keep in mind when writing a cover letter.\n(5)\n28. List 5 of the things that you should include in a resignation letter.\n(5)\n29. List 3 methods you can use to summarise your study material. (3)\n30. Give 2 examples of how good language skills can benefit your ca-\nreer. (2)\n31. Complete the following sentence:\nSummarising your study material gives you the opportunity to", - "page_start": 57, - "page_end": 57, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\n• Each paragraph should contain one main thought or idea, and there \nshould be a logical link between each paragraph and the next.\n• Make sure that you focus on answering the question – only include \nrelevant information, and remember to present logical arguments in \nsupport of your answer.\n8. Proofread your assignment before handing it in. Tip: read your \nanswers out loud to make sure that they sound logical.\n9. Always keep a copy or electronic backup of your assignment.\nThis way, you won’t have to start over if your computer crashes, or \nredo the whole assignment if the original goes missing.\n10. When you get your assignment bac k from your tutor:\nRead through the feedback, and learn from your mistakes. This will \nhelp you to prepare for your exams (if you have to write them), as well \nas to help you achieve better marks in future assignments.\n \nTYPES OF QUESTIONS THAT YOU WILL FREQUENTLY COME \nACROSS IN ASSIGNMENTS\nIn your assignments, you will often be asked to write short paragraphs or \nlonger essays in which you have to “explain” a particular concept, “iden -\ntify” certain features, or “prove” a certain point.\nIt’s sometimes difficult to figure out exactly what these questions mean \n-- which is why we are providing you with the following explanations:", - "page_start": 38, - "page_end": 38, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills\nDeveloped for Oxbridge Academy\n9. Use correct grammar and spelling. \nThis will contribute to the clarity of your answers, and will prevent the \nperson marking your paper from having to guess what you mean.\n10. For longer questions and essay-style questions: plan your answers be-\nfore you start writing. \nThis will help you to formulate logical arguments, as well as to structure \nyour answers clearly. In essay questions, you will get marks for using \nthe correct format, which includes making sure that you have an intro -\nduction, sub-headings and paragraphs, and a conclusion.\n11. Where relevant, give examples. \nThis will help to demonstrate that you understand the topic.\n12. If you are writing an open-book exam, keep in mind that you won’t have \nenough time to look up all the answers. \nMake sure that you know your work, and that you know where to look \nfor key information. These types of exams are more focused on testing \nyour understanding than on testing your knowledge, which means that \nyou need to have a thorough grasp of the work.\n13. If you have to answer multiple-choice questions, make sure that you read \nthe questions very carefully. \nTry to think of the correct answer before you read through the options, \nas you are less likely to become confused. When in doubt, go with your \nfirst instinct. If there is more than one correct answer, go with the an-\nswer that appears to be most correct.\n14. If you start running out of time towards the end of the exam, write short \nnotes as answers to each of the remaining questions, instead of trying \nto answer each question perfectly. \nThis way, you should still earn some marks for writing down the most \nimportant points.\n15. If you have time left at the end of the exam, go back and read through \nyour answers to make sure that you are happy with them.\ntips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips tips", - "page_start": 43, - "page_end": 43, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nHERE ARE A FEW GUIDELINES TO KEEP IN MIND WHEN \nSENDING E-MAILS TO YOUR COLLEAGUES:\n• Always use a relevant and descriptive subject line. \nE-mails with blank subject lines may be marked as spam by the \nrecipient’s e-mail client, and e-mails with non-descriptive subject \nlines such as “Hello” or “Meeting” may be ignored.\n• Write your e-mail in clear and simple language. \nDon’t try to sound too formal, and don’t use complicated words \nwhen simple ones would work just fine. As far as possible, write in \nthe active voice.\n• Structure your message clearly, and include only the necessary \ninformation. \nTake care not to confuse the message by including too many topics \nin one e-mail. Respect your colleagues’ time, and try to keep your \nmessages as short as possible.\n• Don’t type your e-mail in ALL CAPS. \nThis is regarded as the online equivalent of shouting.\n• Always proofread your e-mail before you hit ‘send’. \nGrammar and spelling errors come across as unprofessional.\n• If you include a link in your e-mail, make sure that you provide some \ncontext. \nYour recipients are unlikely to click on a link if they don’t have any \nidea as to what they are going to see when they open it.\n• Only mark an e-mail as ‘urgent’ when it really does require immedi-\nate attention. \nWhat’s urgent to you may not always be urgent to your recipients.\n• Don’t use the CC’ or Reply All’ functions unnecessarily. \nOnly send your e-mails to the people who really need to see them.", - "page_start": 52, - "page_end": 52, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "summaries that outperform standard physician documentation in completeness and error\nfrequency.35 However, factual inconsistencies in the summaries produced by LLMs increase as the\ncontext length increases,36 and for medium- to long-context tasks, fine-tuning an open-source\nmodel has been shown to perform better than a prompt-learning approach.37 In prior work,\nmembers of this study team demonstrated 62% of LLM-generated hospital course summaries met\nstandard-of-care for a formal inpatient discharge summary.24 However,recently published clinical\nJAMA Network Open |Emergency Medicine Developing and Evaluating LLM-Generated Emergency Medicine Handoff Notes\nJAMA Network Open.2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723 (Reprinted) December 3, 2024 2/12\nDownloaded from jamanetwork.com by guest on 01/13/2025", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nTo start off with, here are a few tips for improving your general \nlanguage and communication skills:\n1. Read as much as possible. Reading improves your vocabulary, \nand helps you to become familiar with sentence structure, \nword order, and the correct use of punctuation.\n2. Invest in a good dictionary. When you are unsure of the \nmeaning of a word, or when you come across an unfamiliar \nword, make sure to look it up in your dictionary.\n3. Keep a journal. This will give you an opportunity to practice \nyour writing skills on a regular basis.", - "page_start": 6, - "page_end": 6, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Basic English Language Skills Basic English Language Skills\nConsider:\nCarefully examine some-\nthing and give a judgement \nor opinion.\nIllustrate:\nUse a picture, diagram, chart, \nor concrete example to clarify \na point.\nJustify:\nGive good reasons for some-\nthing\nProve: \nEstablish the truth/acuracy of \nsomething by giving factual \nevidence or logical reasons.\nOutline:\nPresent information in a brief, \nclear and logical manner.\nSummarise:\nGive the main points\nIdentify:\nName or list the most important \nfeatures or characteristics.\nInterpret:\nClarify or explain something in \na more easily understood form, \nusually in a practical way.", - "page_start": 40, - "page_end": 40, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Is exposure to risk factors that may affect mental wellbeing at work comparable across European countries?", - "target_page": 25, - "target_passage": "The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 25 \n \n \nIn 2007, 2013 and 2020, Eurostat asked employed persons in its ad hoc surveys to the Labour Force \nSurvey (LFS) whether they had ‘… exposure to risk factors that can adversely affect mental well -\nbeing’.10 In 2007 and 2013, the questions covered four items (time pressure and overload of work, \nviolence or threat of violence, harassment and bullying, other factors). In the 2020 survey, 11 ‘Mental \nwell-being’ was operationalised by an additional four response options, resulting in a total of eight \noptions:12 \n1. Severe time pressure or overload of work; \n2. Violence or threat of violence; \n3. Harassment or bullying; \n4. Poor communication or cooperation within the organisation; \n5. Having to deal with difficult customers, patients, pupils etc.; \n6. Job insecurity; \n7. Lack of autonomy, or lack of influence over the work pace or work processes; and \n8. Another significant risk factor for mental well-being. \nForty-five per cent of the employed persons reported being exposed to risk factors that can adversely \naffect mental wellbeing. The country data vary significantly. Sweden, Greece and Luxemb ourg report \nover two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.13 \n \n \n© Quality Stock Arts/Adobe Stock", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 5 \nList of figures \nFigure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019................................ 23 \nFigure 2: Risk factors that can adversely affect mental wellbeing – EWCS and ESENER ................. 24 \nFigure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ – LFS Ad hoc survey 2020 . 26 \nFigure 4: Psychosocial risk factors – Differences between skill groups (Job strain)............................. 27 \nFigure 5: Psychosocial risk factors – Differences between skill groups (Psychological demand) ........ 28 \nFigure 6: Psychosocial risk factors – Differences between skill groups (Decision authority) ............... 28 \nFigure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion) ..................... 29 \nFigure 8: Hours worked per week of full-time employment, EU27 – Eurostat ...................................... 31 \nFigure 9: Average working time and work during unsocial hours – Eurostat LFS ................................ 32 \nFigure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound ................ 33 \nFigure 11: Establishment size and ‘Pressure due to time constraints’ – ESENER 2014 and 2019 ...... 34 \nFigure 12: Establishment size and ‘Long or irregular working hours’ – ESENER 2014 and 2019 ....... 34 \nFigure 13: ‘Pressure due to time constraints’, Yes responses – ESENER 2019 .................................. 35 \nFigure 14: Employed persons and percentage of working time under pressure – Eurostat LFS Ad hoc \n2019 ....................................................................................................................................................... 35 \nFigure 15: Percentage of employed persons with working time under pressure (per country, sum of \nresponses ‘Always’ and ‘Often’) – LFS Ad hoc 2019 ............................................................................ 36 \nFigure 16: Exposure to physical risks – ESENER, EWCS and LFS ..................................................... 39 \nFigure 17: Physical health risks compared (%) – EWCS 2015 ............................................................. 42 \nFigure 18: Employment types in EU27, development 2005 to 2022 – Eurostat .................................. 47 \nFigure 19: Employed persons by main place of work – Eurostat .......................................................... 51 \nFigure 20: Employees working mostly from home (in % of employed persons) – Eurostat .................. 52 \nFigure 21: Development of the total number of non-fatal accidents at work and incidence rates (accidents \nper 100,000 workers), 1998 and 2019 – Eurostat ................................................................................. 65 \nFigure 22: Share of people reporting any accident and accidents resulting in time off work by country, \n2020 ....................................................................................................................................................... 70 \nFigure 23: Comparison of the av erage incidence rate of fatal accidents in two periods: 2010- 2014 and \n2015-2020 ............................................................................................................................................. 71 \nFigure 24: Main causes of mortality 2019, EU27 .................................................................................. 79 \nFigure 25: Work-related deaths – estimates by WHO/ILO and ICOH for EU27 ................................... 83 \nFigure 26: Work-related DALYs – estimates by WHO/ILO and ICOH for the EU27 ............................. 84 \nFigure 27: Prevalence of musculoskeletal diseases – EWCS 2015 ..................................................... 88", - "page_start": 4, - "page_end": 4, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 27 \nConcerning the complaints about poor communication and cooperation within the organisation, all \nthree Nordic EU Member States are represented in the seven countries with the highest burden, together \nwith several central European countries. This is valid for both selected groupings, ‘All sectors’ and \n‘HHSW’. \nRegarding long or irregular working hours , we see a mix of countries from all regions. The order of \ncountries in the sector HHSW — a mixture of countries from the East, South and North — is probably \ndue to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed \nby Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%. \nMany analyses of psychosocial risks include other relevant factors like decision latitude (or decision \nauthority) and skill discretion (level of skill and creativity required on the job). I n a long-term analysis \nof the responses to the EWCS between 1995 and 2015, the authors conclude:15 \n‘Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was \nmostly driven by psychological demands. People working in lower-skilled occupations had generally higher \nlevels of job strain and effort -reward imbalance, as well as they tend to have a steeper increase in job \nstrain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.’ \nAccording to this study, the differences between the skills groups are significant, below illustrated for \nthe development of ‘Psychological demands’ and ‘Job strain’; for these two indicators high- skilled \nand low-skilled manual workers are at the top of the scale. \n \nFigure 4: Psychosocial risk factors – Differences between skill groups (Job strain)", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 59 \nSome of these groups are directly addressed by European and national legislation , for example, \nworkers with disabilities, young workers or pregnant women. For other groups of workers, for example, \nfor women or migrant workers , the legislative protection is formulated as a general ‘equal treatment’ \nprescription, like to provide preventive measures for all groups in an enterprise (Framework Directive, \nArticle 15 ‘Risk groups’), or to provide solutions that fit to the individual (Framework Directive, Art. 6.2.d.). \nThere are some prescriptions that refer to specific preventive activities, for example , to provide written \ninstructions in different languages for safe work with chemicals. \n \n3.6 Conclusions \nThe exposure to psychosocial risks is increasing, with mental health prevalence still emerging. Major \nwork-related exposures have grown in th e past 15 to 25 years that is, time pressure, difficult clients, \nlonger working hours and poor communication. There is also some evidence that countries with over -\naverage employ ment in sectors like health and care or other human and client -oriented services \n(education, social work, tourism, entertainment) suffer from longer working hours and more mental \nburden. The northern countries are at the top of the countries with highest mental burden. The southern \ncountries have a high share of specific psychosocial risks related to work in tourism and entertainment, \ncharacterised by atypical working times and issues with difficult clients. \n \nEU-OSHA found in its ESENER 2014 data analysis: 112 \n‘Concerning the sectors, national context appears to be related to differences in psychosocial risk \nmanagement in all types of organisations, although in some sectors this relationship is weak. In the \nagriculture, forestry and fishing sector and the sectors of mining, construction, electricity, trade, \ntransport, and accommodation and food, the low level of psychosocial risk management is observed \nalso in a favourable national context. An explanation for this finding might relate to the large proportion \nof small organisations in these sectors, which, as concluded earlier, have poorer psychosocial risk \nmanagement independently of the national context.’ \n \nThere is a stable block of ‘conventional’ physical health risks — ergonomics and risk from the work \nenvironment — and ergonomic risks that did not significantly change since 1990. It varies between 15% \nfor exposure to smoke, fumes and dusts to over 60% for repetitive hand/arm movements. Ergonomic \nrisks develop in two directions: 1) traditional risks stagnate in total, that is, lifting and moving heavy \nloads, painful or tiring positions, and shifts between sectors (from industry to transport, health and care); \n2) risks of inactivity and highly repetitive hand/ arm movements increase. Beside sectoral and \noccupational differences, it can be noted that in general higher percentages of exposed employed \npersons (workers and self-employed) are working in eastern and southern Member States. \nSince 2006 the average working time per week went down by 15 minutes for employees, and a slight \nreduction of most atypical — or unsocial — working times can be observed. Work intensification has \nemerged until 2005 but seems to stagnate since then. There are strong indications but no quantitative \nevidence on the extent to which working long hours, work at atypical times and probably also work with \nhigher risks were transferred to workers in non-standard types of employment. \nNon-standard forms of employment are — according to EU -OSHA — characterised by a non-\npermanent employment contract and the work not being performed at the premises of the employer. \nMost studies that dealt with the connection between the employment forms and health outcomes", - "page_start": 58, - "page_end": 58, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 26 \nFigure 3: ‘Exposure to risk factors adversely affecting mental wellbeing’ – LFS Ad hoc survey 202014 \n \nESENER 2019 reveals that several psychosocial risk factors are reported to be present in a significant \nshare of establishments in the EU27, namely having to deal with difficult customers, patients and pupils \n(59%) and time pressure (45%). \nThe aspects ‘Difficult clients’, ‘Poor communication’ and ‘Long working ho urs’ are major psycho-\nsocial risks. The increase of workforce in communicative and client-oriented occupations — social work, \neducation, tourism and entertainment, health and care — during the last 30 years adds to the \nconventional work with clients in service, sales and health occupations. \nThe next table shows the top seven EU Member states with the highest share of these risks for all \nsectors and for the sector ‘Human health and social work activities’ (HHSW). \n \nTable 1: Psychosocial risks, Top countries ‘All Sectors’ and ‘Human health and social work’ – ESENER \n2019 \n \nDifficult customers, patients and pupils (‘clients’) seem to be the most widespread psychosocial \nburden, with workers in P ortugal, Malta and Cyprus are most exposed. In the sector HHSW , eastern \nEuropean countries are much more present, Slovenia at the top, followed by Portugal, Estonia, Poland \nand Bulgaria.", - "page_start": 25, - "page_end": 25, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 80 \nhighest quintile, a difference of 21% ( EU27, 2019).196 The European Quality of Life Survey (EQLS) \nfinds that 13% of the lowest quartile report bad health ( EU28, 2016), compared to only 4% of the \nrespondents of the highest income quartile.197 \nThe relation between socioeconomic status — measured by income — and working conditions \nis often not further analysed, at least not on an aggregated statistical level. Due to complex \nmethodological difficulties and strong national variations of the health systems , there are until now no \nEU-wide morbidity statist ics available, based on administrative data. 198 A ‘Morbidity Task Force’ \nat EU level worked between 2005 and 2011 on the development of such statistics. 199 Country-specific \ndata — without a harmonised approach between countries — are provided in EU and OECD publication \nseries.200 \nThe system of European Core Health Indicators (ECHI) provides an overview on prevalence of major \ndiseases.201 Main morbidities covered until now are asthma, chronic obstructive pulmonary diseases \n(COPD), c ommunicable diseases, depression, dementia, diabetes, diseases caused by drugs, \nHIV/AIDS, and physical or sensory functional limitations. However, in ECHI there is no option to relate \nthese diseases to sectors or occupations. \nThe impact of work — as one essential element of the socioeconomic status — on health was the subject \nof numerous academic studies, often performed as specific case studies. The authors of an overview \nstudy on ‘Cross-country inequality in the EU’ summarise (more references in the original text): \n‘Occupational grade and labour market status are among the factors most often studied in relation to \nhealth and mortality. Occupational grade has been found to be associated with self-rated health, mental \nand physical health, such as the presence of long- standing illness and a number of diseases. Lower \noccupation might affect health through poor working conditions, such as the higher exposure to \noccupational hazards and toxic compounds, health- damaging behaviours and psychosocial stress. \nWork-based stress combined with a lack of autonomy over one’s work are believed to be the \npsychosocial factors that can cause physiological changes, such as increased risk of cardiovascular \ndiseases and reduced immune system response. It has been shown that the gaps in mortality between \ndifferent occupational grades persist in old age and tend to widen with age. 202 \nEurostat provides in the LFS 2020 Ad hoc module on ‘Accidents at work and other work-related health \nproblems�� a rough overview on such relations, with some specification, for example, for sectors, \nattainment levels, professional status, size of enterprise or occupation.203 The differences between four \naggregated occupational groups and work-related health problems is shown in the next table. \n \nTable 23: People reporting work -related health problems by group of occupations (ISCO) – LFS Ad hoc \n2020204 \n \n9.4% of the group of ‘Managers, professionals, technicians and associate professionals’ and also 9.4% \nof the group of ‘Clerical support workers, service and sales workers’ report work-related health problems, \n2.4% to 4% lower than the two groups with predominantly manual occupations. \nBased on a systematic review of literature on the topic of health factors, a consortium of World Bank \nand Harvard School of Public Health developed for the WHO in the early 1990s a new approach, the \nGlobal Burden of Disease (BoD). 205 This approach is meanwhile used by researchers and health \ninstitutes across the globe.206", - "page_start": 79, - "page_end": 79, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 87 \nliving with a mental disorder, with anxiety and depressive disorders being the most common. 228 The \nOECD estimates that approximately one- third of all disability benefits is due to these groups of \ndiseases.229 \n \nWHO definition of mental health from 2001: ‘Mental health is a state of well-being in which the \nindividual realises his or her own abilities, can cope with the normal stresses of life, can work \nproductively and fruitfully and is able to make a contribution to his or her community’. \nICD 11 (06) Mental, behavioural or neurodevelopmental disorders: ‘Neurodevelopmental \ndisorders / Schizophrenia or other primary psychotic disorders / Catatonia / Mood disorders / Anxiety \nor fear-related disorders / Obsessive-compulsive or related disorders / Disorders specifically \nassociated with stress / Dissociative disorders / Feeding or eating disorders / Elimination disorders / \nDisorders of bodily distress or bodily experience / Disorders due to substance use or addict ive \nbehaviours / Impulse control disorders / Disruptive behaviour or dissocial disorders / Personality \ndisorders and related traits / Paraphilic disorders / Factitious disorders / Neurocognitive disorders / \nMental or behavioural disorders associated with pregnancy, childbirth or the puerperium. ’ \n \nThe cost factor is enormous ; the OECD and European Commission estimated that the overall \nfinancial costs of mental disorders , including direct medical as well as indirect costs through care \nand lost productivity, amount to more than €600 billion per year in the EU230 (see also Andlin-Sobocki \net al. (2005)231). ICOH has started to integrate the newest estimates of mental health disorders with the \nAF (based on Niedhammer et al.232). The first calculations result in 7.5 million DALYS for the EU27, for \nwork-related job strain, depression and resulting cardiovascular diseases (all other diseases 6.9 million). \nThe strong rise in ‘Mental and behavioural disorders’ as a reason for absence from work or early \npensions surely contributes to this change. 233 EU and global institutions have started several long-term \npolicies and actions on mental health, for example, the EU Framework for Action on Mental Health and \nWellbeing.234 \nThe term ‘Musculoskeletal diseases’ covers the most common group of diseases (ICD 11- 15 \n‘Diseases of the musculoskeletal system or connected tissue’). 235 These diseases have the highest \nprevalence, approximately 60% of the EU working population report one or several MSDs.236 MSDs that \nare caused or made worse by work can be defined as work-related MSDs.237 Work-related MSDs arise \nfrom regular exposure to a c ertain posture or workload. It is a problem that affects all forms of working \nenvironments, from physically arduous work to low-intensity static work.238 \nMoreover, the prevalence of MSDs is not decreasing, as could be expected due to the sectoral shifts \nof workforce from industry and agriculture to services. The authors of the EU-OSHA study ‘Work-related \nmusculoskeletal disorders: why are they still so prevalent?’ consider several reasons for this: the \nergonomic burden shifted to other tasks, for example, handling of patients instead of handling of heavy \nloads, more inactivity with other musculoskeletal consequences, more time pressure, an ageing \nworkforce, and inadequate work organisation and contractual arrangements. 239 \nThe tremendous shift of workforce to administrative and often digitalised work contributes to an increase \nof the number of workers suffering from the consequences of physical inactivity due to permanent \nsedentary work, mostly with digital equipment. The fi gure below shows the spread of these diseases \nin different occupations.240", - "page_start": 86, - "page_end": 86, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 24 \n3.1 Psychosocial risks at work \nDuring the last 30 years, the scientific, political and practical discussions on psychosocial risks and \npreventive measures against psychosocial risks have gained strong importance. After a period of doubts \nand resistance, today they are regarded as risks of the same severity as the classical physical safety \nand health risks.4 (Chapter 1 covers the psychosocial risk aspect; for the prevalence of mental diseases \nand the burden of mental diseases see Chapter 2.2. 5) \nLooking at the steady increase of certain psychosocial risk indicators at workplace level, either the risks \nhave increased and/or the number of people working in occupations with higher psychosocial risks \nhas increased. 6,7 This is valid , for example, for the indicator time pressure, for example, in delivery \nservices, transport, and often also clerical work; the workforce has grown in sectors where emotional \ndemands from dealing with difficult clients, customers, pupils or patients are common; there are al so \nmore workers employed (or self-employed) in interactional occupations, for example, in call centres, or \nin occupations with a high level of emotional tensions, for example, education, health and care. \n \nFigure 2: Risk factors that can adversely affect mental wellbeing – EWCS8 and ESENER9 \n \nA major difference between the ESENER and the EWCS survey is the respondent . In ESENER those \npersons who are most familiar with OSH or responsible for OSH in an enterprise were asked whether a \ncertain risk factor exists in the enterprise; in the EWCS survey workers themselves were asked whether \nthey are exposed to a risk factor.", - "page_start": 23, - "page_end": 23, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "EU Member States — often all of them — report the least positive data. The healthy worker effect and \ncultural differences — to express not being healthy — probably strongly influence the self-assessment. \nConcerning the levels of self-reported ‘Health at risk’ , the comparison between 2005 and 2015 \nsuggests that the situation has slightly improved for all EU Member States; sector differences remain \nsignificant, but the East-West divide has become much smaller. Still, in some respect eastern and some \nsouthern European countries show worse data compared to c entral/western and n orthern European \ncountries.", - "page_start": 98, - "page_end": 98, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 23 \n3 Status of working conditions \nThis chapter on health and safety -related working conditions provides an overview on status and \ndevelopment of working conditions; it is mainly based on the indicators that were selected for the data \nvisualisation in the OSH Barometer . This is a quite limited selection of major data; in surveys and \nstatistics many more indicators on working conditions are provided, particularly at national level. \nPractically all working conditions influence mental health, that is, they involve psychosocial risks, and \nall also involve ‘ physical risks’ , including safety aspects of these risks. Mental health risks are \nillustrated in the OSH Barometer by datasets on time pressure, poor communication, dealing with difficult \nclients, discrimination and harassment, and similar. Physical risks include datasets on accidents at \nwork, exposures to chemical and biological substances, exposure to noise, vibrations, high or low \ntemperatures, and working tasks with ergonomic risks, like carrying, lifting heavy loads or work in tiring \nor painful positions; and also permanent physical inactivity, mainly sitting or long standing. 2 \nThe figure below shows the percentage of enterprises reporting OSH risks ‘present in the establishment’, \ncompared between 2014 and 2019 (ESENER) and covering mental and physical risks. 3 \n \nFigure 1: Risk factors present (% of establishments) – ESENER 2014 and 2019 \nNote: Prolonged sitting was a new item in the 2019 survey. \nBetween 2014 and 2019, some risk factors increased, like ‘Repetitive hand and arm movements’, ‘Lifting \nor moving people of heavy loads’ , and ‘Having to deal with difficult customer, patient and pupils; many \nothers showed no changes, like ‘Risk of accidents with machines or hand tools’, ‘Chemical or biological \nsubstances’, and ‘Loud noise’, or minor decreases like ‘Risk of accidents with vehicles’.", - "page_start": 22, - "page_end": 22, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Has the average working week for employees working full-time decreased since 2006?", - "target_page": 31, - "target_passage": ". The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 31 \nFigure 8: Hours worked per week of full-time employment, EU27 – Eurostat \n \n \nThe commuting time between home and workplace is quite stable; in 2005 at EU27 level , it stood at \n42.4 minutes, and in 2015 Eurostat reports 40.2 minutes (time for both ways, to the workplace and \nback).19 \nWork at atypical working times is in general regarded as a working condition with negative health \nimpact, called work extensity. The two major indicators of atypical working times are work at ‘atypical \nworking times’ and ‘long working hours’. \nEurostat reports for ‘Employment at atypical working time’ 20 a minor decrease between 2011 and \n2019, from 38.8% to 37.2% ( EU27), for all employed workforce and all types of such atypical time. 21 \nSome groups of self-employed show a higher rate of atypical working times but also for most of the \ncategories of self-employed the rates decreased during the period 2011 to 2019. High managerial self-\nemployed had a slight increase from 42.1% to 43.2% in this period. For the low managerial self -\nemployed Eurostat finds a decrease from 69.2% to 64.5%. The figures for small entr epreneurs \ndropped slightly from 56.6% to 54.1%, the same applies for employed persons in personal care work \nwith a minor change (50.6% to 49.8%). Agricultural self- employed had the highest level of such \nworking times; they showed a decrease from 68.4% to 63.4%. \nThe length of the daily or weekly working time, its allocation over the 24 hours of a day or at night are \nimportant factors for health and wellbeing. The statistical data (Eurostat) show a slight decrease of the \naverage weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between \n2006 and 2019. 22 The data also document slight increases and decreases of work at atypical times \n(response option for frequency: ‘usual’). 23 In 2006 and 2019, the following percentages of all employed \npersons worked at atypical times: on Saturdays the percentage decreased from 28% to 25%, working \non Sundays remained stable at around 13.5%, working in the evenings decreased from 19% to 15%, \nwork at night fell from 7% to 5% and shift work increased slightly from 17% to 18%.24", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "number of usual weekly hours of work in main job, by sex, professional status, full -time/part-time and economic \nactivity (1998-2008, NACE Rev. 1.1), here \n18 Eurostat, 2018: How many hours do Europeans work per week? Average number of usual weekly hours of work \nin main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev. \n2) - hours[lfsa_ewhun2], here \n19 Mean duration of commuting time one-way between work and home by sex and age (source: Eurofound), Here \n20 Eurostat definition: The atypical work distinguishes between “evening or night work”, “Saturday or Sunday \nworking”, and “shift work”. Data for 2020 are available but indicate a strong reduction of atypical working times, \nthe reason is probably that sectors with a high rate of atypical working times like tourism, transport, entertainment, \nhotels and restaurants could not work as in previous years, and also production lines in industry, often shift work, \nwere stopped.", - "page_start": 140, - "page_end": 140, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 36 \nmethodology, the OSH practitioners who were asked in ESENER seem to have a different view on time \npressure than the workers themselves who are respondents in the LFS. \n \nFigure 15: Percentage of employed persons with working time under pressure (per country, sum of \nresponses ‘Always’ and ‘Often’) – LFS Ad hoc 2019 \n \nOne hypothesis to explain the increased time pressure is to draw a direct connection between short \nweekly working time and more intense work; or in other words, a short weekly working time leads to \nmore intensification of work or more long hours or atypical working times (‘trading flexibility for \neffort’).38 \nThe analysis of EU survey data shows a mixed picture: Firstly, ESENER data corroborate this \nhypothesis, the three countries with highest percentage of work under time constraints — that is, Finland, \nSweden and Denmark — all have working hours under the EU average. Secondly, LFS data show a \ndifferent picture; a country like Greece has the longest working hours and also reports the highest time \npressure, the same ‘combination’ — but less extreme — applies to Austria, Cyprus and Malta. Trends \nof low or less than average working time and no time constraints are reported for Lithuania, and medium \nworking time and low time constraints for Italy and Ireland. \nAn analysis of EWCS data concluded 39 that in general intensity increases with long working hours, in \nenterprises with 1-19 the work intensity index (on a scale between 0 and 12) is 4.4, in larger enterprises \nwith above 40 employees it is 6.3. This is in line with ESENER data that corroborate the importance of \nthe size of the enterprise for time pressure and long working hours. \nLiterature — from very diverse disciplines — on work inten sification poi nts to reasons for \nintensification on developments as:40 \n• Economic developments, particularly the dominance of neoliberalist policies and enhanced \ncompetition between workers, companies and states; reduction of state influence and \nprivatisation.41 \n• Pressure due to substantial organisational changes, for example, introduction of short -term \neconomic objectives in enterprise policies, 42 expansion into new markets or new countries, \nacquiring other enterprises or merging, being acquired, restructuring of management or of basic \nstaff working conditions (contracts, working time, flexibility).43 \n• Decrease of trade union influence or worker participation regarding labour relations . \n• Liberalisation of labour legislation, creation of ‘new forms of work’ and new contract types, \nbeyond the permanent full-time employment.44 \n• New forms of management, application of management concepts like just-in-time production or \nlean management, higher flexibility of production and higher customer orientation, 45", - "page_start": 35, - "page_end": 35, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 29 \nFigure 7: Psychosocial risk factors – Differences between skill groups (Skill discretion) \n \nFor ‘Decision authority’ and ‘Skill discretion’, the authors found a stable situation since 1995, even a \nsmall rise of skill discretion for manual workers after 2010. Regarding ‘Psychological demands’ and ‘Job \nstrain’, the major increase for all groups took place between 1995 and 2005. This growth decelerated \nafter 2005, this observation is also valid for other working conditions, like work intensity. \n \n3.1.1 Working time in hours and at atypical times \nToo many hours of working time and/or working hours at atypical or unsocial times can put the \nmental and the physical health of humans at risk. It is also regarded as a major contributing factor \nto work accidents, due to fatigue or exhaustion.16 \nThe main indicator to describe working time is the number of the weekly average working hours of \nfull-time employees. However, regarding its impact on health and safety , other aspects of working \ntime are of the same relevance: \n• How long is the average working day? \n• At which times and days is this work done (typical, atypical times)? \n• How often do long working hours take place? \n• Is the work split between two jobs? \n• How flexible are start and end? \n• How intense is the work during this time (breaks, deadlines)? \n• Which groups of workers have standard working times and which do not (e.g. depending on the \nsector or the type of contract, e.g. sub-contracted workers or self-employed)? \nThere is a slight trend towards fewer working hours for full-time employees (not ‘Employed persons’) \nin the EU27; between 2006 and 2019 the average weekly working time dropped from 40.2 to 39.9 hours, \na decrease of approximately 15 minutes.17 \nRegarding the weekly hours, there are no striking differences between the EU27 Member States. In \n2019, Cyprus, Austria and Malta with a high share of workers in the sector of tourism (accommodation) \nhad the highest number of working hours per week (above 41 hours), and Denmark, the Netherlands \nand Italy the lowest number (39 or fewer) (full-time, employees, 15-64 years, all NACE codes).18", - "page_start": 28, - "page_end": 28, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 32 \nFigure 9: Average working time and work during unsocial hours – Eurostat LFS \n \n \nTwo country examples might illustrate these developments (all data for 2019): Slovakia, a country with \na high share of process-based industries, reports that 15.0% of its workforce is working at night and 29% \nin shifts; for the EU27 this rate is 5.2% respectively and 18.3%.25 Regarding work on Sundays three \nother countries are at the top of the EU27, the Netherlands, Ireland and Spain; they report between 18% \nand 21% ( EU27 average = 13.5%); all three countries have an above- average share of sectors like \ntransport, tourism and agriculture.26 \nFor all these types of work it should be take into account that other gro ups of workers under non -\nstandard types of employment contracts (self-employed, agency workers, students, pensioners, \nundeclared workers) might have taken over work at these atypical working times. \nConcluding, it can be stated that there is a slight trend towards a reduction of weekly working hours \nfor regularly employe d workers, including a stable commuting time. Working hours at atypical times \nshow a mixed picture. Looking at most types of employees, atypical working time decreased, except \nwork on Sundays. For self-employed with employees, the working time at atypical hours is in general \nat a higher level. The number of employees in night work is decreasing. More employees in service and \nclient-related occupations at night or in shifts but also here the atypical times are slightly decreasing. \nProbably these changes mirror the structural economic changes , that is, the shift of workforce \nbetween sectors. Night work was common in many industries as part of a three 8- hours shifts, not only \nin industries with permanent production processes (steel, chemicals, etc.).27 Moreover night work is and \nwas common in essential services like health, transport, technical infrastructure and security. The", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 142 \n \n \n21 Eurostat: Ad hoc module 2019 on work organisation and working time arrangements. Employment at an \natypical working time (time period start with 2011), here and here \n22 Eurostat Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status, \nfull-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2). here Filter: Employees, Full-time, All \nNACE, EU27 2019 Q4. \nEurostat Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status, \nfull-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), here Filter: Employees, Full-time, All \nNACE, EU27 2019 Q4. \n23 Eurostat definition of atypical work: The atypical work distinguishes between “evening or night work”, “Saturday \nor Sunday working”, and “shift work”. \n24 All data were retried from tables in: Labour market > Employment and unemployment (Labour force survey) M \n> LFS series - detailed annual survey results M > Population in employment working during unsocial hours - LFS \nseries \n25 Eurostat: Employed persons working at nights as a percentage of the total employment, by sex, age and \nprofessional status (%) \n26 Eurostat: Employed persons working on Sundays as a percentage of the total employment, by sex, age and \nprofessional status (%) \n27 Fiz Perez et al., 2019: Shift and night work management in European companies \n28 OSHWiki, 2022: Psychosocial issues – the changing world of work \n29 Eurofound, 2003: Time and work: Work intensity \nEurofound, 2009: Working conditions in the European Union: Working time and work intensity \n30 Eurofound, 2017: Sixth European Working Conditions Survey – Overview report (2017 Update) (p. 48). \n31 ESENER addresses the person in an enterprise responsible for or closest to the topic of OSH; the EWCS is a \nworker survey. In addition, the response options were different from the EWCS. Two options in ESENER, ‘Yes’ or \n‘No’, compared to three options in th e EWCS: ‘(Almost) all of the time’, ‘Between ¼ and ¾ of the time’, ‘(Almost) \nnever’. \n32 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data \nvisualisation, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, \n‘Pressure due to time constraints’. \n33 Ibid., Section ‘Psychosocial risk factors present in the establishment’, ‘Long or irregular working hours’. \n34 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me \nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’. \nResponse option: Time pressure. \n35 Ibid., Section ‘Psychosocial risk factors present in the establishment’, The exact question was: ‘Please tell me \nfor each of the following risks whether or not it is present in the establishment?‘ ‘Pressure due to time constraints’. \nResponse option: Time pressure. \n36 EU-OSHA: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data \nvisualisation, section ‘Comparisons 2014-2019’, section ‘Psychosocial risk factors present in the establishment’, \nThe exact question was: ‘Please tell me for each of the following risks whether or not it is present in the \nestablishment?‘ ‘Pressure due to time constraints’. Response option: Time pressure. \n37 Eurostat, 2019: Persons in e mployment by frequency of working under time pressure, educational attainment \nlevel and professional status, 20-64 years, percentages calculated from numerical data \n38 Kelliher & Anderson, 2010: Doing more with less? Flexible working practices and the intensification of work \n39 Piaska, 2018: Scheduled to work hard: The relationship between non-standard working hours and work \nintensity among European workers (2005–2015)", - "page_start": 141, - "page_end": 141, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "system helps to broadly describe changes of the economic structure that obviously influence working \nconditions. \nEven during the past three decades the trend from agriculture and industry to other service- dominated \nsectors continued in the EU, as the following Eurostat figure shows. The share of employees in \nagriculture went down from 8% to 4%, and also down in indus try from 21% to 15%, construction \nremained quite stable between 6% and 7% whilst all the service sectors (except ‘Financial services and \ninsurance’) gained a bigger share, particularly ‘Professional, scientific and technical activities’.", - "page_start": 100, - "page_end": 100, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "39 Piaska, 2018: Scheduled to work hard: The relationship between non-standard working hours and work \nintensity among European workers (2005–2015) \n40 See also the overview in: EU-OSHA, OSHWiki, Guyot, S: Psychosocial issues – the changing world of work, \nhere \n41 Newer literature: James & Walters, 2022: Work and Health: 50 Years of regulatory failure. \n42 Davis & Kim, 2015: Financialization of the Economy \n43 Ethics & Compliance Initiative, 2020: Global Business Ethics Survey Report. Pressure in the Workplace: \nPossible Risk Factors and Those at Risk \n44 Johnstone et al., 2005: Statutory Occupational Health and Safety Workplace Arrangements for the Modern \nLabour Market \n45 Lorenz & Valeyre, 2005: Organisational Innovation, Human Resource Management and Labour Market \nStructure: A comparison of the EU-15 \n46 Directive 2003/88/EC of 4 November 2003 concerning certain aspects of the organisation of working time", - "page_start": 141, - "page_end": 141, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 110 \nTable 30: Development of male and female workforce in the EU27 between 2005 and 2019299 \n \nAlthough female employment has grown faster than the men’s rate, the employment rate for men is still \n11% higher. Due to the much higher rate of part -time work — women 30%, men 9% 300 — the gender \ngap concerning participation in the labour market is higher when transforming the working time into ‘full-\ntime equivalents’ (FTE). EIGE calculated a difference of 16%: ‘The EU average FTE employment rate \nis 41% for women, compared to 57% for men.’ 301,302 \nThe average age of the workforce has drastically changed during the last 17 years. In 2005, the age \nclass between 55 and 64 years represented 11.1% of all employed persons, and in 2019 already 18.4% \nof the workforce — a growth of 16 million employed persons. At the same time, the share of the age \nclass between 15 and 39 years decreased from 49.6% to 41.6% , or 8.5 million . Already 5. 1 million \nemployed persons are older than 65 years, making up a share of 2.6% of the workforce.303 \n \nTable 31: Average age of the EU27 workforce304", - "page_start": 109, - "page_end": 109, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 33 \nnumber of workers in industry decreased, but the number of workers in the above- mentioned service \nsectors increased. \n \n3.1.2 Work intensity \nThere are numerous references showing that during the period between 1990 and 2005 work intensity \nhas considerably increased.28 \nFor example, Eurofound has analysed the responses to the two EWCS questions on high speed at work \nand tight deadlines. The EWCS found a significant increase of work intensity between 1991 and 2005. \nIn 1991, ‘Working at a very high speed’ was for the majority of respondents not an issue. Fifty-two per \ncent of the workers responded to this statement ‘Never’ or ‘Almost never’; in 1991 , 24% worked at high \nspeed and responded ‘Around ¾ of the time’, ‘Almost all of the time’ and ‘All of the time’; until 2005 this \nresponse rate went up by 11% to 35%. \nWorking to tight deadlines was not an issue for 34% in 1990, and in 2005 only for 19%, a reduction \nof 15%. The percentage of the sum of responses ‘Around ¾ of the time’, ‘Almost all of the time’ or ‘All \nof the time’ to this question on tight deadlines i ncreased between 1991 and 2005 from 29% to 37%. \nRegarding these two indicators, work intensity has evidently increased between 1991 and 2005.29 \n \nFigure 10: Development of work intensity indicators between 1991 and 2015 – Eurofound \n \nAfter that first period between 1991 and 2005, this development seems to stagnate between 2005 \nand 2015.30 The responses ‘Almost all of the time’ or ‘All of the time’ vary only slightly, between 33% \nand 37% depending on year and question (‘Working at high speed’ or ‘Working to tight deadlines’). \nDifferences can be seen regarding sector, company size and occupation. Regarding work intensity , \nESENER enterprise data on time pressure for the EU27 indicate a slight increase of 2.3% between 2014 \nand 2019 from 43% to 45%.31 Interestingly, according to ESENER, time pressure drastically increases \nwith the size of the enterprise. In enterprises with 5 - 9 employees, 39% report time pressure, and in \nenterprises with above 250 employees 69%. 32 The same applies for long working hours, where \nenterprises with 5 - 9 employees report 19% ‘long working hours’, and in enterprises with above 250 \nemployees this percentage increases to about 39% (EU27, 2019).33", - "page_start": 32, - "page_end": 32, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "What is the definition of a work accident according to the International Labour Organisation?", - "target_page": 38, - "target_passage": "ILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.’", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 71 \n4.1.2 Serious non-fatal and fatal work accidents \nEurostat defines a fatal work accident as follows: ‘A “fatal accident” means an accident which leads to \nthe death of a victim within one year of the accident’. 160 \nFatal commuting accidents are excluded, or when counted at national level, excluded from the ESAW \ndata. \nIn the last decade, most EU Member States registered a significant decrease of fatal work \naccidents.161 From 2010 to 2019, for the EU27, the incidence rate of fatal accidents decreased over \nall sectors from 2.31 to 1.74 , or a minus of 25%. In the period between 20 10 and 2019 the sectoral \nfigures of five major sectors developed as follows: \n \nTable 19: Incidence rates of fatal accidents per sector in 2010 and 2019 (EU27)162 \n \nAlso, large differences between countries can be noted. The following figure — taken from the OSH \nBarometer — calculates the number of fatal accidents in periods and compares the period 2010- 2014 \nwith 2015-2020. The reason is that — particularly in smaller Member States — a year with one serious \nand large work accident and several fatalities, or another year without any fatal accident , would distort \nthe annual picture and create significant changes from year to year. Romania, Luxembourg and Bulgaria \nhave the highest incident rates, and the Netherlands, Sweden and Germany the lowest. In 25 countries \nthe rate fell or stagnated in these two periods, with exceptions being Luxembourg and Greece. \n \nFigure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and 2015-\n2020163", - "page_start": 70, - "page_end": 70, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 82 \nexposures. The WHO/ILO study estimated the highest AF for the risk pair asbestos and mesothelioma, \nfor occupational ergonomic factors and back and neck pain, and for some types of occupational injuries. \n \nTable 24: Examples of fractions of diseases attributable to work (AF) – WHO/ILO215 \n \n \nIn 2021, the WHO and ILO published their estimates of the burden of work-related diseases, named the \n‘WHO/ILO joint estimates of the work -related burden of disease and injury, 2000- 2016’.216 WHO/ILO \ncalculates for the EU27 114,000 work-related deaths per year in 2016. When setting the absolute \nnumber of work -related deaths (114,000) in relation to the EU27 population above 16 years (371 \nmillion) in 2016, this results in approximately 31 deaths per 100,000 population in working age above \n16 years.217 \nThe second reference estimate was provided by the International Commission on Occupational \nHealth (ICOH). The size of the two major health consequences (‘Outcomes’) was calculated, that is, \nwork-related deaths, and work-related diseases. ICOH estimates in total 179,000 deaths; moreover, \nthey refer to the much smaller labour force population (209 million) and calculate 89 work-related \ndeaths per 100,000 labour force . The main reason for these different estimates is the general \napproach: WHO/ILO restricts their analysis to selected risk -outcome pairs, for example, long working \nhours as risk and stroke as outcome, whereas ICOH aspired to cover all work-related diseases.", - "page_start": 81, - "page_end": 81, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "that the reported 3.14 million accidents represent approximately 57.5% of all work accidents resulting in \nmore than three days of absence, while 42.5% are not reported. \nThe pure distinction between fatal and non-fatal work accidents does not reveal that a very large part of \nthe human and financial burden is caused by severe but not fatal accidents . In 2019, 232,892 work \naccidents resulted in an absence of more than three months or caused a permanent disability, compared \nto 3,008 fatal accidents (NACE Rev. 2 activity A, C -N). That is, in addition to every worker who dies, \nanother 77 suffer injuries resulting in at least three months off work or in permanent disability. \nWork-related deaths and diseases \nWork-related health outcomes represent a much higher burden for society than work accidents. \nMore workers are affected, and the overall costs are much higher. When limiting the scope of analysis \nto the officially recognised occupational diseases, the trend of healt h outcomes (deaths, illnesses) \ncaused by ‘exposures’ at work decreases similarly to the accident trend.", - "page_start": 11, - "page_end": 11, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 19 \nway by OSH legislation or OSH practice. The principle of employer responsibility for working conditions \nof workers is undermined or at least blurred in such situations. \nFuture solutions could focus on several aspects — a new definition of ‘work’ or of ‘employment’, \nstronger individual responsibility, or extended state interventions to guarantee OSH also in such \nworking and employment conditions. There are some examples of such solutions but to date most of \nthem focus on better information, that is, stronger individual responsibility. \nUndeclared and illegal employment is scarcely visible in the statistics. Due to the difficult conditions \nfor research, the overall OSH situation in these types of work is widely unknown; in case study -based \ninvestigative studies, the working conditions — including safety and health — for this group are mostly \nregarded as worse compared to workers with a regular work contract. It seems to be necessary to \nconsider different research and action initiatives for this type of work, also in collaboration with other \nstate supervising authorities. \nThe health data clearly show an ever-growing share of work tasks that go along with or even require \nphysical inactivity. Inactive work is often characterised by permanent sitting combined with high \nrequirements for visual and mental focusing during work, for example, towards digital equipment or to \ntraffic situations. Serious indirect health consequences of such inactivity can be seen in the strong \nincrease in certain widespread diseases or disease-supporting factors, like obesity. \nEven 15 years after the enlargement of the EU in 2004, significant differences between Member \nStates can still be observed regarding several working conditions. The data demonstrate that the worst \nstatus concerning physical risks, wellbeing, and expectations to do the job until the age of 60 — is almost \nalways present in eastern EU Member States, followed by southern Member States, all compared to the \nstatus in central, western and northern Member States . For psychosocial risks, it is just the other way \naround, these are more often reported in central, western and northern Member States. \nInternational organisations complain about an unfair divide of OSH risks in globalised supply \nchains, be it in mining, metallurgy, textile production, disposal of hazardous waste or other sectors. The \nILO decided in June 2022 to make OSH one of the Fundamental Principles and Rights at Work. In this \ncontext, 10 ILO conventions and instruments are considered now as fundamental, including two OSH \nconventions: the Occupational Safety and Health Convention, of 1981 (No. 155) and the Promotional \nFramework for Occupational Safety and Health Convention, of 2006 (No. 187). Ethical, fairness and \njustice considerations have led to more activities on decent, safe and healthy work in developing \ncountries and a fair share of risks at work in global supply chains. These are important initiatives, but \nuntil now they only slightly changed the overall situation when looking at the global scale of the issue.", - "page_start": 18, - "page_end": 18, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 67 \nTable 16: Non-fatal accidents estimated via coefficient of fatal accidents, 4 benchmark countries149 \n \nThe application of the average coefficient of four benchmark countries to all the EU27 leads to an \nestimated number of non- fatal accidents with more than three days absence of approximately 4.98 \nmillion. This is 1.84 million more work accidents than reported in ESAW; the reporting rate of ESAW \nfor non-fatal work accidents with four or more days of absence would be at around 63%. Country-\nspecific reports about underreporting determine similar figures and support these findings.150 \nThere seems to be a difference in the reporting level between countries with a universal health system \nwhere the reasons for an accident play a minor role and do not impact compensation and treatment. In \nmore fragmented health systems with distinguished work accident insurances, the ‘sphere’ (work or \nprivate life) — where the accident took place — is more relevant and influences the granted treatment \nand compensat ion. Some researchers perform this calculation only based on the coefficient of two \ncountries, Finland and Germany. 151 Both have separated insurance- based systems and are regarded \nas countries with a high reporting level. The coefficient would be 1, 734 (average of both countries \nwithout weighing of population size); this would result in an estimated number of non- fatal work \naccidents of 5.91 million. \nSelf-reports are another option to identify the number of work accidents . In the Eurostat LFS Ad hoc \nmodules of 2007, 2013 and 2020,152 ‘Employed persons’ were asked whether they had a work accident \nin the past 12 months.", - "page_start": 66, - "page_end": 66, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 116 \nICOH stated in its Centennial Declaration: \n‘The globalization process has not succeeded in equalising the conditions of work but in fact the opposite \nhas occurred; the gaps are increasing. Poverty, inequality and under -development are closely \nassociated with the poor safety, health and social conditions of work, as they are also linked with illiteracy, \nlack of education, poor access to health services and low or non-existent social protection.323 \nInternational organisations like the ILO, WHO and UN have also taken up the task to promote OSH \nworldwide. The ILO has established a system of conventions; their implementation is monitored in the \nsignature states.324 The ILO has issued and decided on nine ‘Fundamental conventions’ that have been \nsigned by 92% of the ILO member states.325 These fundamental conventions are: \n1. Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87) ; \n2. Right to Organise and Collective Bargaining Convention, 1949 (No. 98) ; \n3. Forced Labour Convention, 1930 (No. 29) (and its 2014 Protocol); \n4. Abolition of Forced Labour Convention, 1957 (No. 105); \n5. Minimum Age Convention, 1973 (No. 138); \n6. Worst Forms of Child Labour Convention, 1999 (No. 182); \n7. Equal Remuneration Convention, 1951 (No. 100); \n8. Discrimination (Employment and Occupation) Convention, 1958 (No. 111); and \n9. (since 2022) Two conventions on Occupational Safety and Health, that is, C-155 Occupational \nSafety and Health Convention,326 and C-187 Promotional Framework for OSH Convention. 327 \nThe ILO also promotes the ‘ Decent work’ approach to improve working conditions, covering aspects \nlike fair income, social protection for families, better prospects for personal development and social \nintegration, and equal opportunities and treatment. In the frame of this approach, the ILO has developed \nflagship programmes like ‘Safety and Health for all’ 328 and the ‘Global Action for Prevention on \nOccupational Safety and Health’ (OSH-GAP), a programme to support and promote OSH globally.329 \nIts priorities are: \n• legal, regulatory and adjudicative frameworks that address and integrate OSH, including core \nOSH laws and technical regulations; \n• enforcement and compliance with OSH in workplaces, including public, private and non-\ngovernmental systems that operate independently or in concert; \n• employer and worker competencies that are necessary to achieve and sustain OSH at global, \nnational and enterprise levels; \n• social dialogue that supports OSH; \n• public and private financial resources for investment in OSH; \n• occupational health services including public and private health services; \n• employment injury insurance programmes that support prevention of OSH fatalities, injuries \nand illnesses; \n• OSH professionals, institutions and networks; \n• OSH indicators and implementation of effective methodologies for OSH data collection; and \n• demand for the safety and health of workers and workplaces. \nThe International Social Security Association (ISSA) developed the Vision Zero initiative.330 ISSA \npromotes together with enterprises and many global OSH organisations this concept, aiming at the \ncomplete elimination of work accidents and occupational diseases. \nThe UN has developed a set of targets and indicators, the Social Development Goals (SDG).331 Target \n8 is dedicated to ‘Promote sustained, inclusive and sustainable economic growth, full and productive \nemployment and decent work for all’. Sub targets are: \n8.5 By 2030, achieve full and productive employment and decent work for all women and men, \nincluding for young people and persons with disabilities, and equal pay for work of equal value", - "page_start": 115, - "page_end": 115, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 69 \nTable 18: People reporting an accident by group of occupations (ISCO) – LFS Ad hoc 2020156 \n \nIn the Member States there exist very diverging perceptions of which level of severity of a work \naccident justifies a notification — or in the case of the LFS survey a positive response. In the LFS \nAd hoc module of 2020, the figures vary significantly between Member States. Some countries \npractically report only accidents with ‘Off work’ periods, for example, Italy, Lithuania, Malta and Poland. \nIn other countries the shares of work accidents reported that result in ‘Off work’ are under 40%, for \nexample, for Sweden and Finland, Greece, Denmark and France. 157 That means that in these countries \nthe respondents reported more than 50% such work accidents that did not cause an absence. Cultural \ndifferences in health perception in society and working life will probably be the major reason for these \ndifferences. \n \n \n© caro photo agency/EU-OSHA", - "page_start": 68, - "page_end": 68, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 72 \nESAW provides more detailed data about the severity of non -fatal accidents. 164 According to \nEurostat’s evaluation of ‘Causes and circumstances’ of work accidents ( data from 2005, EU -15 and \nNorway), in 2005, 3.9% of the non-fatal work accidents or 157,494 non-fatal accidents led to permanent \nincapacity (full or partly), and 138,568 (3,4% of all accidents) to absences from three to six months. 165 \nIn 2019, the outcome ‘Permanent incapacity or 183 days (of time-off) or over’ made up 4.4% of all \nnon-fatal work accidents or a little more than 100,000 cases. As serious outcomes we regard at \nleast the cases in the ESAW category: non-fatal accidents involving these consequences are more than \n34 times more frequent than fatalities . These detailed time- off and outcome data are only available \nfor the sectors A and C -N, not for the other sectors w ith lower accident rates. If we include in the \ndefinition of a serious accident also the ESAW category ‘Time off between 3 and 6 months’, another \n5.4% or 129,150 non-fatal accidents would be added to the category ‘Serious accident’. \nThis would sum up to 232,892 accidents at work with a time off between three and six months, \nand of more than six months or a permanent handicap. \n \nTable 20: Severity of accidents in the EU27 in 2019 (sectors A and C-N)166 \n \nNational data showed similar coefficients; a calculation for two EU Member States showed a coefficient \nof 27 for Germany (only permanent handicap) and 66 for France. 167 EU-OSHA used the severity data \nof Eurostat in its study on ‘The value of occupational safety and health and the societal costs of work -\nrelated injuries and diseases’ (2019).168 \nAccording to the publication ‘Causes and circumstances of accidents at work in the EU’ (DG EMPL and \nEurostat), the types of work accidents causing the longest average days of absen ce are: ‘Slipping, \nstumbling and falling’ (46 absence days), followed by three more categories at the same level: ‘Loss of \ncontrol of machines or handheld tools’, by ‘Shock, fright, violence, aggression, threat, presence’,169 and \nby ‘Electrical problems, explosion and fire’ (all three types of accidents with an average of 38 days of \nabsence).170 \nTo conclude, for an estimate of the burden of accidents at work, the distinction between fatal and non-\nfatal is too rough. ESAW data allow a finer analysis, at least for the sectors with higher accident \nrisks. The high number of serious and permanent healt h outcomes cause human suffering and \nsignificant societal costs; but they play an undervalued role in discussions on work accidents as OSH \nindicators. It has to be mentioned that these data play a large role as indicators in non-European OSH \nsystems; Canada uses the Disabling Injury Frequency Rate (DIFR).171 Australia applies incidence and", - "page_start": 71, - "page_end": 71, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 66 \nTable 15: Incidence rates of non-fatal accidents per sector in 2010 and 2019 (EU27)142 \n \nThese figures cover all employed persons, that is, employees, self -employed with employees = \nemployers, self -employed without employees and contributing family member. Literature shows that \nsome categories of self -employed have higher accident rates than employed worker \npersons.143ESAW data can hardly be used for a comparison between self -employed and other \ngroups, because self-employed are in many EU Member States not part of an obligatory work accident \ninsurance, but can instead take a choice between obligatory insurance, additional private insurance or \nfull private insurance. 144 Moreover, according to the ESAW regulation, the EU Member States can \ndecide whether to report work accident data of self-employed to Eurostat or not.145 \nSince the start of ESAW the identification of the level of underreporting was of high importance. \nPeriodically, Eurostat itself estimates underreporting rates per country, for example, in the ESAW \nmethodology 2001. This is necessary to understand the very different incidence rates in Member States, \nreporting at the lowest 62 (Romania) and highest 3 ,425 (France) non-fatal accidents per 100, 000 \nemployed persons (2019).146 These enormous differences of the occurrence of non-fatal accidents can \nonly be explained by different levels of reporting levels and respectively underreporting. \nA quite common method for correcting underreporting is to extrapolate the number of fatal accidents — \nthe reporting rate for fatal accidents is regarded as reliable — to calculate non-fatal accidents. Eurostat \nprovides the coefficient between fatal and non-fatal accidents. \nMethodology: \nEU-OSHA used the average coefficient between non-fatal and fatal work accidents of the four \ncountries Finland, France, Germany and Spain. The coefficient of registered non- fatal accident per \nfatal accident varies between 970 (France) and 2,085 (Germany), in 2019. The coefficient average for \nthese four countries is 1,462. If we multiply all ESAW-registered fatal accidents in the EU27 (3,408 \ncases) with this coefficient, we end up at 4.98 million non-fatal accidents with more than three days of \nabsence. \nFor the EU27 in 2019, the average ratio is 922 non-fatal accidents for every fatal accident .147 For \nan estimate, the coefficients of benchmark countries with a known high reporting rate are used to \nestimate underreporting throughout the EU27.148 \nThe following table shows the data and the calculation steps.", - "page_start": 65, - "page_end": 65, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Occupational safety and health in Europe - state and trends 2023 \nEuropean Agency for Safety and Health at Work – EU-OSHA 20 \n2 Setting the scene \n \n \nThe ethical and economic importance of safe and healthy working conditions was the root cause for the \ndevelopment of a strong legal framework and comprehensive policy actions targeting EU workplaces. \nThe objective of all related measures is to reduce the avoidable burden for individuals and society, that \nis annually more than 3,000 fatal accidents at work, and more than 230,000 severe accidents at work, \nand an estimated 180,000 deaths from work-related illness. \nDuring the last 50 years, we have witnessed significant progress in the field of OSH in EU Member \nStates. Milestones along the way provide evidence that a preventive, proactive and often participative \napproach has become mainstream in policies and many businesses. The number of work accidents that \nEurostat registers has decreased significantly in the period between 1994 and 2020. The EU stabilised \nand promoted this development, particularly in the 1990s, by adopting the overarching OSH Framework \nDirective and 24 specific OSH directives. OSH strategies and strategic frameworks at EU and Member \nState levels have contributed to streamlined approaches in priority areas. Higher safety and health \nstandards, better preventive technologies and OSH management, improved training and education of \nOSH professionals, and scientific, technical and medical progress have contributed considerably to \nimproving safety and health at work. Member States, the EU and international organisations have been \nproviding comprehensive and manifold guidance and support for enterprises, covering virtually every \nkind of OSH-related issue and proposing practical preventive measures. Broad and extensive research \nat national institutes and universities and by EU institutions has considerably improved the level of \nevidence and knowledge on OSH. \nLooking at the challenging and weaker aspects of the last 30 years, we still observe deficits concerning \nthe level of compliance and enforcement of OSH legislation, particularly in some sectors, types of work \n(e.g. mobile or domestic work), types of enterprises (e.g., micro and small enterprises), and in less \nsecure and irregular forms of work. During the COVID-19 pandemic in 2020 and 2021, quite a few media \nreported on insufficient safety and health measures in irregular, informal, insecure and illegal forms of \nwork, for example, in several types of seasonal or subcontracted work. Permanent and seemingly \naccelerating changes in economic and social policies, technologies and forms of work, the demographic \n© Panumas/Adobe Stock", - "page_start": 19, - "page_end": 19, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Was knowledge domain agnosticism a goal in the development of OLAF?", - "target_page": 1, - "target_passage": "Though an ideal ontology should model a domain in an application-independent manner, in practice, concepts and relations represented largely depend on one or more business use cases. As we designed our framework with industry application in mind, we need to consider it within its real-world usage context.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "An ontology represents knowledge as a set\nof concepts within a domain and the\nrelationships between those concepts.\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\ndescribed below have received the most attention and cover the scope of AI research.[a]\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\nsolve puzzles or make logical deductions.[13] By the late 1980s and 1990s, methods were developed for\ndealing with uncertain or incomplete information, employing concepts from probability and\neconomics.[14]\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\"combinatorial explosion\": They become exponentially slower as the problems grow.[15] Even humans\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\nproblems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\nKnowledge representation and knowledge engineering[17]\nallow AI programs to answer questions intelligently and\nmake deductions about real-world facts. Formal knowledge\nrepresentations are used in content-based indexing and\nretrieval,[18] scene interpretation,[19] clinical decision\nsupport,[20] knowledge discovery (mining \"interesting\" and\nactionable inferences from large databases),[21] and other\nareas.[22]\nA knowledge base is a body of knowledge represented in a\nform that can be used by a program. An ontology is the set\nof objects, relations, concepts, and properties used by a\nparticular domain of knowledge.[23] Knowledge bases need\nto represent things such as objects, properties, categories,\nand relations between objects;[24] situations, events, states,\nand time;[25] causes and effects;[26] knowledge about\nknowledge (what we know about what other people\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will\nremain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\nknowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition,\nthe problem of obtaining knowledge for AI applications.[c]\nReasoning and problem-solving\nKnowledge representation\nPlanning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Castaño, Arnaldo Pérez (23 May 2018). Practical Artificial Intelligence: Machine Learning,\nBots, and Agent Solutions Using C#. Apress. p. 2. ISBN 978-1-4842-3357-3.\nChakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and\nNavya-Nyaya Logic\". Philosophy and Phenomenological Research. 36 (4): 554–563.\ndoi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j\nstor.org/stable/2106873).\nChatfield, Tom (2017). Critical Thinking: Your Guide to Effective Argument, Successful\nAnalysis and Independent Study. Sage. p. 194. ISBN 978-1-5264-1877-7.\nChua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism'\" (https://philpapers.\norg/rec/CHUAER). Logic, Rationality, and Interaction. Lecture Notes in Computer Science.\nVol. 10455. pp. 631–636. doi:10.1007/978-3-662-55665-8_43 (https://doi.org/10.1007%2F9\n78-3-662-55665-8_43). ISBN 978-3-662-55664-1.\nClocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http\ns://link.springer.com/chapter/10.1007/978-3-642-55481-0_10). Programming in Prolog:\nUsing the ISO Standard. Springer. pp. 237–257. doi:10.1007/978-3-642-55481-0_10 (http\ns://doi.org/10.1007%2F978-3-642-55481-0_10). ISBN 978-3-642-55481-0.\nCook, Roy T. (2009). Dictionary of Philosophical Logic. Edinburgh University Press. p. 124.\nISBN 978-0-7486-3197-1.\nCopi, Irving M.; Cohen, Carl; Rodych, Victor (2019). Introduction to Logic. Routledge.\nISBN 978-1-351-38697-5.\nCorkum, Philip (2015). \"Generality and Logical Constancy\". Revista Portuguesa de\nFilosofia. 71 (4): 753–767. doi:10.17990/rpf/2015_71_4_0753 (https://doi.org/10.17990%2Fr\npf%2F2015_71_4_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283).\nJSTOR 43744657 (https://www.jstor.org/stable/43744657).\nCraig, Edward (1996). Routledge Encyclopedia of Philosophy (https://philpapers.org/rec/BE\nAREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101\n16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021.\nRetrieved 29 December 2021.\nCummings, Louise (2010). \"Abduction\". The Routledge Pragmatics Encyclopedia.\nRoutledge. p. 1. ISBN 978-1-135-21457-9.\nCunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/). Internet Encyclopedia of\nPhilosophy. Retrieved 23 September 2022.\nD'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is\nPropositional Logic Really Uninformative?\". Synthese. 167 (2): 271–315.\ndoi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4).\nhdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world\ncat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192).\nS2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882).\nDaintith, John; Wright, Edmund (2008). A Dictionary of Computing. OUP. ISBN 978-0-19-\n923400-4.\nvan Dalen, Dirk (1994). Logic and Structure. Springer. Chapter 1.5. ISBN 978-0-387-57839-\n2.\nDasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/). Internet Encyclopedia of\nPhilosophy. Retrieved 12 March 2023.\nDick, Anthony S.; Müller, Ulrich (2017). Advancing Developmental Science: Philosophy,\nTheory, and Method. Taylor & Francis. p. 157. ISBN 978-1-351-70456-4.\nDouven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/). The\nStanford Encyclopedia of Philosophy. Metaphysics Research Lab, Stanford University.\nArchived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab\nduction/) from the original on 7 September 2021. Retrieved 24 August 2021.", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia1.pdf" - }, - { - "text": "170. Clocksin & Mellish 2003, pp. 237–238, 252–255, 257, The Relation of Prolog to Logic;\nDaintith & Wright 2008, Logic Programming Languages (https://www.encyclopedia.com/com\nputing/dictionaries-thesauruses-pictures-and-press-releases/logic-programming-languages).\n171. O'Regan 2016, p. 49; Calderbank & Sloane 2001, pp. 768.\n172. Daintith & Wright 2008, Logic Gate (https://www.encyclopedia.com/computing/dictionaries-th\nesauruses-pictures-and-press-releases/logic-gate).\n173. Janssen & Zimmermann 2021, pp. 3–4; Partee 2016; King 2009, pp. 557–8; Aloni & Dekker\n2016, pp. 22–23 (https://books.google.com/books?id=ltSgDAAAQBAJ&pg=PT22).\n174. Warren 2020, 6. The Epistemology of Logic; Schechter.\n175. Warren 2020, 6. The Epistemology of Logic.\n176. Schechter.\n177. Gómez-Torrente 2019.\n178. Warren 2020, 6. The Epistemology of Logic; Gómez-Torrente 2019; Warren 2020, 1. What is\nConventionalism.\n179. Chua 2017, pp. 631–636; Wilce 2021; Putnam 1969, pp. 216–241.\n180. Lagerlund 2018.\n181. Spade & Panaccio 2019.\n182. Haaparanta 2009, pp. 4–6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4), 1.\nIntroduction; Hintikka & Spade, Modern logic, Logic since 1900.\n183. Kline 1972, \"A major achievement of Aristotle was the founding of the science of logic\", p.\n53; Łukasiewicz 1957, p. 7; Liu & Guo 2023, p. 15.\n184. Lear 1980, p. 34.\n185. Knuuttila 1980, p. 71; Fisher, Gabbay & Vila 2005, p. 119.\n186. Berman 2009, p. 133.\n187. Frede; Groarke.\n188. Ewald 2019; Smith 2022.\n189. Hasse 2008; Lagerlund 2018.\n190. Washell 1973, pp. 445–50; Kneale & Kneale 1962, pp. 229, 266.\n191. Goodman 2003, p. 155.\n192. Goodman 1992, p. 188.\n193. Hintikka & Spade, Arabic Logic (https://www.britannica.com/topic/history-of-logic/Medieval-lo\ngic#ref65928).\n194. Iqbal 2013, pp. 99–115, The Spirit of Muslim Culture.\n195. Marenbon 2021, Introduction; 3. The Logical Text-Books; Hintikka & Spade.\n196. Hintikka & Spade; Hasse 2008; Spade & Panaccio 2019.\n197. 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ISBN 978-0-08-053336-0.\nFitch, G. W. (18 December 2014). Saul Kripke. Routledge. p. 17. ISBN 978-1-317-48917-7.\nFlotyński, Jakub (7 December 2020). Knowledge-Based Explorable Extended Reality\nEnvironments. Springer Nature. p. 39. ISBN 978-3-030-59965-2.\nFont, Josep Maria; Jansana, Ramon (2017). A General Algebraic Semantics for Sentential\nLogics. Cambridge University Press. p. 8. ISBN 978-1-107-16797-1.\nFrede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html).\nMichigan Technological University. Retrieved 1 November 2022.\nFriend, Michele (2014). Introducing Philosophy of Mathematics. Routledge. p. 101.\nISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "OLAF\nOntology based-system\nOntology Use Cases Final Application\nKnowledge sources\nText Corpus Seed Ontology\nOntology\nPipeline Building Pipeline Optimisation Pipeline Execution\nC-value-based filtering\nLinguistic-based filtering\nTF-IDF value-based filtering\nConceptNet-based extraction\nGrouping terms based on synonyms\nTerm cooccurrences-based extraction\nSimilarity-based extraction\nFormal concept Analysis\nTerm subsumption algorithm\nHierarchical clustering\nRule-based axiom extraction\nInductive Logic Programming\nOLAF : Ontology Learning Applied Framework\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr)\nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\nTerm Extraction\nTerm Enrichment\nConcept/RelationExtraction\nHierarchisation\nAxiom\nData preprocessing\nText Corpus\nOntology\nOLAF\nActivity Ressource\nArtifact Optional\nCAPTION\nSTATE OF THE ART\nSystem Overview Pros and cons\nText2Onto,\n2005, [1]\nIt is the reference in the field as it defines a\nrepresentation-agnostic structure with modular\nsteps and takes into account uncertainty. The\nsystem is implemented as a GATE module.\nOntologies can be exported in\nvarious formats. GATE system\nadds great visualisations. But it is\nnot maintained since 2011.\nOntoLearn\n(Reloaded),\n2013, [3]\nIt focuses on \"lexicalised ontologies\" and uses seed\nknowledge. It implements 5 steps: terminology\nextraction, hypernym graph construction, domain\nfiltering of hypernyms, hypernym graph pruning and\nedge recovery.\nIt relies on WordNet and POS\ntags and does not distinguish\nbetween terms and concepts.\nIt implements different\nadaptable approaches.\nOntoGain,\n2010, [2]\nIt focuses on multiword terms to construct a\n\"lexicalised ontology\" by adapting an agglomerative\nclustering and an FCA method. It implements 4\nsteps: text preprocessing, concept extraction (C/NC-\nvalue), taxonomy construction, and non-taxonomic\nrelation acquisition (rule-based and probabilistic).\nIt considers only multiword\nterms and relies on WordNet\nand POS tags. It does not\ndistinguish between terms and\nconcepts and implements\ndifferent adaptable approaches.\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg:\nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI:\n10.1162/COLI_a_00146\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications,\nDatabase, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101\n1.\n2.\n3.\n4.\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology\nlearning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning\nsystems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an open-\nsource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\nMost ontology learning systems do not consider the targeted ontology-\nbased system. Though an ideal ontology should model a domain in an\napplication-independent manner, in practice, concepts and relations\nrepresented largely depend on one or more business use cases. As\nwe designed our framework with industry application in mind, we need", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "Acknowledgements \nAuthored by Alek Tarkowski and Paul Keller ( Open Future), Derek Slater and Betsy Masiello \n(Proteus Strategies) in collaboration with Creative Commons. \nWe are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; \nJonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet \nArchive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/\nNYU Engelberg Center, Nicholas P . Garcia, Public Knowledge; Sayeed Choudhury; Erik \nStallman, UC Berkeley School of Law. The paper represents the views of the authors, \nhowever, and should not be attributed to the workshop as a whole. All mistakes or errors are \nthe authors’. \n \nThis report is published under the terms of the Creative Commons Attribution \nLicense.\nTowards a Books Data Commons for AI Training 21", - "page_start": 21, - "page_end": 21, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Finding a provably correct or optimal solution is intractable for many important problems.[15] Soft\ncomputing is a set of techniques, including genetic algorithms, fuzzy logic and neural networks, that are\ntolerant of imprecision, uncertainty, partial truth and approximation. Soft computing was introduced in\nthe late 1980s and most successful AI programs in the 21st century are examples of soft computing with\nneural networks.\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and\nsuperintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these\nsolutions will lead indirectly to the field's long-term goals.[378][379] General intelligence is difficult to\ndefine and difficult to measure, and modern AI has had more verifiable successes by focusing on specific\nproblems with specific solutions. The sub-field of artificial general intelligence studies this area\nexclusively.\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental\nstates, in the same sense that human beings do. This issue considers the internal experiences of the\nmachine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because\nit does not affect the goals of the field: to build machines that can solve problems using intelligence.\nRussell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way\nhumans are is not one that we are equipped to take on.\"[380] However, the question has become central to\nthe philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction.\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and\n\"easy\" problems of consciousness.[381] The easy problem is understanding how the brain processes\nsignals, makes plans and controls behavior. The hard problem is explaining how this feels or why it\nshould feel like anything at all, assuming we are right in thinking that it truly does feel like something\n(Dennett's consciousness illusionism says this is an illusion). While human information processing is easy\nto explain, human subjective experience is difficult to explain. For example, it is easy to imagine a color-\nblind person who has learned to identify which objects in their field of view are red, but it is not clear\nwhat would be required for the person to know what red looks like.[382]\nComputationalism is the position in the philosophy of mind that the human mind is an information\nprocessing system and that thinking is a form of computing. Computationalism argues that the\nrelationship between mind and body is similar or identical to the relationship between software and\nhardware and thus may be a solution to the mind–body problem. This philosophical position was inspired\nby the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by\nphilosophers Jerry Fodor and Hilary Putnam.[383]\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed\ncomputer with the right inputs and outputs would thereby have a mind in exactly the same sense human\nbeings have minds.\"[ac] Searle challenges this claim with his Chinese room argument, which attempts to\nNarrow vs. general AI\nMachine consciousness, sentience, and mind\nConsciousness\nComputationalism and functionalism", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia3.pdf" - }, - { - "text": "88 \n \nChapter 13 Conclusion: Some Personal Thoughts and Opinions \n \nThis tutorial is just the entry point to a technology that is entering the Slope of Enlightenment in the \nGartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the \nSemantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US \ncorporations the excitement around Machine Learning seemed for a while to eclipse serious interest in \nOWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology \ncompanies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started \nto embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is \nfinally realizing that machine learning and knowledge graphs are complimentary not competitive \ntechnologies. \nThe term knowledge graph itself can be used in different ways. The best definition I’ve heard is that an \nontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology \ncombined with data (A-Box). Although in the corporate world I often hear people simply talk about \nknowledge graphs without much interest in the distinction between the vocabulary and the data. \nThere are a number of vendors emerging who are using the technology in very productive ways and are \nproviding the foundation for federated knowledge graphs that can scale to hundreds of millions of triples \nor more and provide a framework for all corporate data. I’ve listed several in the bibliography but those \nare only the ones I’ve had some experience with. I’m sure there are many others. One of the products I’ve \nhad the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz \nInc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the \ncommercial version. I’ve found the Allegro triplestore easy to use on a Windows PC with the Docker tool \nto emulate a Linux server. \nI first started working with classification-based languages when I worked at the Information Sciences \nInstitute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US \nDepartment of Defense and their contractors. Since then, I’ve followed the progress of the technology, \nespecially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great \npromise in the technology. When I first discovered Protégé it was a great experience. It is one of the best \nsupported and most usable free tools I’ve ever seen, and it always surprised me that there weren’t more \ncorporate users leveraging it in major ways. 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De Gruyter Mouton. pp. 383–388. doi:10.1515/9783110867718.383 (http\ns://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w\neb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978\n3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022.\nWesterståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp\napers.org/rec/WESASA). Studia Logica. 48 (4): 577–585. doi:10.1007/BF00370209 (https://\ndoi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu\nsID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o\nrg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022.\nWilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp\nringer.com/article/10.1007/s10503-009-9131-5). Argumentation. 24 (1): 107–124.\ndoi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5).\nISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap\ni.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201\n08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on\n8 January 2022. Retrieved 8 January 2022.\nWilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum\nLogic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi). The Stanford\nEncyclopedia of Philosophy. Metaphysics Research Lab, Stanford University. Retrieved\n11 March 2023.\nWile, Bruce; Goss, John; Roesner, Wolfgang (2005). Comprehensive Functional\nVerification: The Complete Industry Cycle. Elsevier. p. 447. ISBN 978-0-08-047664-3.\nWillman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is OLAF a specific strategy for ontological learning or is it a toolbox of different strategies?", - "target_page": 1, - "target_passage": "Our vision is to implement a toolbox of methods we can gather to build pipelines. ", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "OLAF\nOntology based-system\nOntology Use Cases Final Application\nKnowledge sources\nText Corpus Seed Ontology\nOntology\nPipeline Building Pipeline Optimisation Pipeline Execution\nC-value-based filtering\nLinguistic-based filtering\nTF-IDF value-based filtering\nConceptNet-based extraction\nGrouping terms based on synonyms\nTerm cooccurrences-based extraction\nSimilarity-based extraction\nFormal concept Analysis\nTerm subsumption algorithm\nHierarchical clustering\nRule-based axiom extraction\nInductive Logic Programming\nOLAF : Ontology Learning Applied Framework\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr)\nJean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\nTerm Extraction\nTerm Enrichment\nConcept/RelationExtraction\nHierarchisation\nAxiom\nData preprocessing\nText Corpus\nOntology\nOLAF\nActivity Ressource\nArtifact Optional\nCAPTION\nSTATE OF THE ART\nSystem Overview Pros and cons\nText2Onto,\n2005, [1]\nIt is the reference in the field as it defines a\nrepresentation-agnostic structure with modular\nsteps and takes into account uncertainty. The\nsystem is implemented as a GATE module.\nOntologies can be exported in\nvarious formats. GATE system\nadds great visualisations. But it is\nnot maintained since 2011.\nOntoLearn\n(Reloaded),\n2013, [3]\nIt focuses on \"lexicalised ontologies\" and uses seed\nknowledge. It implements 5 steps: terminology\nextraction, hypernym graph construction, domain\nfiltering of hypernyms, hypernym graph pruning and\nedge recovery.\nIt relies on WordNet and POS\ntags and does not distinguish\nbetween terms and concepts.\nIt implements different\nadaptable approaches.\nOntoGain,\n2010, [2]\nIt focuses on multiword terms to construct a\n\"lexicalised ontology\" by adapting an agglomerative\nclustering and an FCA method. It implements 4\nsteps: text preprocessing, concept extraction (C/NC-\nvalue), taxonomy construction, and non-taxonomic\nrelation acquisition (rule-based and probabilistic).\nIt considers only multiword\nterms and relies on WordNet\nand POS tags. It does not\ndistinguish between terms and\nconcepts and implements\ndifferent adaptable approaches.\nCimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1\nDrymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg:\nSpringer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2\nPaola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665–707. DOI:\n10.1162/COLI_a_00146\nMuhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications,\nDatabase, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101\n1.\n2.\n3.\n4.\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge\nrelevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology\nlearning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning\nsystems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an open-\nsource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\nMost ontology learning systems do not consider the targeted ontology-\nbased system. Though an ideal ontology should model a domain in an\napplication-independent manner, in practice, concepts and relations\nrepresented largely depend on one or more business use cases. As\nwe designed our framework with industry application in mind, we need", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "1 \n \nA Practical Guide to Building OWL Ontologies \nUsing Protégé 5.5 and Plugins \nEdition 3.0 \n8 April 2021 \nMichael DeBellis \n \nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of \nthe tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon \nJupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt. \nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the \nNational Institute of General Medical Sciences of the United States National Institutes of Health. \nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. \nI have also made some changes to address some of the most common issues I’ve seen new users grapple \nwith, to remove some of the dated information about older frame-based versions of Protégé, and various \nmiscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as \nSWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces. \nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to \nLorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to \nAndré Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for \ntheir excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the \nProtégé user support email list. \nNote: this document may get updates frequently. It is a good idea to check my blog at: \nhttps://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest \nversion. \nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "See discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\nA Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\nPreprint · April 2021\nCITATIONS\n0\nREADS\n36,030\n1 author:\nMichael Debellis\n21 PUBLICATIONS   194 CITATIONS   \nSEE PROFILE\nAll content following this page was uploaded by Michael Debellis on 21 April 2021.\nThe user has requested enhancement of the downloaded file.", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "An ontology represents knowledge as a set\nof concepts within a domain and the\nrelationships between those concepts.\nThe general problem of simulating (or creating) intelligence has been broken into subproblems. These\nconsist of particular traits or capabilities that researchers expect an intelligent system to display. The traits\ndescribed below have received the most attention and cover the scope of AI research.[a]\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they\nsolve puzzles or make logical deductions.[13] By the late 1980s and 1990s, methods were developed for\ndealing with uncertain or incomplete information, employing concepts from probability and\neconomics.[14]\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a\n\"combinatorial explosion\": They become exponentially slower as the problems grow.[15] Even humans\nrarely use the step-by-step deduction that early AI research could model. They solve most of their\nproblems using fast, intuitive judgments.[16] Accurate and efficient reasoning is an unsolved problem.\nKnowledge representation and knowledge engineering[17]\nallow AI programs to answer questions intelligently and\nmake deductions about real-world facts. Formal knowledge\nrepresentations are used in content-based indexing and\nretrieval,[18] scene interpretation,[19] clinical decision\nsupport,[20] knowledge discovery (mining \"interesting\" and\nactionable inferences from large databases),[21] and other\nareas.[22]\nA knowledge base is a body of knowledge represented in a\nform that can be used by a program. An ontology is the set\nof objects, relations, concepts, and properties used by a\nparticular domain of knowledge.[23] Knowledge bases need\nto represent things such as objects, properties, categories,\nand relations between objects;[24] situations, events, states,\nand time;[25] causes and effects;[26] knowledge about\nknowledge (what we know about what other people\nknow);[27] default reasoning (things that humans assume are true until they are told differently and will\nremain true even when other facts are changing);[28] and many other aspects and domains of knowledge.\nAmong the most difficult problems in knowledge representation are the breadth of commonsense\nknowledge (the set of atomic facts that the average person knows is enormous);[29] and the sub-symbolic\nform of most commonsense knowledge (much of what people know is not represented as \"facts\" or\n\"statements\" that they could express verbally).[16] There is also the difficulty of knowledge acquisition,\nthe problem of obtaining knowledge for AI applications.[c]\nReasoning and problem-solving\nKnowledge representation\nPlanning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "represented largely depend on one or more business use cases. As\nwe designed our framework with industry application in mind, we need\nto consider it within its real-world usage context.\nEmbedding-based similar term extraction\nConceptNet synonym extraction\nWordNet synonym extraction\nWe choose Python as it eases access to the vast python\ncommunity and its library ecosystem, particularly NLP tools and\nnumerous Machine Learning (ML) libraries.\nAlgorithm implemented\nUpcoming implementation\n : Iterative process\nOur vision is to implement a toolbox of methods we can\ngather to build pipelines. These pipelines can be run,\noptimised and analysed to learn the best possible\nontology. \nOur implementation is largely based on the Python NLP\nlibrary spaCy. The text processing on spaCy helps us\nwork with data in many different languages while\nstaying flexible on the methods used. The only constraint\nis to end up with a list of spaCy Doc objects.\nOLAF IN A PRACTICAL CONTEXT\nWe designed the proposed framework focusing on automation with very little, if any, human involvement in mind. Unlike most existing approaches,\nparticular attention is brought to the learned ontology final production use case. We implement the framework as an open-source and open-\naccess python library. We aim to gather feedback and grow a community to develop and test multiple algorithms. Various satellite tools could be\ndeveloped to enhance the framework implementation. However, we should focus on developing axiom extraction and automatic ontology\nevaluation. One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter\nfield is known as \"SemOps\".\nDifferent serialization techniques can be used to export and\nleverage the learned ontology in an application system. \nONTOLOGY LEARNING FRAMEWORK\nARCHITECTURE\na search engine on Schneider Electric products\na chatbot on Human Resources issues.\nWe only work on unstructured textual data. \nWe apply the framework in two different use cases and datasets\nto validate our results :\nOur framework provides several algorithms for the different\nstages of the pipeline. The algorithms are taken from external\nlibraries or directly implemented in the framework. The goal is to\nhave as many methods as possible to cover the maximum needs.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "report that an intermediate fine-tuning step with\nsupervised parsing does not make much difference\nfor downstream task performance.\n3.2 Semantic knowledge\nTo date, more studies have been devoted to BERT’s\nknowledge of syntactic rather than semantic phe-\nnomena. However, we do have evidence from an\nMLM probing study that BERT has some knowl-\nedge of semantic roles (Ettinger, 2019). BERT\neven displays some preference for the incorrect\nfillers for semantic roles that are semantically re-\nlated to the correct ones, as opposed to those that\nare unrelated (e.g. \"to tip a chef\" is better than \"to\ntip a robin\", but worse than \"to tip a waiter\").\nTenney et al. (2019b) showed that BERT en-\ncodes information about entity types, relations,\nsemantic roles, and proto-roles, since this infor-\nmation can be detected with probing classifiers.\nBERT struggles with representations of num-\nbers. Addition and number decoding tasks showed\nthat BERT does not form good representations for\nfloating point numbers and fails to generalize away\nfrom the training data (Wallace et al., 2019b). A\npart of the problem is BERT’s wordpiece tokeniza-\ntion, since numbers of similar values can be divided\nup into substantially different word chunks.\nOut-of-the-box BERT is surprisingly brittle to\nnamed entity replacements: e.g. replacing names\nin the coreference task changes 85% of predictions\n(Balasubramanian et al., 2020). This suggests that\nthe model does not actually form a generic idea of\nnamed entities, although its F1 scores on NER prob-\ning tasks are high (Tenney et al., 2019a). Broscheit\n(2019) find that fine-tuning BERT on Wikipedia\nentity linking \"teaches\" it additional entity knowl-\nedge, which would suggest that it did not absorb all\nthe relevant entity information during pre-training\non Wikipedia.\n3.3 World knowledge\nThe bulk of evidence about commonsense knowl-\nedge captured in BERT comes from practitioners\nusing it to extract such knowledge. One direct prob-\ning study of BERT reports that BERT struggles\nwith pragmatic inference and role-based event\nknowledge (Ettinger, 2019). BERT also struggles\nwith abstract attributes of objects, as well as visual\nand perceptual properties that are likely to be as-\nsumed rather than mentioned (Da and Kasai, 2019).\nThe MLM component of BERT is easy to\nadapt for knowledge induction by filling in the\nLanguage Models as Knowledge Bases?\nFabio Petroni1 Tim Rockt¨aschel1,2 Patrick Lewis1,2 Anton Bakhtin1\nYuxiang Wu1,2 Alexander H. Miller1 Sebastian Riedel1,2\n1Facebook AI Research\n2University College London\n{fabiopetroni, rockt, plewis, yolo, yuxiangwu, ahm, sriedel}@fb.com\nAbstract\nRecent progress in pretraining language mod-\nels on large textual corpora led to a surge\nof improvements for downstream NLP tasks.\nWhilst learning linguistic knowledge, these\nmodels may also be storing relational knowl-\nedge present in the training data, and may\nbe able to answer queries structured as “fill-\nin-the-blank” cloze statements. Language\nmodels have many advantages over structured\nknowledge bases: they require no schema en-\ngineering, allow practitioners to query about\nan open class of relations, are easy to extend to\nmore data, and require no human supervision\nto train. We present an in-depth analysis of the\nrelational knowledge already present (without\nfine-tuning) in a wide range of state-of-the-\nart pretrained language models. We find that\n(i) without fine-tuning, BERT contains rela-\ntional knowledge competitive with traditional\nNLP methods that have some access to ora-\ncle knowledge, (ii) BERT also does remark-\nably well on open-domain question answer-\ning against a supervised baseline, and (iii) cer-\ntain types of factual knowledge are learned\nmuch more readily than others by standard lan-\nguage model pretraining approaches. The sur-\nprisingly strong ability of these models to re-\ncall factual knowledge without any fine-tuning\ndemonstrates their potential as unsupervised\nopen-domain QA systems. The code to re-", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "21. McGarry (2005).\n22. Bertini, Del Bimbo & Torniai (2006).\n23. Russell & Norvig (2021), pp. 272.\n24. Representing categories and relations: Semantic networks, description logics, inheritance\n(including frames, and scripts): Russell & Norvig (2021, §10.2 & 10.5), Poole, Mackworth &\nGoebel (1998, pp. 174–177), Luger & Stubblefield (2004, pp. 248–258), Nilsson (1998, chpt.\n18.3)\n25. Representing events and time:Situation calculus, event calculus, fluent calculus (including\nsolving the frame problem): Russell & Norvig (2021, §10.3), Poole, Mackworth & Goebel\n(1998, pp. 281–298), Nilsson (1998, chpt. 18.2)\n26. Causal calculus: Poole, Mackworth & Goebel (1998, pp. 335–337)\n27. Representing knowledge about knowledge: Belief calculus, modal logics: Russell & Norvig\n(2021, §10.4), Poole, Mackworth & Goebel (1998, pp. 275–277)\n28. Default reasoning, Frame problem, default logic, non-monotonic logics, circumscription,\nclosed world assumption, abduction: Russell & Norvig (2021, §10.6), Poole, Mackworth &\nGoebel (1998, pp. 248–256, 323–335), Luger & Stubblefield (2004, pp. 335–363), Nilsson\n(1998, ~18.3.3) (Poole et al. places abduction under \"default reasoning\". Luger et al. places\nthis under \"uncertain reasoning\").\n29. Breadth of commonsense knowledge: Lenat & Guha (1989, Introduction), Crevier (1993,\npp. 113–114), Moravec (1988, p. 13), Russell & Norvig (2021, pp. 241, 385, 982)\n(qualification problem)\n30. Newquist (1994), p. 296.\n31. Crevier (1993), pp. 204–208.\n32. Russell & Norvig (2021), p. 528.\n33. Automated planning: Russell & Norvig (2021, chpt. 11).\n34. Automated decision making, Decision theory: Russell & Norvig (2021, chpt. 16–18).\n35. Classical planning: Russell & Norvig (2021, Section 11.2).\n36. Sensorless or \"conformant\" planning, contingent planning, replanning (a.k.a online\nplanning): Russell & Norvig (2021, Section 11.5).\n37. Uncertain preferences: Russell & Norvig (2021, Section 16.7) Inverse reinforcement\nlearning: Russell & Norvig (2021, Section 22.6)\n38. Information value theory: Russell & Norvig (2021, Section 16.6).\n39. Markov decision process: Russell & Norvig (2021, chpt. 17).\n40. Game theory and multi-agent decision theory: Russell & Norvig (2021, chpt. 18).\n41. Learning: Russell & Norvig (2021, chpt. 19–22), Poole, Mackworth & Goebel (1998,\npp. 397–438), Luger & Stubblefield (2004, pp. 385–542), Nilsson (1998, chpt. 3.3, 10.3,\n17.5, 20)\n42. Turing (1950).\n43. Solomonoff (1956).\n44. Unsupervised learning: Russell & Norvig (2021, pp. 653) (definition), Russell & Norvig\n(2021, pp. 738–740) (cluster analysis), Russell & Norvig (2021, pp. 846–860) (word\nembedding)\n45. Supervised learning: Russell & Norvig (2021, §19.2) (Definition), Russell & Norvig (2021,\nChpt. 19–20) (Techniques)\n46. Reinforcement learning: Russell & Norvig (2021, chpt. 22), Luger & Stubblefield (2004,\npp. 442–449)\n47. Transfer learning: Russell & Norvig (2021, pp. 281), The Economist (2016)\n48. \"Artificial Intelligence (AI): What Is AI and How Does It Work? | Built In\" (https://builtin.com/ar\ntificial-intelligence). builtin.com. Retrieved 30 October 2023.", - "page_start": 31, - "page_end": 31, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Acknowledgements \nAuthored by Alek Tarkowski and Paul Keller ( Open Future), Derek Slater and Betsy Masiello \n(Proteus Strategies) in collaboration with Creative Commons. \nWe are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; \nJonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet \nArchive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/\nNYU Engelberg Center, Nicholas P . Garcia, Public Knowledge; Sayeed Choudhury; Erik \nStallman, UC Berkeley School of Law. The paper represents the views of the authors, \nhowever, and should not be attributed to the workshop as a whole. All mistakes or errors are \nthe authors’. \n \nThis report is published under the terms of the Creative Commons Attribution \nLicense.\nTowards a Books Data Commons for AI Training 21", - "page_start": 21, - "page_end": 21, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Towards a\nApril 2024\nBooks Data \nCommons for \nAI Training", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "and longer training (Liu et al., 2019b). The data\nalso does not have to be raw text: there is a num-\nber efforts to incorporate explicit linguistic in-\nformation, both syntactic (Sundararaman et al.,\n2019) and semantic (Zhang et al., 2020). Wu et al.\n(2019b) and Kumar et al. (2020) include the label\nfor a given sequence from an annotated task dataset.\nSchick and Schütze (2020) separately learn repre-\nsentations for rare words.\nAlthough BERT is already actively used as a\nsource of world knowledge (see subsection 3.3),\nthere is also work on explicitly supplying struc-\ntured knowledge . One approach is entity-\nenhanced models. For example, Peters et al.\n(2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is Text2Onto still updated nowadays?", - "target_page": 1, - "target_passage": "But it is not maintained since 2011.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "SNOllVlIWll H13N3US ONllVU3dO \n08-108-00 Sd3MAVN", - "page_start": 365, - "page_end": 365, - "source_file": "00-80T-80.pdf" - }, - { - "text": "SNOIlVlIWll HlOM3US ONllVU3dO \n08-108-00 Sd3MAVN", - "page_start": 346, - "page_end": 346, - "source_file": "00-80T-80.pdf" - }, - { - "text": "s://doi.org/10.1007/s10694-021-01157-3). Fire Technology. 57 (6): 3179–3185.\ndoi:10.1007/s10694-021-01157-3 (https://doi.org/10.1007%2Fs10694-021-01157-3).\nISSN 1572-8099 (https://search.worldcat.org/issn/1572-8099). Archived (https://web.archive.\norg/web/20241005165650/https://link.springer.com/article/10.1007/s10694-021-01157-3)\nfrom the original on 5 October 2024. Retrieved 5 October 2024.", - "page_start": 39, - "page_end": 39, - "source_file": "wikipedia3.pdf" - }, - { - "text": "© Copyright IBM Corp. 2011, 2018, 2019. All rights reserved. xix\nSummary of changes\nThis section describes the technical changes made in this edition of the book and in previous \neditions. This edition might also include minor corrections and editorial changes that are not \nidentified.\nSummary of Changes\nfor SG24-7938-07\nfor Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nas created or updated on November 7, 2019.\nJune 2019, Eighth Edition\nThis revision includes the following new and changed information.\nNew information\n/SM590000Add new look GUI\n/SM590000Hot Spare node\n/SM590000RAS line items\nChanged information\n/SM590000Added new GUI windows throughout", - "page_start": 20, - "page_end": 20, - "source_file": "sg247938.pdf" - }, - { - "text": "3~PWbWtlOdWd 3NVldUlV \n08-108-00 SdSMAVN", - "page_start": 149, - "page_end": 149, - "source_file": "00-80T-80.pdf" - }, - { - "text": "S3lWvNAaOtl3v~ mva \n08-108-00 Sd3MAQN", - "page_start": 61, - "page_end": 61, - "source_file": "00-80T-80.pdf" - }, - { - "text": "692 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nFigure 13-17 Issues detected by the update test utility\nThe results pane opens and shows you what issues were detected (see Figure 13-18). In \nour example, the system identified an error that one or more drives in the system are \nrunning microcode with a known issue and a warning that email notification (Call Home) is \nnot enabled. Although this issue is not a recommended condition, it does not prevent the \nsystem update from running. Therefore, we click Close and proceed with the update. \nHowever, you might need to contact IBM Support to assist with resolving more serious \nissues before continuing. \nFigure 13-18 Description of the warning from the test utility", - "page_start": 713, - "page_end": 713, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 13. RAS, monitoring, and troubleshooting 687\n5. Select all of the files to include in the compressed file; then, click Download. Depending \non your browser preferences, you might be prompted where to save the file or it \ndownloads to your defined download directory.\n13.4 Software update\nThis section describes the operations to update your Storwize V7000 software to V8.1. \nThe format for the software update package name ends in four positive integers that are \nseparated by dots. For example, a software update package might have the following name:\nIBM_2145_INSTALL_8.2.1.0\n13.4.1 Precautions before the update\nThis section describes the precautions that you should take before you attempt an update.\nDuring the update, each node in your Storwize V7000 clustered system is automatically shut \ndown and restarted by the update process. Because each node in an I/O Group provides an \nalternative path to volumes, use the Subsystem Device Driver (SDD) to make sure that all I/O \npaths between all hosts and storage area networks (SANs) work. \nIf you do not perform this check, certain hosts might lose connectivity to their volumes and \nexperience I/O errors when the Storwize V7000 node that provides that access is shut down \nduring the update process. You can check the I/O paths by using datapath query SDD \ncommands.\n13.4.2 IBM Storwize V7000 update test utility\nThe software update test utility is a Storwize V7000 software utility that checks for known \nissues that can cause problems during a Storwize V7000 software update. For more \ninformation about the utility, see this website.\nDownload the software update utility from this page where you can also download the \nfirmware. This procedure ensures that you receive the current version of this utility. You can \nuse the svcupgradetest utility to check for known issues that might cause problems during a \nsoftware update. \nThe software update test utility can be downloaded in advance of the update process. \nAlternately, it can be downloaded and run directly during the software update, as guided by \nthe update wizard.\nYou can run the utility multiple times on the same IBM Storwize V7000 system to perform a \nreadiness check-in preparation for a software update. Run this utility for a final time \nimmediately before you apply the software update to ensure that there were no new releases \nof the utility since it was originally downloaded.\nImportant: Before you attempt any IBM Storwize V7000 code update, read and \nunderstand the Storwize V7000 concurrent compatibility and code cross-reference matrix. \nFor more information, see this website and click Latest Storwize V7000 code.", - "page_start": 708, - "page_end": 708, - "source_file": "sg247938.pdf" - }, - { - "text": "ar r15,r3 add length of text 01290005\n stcm r15,b'0011',msgtxt Set the length 01300005\n bctr r3,0 subtract 1 01310005\n l r15,msgtxta Get source address 01320005\n ex r3,mvcins Move it 01330005\n 01340000\n mvc wtoe,wto1 init the execute form 01350007\n la r3,msgtxt 01360005\n slr r0,r0 01370000\n wto text=(r3),mf=(E,wtoe) 01380005\n j exit exit 01390000\n 01400000\n 02250000\nexit ds 0h 02260000", - "page_start": 279, - "page_end": 279, - "source_file": "sg246915.pdf" - }, - { - "text": "140 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nYou can navigate directly to the events menu by clicking View All Events option or see each \nevent message separately by clicking the Details icon of the specific message, analyze the \ncontent, and eventually run the suggested fix procedure (see Figure 5-13).\nFigure 5-13 External storage connectivity loss\nRunning jobs and suggested tasks\nThe middle icon in the notification area provides an overview of currently running tasks that \nare triggered by administrator. It also includes the suggested tasks that recommend that \nusers perform specific configuration actions.\nIn the example that is shown in Figure 5-14 on page 141, we did not yet define any hosts \nattached to the systems. Therefore, the system suggests that we do so and offers us direct \naccess to the associated host menu. Click Run Task to define the host according to the \nprocedure that is explained in Chapter 8, “Hosts” on page 317. If you do not want to define \nany host now, click Not Now and the suggestion message disappears.", - "page_start": 161, - "page_end": 161, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What was the proportion of revenue generated by wireless telecommunications operations in 2009?", - "target_page": 91, - "target_passage": "6,685", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "FINANCIAL HIGHLIGHTS 2013\n2013 CONSOLIDATED REVENUE AND ADJUSTED OPERATING PROFIT PROFILE\nREVENUE ADJUSTED OPERATING PROFIT\n(IN MILLIONS OF DOLLARS, EXCEPT PER SHARE, SUBSCRIBER AND EMPLOYEE DATA) 2013 2012 2011 2010 2009\nRevenue $ 12,706 $ 12,486 $ 12,346 $ 11,999 $ 11,537\nAdjusted operating profit 1 4,993 4,834 4,739 4,668 4,407 \nAdjusted operating profit margin 1 39% 39% 38% 39% 38%\nAdjusted net income 1 1,769 1,781 1,736 1,704 1,569\nAdjusted diluted earnings per share 1 3.42 3.41 3.17 2.94 2.53\nPre-tax free cash flow per share 1 3.97 3.91 3.63 3.79 3.09\nAnnualized dividend rate at year-end 1.74 1.58 1.42 1.28 1.16\nTotal assets 23,601 19,618 18,362 17,033 17,018\nLong-term debt (includes current portion) 13,343 10,789 10,034 8,654 8,464\nShareholders’ equity 4,669 3,768 3,572 3,760 4,273\nMarket capitalization of equity 24,903 23,346 20,736 19,435 19,476\nWireless subscribers (000s) 9,503 9,437 9,335 8,977 8,494\nTelevision subscribers (000s) 2,127 2,214 2,297 2,305 2,296\nInternet subscribers (000s) 1,961 1,864 1,793 1,686 1,619\nCable telephony subscribers (000s) 1,153 1,074 1,052 1,003 937\nNumber of employees 28,026 26,801 28,745 27,971 28,985\nFINANCIAL HIGHLIGHTS\nTOTAL SHAREHOLDER RETURN\nTEN-YEAR COMPARATIVE TOTAL RETURN: 2004–2013 ONE-YEAR COMPARATIVE TOTAL RETURN: 2013\nIFRS CDN GAAP\nFOR A DETAILED DISCUSSION OF OUR FINANCIAL AND OPERATING METRICS AND RESULTS, \nPLEASE SEE THE ACCOMPANYING MD&A LATER IN THIS REPORT.\nTSX \nTELECOM \nINDEX\n193%\nS&P \nTELECOM \nINDEX\n119%\nS&P/TSX \nCOMPOSITE \nINDEX\n115%\nTSX \nTELECOM \nINDEX\n11%\nS&P \nTELECOM \nINDEX\n11%\nS&P/TSX \nCOMPOSITE \nINDEX\n13%\nRCI.B \nON TSX\nRCI.B \nON TSX470% 11%\nWIRELESS 57%\nCABLE 27%\nMEDIA 13%\nBUSINESS SOLUTIONS 3%\n$12.7\nBILLION\n$5.0\nBILLION\nWIRELESS 61%\nMEDIA 4%\nBUSINESS SOLUTIONS 2%\nCABLE 33%\n1 For a definition of these measures (which are non-GAAP) see “Non-GAAP Measures” in Management’s Discussion and Analysis.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 01", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "49 ■ 2003 ANNUAL REPORT\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million\nof wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3\nmillion or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS\nservice revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which\ntotaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party’s network,\nwas $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the\nCompany’s network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The\nrate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001\nthrough April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from\nOctober 1, 2001 through December 31, 2001.\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3\nmillion of rebates and discounts given at the time of sale, which became more pronounced during the year to meet\nindustry competition for subscriber additions and subscriber retention.\nIn accordance with Sprint’s requirements, the Company launched third generation (3G 1X) service in August 2002.\nThe impact of 3G 1X-network enhancements on revenues was not significant in 2002.\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the\nresult of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the\n82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.\nWireless revenues from the Company’s paging operation were $0.3 million, a decrease of $0.1 million as the local\ncustomer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in\n2002 from 3,190 subscribers to 2,940 subscribers.\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%.\nTelephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues\nwas driven by a 38.4% increase in access minutes of use on the Company’s network and an increased percentage of\nminutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the\nFederal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC\n2002 compared to 2001\nCONTINUING OPERATIONS\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990’s. The partnership’s\nlocal customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December\n31, 2002. The decline was the result of competition with digital technologies and increased competition from national\ncarriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to\ntransform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the\npartnership to one of the minority partners. The agreement was signed in November 2002, and closing was February\n28, 2003. The Company’s portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million,\n$7.4 million and $6.7 million, respectively.\nDISCONTINUED OPERATIONS", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "fewer new customers were added during the year as discussed above.\nWe activated and upgraded fewer devices compared to 2012.\nTotal customer retention spending (including subsidies on handset\nupgrades) was $939 million, 0.3 % lower than last year. The reduction\nwas mainly because fewer existing subscribers upgraded their hardware\nas discussed above, which we partially attribute to the recent shift to\ntwo year contracts.\nOther operating expenses (excluding retention spending), were down\nslightly from 2012, due to a continued focus on cost productivity\ninitiatives we are implementing across various functions.\nHigher Adjusted Operating Profit\nAdjusted operating profit was 3 % higher this year compared to last\nyear because of continued growth of wireless data, our improvements\nin cost management and efficiency and lower volumes of hardware\nsales and upgrades. Adjusted operating profit margin as a percentage\nof network revenue increased this year to 46.8% from 45.6% in 2012.\n(IN MILLIONS OF DOLLARS)\nWIRELESS ADJUSTED OPERATING PROFIT\n2013\n2012\n2011\n$3,157\n$3,063\n$3,036\n40 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nKey Achievements\nHigher Operating Revenue and Adjusted Operating Profit\n Consolidated operating revenue was 2 % higher this year compared\nto 2012, led by an increase in data revenue at Wireless, higher\nInternet revenue at Cable, higher Next Generation revenue at\nBusiness Solutions and higher subscriber revenue at Media. Revenue\ngrew by 3% in Cable, 7 % in Business Solutions and 5 % in Media,\nwhile revenue at Wireless remained unchanged as the increase in\ndata revenue was offset by the decrease in voice revenue.\n Consolidated adjusted operating profit rose 3 % this year to $4,993\nmillion, with consolidated adjusted operating profit margins of 39.3%,\nresulting from higher revenue, the realization of cost efficiencies and\nshifts in the mix of revenue from products and services sold.\n Postpaid Wireless subscriber growth continued with net additions of\n228,000 and lower churn of 1.24%.\n Cable high-speed Internet subscribers grew by 97,000 and cable\ntelephony lines grew by 79,000, while television households\ndecreased by 87,000 compared to 2012.\nStrong Cash Flow\n Pre-tax free cash flow, defined as adjusted operating profit less\nspending on property, plant and equipment, and interest on long-\nterm debt (net of capitalized interest), increased by 1% compared to\n2012 to $2,044 million due to a 3 % increase in adjusted operating\nprofit offset by higher spending on property, plant and equipment.\nAfter-tax cash flow decreased by 6% from 2012 levels to $1,548 due\nto a 31% increase in cash taxes.\nStrong Balance Sheet and Liquidity Position\n Issued and fully hedged US$2.5 billion of ten and thirty year senior\nnotes at some of the lowest coupon rates ever achieved for Rogers\ncorporate debt, in two separate offerings comprising:\n– US$500 million of 3.00 % senior notes due 2023 and US$500\nmillion of 4.50% senior notes due 2043\n– US$850 million of 4.10 % senior notes due 2023 and US$650\nmillion of 5.45% senior notes due 2043\n Our overall weighted average cost of debt was 5.50 % at\nDecember 31, 2013 compared to 6.10 % at December 31, 2012 and\nthe weighted average term to maturity on our debt was 11.3 years,\ncompared to 9.2 years at December 31, 2012.\n Ended the year with $4.5 billion of available liquidity, comprised of\n$2.3 billion cash on hand, $2 billion available under our bank credit\nfacility and $0.2 billion available under our $0.9 billion accounts\nreceivable securitization program.\n In May 2013, each of Fitch Ratings and Standard and Poor’s Ratings\nServices upgraded RCI’s senior unsecured debt to BBB+ (from BBB) with\na stable outlook, while Moody’s Investors Service’s comparable rating is\nBaa1 with a stable outlook remained unchanged from last year.\nGrowing Dividends\n We increased our annualized dividend rate in February 2013 by 10 %\nto $1.74 per Class A Voting and Class B Non-Voting share and paid a\nquarterly dividend of $0.435 per share during 2013. We further\nincreased our annualized dividend on February 12, 2014, by 5%\nto $1.83.\nNew CEO\n Guy Laurence joined Rogers in December 2013, as our new President\nand Chief Executive Officer, succeeding Nadir Mohamed who retired\nfrom Rogers. Mr. Laurence brings 30 years of global experience in\nthe telecommunications and media industries.\nSignificant Developments\n Exclusive 12-year licensing agreement to broadcast national NHL\ngames, beginning with the 2014-2015 season was signed. The\nagreement grants Rogers the exclusive distribution rights of all\nnational regular season and playoff games within Canada, in multiple\nlanguages, across all platforms. At the same time, we executed\nseparate agreements to sublicence certain of these broadcasting\nrights to TVA Sports and CBC.\n Strategic acquisitions of Score Media Inc. (theScore), Mountain\nCablevision Ltd. (Mountain Cable), Blackiron Data ULC (Blackiron)\nand Pivot Data Centres were completed.\n Rogers First Rewards, a new loyalty program allowing customers to", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nNetwork revenue was higher this year compared to last year. This was\nthe net effect of:\n higher data revenue related to an increase in subscriber levels and\nhigher usage of wireless data services\n partially offset by our introduction of new lower priced US and\ninternational roaming plans and rates which offer consumers more\nvalue, and\n the continued adoption of customer friendly simplified plans, which\noften bundle in certain features like voicemail, caller ID and long\ndistance that we have charged for separately in the past.\nExcluding the decline in US and international roaming revenue this year,\nnetwork revenue would have increased 1%.\nData revenue was 17 % higher this year mainly because of the\ncontinued penetration and growing use of smartphones, tablet devices\nand wireless laptops, which increased the use of e-mail, wireless,\nInternet access, text messaging and other wireless data services. Data\nrevenue represented approximately 47% of total network revenue this\nyear, compared to approximately 41% last year.\nPostpaid churn was 1.24 % this year, compared to 1.29 % in 2012. The\nlower churn rate is partly attributable to the new simplified plans and\nthe roaming plans we introduced.\nGross postpaid subscriber additions were 1.4 million this year, or 3 %\nlower than last year, which reduced net postpaid subscriber additions to\n228,000, despite a lower postpaid churn. We believe the industry\ntransition from three year to two year plans resulting from the recent\nadoption of the Canadian Radio-television and Telecommunications\nCommission (CRTC) Wireless Code may have slowed our overall\nwireless subscriber growth from the second half of the year. See\n“Regulation in Our Industry” for more information on the Wireless\nCode.\nWe activated and upgraded approximately 2.7 million smartphones this\nyear, compared to approximately 2.9 million in 2012. Approximately\n34% of these were for new subscribers. The decrease was mainly\nbecause there was a 10 % reduction in hardware upgrades by existing\nsubscribers during the year, which we also believe is at least partly due\nto the move from three to two year contracts and the associated pricing\nchanges.\nThe percentage of subscribers with smartphones increased to 75 % of\nour overall postpaid subscriber base, compared to 69 % at the end of\n2012. Smartphone subscribers typically generate significantly higher\nARPU and are less likely to churn.\n(%)\nSMARTPHONES AS A PERCENTAGE OF POSTPAID SUBSCRIBERS\n2013\n2012\n2011\n75%\n69%\n56%\nThe decrease in prepaid subscriber net additions was mainly because of\nincreasing competition at the lower end of the wireless market where\nprepaid products are mainly sold.\nBlended ARPU was down slightly this year compared to last year because\nthe voice component declined at a faster rate than the data component\nincreased.\n(IN MILLIONS OF DOLLARS)\nWIRELESS DATA REVENUE\n2013\n2012\n2011\n$3,175\n$2,722\n$2,325\n(%)\nDATA REVENUE PERCENT OF BLENDED ARPU\n2013\n2012\n2011\n47%\n41%\n35%\nLower Equipment Sales\nEquipment sales (net of subsidies) include revenue from sales to:\n independent dealers, agents and retailers\n directly to subscribers through fulfillment by Wireless’ customer\nservice groups, websites, telesales and corporate stores.\nRevenue from equipment sales was lower this year, mainly because\nfewer existing subscribers upgraded their devices and there were fewer\ngross activations.\nLower Operating Expenses\nWe assess operating expenses in two categories:\n the cost of wireless handsets and equipment\n all other expenses involved in day-to-day operations, to service\nexisting subscriber relationships and attract new subscribers.\nThe cost of equipment was $50 million lower than last year, or 3 %,\nmainly because fewer existing subscribers upgraded hardware and\nfewer new customers were added during the year as discussed above.\nWe activated and upgraded fewer devices compared to 2012.\nTotal customer retention spending (including subsidies on handset", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that\nits paging customer base will continue to decline in the future.\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the\nresult of other wireless carriers executing additional leases to use space on the Company’s portfolio of towers. Of the\n88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants,\ncompared to 46 towers with external tenants at the end of 2002.\nsignificant industry competition for subscriber additions and subscriber retention. These discounts and rebates are\nprimarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or\nproviding free phones if the subscriber signs up for a specific contract term and a specific service plan.\nPCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7\nmillion of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\nSHENANDOAH TELECOMMUNICATIONS COMPANY ■ 46\nSHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\nMANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\nOriginating Terminating\n2003\n2003\n2002\n2002\nAs reported Pro forma As reported Pro forma\nOriginating Terminating", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "REVENUE\n($ IN BILLIONS)\n2011\n 7.1\n2012\n 7.3\n2013 7.3\nREVENUE\n($ IN BILLIONS)\n2011\n 1.61\n2012\n 1.62\n2013 1.70\nREVENUE\n($ IN BILLIONS)\nBUSINESS SOLUTIONS / CABLE\n2011\n2012\n2013\n3.3\n3.4\n3.5\n2011 12.3\nREVENUE\n($ IN BILLIONS)\n2012 12.5\n2013 12.7\nADJUSTED OPERATING PROFIT\n($ IN BILLIONS)\n2011\n 3.0\n2012\n 3.1\n2013 3.2\nADJUSTED OPERATING PROFIT\n($ IN BILLIONS)\n2011\n 0.18\n2012\n 0.19\n2013 0.16\nBUSINESS SOLUTIONS / CABLE\n2011\n2012\n2013\nADJUSTED OPERATING PROFIT\n($ IN BILLIONS)\n1.5\n1.6\n1.7\nADJUSTED OPERATING PROFIT\n($ IN BILLIONS)\n2011 4.7\n2012 4.8\n2013 5.0\n2013 REVENUE\n$12.7 billion\n2013 REVENUE\n$7.3 billion\n2013 REVENUE\n$1.7 billion\n2013 REVENUE\n$3.8 billion\n$12.7\nBILLION\nWIRELESS 57%\nCABLE 27%\nMEDIA 13%\nBUSINESS \nSOLUTIONS 3%\n$7.3\nBILLION\nTELEVISION 42%\nPUBLISHING 14%\nRADIO 13%\nTHE SHOPPING \nCHANNEL 17%\nSPORTS \nENTERTAINMENT 14%\nINTERNET 30%\nPHONE 13%\nBUSINESS \nSOLUTIONS 10%\nDATA 44%\nEQUIPMENT 7%\nPREPAID VOICE 3%\nPOSTPAID VOICE 46%\nTELEVISION 47%\n$3.8\nBILLION\n0.09\n0.09\n0.110.37\n0.35\n0.41\n$1.7\nBILLION", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\n2013 HIGHLIGHTS\nKey Financial Information\nYears ended December 31\n(In millions of dollars, except per share amounts) 2013 2012 % Chg\nConsolidated\nOperating revenue $ 12,706 $ 12,486 2\nAs adjusted 1:\nOperating profit $ 4,993 $ 4,834 3\nOperating profit margin 39.3% 38.7%\nNet income $ 1,769 $ 1,781 (1)\nDiluted earnings per share 3.42 3.41 –\nOperating income 2 2,926 2,766 6\nNet income 1,669 1,725 (3)\nBasic earnings per share from continuing operations 3.24 3.32 (2)\nDiluted earnings per share from continuing operations 3.22 3.30 (2)\nCash provided by operating activities 3,990 3,421 17\nPre-tax free cash flow 1 2,044 2,029 1\nAfter-tax free cash flow 1 1,548 1,649 (6)\nWireless\nOperating revenue $ 7,270 $ 7,280 –\nAdjusted operating profit 3,157 3,063 3\nAdjusted operating profit margin as % of network revenue 46.8% 45.6%\nCable\nOperating revenue $ 3,475 $ 3,358 3\nAdjusted operating profit 1,718 1,605 7\nAdjusted operating profit margin 49.4% 47.8%\nBusiness Solutions\nOperating revenue $ 374 $ 351 7\nAdjusted operating profit 106 89 19\nMedia\nOperating revenue $ 1,704 $ 1,620 5\nAdjusted operating profit 161 190 (15)\nKey Performance Indicators\nYears ended December 31\n2013 2012 % Chg\nSubscriber counts results (000s) 3\nWireless subscribers 9,503 9,437 1\nTelevision subscribers 2,127 2,214 (4)\nInternet subscribers 1,961 1,864 5\nPhone subscribers 1,153 1,074 7\nAdditional Wireless metrics 3\nWireless blended ARPU $ 59.58 $ 59.79 –\nWireless churn 1.24% 1.29%\nRatios\nDividend payout ratio 3 54% 48%\nDividends as a percentage of pre-tax free cash flow 1 44% 40%\nReturn on assets 3 7.1% 8.6%\nAdjusted net debt/adjusted operating profit 1,3 2.4 2.3\nEmployee-related information\nTotal active employees 28,026 26,801 5\n1 As adjusted amounts, pre-tax free cash flow, after-tax cash flow and adjusted net debt are Non-GAAP measures and should not be considered as a substitu te or alternative for\nGAAP measures. They are not defined terms under IFRS, and do not have standard meanings, so may not be a reliable way to compare us to other companies. See “Non-GAAP\nMeasures” for information about these measures, including how we calculate them.\n2 As defined. See “Additional GAAP Measures”.\n3 As defined. See “Key Performance Indicators”.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 27", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "or losses, changes in the fair value of derivative instruments, other\nincome and expenses, impairment of assets and changes in income tax\nexpense.\nWireless\nThe trends in Wireless revenue and adjusted operating profit reflect:\n the growing number of wireless voice and data subscribers\n decreased churn\n higher usage of wireless data\n higher handset subsidies as more consumers shift to smartphones\n a slight decrease in blended ARPU due to changes in wireless price\nplans.\nWe continue to target higher value postpaid subscribers, which has\ncontributed to the significantly heavier mix of postpaid versus prepaid\nsubscribers. Growth in our customer base and overall market\npenetration have resulted in higher costs over time for customer service,\nretention, credit and collection; however, most of the cost increases\nhave been offset by gains in operating efficiencies.\nWireless’ operating results are influenced by the timing of our\nmarketing and promotional expenditures and higher levels of subscriber\nadditions and related subsidies, resulting in higher subscriber acquisition\nand activation-related expenses in certain periods. This increased activity\ngenerally occurs in the third and fourth quarters, and can also occur or\nbe accentuated by the launch of popular new wireless handset models.\nCable\nThe trends in Cable services revenue and operating profit increases are\nprimarily due to:\n higher penetration and usage of Internet, digital and telephony\nproducts and services\n offset by competitive losses of television subscribers and pricing\nchanges over the past year.\nCable’s operating results are affected by modest seasonal fluctuations\nin subscriber additions and disconnections, typically caused by:\n university and college students moving\n individuals temporarily suspending service for extended vacations or\nseasonal relocations\n the concentrated marketing we generally conduct in our fourth\nquarter.\nBusiness Solutions\nThe trends in Business Solutions operating profit margin primarily reflect\nthe ongoing shift from lower-margin, off-net legacy long distance and\ndata services to higher-margin, on-net next generation IP-based\nservices.\nBusiness Solutions does not generally have any unique seasonal aspects\nto its business.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 55", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nKEY CHANGES IN FINANCIAL RESULTS THIS YEAR COMPARED TO 2012\n(In millions of dollars) Change see page\nOperating revenue changes – higher (lower):\nNetwork revenue – Wireless $ 29 39\nEquipment sales – Wireless (39) 39\nCable 117 42\nBusiness Solutions 23 45\nMedia 84 48\nCorporate items and intercompany eliminations 6\nHigher operating revenue compared to 2012 220\nAdjusted operating profit changes – higher (lower):\nWireless 94 39\nCable 113 42\nBusiness Solutions 17 45\nMedia (29) 48\nCorporate items and intercompany eliminations (36)\nHigher adjusted operating profit1 compared to\n2012 159\nHigher stock-based compensation expense (7) 51\nLower restructuring, acquisition and other expenses 7 51\nHigher depreciation and amortization (79) 51\nImpairment recognized in 2012 80 51\nHigher operating income 2 compared to 2012 160\nHigher finance costs (71) 52\nGain on sale of interest in TVtropolis 47 52\nGain on Inukshuk spectrum distribution in 2012 (233) 52\nOther 17 53\nLower income taxes 24 52\nDecrease in net income from continuing\noperations compared to 2012 (56)\nLoss from discontinued operations in 2012 32 52\nDecrease in net income compared to 2012 (24)\n1 Adjusted operating profit is a Non-GAAP measure and should not be considered as\na substitute or alternative for GAAP measure. It is not a defined term under IFRS,\nand does not have a standard meaning, so may not be a reliable way to compare\nus to other companies. See “Non-GAAP Measures” for information about these\nmeasures, including how we calculate them.\n2 As defined. See “Additional GAAP Measures”.\nOperating Revenue\nWireless network revenue was higher than last year because of higher\nadoption and usage of wireless data services, partially offset by the\nintroduction of lower priced roaming plans and pricing changes made\nover this year.\nCable operating revenue was higher than last year mainly because of\ngrowth in Internet and phone revenues and the acquisition of Mountain\nCable, partially offset by a decline in television revenue related\nprincipally from competitive TV subscriber losses.\nBusiness Solutions operating revenue was higher than last year mainly\nbecause we completed the acquisitions of Blackiron Data and Pivot\nData Centres earlier this year combined with the continued growth in\non-net and next generation services, partially offset by planned decline\nin legacy voice and data services.\nMedia operating revenue was higher than last year mainly because of\nrevenue growth at Sportsnet, higher attendance at Toronto Blue Jays\ngames and higher sales at The Shopping Channel.\nAdjusted Operating Profit\nWireless adjusted operating profit was higher this year because of\nhigher network revenue, our continued cost management and\nproductivity initiatives implemented across various areas and lower cost\nof equipment.\nCable adjusted operating profit was higher than last year because of\nthe continued growth in revenue combined with a shift in our product\nmix towards higher margin Internet and phone products.\nMedia’s adjusted operating profit was lower compared to last year. The\nincrease in operating revenue this year was more than offset by the\ncombined impact of higher player salaries at the Toronto Blue Jays, the\nNHL player lockout in 2012 and the costs associated with broadcasting\nmore NHL hockey games in 2013 because of the condensed 2012-2013\nseason which started in January 2013 and the compressed 2013-2014\nseason schedule associated with the upcoming winter Olympics.\nAdjusted operating profit relating to Corporate items and intercompany\neliminations was lower compared to last year because of continued\ninvestment in growth initiatives such as Rogers’ credit card, Outrank,\nRogers Alerts and other digital opportunities.\nOperating Income and Net Income\nOperating income was higher than last year while net income was\nlower. The increase in operating income is mainly because of the\nincrease in adjusted operating profit. Net income was lower mainly", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What has Rogers Communications done to improve its television platform?", - "target_page": 2, - "target_passage": "Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "STRATEGIC OBJECTIVESAND VALUE DRIVERS\nAt Rogers, our purpose is to easily connect customers with what matters most. Our vision is to be known for leading \nthe enablement of seamless, and reliable experiences across any device, place or time. \nDELIVER DIFFERENTIATED \nEND-TO-END CUSTOMER \nEXPERIENCES\nFocus on evolving our cross-device \nintegration to enable seamless, \nreliable and easy-to-use experiences \nanytime, anyplace and anywhere; on \ndelivering a differentiated range of \ndevices and device-related services; \nand on enabling greater integration \nof our media assets across screens.\nSTRENGTHEN THE \nCUSTOMER EXPERIENCE\nConstantly improve the experience \nthat customers have using our \nproducts and services by making it \neasier for them; providing the tools \nand resources customers need to use \nour products with confidence; being \nattuned to our customers’ evolving \nneeds; and continuing to simplify \nour product offerings.\nEXPAND OUR SERVICES REACH\nExpand the reach of our networks and \nservices through new construction and \ntargeted acquisitions that complement \nour existing platforms; by more widely \ndeploying products and services; and \nby expanding the reach of key media \nbrands nationally and across our digital \nplatforms.\nDRIVE FUTURE GROWTH \nOPPORTUNITIES\nContinue to develop targeted new \ngrowth areas of our business, including \nmachine-to-machine communications, \nmobile commerce and video, sports, \nbusiness communications services, \nlocal and digital media services, \nand home automation.\nMAINTAIN INDUSTRY-LEADING \nNETWORKS \nReinforce our fastest and most reliable \nnetworks by expanding our LTE \nnetwork to a wider proportion of the \nCanadian population, continuing to \nincrease broadband Internet speeds \nto capture and monetize the growth \nin data consumption, and further \nenhancing our TV platform with next \ngeneration features and functionality.\nIMPROVE PRODUCTIVITY \nAND COST STRUCTURE\nContinue to focus on cost-optimization \ninitiatives and organizational efficiency \nby improving service delivery; reducing \ncomplexity; focusing on fewer, more \nimpactful projects; managing expenses, \nand working closely with key suppliers.\nFOR A DETAILED DISCUSSION OF OUR STRATEGIC GOALS AND OBJECTIVES, \nSEE THE “OUR STRATEGY” SECTION IN THE ACCOMPANYING MD&A LATER IN THE REPORT.\nDELIVER INDUSTRY-LEADING SHAREHOLDER RETURNS\nOur mandate is to deliver long-term value and industry-leading shareholder returns. \nTo sustain our lead as the top integrated telecommunications and media company in Canada, \nour actions and investments are guided by the following six long-term strategic objectives:\n04 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "DELIVERING WHAT’S NEXT\nINNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE \nMOST ADVANCED INFORMATION, COMMUNICATIONS, \nENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS \nAND DEVICES ARE AT THE VERY CORE OF ROGERS. \nAs one of the first carriers in the world to offer the telecommunications \n“quadruple play” of wireless, television, Internet and telephony services \nover its own networks, few have more capabilities or success in enabling \nsubscribers to enjoy their experiences across multiple screens.\nRogers has a long history of firsts, including the first cellular call in Canada, \nthe world’s first high-speed cable modem service, the first digital cellular \nnetwork in North America, Canada’s first video-on-demand and mobile \nTV services, the first HSPA and LTE networks and the first to offer iPhone, \nAndroid, BlackBerry and Windows 8 in Canada. With the combination of \nour advanced next-generation national wireless network, our powerful \nbroadband cable infrastructure and our category-leading media assets, \nwe are in a unique position to help Canadians to live like never before.\nLEADING \nNEXT GENERATION \nNETWORKS\nDIGITAL MEDIA\nMOBILE \nCOMMERCE\nHOME \nAUTOMATION\nMACHINE-TO- \nMACHINE \nCOMMUNICATIONS\nMOBILE \nSTREAMING \nTELEVISION\nADVANCED IP \nSOLUTIONS\nENTERPRISE \nMOBILE \nAPPLICATIONS\nCONVERGED \nWIRELESS/ \nWIRELINE\n14 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nUnderstanding Our Business\nRogers Communications is one of Canada’s leading diversified communications and media companies.\nOur vision is to be known for leading the enablement and delivery of seamless, customer-driven communications,\nentertainment, information and transactional experiences across any device, place or time.\nWireless provides wireless voice and data communication services,\nincluding machine to machine to both consumer and enterprise\nbusinesses, governments and other telecommunications service\nproviders.Cable provides voice and data communications, home\nmonitoring, television and high-speed Internet services to both\nconsumers and businesses.Business Solutions provides voice and data\ncommunications and advanced services including data centre based\nsolutions and cloud computing services to a wide range of medium to\nlarge businesses, including other service providers, and government\neither wirelessly or over our terrestrial network. Revenue generated\nfrom these segments is generally based on monthly subscription and\nnetwork usage rates. Costs include attracting, setting-up and retaining\ncustomers, content, and the costs of upgrading and maintaining the\nunderlying network.\nOur wireless network is currently one of the most extensive and\nadvanced independent high-speed wireless data networks in Canada,\ncapable of supporting wireless services on smartphones, tablets,\ncomputers and a broad variety of machine-to-machine and specialized\ndevices. We built the first Long Term Evolution (LTE) high speed\nnetwork in Canada, reaching nearly 73% of the Canadian population\nat December 31, 2013. We also have roaming agreements with\ninternational carriers in more than 200 other countries, including 5 LTE\nroaming operators and have network sharing arrangements with several\ncarriers in Canada.\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers\nservices to consumers and businesses in Ontario, New Brunswick and\nNewfoundland. We also operate a North American transcontinental\nfibre-optic network that extends over 41,000 route kilometres that is\nused to serve enterprise customers, including government and other\ntelecommunications service providers. In Canada, the network extends\ncoast to coast and includes local and regional fibre, transmission\nelectronics and systems, hubs, POPs and IP Routing and switching\ninfrastructure. The network also extends to the US, from Vancouver\nsouth to Seattle, from the Manitoba-Minnesota border through\nMinneapolis, Milwaukee and Chicago, and from Toronto, through\nBuffalo, and Montreal, through Albany, to New York City, allowing us\nto connect Canada’s largest markets, while also reaching key US\nmarkets for the exchange of data and voice traffic.\nMedia provides television and radio broadcasting services to end\ncustomers over both traditional broadcast networks and new digital\nnetworks as well as multi-platform shopping, consumer and trade\npublications and sports media and entertainment experiences, primarily\nthrough its ownership of the Toronto Blue Jays. Revenue is largely\ndriven by advertising and, in the case of TV broadcasting and publishing\nby additional revenues from monthly subscriptions. Revenue is also\ngenerated by the sale of merchandise and event tickets. Costs include\nsports programming, broadcast content (including TV studios, writers\nand on air and on field talent), the cost of merchandise and the\nproduction costs associated with each medium.\nWe report our results of operations in four segments, which reflect how\nwe manage our operations and measure our performance.\nWIRELESS\nsee page 37\nCanada’s largest provider of\nwireless communications services.\nCABLE\nsee page 41\nOne of Canada’s leading\nproviders of cable television,\nhigh-speed Internet and cable\ntelephony services to consumers\nand businesses.\nBUSINESS SOLUTIONS\nsee page 45\nProvides Canadian enterprises,\ngovernment and other\ntelecommunications service\nproviders and partners with", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "products and services by making it easier for them, providing the tools\nand resources customers need to use our products with confidence,\nbeing attuned to our customers’ evolving needs and continuing to\nsimplify our product offerings.\nOUR PROGRESS IN 2013\nWe launched several new programs this year to improve the customer\nexperience, including Canada’s first Share Everything plans for\nindividuals, families and small businesses, our “worry free” $7.99 per\nday US wireless data roaming plan, a new suite of simplified travel value\npacks of voice, text and data roaming, and the Rogers First Rewards\nloyalty program, and we received regulatory approval for the Rogers\ncredit card. Connected for Success, our new broadband Internet pilot\nproject is designed to provide affordable broadband Internet,\ncomputers and software to residents of Toronto Community Housing as\npart of the Rogers Youth Fund program.\n5. IMPROVE PRODUCTIVITY AND COST STRUCTURE\nContinue to focus on cost-optimization initiatives and organizational\nefficiency by improving service delivery, reducing complexity, focusing\non fewer projects with more impact, managing expenses and working\nmore closely with key suppliers.\nOUR PROGRESS IN 2013\nWe continued to make progress on our cost efficiency initiatives this\nyear, which contributed to a 3% increase in consolidated adjusted\noperating profit and a 6 basis point increase in our consolidated\nadjusted operating profit margin to 39.3%, driven mostly by Wireless\nand Cable.\n6. DRIVE FUTURE GROWTH OPPORTUNITIES\nContinue to develop targeted new growth areas of our business,\nincluding machine-to-machine (M2M) communications, mobile\ncommerce and video, business communications services, local and\ndigital media services, home automation and sports.\nOUR PROGRESS IN 2013\nWe made strides in the M2M market this year, demonstrating a single,\nworldwide SIM card with our M2M global alliance partners that will\nstrengthen our M2M offering to multinational customers, and\nannouncing an M2M agreement with Sprint to bring a comprehensive\nin-car infotainment solution to the Canadian market. We also certified\nthe Suretap wallet, our mobile payment service, for the Android and\nBlackBerry 10 operating smartphone systems. We received a licence to\noperate a bank for the purposes of launching a Rogers’ branded credit\ncard. In addition, we expanded our Rogers Smart Home Monitoring\nfootprint, and launched other initiatives such as Outrank, an online site\nfor marketing and advertising small business, introduced Rogers Alerts\nand other digital opportunities.\n32 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nExecutive Summary\nABOUT ROGERS COMMUNICATIONS INC.\nRogers Communications is one of Canada’s leading diversified communications and media companies.\nWe provide a broad range of services: wireless and wired voice and data\ncommunications, cable television, high-speed Internet, cable telephony,\nwired telecom and data networking services to consumers and\nbusinesses. We also compete in television and radio broadcasting,\nmulti-platform shopping, sports media and entertainment, digital media\nand consumer, trade and professional publications.\nAlmost all of our operations and sales are in Canada. We have a highly\nskilled and diversified workforce of approximately 28,000 employees.\nOur head-office is in Toronto, Ontario and we have numerous offices\nacross Canada.\nFOUR BUSINESS SEGMENTS\nWe report our results of operations in four segments.\nWireless Wireless telecommunications operations\nfor consumers and businesses\nCable Cable telecommunications operations,\nincluding cable television, Internet and\ncable telephony for\nCanadian consumers and businesses\nBusiness Solutions Network connectivity through our fibre\nnetwork assets to support a range of\nvoice, data, networking, data centre and\ncloud-based services for medium and\nlarge Canadian businesses, governments,\nand other telecommunications providers\nMedia A diversified portfolio of media\nproperties, including television and radio\nbroadcasting, digital media, multi-\nplatform shopping, publishing and sports\nmedia and entertainment\n$12.7\nBILLION\n(%)\n2013 CONSOLIDATED REVENUE BY SEGMENT\nWIRELESS 57%\nCABLE 27%\nMEDIA 13%\nBUSINESS SOLUTIONS 3%\n$5.0\nBILLION\n(%)\n2013 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT\nWIRELESS 61%\nCABLE 33%\nMEDIA 4%\nBUSINESS SOLUTIONS 2%\n26 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS \nCONTENT AND EXPERIENCES TO CONSUMERS AND \nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY \nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA \nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH \nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE. \nToday, businesses across Canada connect with customers through Rogers \ncategory-leading television and radio assets, sports entertainment, \ntelevised and online shopping, publishing, and digital media properties as \nthe one-stop solution for all their local and national advertising needs.\nRogers Media is Canada’s premier combination of diversified broadcast, \nspecialty, sports, print and online media assets which together touch \nnearly 90% of Canadians every week. This includes over 50 popular AM \nand FM radio stations across Canada. In television, it includes the seven \nstation City network which broadcasts intensely local, urban-oriented \nLEADING CONTENT\nLEADING \nSPORTSNET TV \nFRANCHISE\nOMNI \nMULTICULTURAL \nNETWORK\nCITY NATIONAL \nTELEVISION \nNETWORK\nTORONTO \nBLUE JAYS \nBASEBALL TEAM\nNATIONAL \nRADIO \nPORTFOLIO\nTELEVISED \nSHOPPING \nNETWORK\n37.5% OWNERSHIP \nOF LEAFS, \nRAPTORS & TFC\nDIGITAL MEDIA \nPORTFOLIO\nICONIC \nMAGAZINE \nBRANDS\n12 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "WHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN \nEVOLVE THE BUSINESS IN A WWAAY THAT WILL BE \nEVEN MORE REWARDING FORR OOUR CUSTOMERS, \nOUR SHAREHOLDERS AND EMMPPLLOYEES.”\n“\nA MESSAGE FROM THE PRESIDENT & CEO \nGUY LAURENCE\nAs I write these words after recently joining the company, I can say with genuine \nenthusiasm that it’s great to be here at Rogers. I took this post because Rogers \nis a remarkable company with a rich history and an unrivalled mix of wireless, \ncable and media assets. It is a good match with my background and my experience.\nDuring the recruiting and onboarding \nprocess, I spent considerable time with the \nRogers family, the Board of Directors and \nthe leadership team. I am struck by their \nenergy, passion and drive to win, which I \nthink we can harness to do even greater \nthings. I also value the support and longer-\nterm focus of the founding Rogers family \nwho own significant equity in the company.\nSince joining, I have criss-crossed Canada \nmeeting my team, external stakeholders \nand customers. I have also conducted \nnumerous business reviews, overseen the \n700 MHz spectrum auction and reviewed \nthe regulatory agenda. All this with the \nview to developing a detailed set of \npriorities and plans for the company going \nforward. After I complete this review in \nthe Spring I will outline a detailed strategy \nand business plan working with my \nmanagement team.\nRogers has many strengths and I intend to \ncapitalize on them. This is a financially \nstrong company with a solid balance sheet \nand investment grade credit ratings. We \nhave highly advanced cable and wireless \nnetworks and a robust portfolio of media \nassets. We also have a strong pipeline of \nnew products and services to offer to our \ncustomers and some of the most \npassionate, committed employees I have \never worked with.\nWhile it is early days, I believe we can \nevolve the business in a way that will be \neven more rewarding for our customers, \nour shareholders and employees. Our goal \nis clear – winning on a consistent basis. \nAnd while our industry faces the challenge \nof moderating growth and regulatory \nuncertainty, few industries are more \ndynamic and better at leveraging new \ntechnologies. \nTo win, we must put our customers’ needs \nfront and centre in everything we do. This \nmeans delivering a better and more \nconsistent customer experience. It means \nstrengthening our value proposition to \nmake sure our customers can answer the \nquestion “why Rogers?” As a company, we \nneed to bring our collection of assets \ntogether in a way that strengthens and \ndifferentiates Rogers with our customers \nand our shareholders. We also need to \nalign and focus our investments in key areas \nto accelerate our growth. Internally we \nneed to execute with operational \nexcellence. And we need to focus on \nclarifying accountabilities and strengthening \nour teams at all levels of the company.\nAs CEO, I will work to re-establish our \nleadership position and accelerate our \ngrowth. This will take time. It is a long-\nterm effort that will require a clear \nstrategy, rigorous prioritization and \ndisciplined execution. It will not be easy, \nbut it is the job I have signed up for, and it \nis a challenge I intend to meet head-on.\nI look forward to continuing Ted’s legacy, \nand to leading Rogers through the next \nphase of growth and to serving you, our \nshareholders.\nThank you for your continued business, \ninvestment and support.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 03\nGUY LAURENCE \nPRESIDENT AND CHIEF EXECUTIVE OFFICER \nROGERS COMMUNICATIONS INC.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "ROGERS COMMUNICATIONS INC. AT A GLANCE\nRogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian \ntelecommunications and media company. As discussed in the following \npages, Rogers Communications is engaged in the telecom and media \nbusinesses through its primary operating segments Rogers Wireless, \nRogers Cable, Rogers Business Solutions and Rogers Media. \nROGERS COMMUNICATIONS\nROGERS COMMUNICATIONS\nCABLE BUSINESS SOLUTIONSWIRELESS MEDIA\nWIRELESS SEGMENT\nRogers Wireless provides wireless voice and data communications services across \nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido \nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the \nonly national carrier operating on the combined global standard GSM/HSPA+/LTE \ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless \nservices, and provides customers with the best and latest wireless devices and \napplications and the fastest network speeds. Rogers Wireless also provides \nseamless wireless roaming across the U.S. and more than 200 other countries, \nand is the Canadian leader in the deployment of mobile commerce and machine-\nto-machine communications.\nCABLE AND BUSINESS SOLUTIONS SEGMENTS\nRogers Cable is a leading Canadian cable services provider, whose service \nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and \nNewfoundland representing approximately 30% of the Canadian cable market. \nOur advanced digital hybrid fibre-coax network provides market leading high-\nspeed broadband Internet access speeds, the most innovative selection of digital \ntelevision and online viewing and telephony services to millions of residential \nand small business customers. Together with Rogers Business Solutions, it also \nprovides scalable carrier-grade business telecom, networking, hosting and \nmanaged data services, and IP connectivity and solutions to medium and large \nenterprise, government and carrier customers.\nMEDIA SEGMENT\nRogers Media is Canada’s premier destination for category-leading television and \nradio broadcasting, sports entertainment, publishing, and digital media properties. \nTelevision assets include national City network which reaches more than 80% of \nCanadians, five OMNI Television multilingual channels, seven regional and national \nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography \nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only \nnationally televised and online shopping service. It operates more than 50 Canadian \nradio stations, publishes 50+ well known consumer and business magazines, and \nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball \nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers \nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL \nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nCABLE\nONE OF CANADA’S LARGEST PROVIDERS OF CABLE\nTELEVISION, HIGH-SPEED INTERNET AND\nPHONE SERVICES\n 2.1 million television subscribers – approximately 31.4% of\nCanadian cable television subscribers\n 2.0 million high-speed Internet subscribers\n 1.2 million telephony subscribers\n a network that passes approximately 4 million homes in\nOntario, New Brunswick and Newfoundland.\nPRODUCTS AND SERVICES\nOur advanced digital two-way hybrid fibre-coaxial network provides a\nleading and innovative selection of digital television and online viewing,\nhigh-speed broadband Internet access, and cable telephony services:\n programming includes high-definition television (HDTV)\n on-demand, including movies, television series and events\n personal video recorders (PVRs) and Whole Home PVR\n time-shifted programming\n digital specialty, multicultural and sports programming\n Rogers Anyplace TV and Anyplace TV Home Edition for viewing on\nsmartphones, tablets and personal computers.\nCable Television generates service revenue from three areas:\n digital cable – includes digital channel service fees, including premium\nand specialty service subscription fees, pay per view service fees and\nvideo on demand service fees\n analog cable – includes basic cable service fees plus extended basic\n(or tier) service fees and access fees for use of channel capacity by\nthird parties\n rental of digital cable set-top terminals.\nInternet revenue includes monthly subscription and additional use\nservice revenues from residential, small business and wholesale Internet\naccess subscribers and modem rental fees.\nCable Telephony revenue includes revenues from residential and small\nbusiness local telephony service, calling features such as voicemail and\ncall waiting, and long-distance.\nDISTRIBUTION\nWe distribute our cable products using various channels including:\n company-owned Rogers retail stores\n customer self-serve rogers.com, ecommerce sites\n Rogers call centres, outbound telemarketing, door-to-door agents\n major retail chains\n an extensive network of third party retail locations.\nEXTENSIVE NETWORK\nRogers has an expansive fibre and hybrid fibre coaxial network\ninfrastructure that provides consumers, businesses and governments in\nOntario, New Brunswick and Newfoundland with a range of\ncommunications services, including video, broadband Internet, voice\nand data networking.\nThe network is structured to optimize performance and reliability and to\nallow for the simultaneous delivery of video, voice and Internet over a\nsingle platform. It is generally constructed in rings that interconnect\nwith distribution hubs, minimizing disruptions that can result from fibre\ncuts and other events.\n(%)\n2013 CABLE SERVICE REVENUE MIX\nTELEVISION 52%\nINTERNET 33%\nPHONE 15%\n$. 5\nBILLION\n3\nThe network is sub-divided into smaller clusters of homes\ninterconnected at a central node. The node is reached by fibre optic\ncable and in turn from the node to the home, video, voice and\nbroadband services are delivered using 860 MHz of spectrum over\ncoaxial cable.\nWe continually upgrade the network to improve capacity, enhance\nperformance and introduce new features and functionality. For\nexample, we invest in:\n further segmenting our network nodes to reduce the number of\nhomes in each node\n improving video signal compression by moving to more advanced\nvideo protocols\n improving channel and on-demand capacity by introducing new\ntechnology like switched digital video\n increasing Internet speed with data over cable service interface\nspecifications (DOCSIS 3.0), which now offers speeds of up to\n250 Mbps, setting the foundation for even higher speeds\n increasing the fibre to the home (FTTH) footprint by connecting to\nmore homes directly to fibre.\nIn 2012, we began transitioning customers still receiving television\nsignals over our analog broadcast channels to all-digital services, freeing\nup significant cable network capacity for additional features and", - "page_start": 44, - "page_end": 44, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "“\nROGGEERRSS MADE CLEAR PROGRESS ON A NUMBER OF \nSSTTRRAATTEGIC FRONTS, WHILE CONTINUING TO DELIVER \nSSTTRONG RETURNS TO SHAREHOLDERS AND BUILDING \nUUPPOON THE COMPANY’S DEEP-ROOTED FOUNDATIONS \nFOORR TTHHE FUTURE BENEFIT OF ALL OUR STAKEHOLDERS.”\nA MESSAGE FROM THE CHAIRMAN\nALAN HORN, CPA, CA \nCHAIRMAN OF THE BOARD \nROGERS COMMUNICATIONS INC.\nALAN HORN, CPA, CA\n2013 was another solid year in which Rogers made clear progress on a number of \nstrategic fronts, while continuing to deliver strong returns to shareholders and \nbuilding upon the company’s deep-rooted foundations for the future benefit of all \nour stakeholders. Our management team delivered on their financial guidance \ntargets in what continue to be highly competitive and regulatorily intense markets.\nRogers continued to deliver on the evolution \nand expansion of its core services. It quickly \nexpanded the reach of Canada’s first and \nfastest LTE wireless network to 73% of the \nCanadian population, introduced significant \nenhancements to its broadband data speeds \nand cable TV platform, and further added \nto its leading sports content and digital \nmedia assets. \nThe company executed several strategic \ntransactions that support Rogers core growth \nstrategies, including in the areas of wireless \nspectrum and network sharing, cable footprint \nexpansion, and significantly expanding its data \ncentre, colocation and managed services \ncapabilities for businesses. In addition, it struck \na landmark 12 year agreement with the NHL \nfor the exclusive national hockey broadcast \nrights across Canada.\nRogers also continued to deliver on its \ninnovation agenda, being first to market \nwith a series of new services in 2013, \nincluding in the quickly growing areas of \nmobile payments, machine-to-machine \ncommunications, home monitoring, local \ndigital services, and a new and unique \ncustomer loyalty program. \nWe continued to return increasing amounts \nof cash to shareholders. In 2013, the \ncompany’s significant cash generation \nallowed the Board to increase the dividend \nby 10% and return approximately $900 \nmillion to our shareholders in the form of \ndividends and share buybacks. And we \nfurther increased the dividend by 5% in \nFebruary 2014, continuing a multi-year trend \nof dividend growth. As you read on in this \nreport, you will find many more examples and \nmuch detail of the company’s operational and \nfinancial accomplishments over the past year.\nI would like to take the opportunity to thank \nour recently retired President and Chief \nExecutive Officer Nadir Mohamed for his \nleadership and substantial contributions at \nRogers over the past 13 years. Succeeding \na founder with professional management \nis always a delicate and important transition \nin the life cycle of a company, and Nadir \nprovided important continuity and solid \nleadership as CEO over the course of the \npast five years for which the Board and \nmanagement team are thankful. \nFollowing an extensive international search \nprocess, in September, 2013 the Board \nannounced that Guy Laurence would become \nPresident and Chief Executive Officer of \nRogers effective in December 2013. \nGuy brings 30 years of global experience \nin telecom, pay television and media, and \nis a proven, hands-on executive who has \nconsistently delivered strong financial and \noperating results in highly complex and \ncompetitive markets. Guy is an excellent \nfit for this role on many levels and the entire \nBoard look forward to his leadership for \nmany years to come.\nI would encourage you to review the \ndiscussions around our corporate governance, \ncommunity investments and sustainability \ninitiatives later in this annual report. First class \ncorporate governance practices have always \nbeen a strong tenet at Rogers, and as an \nentrepreneur founded and family controlled \ncompany, our Board takes pride in what is a \nproactive and disciplined approach to \nensuring that our governance practices \ncontinue to justify the confidence of the", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "Until what NHL season will the Vancouver's ice hockey team be a Rogers Communications partner?", - "target_page": 39, - "target_passage": "Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": " SIP Trunking, a new IP-based voice solution, was announced for\nenterprises designed to complement our fibre-based Internet and\nWAN connectivity services. Merging voice services with a business\ndata network, SIP Trunking solutions dynamically allocate bandwidth\nas needed to support voice and/or data needs depending upon\ncapacity requirements during peak hours and also provide a platform\nfor next generation IP-based video, mobile and productivity\napplications and services.\nMEDIA\n Exclusive NHL 12-year licensing agreement to broadcast national NHL\ngames beginning with the 2014-2015 season was signed. The\nagreement grants Rogers the exclusive distribution of all national live\nand in-progress regular season and playoff games within Canada, in\nmultiple languages, across all platforms. We executed separate\nagreements to sublicense certain of these broadcasting rights to TVA\nSports and CBC.\n Sportsnet 360 was launched, which is comprised of the rebranded\ntheScore assets. The acquisition of theScore received final regulatory\napproval in the first half of this year.\n Sportsnet announced a 10-year partnership extension with the\nVancouver Canucks through the 2022-2023 NHL seasons, continuing\na 14-year network tradition as the regional television broadcaster of\nCanucks hockey. The new agreement features a comprehensive suite\nof multimedia rights including television, online and mobile,\ndelivering up to 60 regular season Vancouver Canucks games each\nseason. Sportsnet is also the official regional television broadcast\nrights holder for the Toronto Maple Leafs, Calgary Flames and\nEdmonton Oilers.\n Next Issue Canada, an innovative, all-you-can-read subscription\ndigital magazine service that provides consumers with exclusive and\nunlimited access to a catalogue of more than 100 premium Canadian\nand US titles was launched. Next Issue Canada delivers access to our\nleading publishing brands alongside many of the most popular US\nmagazine titles.\n The Shopping Channel launched a brighter, easier, and more\nengaging multi-channel retail experience and a refreshed on-air and\nonline look, an all-new mobile app, special-themed programming\nand improved shipping. The leading interactive and only national\nCanadian multi-channel retailer also added on-air social media\nengagement, new leading brands and more celebrity guest\nappearances.\n Sportsnet announced an eight-year multi-platform broadcast rights\nextension with MLB Properties and MLB Advanced Media to show\nlive and in-progress regular season and playoff baseball games and\nhighlights within Canada.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 35", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "ROGERS IS COMMITTED TO DELIVERING WORLD-CLASS \nCONTENT AND EXPERIENCES TO CONSUMERS AND \nADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY \nHAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA \nBRANDS WITH COMPELLING CONTENT THAT RESONATES WITH \nAUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE. \nToday, businesses across Canada connect with customers through Rogers \ncategory-leading television and radio assets, sports entertainment, \ntelevised and online shopping, publishing, and digital media properties as \nthe one-stop solution for all their local and national advertising needs.\nRogers Media is Canada’s premier combination of diversified broadcast, \nspecialty, sports, print and online media assets which together touch \nnearly 90% of Canadians every week. This includes over 50 popular AM \nand FM radio stations across Canada. In television, it includes the seven \nstation City network which broadcasts intensely local, urban-oriented \nLEADING CONTENT\nLEADING \nSPORTSNET TV \nFRANCHISE\nOMNI \nMULTICULTURAL \nNETWORK\nCITY NATIONAL \nTELEVISION \nNETWORK\nTORONTO \nBLUE JAYS \nBASEBALL TEAM\nNATIONAL \nRADIO \nPORTFOLIO\nTELEVISED \nSHOPPING \nNETWORK\n37.5% OWNERSHIP \nOF LEAFS, \nRAPTORS & TFC\nDIGITAL MEDIA \nPORTFOLIO\nICONIC \nMAGAZINE \nBRANDS\n12 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "WHAT’S NEXT?\nIF YOU’RE WITH ROGERS, \nYOU’LL BE THE FIRST TO KNOW.", - "page_start": 130, - "page_end": 130, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "ROGERS COMMUNICATIONS INC. AT A GLANCE\nRogers Communications (TSX: RCI; NYSE: RCI) is a diversified Canadian \ntelecommunications and media company. As discussed in the following \npages, Rogers Communications is engaged in the telecom and media \nbusinesses through its primary operating segments Rogers Wireless, \nRogers Cable, Rogers Business Solutions and Rogers Media. \nROGERS COMMUNICATIONS\nROGERS COMMUNICATIONS\nCABLE BUSINESS SOLUTIONSWIRELESS MEDIA\nWIRELESS SEGMENT\nRogers Wireless provides wireless voice and data communications services across \nCanada to approximately 9.5 million customers under the Rogers Wireless, Fido \nand chatr brands. Rogers Wireless is Canada’s largest wireless provider and the \nonly national carrier operating on the combined global standard GSM/HSPA+/LTE \ntechnology platforms. Rogers Wireless is Canada’s leader in innovative wireless \nservices, and provides customers with the best and latest wireless devices and \napplications and the fastest network speeds. Rogers Wireless also provides \nseamless wireless roaming across the U.S. and more than 200 other countries, \nand is the Canadian leader in the deployment of mobile commerce and machine-\nto-machine communications.\nCABLE AND BUSINESS SOLUTIONS SEGMENTS\nRogers Cable is a leading Canadian cable services provider, whose service \nterritory covers approximately 4.0 million homes in Ontario, New Brunswick and \nNewfoundland representing approximately 30% of the Canadian cable market. \nOur advanced digital hybrid fibre-coax network provides market leading high-\nspeed broadband Internet access speeds, the most innovative selection of digital \ntelevision and online viewing and telephony services to millions of residential \nand small business customers. Together with Rogers Business Solutions, it also \nprovides scalable carrier-grade business telecom, networking, hosting and \nmanaged data services, and IP connectivity and solutions to medium and large \nenterprise, government and carrier customers.\nMEDIA SEGMENT\nRogers Media is Canada’s premier destination for category-leading television and \nradio broadcasting, sports entertainment, publishing, and digital media properties. \nTelevision assets include national City network which reaches more than 80% of \nCanadians, five OMNI Television multilingual channels, seven regional and national \nSportsnet channels, as well as specialty channels FX Canada, OLN, The Biography \nChannel and G4. Rogers Media also owns The Shopping Channel, Canada’s only \nnationally televised and online shopping service. It operates more than 50 Canadian \nradio stations, publishes 50+ well known consumer and business magazines, and \nowns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball \nClub and Rogers Centre, Canada’s largest sports and entertainment facility. Rogers \nalso holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL \nToronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nACQUISITIONS\n Closed our agreement to acquire Metro 14 Montreal for $10 million\non February 4, 2013, and relaunched the station as City Montreal,\nexpanding the City broadcast TV network into the largest market in\nQuebec and increasing the City television network reach to over\n80% of Canadian households.\n Finalized our purchase of theScore, Canada’s third largest specialty\nsports channel, for $167 million. We later rebranded theScore as\nSportsnet 360.\nNHL\n Advanced our strategy of delivering highly sought-after sports\ncontent anywhere, anytime, on any platform and strengthening the\nvalue of our sports brand by entering into an exclusive 12-year\nlicensing agreement with the NHL which begins with the 2014-2015\nseason and grants Rogers the following:\n- national rights across television broadcasts, wireless and\nmobile tablets and Internet streaming\n- national rights to all regular season games, all playoff games\nand the Stanley Cup Final, and all special events and non-\ngame events (e.g. NHL All-Star Game, NHL Draft) – in multiple\nlanguages\n- out-of-market rights for all regional games\n- ownership of all linear and digital highlights, including\ncondensed games and video archives\n- NHL broadcast assets: Rogers to operate NHL Centre Ice and\nNHL Game Centre Live\n- sponsorship rights to the NHL Shield logo as an official partner\nof the NHL\n- Canadian representation of ad sales for NHL.com\n- ownership of all commercial inventories for the television\nbroadcasts\n- rights to sublicense broadcasting rights to TVA and CBC\n- rights to use the Hockey Night In Canada brand through the\nCBC sublicense agreement.\nThrough this agreement, Rogers plans to provide Canadians with a\nunique viewing experience that will feature expanded pre- and post-\ngame coverage of regular season and playoff games and other\nenhanced NHL content. We expect this agreement to drive Sportsnet\nsubscriber growth and to provide highly sought after content in\nmultiple languages across all of Rogers’ platforms.\nMEDIA FINANCIAL RESULTS\nYears ended December 31\n(In millions of dollars, except percentages) 2013 1 2012 % Chg\nOperating revenue – Media $ 1,704 $ 1,620 5\nOperating expenses (1,543) (1,430) 8\nAdjusted operating profit – Media $ 161 $ 190 (15)\nAdjusted operating profit margin 9.4% 11.7%\nAdditions to property, plant and equipment $7 9 $5 5 4 4\n1 Results of operations include theScore’s operating results as of April 30, 2013 (the\ndate of acquisition).\n(IN MILLIONS OF DOLLARS)\nMEDIA REVENUE\n2013\n2012\n2011\n$1,704\n$1,620\n$1,611\nHigher Operating Revenue\nMedia generates revenue in five areas:\n advertising sales across its television, radio, publishing and digital\nmedia properties\n circulation\n subscriptions\n retail product sales\n ticket sales, receipts of MLB revenue sharing and concession sales\nassociated with Rogers Sports Entertainment.\nOperating revenue was 5% higher this year, mainly because of:\n higher subscription and advertising revenue generated by the\nSportsnet properties, including the acquisition of theScore, and\noverall growth in distribution of our other specialty channels\n higher advertising revenue of $21 million resulting from timing of\nNHL hockey games. Advertising revenue last year was lower than\nnormal due to the NHL player lockout which resulted in no NHL\ngames being aired, and higher than normal this year due to the\ncompressed 2012-2013 season which started in January 2013 and\nthe compressed 2013-2014 NHL schedule in advance of the\nupcoming winter Olympics\n higher attendance and merchandise sales at Blue Jays games\n higher sales at The Shopping Channel.\nThe increases in revenue were partially offset by continuing volatility in\nadvertising spending across most industry sectors, driven by a continued\nslow economy.\n48 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 51, - "page_end": 51, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "programming across the country’s largest markets, as well \nas five OMNI Television stations which deliver multilingual news, \ninformation and entertainment to Canada’s multiple language \ncommunities. \nThe Sportsnet specialty network provides sports programming across \nCanada through its four regional television channels and its nationally-\ndistributed Sportsnet ONE, Sportsnet World, and Sportsnet 360 \nstations. Rogers also owns other Canadian specialty television channels, \nincluding FX Canada, OLN, The Biography Channel and G4.\nThe Shopping Channel – Canada’s only nationally televised and \nInternet shopping service – is a leading interactive multi-channel \nretailer, offering a vast assortment of exclusive products and top brand \nnames. As one of Canada’s most innovative and diversified retailers, \nit provides customers with exceptional selections in health/beauty, \njewelry, home/lifestyle, fashion/accessories, and electronics. \nRogers also publishes many well-known consumer magazines, such as \nMaclean’s, Chatelaine, FLARE, L’actualité, and Canadian Business, and is \nthe leading publisher of a number of industry, medical and financial \npublications. Rogers also controls a suite of fast-growing digital media \nassets, including 90+ owned and 300+ premium partnership online \nsites, as well as the recently launched Next Issue Canada digital \nmagazine platform which provides 100+ of North America’s most \ncelebrated titles on an unlimited anytime, anywhere basis. \nIn sports entertainment, Rogers owns the Toronto Blue Jays baseball \nteam and Rogers Centre stadium, Canada’s largest sports and \nentertainment facility and home field of the Blue Jays. Rogers also holds \na 37.5% investment in Maple Leaf Sports & Entertainment which owns \nthe NHL Maple Leafs, NBA Raptors, MLS Toronto FC and a number of \nother sports related assets.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 13", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nUnderstanding Our Business\nRogers Communications is one of Canada’s leading diversified communications and media companies.\nOur vision is to be known for leading the enablement and delivery of seamless, customer-driven communications,\nentertainment, information and transactional experiences across any device, place or time.\nWireless provides wireless voice and data communication services,\nincluding machine to machine to both consumer and enterprise\nbusinesses, governments and other telecommunications service\nproviders.Cable provides voice and data communications, home\nmonitoring, television and high-speed Internet services to both\nconsumers and businesses.Business Solutions provides voice and data\ncommunications and advanced services including data centre based\nsolutions and cloud computing services to a wide range of medium to\nlarge businesses, including other service providers, and government\neither wirelessly or over our terrestrial network. Revenue generated\nfrom these segments is generally based on monthly subscription and\nnetwork usage rates. Costs include attracting, setting-up and retaining\ncustomers, content, and the costs of upgrading and maintaining the\nunderlying network.\nOur wireless network is currently one of the most extensive and\nadvanced independent high-speed wireless data networks in Canada,\ncapable of supporting wireless services on smartphones, tablets,\ncomputers and a broad variety of machine-to-machine and specialized\ndevices. We built the first Long Term Evolution (LTE) high speed\nnetwork in Canada, reaching nearly 73% of the Canadian population\nat December 31, 2013. We also have roaming agreements with\ninternational carriers in more than 200 other countries, including 5 LTE\nroaming operators and have network sharing arrangements with several\ncarriers in Canada.\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers\nservices to consumers and businesses in Ontario, New Brunswick and\nNewfoundland. We also operate a North American transcontinental\nfibre-optic network that extends over 41,000 route kilometres that is\nused to serve enterprise customers, including government and other\ntelecommunications service providers. In Canada, the network extends\ncoast to coast and includes local and regional fibre, transmission\nelectronics and systems, hubs, POPs and IP Routing and switching\ninfrastructure. The network also extends to the US, from Vancouver\nsouth to Seattle, from the Manitoba-Minnesota border through\nMinneapolis, Milwaukee and Chicago, and from Toronto, through\nBuffalo, and Montreal, through Albany, to New York City, allowing us\nto connect Canada’s largest markets, while also reaching key US\nmarkets for the exchange of data and voice traffic.\nMedia provides television and radio broadcasting services to end\ncustomers over both traditional broadcast networks and new digital\nnetworks as well as multi-platform shopping, consumer and trade\npublications and sports media and entertainment experiences, primarily\nthrough its ownership of the Toronto Blue Jays. Revenue is largely\ndriven by advertising and, in the case of TV broadcasting and publishing\nby additional revenues from monthly subscriptions. Revenue is also\ngenerated by the sale of merchandise and event tickets. Costs include\nsports programming, broadcast content (including TV studios, writers\nand on air and on field talent), the cost of merchandise and the\nproduction costs associated with each medium.\nWe report our results of operations in four segments, which reflect how\nwe manage our operations and measure our performance.\nWIRELESS\nsee page 37\nCanada’s largest provider of\nwireless communications services.\nCABLE\nsee page 41\nOne of Canada’s leading\nproviders of cable television,\nhigh-speed Internet and cable\ntelephony services to consumers\nand businesses.\nBUSINESS SOLUTIONS\nsee page 45\nProvides Canadian enterprises,\ngovernment and other\ntelecommunications service\nproviders and partners with", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nExecutive Summary\nABOUT ROGERS COMMUNICATIONS INC.\nRogers Communications is one of Canada’s leading diversified communications and media companies.\nWe provide a broad range of services: wireless and wired voice and data\ncommunications, cable television, high-speed Internet, cable telephony,\nwired telecom and data networking services to consumers and\nbusinesses. We also compete in television and radio broadcasting,\nmulti-platform shopping, sports media and entertainment, digital media\nand consumer, trade and professional publications.\nAlmost all of our operations and sales are in Canada. We have a highly\nskilled and diversified workforce of approximately 28,000 employees.\nOur head-office is in Toronto, Ontario and we have numerous offices\nacross Canada.\nFOUR BUSINESS SEGMENTS\nWe report our results of operations in four segments.\nWireless Wireless telecommunications operations\nfor consumers and businesses\nCable Cable telecommunications operations,\nincluding cable television, Internet and\ncable telephony for\nCanadian consumers and businesses\nBusiness Solutions Network connectivity through our fibre\nnetwork assets to support a range of\nvoice, data, networking, data centre and\ncloud-based services for medium and\nlarge Canadian businesses, governments,\nand other telecommunications providers\nMedia A diversified portfolio of media\nproperties, including television and radio\nbroadcasting, digital media, multi-\nplatform shopping, publishing and sports\nmedia and entertainment\n$12.7\nBILLION\n(%)\n2013 CONSOLIDATED REVENUE BY SEGMENT\nWIRELESS 57%\nCABLE 27%\nMEDIA 13%\nBUSINESS SOLUTIONS 3%\n$5.0\nBILLION\n(%)\n2013 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT\nWIRELESS 61%\nCABLE 33%\nMEDIA 4%\nBUSINESS SOLUTIONS 2%\n26 ROGERS COMMUNICATIONS INC. 2013 ANNUAL REPORT", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "“\nROGGEERRSS MADE CLEAR PROGRESS ON A NUMBER OF \nSSTTRRAATTEGIC FRONTS, WHILE CONTINUING TO DELIVER \nSSTTRONG RETURNS TO SHAREHOLDERS AND BUILDING \nUUPPOON THE COMPANY’S DEEP-ROOTED FOUNDATIONS \nFOORR TTHHE FUTURE BENEFIT OF ALL OUR STAKEHOLDERS.”\nA MESSAGE FROM THE CHAIRMAN\nALAN HORN, CPA, CA \nCHAIRMAN OF THE BOARD \nROGERS COMMUNICATIONS INC.\nALAN HORN, CPA, CA\n2013 was another solid year in which Rogers made clear progress on a number of \nstrategic fronts, while continuing to deliver strong returns to shareholders and \nbuilding upon the company’s deep-rooted foundations for the future benefit of all \nour stakeholders. Our management team delivered on their financial guidance \ntargets in what continue to be highly competitive and regulatorily intense markets.\nRogers continued to deliver on the evolution \nand expansion of its core services. It quickly \nexpanded the reach of Canada’s first and \nfastest LTE wireless network to 73% of the \nCanadian population, introduced significant \nenhancements to its broadband data speeds \nand cable TV platform, and further added \nto its leading sports content and digital \nmedia assets. \nThe company executed several strategic \ntransactions that support Rogers core growth \nstrategies, including in the areas of wireless \nspectrum and network sharing, cable footprint \nexpansion, and significantly expanding its data \ncentre, colocation and managed services \ncapabilities for businesses. In addition, it struck \na landmark 12 year agreement with the NHL \nfor the exclusive national hockey broadcast \nrights across Canada.\nRogers also continued to deliver on its \ninnovation agenda, being first to market \nwith a series of new services in 2013, \nincluding in the quickly growing areas of \nmobile payments, machine-to-machine \ncommunications, home monitoring, local \ndigital services, and a new and unique \ncustomer loyalty program. \nWe continued to return increasing amounts \nof cash to shareholders. In 2013, the \ncompany’s significant cash generation \nallowed the Board to increase the dividend \nby 10% and return approximately $900 \nmillion to our shareholders in the form of \ndividends and share buybacks. And we \nfurther increased the dividend by 5% in \nFebruary 2014, continuing a multi-year trend \nof dividend growth. As you read on in this \nreport, you will find many more examples and \nmuch detail of the company’s operational and \nfinancial accomplishments over the past year.\nI would like to take the opportunity to thank \nour recently retired President and Chief \nExecutive Officer Nadir Mohamed for his \nleadership and substantial contributions at \nRogers over the past 13 years. Succeeding \na founder with professional management \nis always a delicate and important transition \nin the life cycle of a company, and Nadir \nprovided important continuity and solid \nleadership as CEO over the course of the \npast five years for which the Board and \nmanagement team are thankful. \nFollowing an extensive international search \nprocess, in September, 2013 the Board \nannounced that Guy Laurence would become \nPresident and Chief Executive Officer of \nRogers effective in December 2013. \nGuy brings 30 years of global experience \nin telecom, pay television and media, and \nis a proven, hands-on executive who has \nconsistently delivered strong financial and \noperating results in highly complex and \ncompetitive markets. Guy is an excellent \nfit for this role on many levels and the entire \nBoard look forward to his leadership for \nmany years to come.\nI would encourage you to review the \ndiscussions around our corporate governance, \ncommunity investments and sustainability \ninitiatives later in this annual report. First class \ncorporate governance practices have always \nbeen a strong tenet at Rogers, and as an \nentrepreneur founded and family controlled \ncompany, our Board takes pride in what is a \nproactive and disciplined approach to \nensuring that our governance practices \ncontinue to justify the confidence of the", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "WHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN \nEVOLVE THE BUSINESS IN A WWAAY THAT WILL BE \nEVEN MORE REWARDING FORR OOUR CUSTOMERS, \nOUR SHAREHOLDERS AND EMMPPLLOYEES.”\n“\nA MESSAGE FROM THE PRESIDENT & CEO \nGUY LAURENCE\nAs I write these words after recently joining the company, I can say with genuine \nenthusiasm that it’s great to be here at Rogers. I took this post because Rogers \nis a remarkable company with a rich history and an unrivalled mix of wireless, \ncable and media assets. It is a good match with my background and my experience.\nDuring the recruiting and onboarding \nprocess, I spent considerable time with the \nRogers family, the Board of Directors and \nthe leadership team. I am struck by their \nenergy, passion and drive to win, which I \nthink we can harness to do even greater \nthings. I also value the support and longer-\nterm focus of the founding Rogers family \nwho own significant equity in the company.\nSince joining, I have criss-crossed Canada \nmeeting my team, external stakeholders \nand customers. I have also conducted \nnumerous business reviews, overseen the \n700 MHz spectrum auction and reviewed \nthe regulatory agenda. All this with the \nview to developing a detailed set of \npriorities and plans for the company going \nforward. After I complete this review in \nthe Spring I will outline a detailed strategy \nand business plan working with my \nmanagement team.\nRogers has many strengths and I intend to \ncapitalize on them. This is a financially \nstrong company with a solid balance sheet \nand investment grade credit ratings. We \nhave highly advanced cable and wireless \nnetworks and a robust portfolio of media \nassets. We also have a strong pipeline of \nnew products and services to offer to our \ncustomers and some of the most \npassionate, committed employees I have \never worked with.\nWhile it is early days, I believe we can \nevolve the business in a way that will be \neven more rewarding for our customers, \nour shareholders and employees. Our goal \nis clear – winning on a consistent basis. \nAnd while our industry faces the challenge \nof moderating growth and regulatory \nuncertainty, few industries are more \ndynamic and better at leveraging new \ntechnologies. \nTo win, we must put our customers’ needs \nfront and centre in everything we do. This \nmeans delivering a better and more \nconsistent customer experience. It means \nstrengthening our value proposition to \nmake sure our customers can answer the \nquestion “why Rogers?” As a company, we \nneed to bring our collection of assets \ntogether in a way that strengthens and \ndifferentiates Rogers with our customers \nand our shareholders. We also need to \nalign and focus our investments in key areas \nto accelerate our growth. Internally we \nneed to execute with operational \nexcellence. And we need to focus on \nclarifying accountabilities and strengthening \nour teams at all levels of the company.\nAs CEO, I will work to re-establish our \nleadership position and accelerate our \ngrowth. This will take time. It is a long-\nterm effort that will require a clear \nstrategy, rigorous prioritization and \ndisciplined execution. It will not be easy, \nbut it is the job I have signed up for, and it \nis a challenge I intend to meet head-on.\nI look forward to continuing Ted’s legacy, \nand to leading Rogers through the next \nphase of growth and to serving you, our \nshareholders.\nThank you for your continued business, \ninvestment and support.\n2013 ANNUAL REPORT ROGERS COMMUNICATIONS INC. 03\nGUY LAURENCE \nPRESIDENT AND CHIEF EXECUTIVE OFFICER \nROGERS COMMUNICATIONS INC.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "I am a shareholder of Emmis Communication, but I will be available from the 20th of June to the 4th of July, will the Annual Meeting take place during this period?", - "target_page": 6, - "target_passage": "The Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis’ Corporate office.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Dear Shareholders,\nOn our year-end conference call, I said that last year was the\nbest in Emmis Communications’ history. And while that might\nhave sounded like the usual Wall Street hyperbole – like any\nother CEO bragging about his company’s performance – the\ndifference is, I believed it. And I still do.\nBut I’ve been in this business long enough to know two\nthings for sure: What I believe is not as important as what I\ncan prove, and what we did last year is only meaningful if it\nreflects on how we will do in the coming year. The good\nnews is, Emmis does have the results to back up my high\npraise, and what we did to perform last year does directly\nrelate to how we’ll perform in the year ahead.\nThe best year \nThe bottom line is this: Emmis Communications turned in a\nremarkable performance last year. Again and again, and by a\nnumber of measures, we outperformed our peers, our mar-\nkets and our own solid track record.\nAnd we did this in a year that was challenging in just about\nevery way. The economy was unstable, public companies\ncame under continuing scrutiny, indecency issues hounded\nbroadcasters, competition for tight ad dollars increased and\ntechnology continued to reshape the media world. \nBut our people refused to be slowed by those challenges.\nInstead, they worked through them. They innovated, hustled\nand focused. And they produced. \nOur radio division’s revenue growth led our markets and the\nindustry – in our fiscal year, our group was up 4.5 percent\nwhile our markets were up 2.7 percent and the industry only\n1 percent. Based on this kind of performance, we have con-\nsistently ranked among the nation’s leaders in per-station\nrevenue, and we continue to produce top-rated programming\nin markets across the nation.\nOur TV performance was even more impressive. The Emmis\ntelevision group’s revenues were up 0.5 percent in calendar\n2003, a year when our markets saw a 2.3 percent decrease\nin revenues, and the industry experienced a 4.7 percent \nrevenue decline. This industry-leading result made us one of\nthe few groups in the nation to post positive growth. In addi-\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow.\nOur publishing and international divisions also posted strong\nresults. In a tough publishing market, our magazines boosted\ntheir division’s revenues by 4.6 percent over last year and\nincreased cash flow by 3.3 percent. Our international division\nturned in a revenue increase of 27 percent and a cash flow\nincrease of 31 percent.\nIn addition to boosting performance in our divisions, we\nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in\nAmerican media. With this team in place, we’ve brought\nour leverage and cost of capital down to more manageable\nlevels, found ways to combat the continually increasing\ncosts of health insurance and, in a truly top-notch effort,\nsmoothly integrated our new Austin radio properties – in just\nunder a year as a part of Emmis, the Austin properties are\nenjoying significant ratings and revenue increases. \nOf course, for you, the real bottom line on our performance is\nits impact on your investment. I’m proud to say that we saw\na 27 percent increase in our share price over the course of\nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed\nthe book on fiscal ’04 at 25.17.\nHow we did it\nOperationally, we were on top of our game last year. However,\nas I said, I know that the past year’s performance really only\nmatters if it reflects on what we’ll do in the coming year. The\ngood news is, it does. We performed at these high levels not\nby doing something unusual, but by operating the way Emmis\nhas always operated, and the way we always will.\nFirst of all, we focus on assembling and maintaining the best\nteams in our markets. We have traditionally had the top\nsalespeople, creative and technical professionals, news", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Corporate Information\nKillam ProPerties inc | 2013 97\n Annual General \nMeeting\nThe Annual General \nMeeting of Shareholders \nwill be held on Wednesday, \nMay 7, 2014, at 2:00 pm \nAtlantic Time at the Halifax \nMarriott Harbourfront \nHotel, 1919 Upper Water \nStreet, Halifax, Nova Scotia.\nExecutive Team\nPhilip Fraser\nPresident & Chief Executive Officer\nRobert Richardson, FCA\nExecutive Vice President \n& Chief Financial Officer\nRuth Buckle\nVice President, Property management\nErin Cleveland, CA\nVice President, Finance\nPamela Crowell\nVice President, \nProperty management (mHcs)\nJeremy Jackson\nVice President, Marketing\nMichael McLean\nVice President, Development\nDale Noseworthy, CA, CFA\nVice President, Investor Relations \nand corporate Planning\nInvestor Inquiries \ninvestorrelations@killamproperties.com\n902.442.0388\nAuditors \nErnst & Young, LLP \nHalifax, NS \nSolicitors \nBennett Jones, LLP \ncalgary, aB \nStewart McKelvey \nHalifax, NS \nRegistrar and \nTransfer Agent \nComputershare Investor \nServices Inc.\nsuite 2008, Purdy’s Wharf, \ntower ii \nHalifax, NS B3J 3R7 \nShare Listing \nToronto Stock Exchange (TSX) \nTrading Symbol: KMP \nMonthly Dividend\n$0.05 per share\nHead Office \nsuite 100 \n3700 Kempt road \nHalifax, NS B3K 4X8 \n902.453.9000 \n866.453.8900\nBoard of Directors\nTimothy R. Banks(3)\nPresident & CEO, \nAPM Group of Companies\nCharlottetown, Prince Edward Island\nPhilip D. Fraser\nPresident & CEO, \nKillam Properties Inc.\nHalifax, Nova Scotia\nRobert G. Kay(1)\nChairmen of the Board,\nKillam Properties Inc.\nChairman, \nSpringwall Group International \nand Springwall Sleep Products Inc.\nMoncton, New Brunswick\nJames C. Lawley(1)(2)\nGeneral Manager, Scotia Fuels Ltd.\nHalifax, Nova Scotia\nArthur G. Lloyd(2)\nExecutive Vice President Investments, \nWestern North America, \nIvanhoé Cambridge\nCalgary, Alberta\nKarine L. MacIndoe\nCorporate Director,\nToronto, Ontario\nRobert G. Richardson, FCA\nExecutive Vice President & CFO, \nKillam Properties Inc.\nHalifax, Nova Scotia\nManfred J. Walt, CA(2)(3)\nPresident & CEO, \nWalt & Co. Inc. \nToronto, Ontario\nG. Wayne Watson, CA(1)(3)\nCorporate Director,\nHalifax, Nova Scotia\n(1) member of the Audit Committee\n(2) member of the Corporate Governance, \nNomination and Succession Committee\n(3) member of the Compensation Committee\nREDUCING\nOUR \nCARBON \nFOOTPRINT\nour annual report is printed on stock \ncontaining recycled material. Please \nrecycle. our report is also available \non‑line at: killamproperties.com/\nfinancial‑reports", - "page_start": 96, - "page_end": 96, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "Outperform\nEmmis Communications 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "ADDITIONAL STOCK EXCHANGE INFORMATION\nAS AT 8 SEPTEMBER 2000\n64\nTWENTY LARGEST OPTION HOLDERS\nNumber of shares % of Issued Capital\nNational Nominees Limited 1,250,000 19.23\nMr J.P . Birchmore 331,000 5.09\nMr. R.E.T. Towner 250,000 3.85\nMr. G. C. Wood 200,000 3.08\nBeth Nominees Pty Ltd 200,000 3.08\nLen Evans Holdings Pty Ltd 189,080 2.91\nGoffacan Pty Ltd 180,000 2.77\nMr H. Somic & Mrs A. Somic 150,000 2.31\nMr A.W . Gleeson 133,000 2.05\nMrs M.E. Grattan 103,000 1.58\nMr B.W . Victor 100,000 1.54\nMiss L.C. Borg 100,000 1.54\nCanistra Pty Ltd 100,000 1.54\nMr. M. Nicholls 100,000 1.54\nHergard Investments Pty Ltd 100,000 1.54\nKava Holdings Pty Ltd 96,000 1.48\nInvesco Nominees Pty Ltd 70,320 1.08\nMr. A.B.-Douglass 66,700 1.03\nMrs M. Nix 61,000 0.94\nMs L. Wilshaw 55,000 0.85\nTotal 3,835,100 59.03\nCOMPANY SECRETARIES\nBrendan Gore\nNeil Roberts\nPRINCIPAL REGISTERED OFFICE\nEagle Jetty, 20 Mews Road\nFREMANTLE WA 6160\nTel: (08) 9431 7431\nSHARE REGISTRY\nShareholders can obtain information about their shareholding by contacting the Company ’s\nshare registry:\nNational Registry Services (WA) Pty Ltd\nLevel 1, CML Building\n55 St Georges Terrace\nPerth, Western Australia 6000\nTelephone: (08) 9220 4750\nFacsimile: (08) 9220 4755\nCHANGE OF ADDRESS\nShareholders should notify the share registry in writing immediately there is a change to their\nregistered address.\nSTOCK EXCHANGE LISTING\nMermaid Marine Australia Limited’s ordinary shares are quoted by the Australian Stock\nExchange Limited.\nPUBLICATIONS\nThe Annual Report is the main source of information for shareholders.", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\nThe employee’s ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier\nof the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee.\nParticipants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues\nduring the restriction period. Shares are granted to eligible employees at no cost to the employee.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 62", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "CAUTION REGARDING FORWARD-LOOKING INFORMATION AND OTHER RISKS\nThis annual report includes forward-looking statements about the financial condition and prospects of Rogers Communications tha t involve significant risks and uncertainties that are detailed in the \n“Risks and Uncertainties That Could Affect our Businesses” and “Caution Regarding Forward-Looking Statements, Risks and Assumpt ions” sections of the MD&A contained herein, which should be \nread in conjunction with all sections of this annual report.\nCORPORATE AND SHAREHOLDER INFORMATION\nCORPORATE OFFICES \nRogers Communications Inc. \n333 Bloor Street East, 10th Floor \nToronto, ON M4W 1G9 \n416-935-7777\nCUSTOMER SERVICE AND \nPRODUCT INFORMATION \n888-764-3771 or rogers.com\nSHAREHOLDER SERVICES \nIf you are a registered shareholder and \nhave inquiries regarding your account, wish \nto change your name or address, or have \nquestions about lost stock certificates, share \ntransfers, estate settlements or dividends, \nplease contact our transfer agent and registrar:\nCST Trust Company \nP.O. Box 700, Postal Station B \nMontreal, QC H3B 3K3, Canada \n416-682-3860 or 800-387-0825 \ninquiries@canstockta.com\nDuplicate Mailings \nIf you receive duplicate shareholder mailings \nfrom Rogers Communications, please \ncontact CST Trust Company as detailed above \nto consolidate your accounts.\nINVESTOR RELATIONS \nInstitutional investors, securities analysts \nand others requiring additional financial \ninformation can visit rogers.com/investors \nor contact us at:\n1-855-300-7922 or \n416-935-3551 (outside North America) or \ninvestor.relations@rci.rogers.com\nMedia inquiries: 416-935-7777\nCORPORATE PHILANTHROPY \nFor information relating to Rogers various \nphilanthropic endeavours, refer to the \n“About Rogers” section of rogers.com\nSUSTAINABILITY \nRogers is committed to continuing to grow \nresponsibly and we focus our social and \nenvironmental sustainability efforts where we \ncan make the most meaningful impacts on both. \nTo learn more, please visit rogers.com/csr \nSTOCK EXCHANGE LISTINGS \nToronto Stock Exchange (TSX): \nRCI.b – Class B Non-Voting shares \n(CUSIP # 775109200) \nRCI.a – Class A Voting shares \n(CUSIP # 775109101)\nNew York Stock Exchange (NYSE): \nRCI – Class B Non-Voting shares \n(CUSIP # 775109200)\nEquity Index Inclusions: \nDow Jones Canada Titans 60 Index \nDow Jones Telecom Titans 30 Index \nFTSE Global Telecoms Index \nFTSE All-World Index Series \nFTSE4Good Global Index \nJantzi Social Index \nS&P/TSX 60 Index \nS&P/TSX Composite Dividend Index \nS&P/TSX Composite Index \nS&P/TSX Telecom Services Index\n \nDEBT SECURITIES \nFor details of the public debt securities of the \nRogers companies, please refer to the “Debt \nSecurities” section under rogers.com/investors\nINDEPENDENT AUDITORS \nKPMG LLP\nON-LINE INFORMATION \nRogers is committed to open and full financial \ndisclosure and best practices in corporate \ngovernance. We invite you to visit the Investor \nRelations section of rogers.com/investors where \nyou will find additional information about our \nbusiness, including events and presentations, \nnews releases, regulatory filings, governance \npractices, corporate social responsibility and our \ncontinuous disclosure materials, including quarterly \nfinancial releases, annual information forms and \nmanagement information circulars. You may also \nsubscribe to our news by e-mail or RSS feeds \nto automatically receive Rogers news releases \nelectronically.\n \n \nShares Outstanding at December 31, 2013\nClass A 112,462,000\nClass B 402,281,178 \n2014 Expected Dividend Dates\nRecord Date*: Payment Date*:\nMarch 14, 2014 April 4, 2014\nJune 13, 2014 July 4, 2014\nSeptember 12, 2014 October 3, 2014\nDecember 11, 2014 January 2, 2015\n* Subject to Board approval\n Dividends \n Closing Price RCI.b on TSX Declared \n2013 High Low Close per Share\nFirst Quarter $51.89 $44.37 $51.89 $0.435 \nSecond Quarter $52.35 $40.35 $41.20 $0.435 \nThird Quarter $45.36 $40.35 $44.29 $0.435", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "One Riverfront Plaza\nCorning, NY 14831-0001\n607 974 9000\nwww.corning.com\n02BR24601EN\nA NNUAL M EETING\nThe annual meeting of shareholders will be held on\nThursday, April 24, 2003, in Corning, NY . A formal notice \nof the meeting together with a proxy statement will be mailed\nto shareholders on or about March 12, 2003. The proxy state-\nment can also be accessed electronically through the Investor\nRelations category of the Corning home page on the Internet\nat www.corning.com. A summary report of the proceedings \nat the annual meeting will be available without charge upon\nwritten request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831.\nA DDITIONAL I NFORMA TION\nA copy of Corning’s 2002 Annual Report on Form 10-K filed\nwith the Securities and Exchange Commission is available\nupon written request to Ms. Denise A. Hauselt, Secretary and\nAssistant General Counsel, Corning Incorporated, HQ-E2-10,\nCorning, NY 14831. The Annual Report on Form 10-K can\nalso be accessed electronically through the Investor Relations\ncategory of the home page on the Internet at:\nwww.corning.com\nI NVESTOR I NFORMA TION\nInvestment analysts who need additional information may\ncontact Mr. Kenneth C. Sofio, Manager of Investor Relations,\nCorning Incorporated, HQ-E2-25, Corning, NY 14831;\nTelephone 607.974.9000\nC OMMON S TOCK\nCorning Incorporated common stock is listed on the \nNew Y ork Stock Exchange and the SWX Swiss Exchange.\nIn addition, it is traded on the Boston, Midwest, Pacific \nand Philadelphia stock exchanges. Common stock options \nare traded on the Chicago Board Options Exchange. The\nabbreviated ticker symbol for Corning Incorporated is “GLW.”\nT RANSFER A GENT AND R EGISTRAR\nComputershare Investor Services LLC\nP .O. Box A-3504\nChicago, IL 60690-3504\nTelephone: 800.255.0461\nWebsite: www.computershare.com\nC HANGE OF A DDRESS\nReport change of address to Computershare \nInvestor Services at the above address.\nI NDEPENDENT A CCOUNTANTS\nPricewaterhouseCoopers LLP\n1301 Avenue of the Americas\nNew Y ork, NY 10019\n“Safe Harbor” Statement under the Private\nSecurities Litigation Reform Act of 1995\nThe statements in this annual report that are not historical\nfacts or information are forward-looking statements. These\nforward-looking statements involve risks and uncertainties\nthat may cause the outcome to be materially different. Such\nrisks and uncertainties include, but are not limited to:\n— global economic and political conditions, \n— currency fluctuations,\n— product demand and industry capacity,\n— competitive products and pricing,\n— sufficiency of manufacturing capacity and efficiencies,\n— cost reductions,\n— availability and costs of critical materials,\n— new product development and commercialization,\n— attracting and retaining key personnel,\n— order activity and demand from major customers,\n— fluctuations in capital spending by customers \nin the telecommunications industry and other \nbusiness segments,\n— financial condition of customers,\n— changes in the mix of sales between premium \nand non-premium products,\n— facility expansions and new plant start-up costs,\n— adverse litigation or regulatory developments, including \nfuture or pending tax legislation,\n— adequacy and availability of insurance,\n— capital resource and cash flow activities,\n— capital spending,\n— equity company activities,\n— interest costs,\n— acquisition and divestiture activity,\n— the rate of technology change,\n— the ability to enforce patents,\n— product performance issues,\n— stock price fluctuations, and\n— other risks detailed in Corning’s SEC filings.\nNeither this report nor any statement contained herein is\nfurnished in connection with any offering of securities or for\nthe purpose of promoting or influencing the sale of securities.\nCorning is an equal opportunity employer.\nPrinted in USA\n© Corning Incorporated 2003\nI NVESTOR I NFORMA TION :\nCorning Incorporated", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "In relation to the current financial year, awards may be taken only in the form of shares pursuant to SESPP or, at the election of an executive,\noptions pursuant to SESOP, details of which are described in notes 18(c) and 18(d) of the financial statements. In future periods, awards may be\ntaken in the form of rights over shares pursuant to SESPP or options granted under SESOP, at the election of executives.\nRights to shares and options are granted at no cost to the executives with the number of shares awarded being determined by dividing the amount\nof the award by the volume weighted average price of the Company’s shares over the five business days up to and including the award date. The\nnumber of options awarded is of equivalent value calculated by an independent expert based on an acceptable valuation method.\nThe exercise price of the options is the volume weighted average price of the Company’s shares over the five business days up to and including\nthe award date.\nThe Board intends that LTI awards be made on an annual basis using a three year measurement period for the applicable performance hurdles.\nHowever, the Board reserves the right to suspend or modify the LTI program in light of circumstances appropriate to the Company from time to\ntime.\nThe maximum number of shares that may be issued under all of the Company’s executive and employee share and option plans cannot exceed the\nlimit of 5% of the issued capital, as approved by shareholders at the 2000 Annual General Meeting.\nThe Specified Executives are entitled to a termination payment in the event of termination of their service agreement by the Company without\ncause. They are entitled to three months’ notice, excepting for Mr P C Wasow who is entitled to six months’ notice, or payment in lieu of that\nnotice, plus three weeks for each year of continuous service, pro rata for part thereof, and capped at a maximum of 65 weeks oftotal fixed\nremuneration, less notional value of superannuation for that period.\nSAN165 WWW Fins 30/3/05 11:55 AM Page 76", - "page_start": 77, - "page_end": 77, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Company’s filings with the Securities and Exchange Commission. \nWe caution the reader that the above list of factors may not be exhaustive. The \nCompany does not assume any obligation to update any forward-looking state -\nment, whether as a result of new information, future events or otherwise.\nF O R W A R D - L O O K I N G S T A T E M E N T S", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "what it has always done: Outperform.\nThank you for your belief and investment in Emmis.\nwhat it has always done: outperform.\nJeffrey H. Smulyan\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Who is the President of the TV Department of Emmis Communications?", - "target_page": 6, - "target_passage": "Randall Bongarten Television Division President", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "about emmis\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM\ndomestic radio stations serving the nation’s largest markets of New\nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television\nstations, award-winning regional and specialty magazines, a radio net-\nwork, international radio interests, and ancillary businesses in broadcast\nsales and publishing. \nEmmis was founded in 1980, and the company launched its first radio\nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for\n“truth”) acquired more radio stations across the nation, it established a\nreputation for sound operations and emerged as a radio industry leader\nand innovator. Emmis was the first broadcast company to own top-\nrated radio stations in both L.A. and New York, and it pioneered such\nconcepts as the all-sports format.\nThe company launched its magazine division in 1988 with the purchase\nof Indianapolis Monthly, and moved into the world of international radio\nin 1997, when it was awarded a license to operate a national radio \nnetwork in Hungary. In 1998, Emmis expanded into television by buying\nsix television stations in markets throughout the United States. In the last\nsix years, the company has added properties in each of its divisions.\nWith its emphasis on solid operations, integrity, community involvement\nand fun, the company’s culture has been repeatedly lauded by both its\nemployees and its peers. Trade publications have regularly cited the\ncompany’s leaders as being among the best in the business. \nEmmis became a public company in 1994. It maintains its worldwide\nheadquarters in Indianapolis, where the company was founded.\nThis annual report contains certain non-GAAP measures. For a presen-\ntation of the directly comparable GAAP measure and a reconciliation of\nthe non-GAAP measures to the GAAP measures, see the attachment to\nthe back of our Form 10-K in this Annual Report.", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Executive Officers\nJeffrey H. Smulyan\nChairman of the Board, \nPresident and Chief Executive Officer\nWalter Z. Berger\nExecutive Vice President, \nChief Financial Officer and Treasurer\nRandall Bongarten\nTelevision Division President\nRichard F. Cummings\nRadio Division President\nGary L. Kaseff\nExecutive Vice President, \nGeneral Counsel\nPaul W. Fiddick\nInternational Division President\nMichael Levitan\nSenior Vice President, \nHuman Resources\nGary Thoe\nPublishing Division President\nBoard of Directors\nJeffrey H. Smulyan\nChairman of the Board, \nPresident and Chief Executive Officer\nSusan B. Bayh\nFormer Commissioner of the International Joint\nCommission of the United States and Canada\nWalter Z. Berger\nExecutive Vice President, \nChief Financial Officer and Treasurer\nGary L. Kaseff\nExecutive Vice President, \nGeneral Counsel\nRichard A. Leventhal\nPresident and Majority Owner, \nLMCS, LLC\nPeter A. Lund\nMedia consultant and former \nPresident of CBS Inc.\nGreg A. Nathanson\nMedia consultant and former\nPresident of Fox Television Stations and\nEmmis Television \nFrank V. Sica \nSenior Advisor \nSoros Fund Management LLC\nLawrence B. Sorrel\nManaging Partner and Co-CEO\nTailwind Capital Partners\nCorporate Office\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n317.266.0100.\nBusiness\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award-\nwinning radio broadcasting, television broadcasting and magazine publishing \noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest\nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in\nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.;\nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.;\nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes\nIndianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angelesand Country\nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio \nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of\nthe population in the Flanders region of Belgium; and has ancillary businesses in\nbroadcast sales, publishing and interactive products. \nTransfer Agent Register\nWachovia Bank N.A., Shareholder Services Group, \n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\nAnnual Meeting\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on\nWednesday, June 30, 2004, at Emmis’ Corporate office.\nForm 10-K\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29,\n2004, which was filed with the Securities and Exchange Commission, will be sent \nto shareholders without charge upon written request to Kate Healey, Emmis\nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700,\nIndianapolis, Indiana 46204, or ir@emmis.com.\nMarket and Dividend Information\nThe Company’s Class A Common Stock is traded in the over-the-counter market\nand is quoted on the National Association of Securities Dealers Automated\nQuotation (NASDAQ) National Market System under the symbol EMMS. \nThe following table sets forth the high and low bid prices of the Class A Common\nStock for the periods indicated. No dividends were paid during any such periods.\nQuarter Ended High Low\nMay 2002 31.85 26.15\nAugust 2002 30.15 11.65\nNovember 2002 24.05 14.25\nFebruary 2003 24.86 17.82\nMay 2003 21.24 14.84\nAugust 2003 23.87 18.68\nNovember 2003 24.06 18.00\nFebruary 2004 28.65 22.74\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A\nCommon Stock and one record holder of the Class B Common Stock.\nEmmis intends to retain future earnings for use in its business and does not anticipate\npaying any dividends on shares of its common stock in the foreseeable future.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "what it has always done: Outperform.\nThank you for your belief and investment in Emmis.\nwhat it has always done: outperform.\nJeffrey H. Smulyan\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Dear Shareholders,\nOn our year-end conference call, I said that last year was the\nbest in Emmis Communications’ history. And while that might\nhave sounded like the usual Wall Street hyperbole – like any\nother CEO bragging about his company’s performance – the\ndifference is, I believed it. And I still do.\nBut I’ve been in this business long enough to know two\nthings for sure: What I believe is not as important as what I\ncan prove, and what we did last year is only meaningful if it\nreflects on how we will do in the coming year. The good\nnews is, Emmis does have the results to back up my high\npraise, and what we did to perform last year does directly\nrelate to how we’ll perform in the year ahead.\nThe best year \nThe bottom line is this: Emmis Communications turned in a\nremarkable performance last year. Again and again, and by a\nnumber of measures, we outperformed our peers, our mar-\nkets and our own solid track record.\nAnd we did this in a year that was challenging in just about\nevery way. The economy was unstable, public companies\ncame under continuing scrutiny, indecency issues hounded\nbroadcasters, competition for tight ad dollars increased and\ntechnology continued to reshape the media world. \nBut our people refused to be slowed by those challenges.\nInstead, they worked through them. They innovated, hustled\nand focused. And they produced. \nOur radio division’s revenue growth led our markets and the\nindustry – in our fiscal year, our group was up 4.5 percent\nwhile our markets were up 2.7 percent and the industry only\n1 percent. Based on this kind of performance, we have con-\nsistently ranked among the nation’s leaders in per-station\nrevenue, and we continue to produce top-rated programming\nin markets across the nation.\nOur TV performance was even more impressive. The Emmis\ntelevision group’s revenues were up 0.5 percent in calendar\n2003, a year when our markets saw a 2.3 percent decrease\nin revenues, and the industry experienced a 4.7 percent \nrevenue decline. This industry-leading result made us one of\nthe few groups in the nation to post positive growth. In addi-\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow.\nOur publishing and international divisions also posted strong\nresults. In a tough publishing market, our magazines boosted\ntheir division’s revenues by 4.6 percent over last year and\nincreased cash flow by 3.3 percent. Our international division\nturned in a revenue increase of 27 percent and a cash flow\nincrease of 31 percent.\nIn addition to boosting performance in our divisions, we\nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in\nAmerican media. With this team in place, we’ve brought\nour leverage and cost of capital down to more manageable\nlevels, found ways to combat the continually increasing\ncosts of health insurance and, in a truly top-notch effort,\nsmoothly integrated our new Austin radio properties – in just\nunder a year as a part of Emmis, the Austin properties are\nenjoying significant ratings and revenue increases. \nOf course, for you, the real bottom line on our performance is\nits impact on your investment. I’m proud to say that we saw\na 27 percent increase in our share price over the course of\nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed\nthe book on fiscal ’04 at 25.17.\nHow we did it\nOperationally, we were on top of our game last year. However,\nas I said, I know that the past year’s performance really only\nmatters if it reflects on what we’ll do in the coming year. The\ngood news is, it does. We performed at these high levels not\nby doing something unusual, but by operating the way Emmis\nhas always operated, and the way we always will.\nFirst of all, we focus on assembling and maintaining the best\nteams in our markets. We have traditionally had the top\nsalespeople, creative and technical professionals, news", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Outperform\nEmmis Communications 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Outperform.\nemmis communications 2004 abbreviated financial highlights\nin thousands except where noted \nyear ended Feb. 28 (29) ’00 ’01 ’02 ’03 ’04\nnet revenues 325,265 473,345 539,822 562,363 591,868\nstation operating income* 125,477 174,213 185,665 213,112 220,445\nstation op income margin 38.6% 36.8% 34.4% 37.9% 37.2%\nleverage 2.5x 6.8x 9.3x 6.5x 6.7x\n*excluding noncash compensation\npublishingtvradio\n5\n4\n3\n2\n1\n0 1% 2.7% 4.5%\nINDUSTRY\nMARKETS\nEMMIS\nradio division revenue growth fiscal 2004\n$600,000\n$500,000\n$400,000\n$300,000\n$200,000\n$100,000\n$0 00 01 02 03 04\n$300,000\n$250,000\n$200,000\n$150,000\n$100,000\n$50,000\n$0 00 01 02 03 04\n325,265\n473,345\n539,822\n562,363\n591,868\n125,447\n174,213\n185,665\n213,112\n220,445\nnet revenue station operating income, \nexcluding noncash compensation\n4\n2\n0\n-2\n-4\n-6 -4.7% -2.3% 0.5%\nINDUSTRY\nMARKETS\nEMMIS\ntv division revenue growth calendar 2003", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "emmis communications\none emmis plaza\n40 monument circle\nindianapolis, indiana 46204\n®", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "In addition, we commit ourselves to creating the best content\nin our markets. Our magazines routinely dominate their\nindustry awards ceremonies – last year, Texas Monthlywon a\ncoveted National Magazine Award, and Emmis publications\nclaimed more than half of the awards at the City and\nRegional Magazine competition. Our radio stations feature\nsome of the industry’s most popular personalities – in 2003,\nEmmis people and stations were awarded three Marconi\nRadio Awards. And our television operations are regularly\nhonored by journalism organizations for their news gathering\nand community service. In short, we provide our markets\nwith reliable, high-quality content – content that helps us\nassemble the audiences our advertisers want to reach. \nWe then generate revenue by overallocating to sales. We\ngive our teams well-developed strategies, clearly defined\nbrands and solid products. We build bigger, better sales\nforces and put a greater emphasis on local dollars than our\ncompetitors. We hire aggressive managers, set ambitious\ngoals and then watch our people work harder and smarter\nthan anyone else.\nWe also seize the right opportunities and make the most \nof them. As the cost of buying radio properties has gone\nthrough the roof, we have been careful about buying.\nHowever, when we had a chance to acquire the LBJ stations\nin Austin, we knew it was the right fit: good stations, a\ntremendous heritage and a great culture, all with an opportu-\nnity for growth. And we’ve already built on that group’s track\nrecord – since we bought them, we’ve reformatted one sta-\ntion and quickly sent it to No. 1 in the market, and we’ve\npushed revenues up 9 percent for the entire group.\nFinally, we innovate. Why has Emmis, traditionally a radio\ncompany, become the company to emulate in TV? Because\nwe approached TV in a way it’s never been approached\nbefore. Why do we operate leading hip-hop stations in mar-\nkets across the nation? Because we pioneered the concept.\nWhy have we created a new “Music with Class” format in St.\nLouis’ Red 104.1? Because we believe we see a new oppor-\ntunity. We know that successful companies don’t follow the\npack. They lead it, and that’s what we’ll always do.\nThe year ahead\nThat last point – innovation – is an important one, especially\nfor the future of Emmis, because we are planning something\nthat could change the face of American TV and once again\ndemonstrate that Emmis is a company that leads the way. \nForty years ago, Americans began taking down their TV\nantennas and severing broadcasters’ direct link to television\naudiences. Since then, the cable companies—the middlemen\nwho replaced us—have created more than $300 billion of\nvalue for themselves. However, changes in technology have\ngiven broadcasters the ability to provide the American public\nwith the most popular TV channels, without the middlemen\nand at a more reasonable price. \nWe are developing an innovative model that will leverage\nthat technology to get broadcast companies back into the\ngame. I believe it has the potential to revolutionize the \ntelevision industry. I also believe it will add substantial value\nto your investment. \nWe unveiled this concept at the National Association of\nBroadcasters meeting in April. I am proud to say that 11\nother television companies joined us at that meeting to\nexpress their support for what we’re calling the Broadcasters’\nInitiative, and more are signing on each week. Once again,\nEmmis has leveraged innovation to take a leading role in our\nindustries.\nWe’ll continue to use innovation to push us forward.\nMeanwhile, we’ll also build and maintain the best teams, pro-\nduce the best media content, outhustle and outsell our com-\npetitors, seize the best opportunities and operate this com-\npany better than any other.\nIn other words, you can count on Emmis to continue to do\nwhat it has always done: Outperform.\nThank you for your belief and investment in Emmis.\nwhat it has always done: outperform.\nJeffrey H. Smulyan", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "First of all, we focus on assembling and maintaining the best\nteams in our markets. We have traditionally had the top\nsalespeople, creative and technical professionals, news\nstaffs, managers and support staff in every city where we\noperate. Their peers turn to them for industry leadership,\nhonor them with awards and copy them at every opportunity.\nWe invest in these people, giving them industry-leading ben-\nefits packages, great opportunities and the tools they need to\nsucceed. This has always been a hallmark of Emmis, and it\nwon’t change.\nyou can count on emmis to continue to do", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Kevin Emfinger\nRoger Emmelhainz\nTerry Endicott\nJames Epley\nAdam Eppes\nDerrick Erb\nJustin Erskine\nAntone Erve\nWade Erwin\nDerek Esau\nAaron Escobedo\nVictor Escobedo\nBruce Escovedo\nNick Esker\nEnrique Espinoza\nDennis Espy\nDelfino Esquivel\nPhillip Estepp\nKirk Estes\nMartin Etem\nDebbye Eubanks\nRobert Eutsey\nBrandon Evans\nDavid E. Evans II\nDonald Evans\nJeffrey Evans\nKevin Evans\nLesley Evans\nMark K. Evans\nRoy Evans\nSteve Evans\nBryan Eveland\nRobert Evers Jr.\nRichard Ewald\nKristin Ewert\nJustin Ezell\nStacy Ezell\nEric Ezzolo\nAnthony Falkowski\nRicky Farmer\nDavid Farnsworth\nJon Fason\nDwight Faux\nSammy Feagin\nHeather Felder\nLori Felder\nAbraham Felix\nJacob Fellenz\nWilliam Feltner\nAlex Fennema\nDavid Fenton\nRyan Fenton\nJames Ferguson\nJonathan Ferguson\nKevin Ferguson\nNeeley Ferguson\nPatrick Ferrebee Jr.\nHeather Ferrin\nTrevor Fessler\nBobby Ficco\nClara Fidalgo\nShelby Fidler\nDaniel Fieker\nJon Filbert\nClint Filson\nMark Fimple\nLawrence Finch\nIsaac Finkbeiner\nJeremy Finkbeiner\nLezli Finsterwald\nNick Fischietto\nKurtis Fish\nAngela Fisher\nCharles Fisher\nClay Fisher\nJeremy Fisher\nRobert Fisher\nAdam Fitzgibbon\nJason Flaherty\nJody Fletcher\nFrankie Flores\nMark Flores\nToby Floyd\nJed Foley\nAlexander Fontaine\nPete Foradori Jr.\nAshley Ford\nDarren Ford\nSloane Ford\nTara Ford\nGary Fordyce Jr.\nElwood Foreman Jr.\nMatue Forh\nJames Forney\nChristina Forth\nShawn Fortney\nAndrew Foshee\nDanny Foster\nGlen Foster\nJason Foster\nStephany Foutch\nCarl Fowler\nSacia Fowler\nGreg Fox\nHoward Fox\nLogan Franklin\nBrandon Frazier\nChase Frazier\nMichelle Frazier\nKeith Free\nLindsey Free\nJames Freeman\nMichael Freeman\nDonnie French\nJames Fretwell\nKristin Friday\nJames Friend Jr.\nFrank Frieri\nShawn Fromille\nBrian Fuentes\nBryant Fulk\nAl Fuller\nJosh Fuller\nRoland Fuller\nTerry Fuller\nBrett Fullmer\nChristi Fulton\nJoAnn Fulton\nRussell Fultz Jr.\nKevin Furr\nKyle Gabb\nWilliam Gaddy\nDrue Gage\nDrew Gagliardi\nJill Gagliardi\nKyle Gagliardi\nSarah Gainer\nKristi Galbraith\nBrad Gale\nRandall Gall\nRandis Gallaway\nBilly Galloway\nEileen Galvan\nGerardo Galvan\nCurtis Gambill\nJake Gamboa\nStephanie Gannaway\nDeborah Garbark\nAntonia Garcia\nGuadalupe Garcia\nHeriberto Garcia\nJesus Garcia Jr.\nMario Garcia\nMartin Garcia Jr.\nJordan Gardner\nRodolfo Garduno\nLoni Garis\nDavid R. Garner\nDavid Garner\nDaNeil Garner\nPhillip Garner\nStan Garner\nChelsea Garrapy\nBryan Garrett\nNick Garrison\nStephanie Garrison\nTammy Garvin\nMatthew Garwood\nDolores Garza\nEduardo Garza\nMary Gaskill\nBeth Gaston\nTim Gaston\nBlaine Gatian\nJustin Gauthier\nTravis Gay\nAlbert Gaylord III\nJeff Gearhart\nJohn Gebhardt\nBrad Geer\nWarren Geionety\nJerry Gentry Jr.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Does the radio station 93.7 in Austin belong to Emmis Communication?", - "target_page": 7, - "target_passage": "KLBJ-FM (93.7), Album Oriented Rock", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "about emmis\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM\ndomestic radio stations serving the nation’s largest markets of New\nYork, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\nIndianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television\nstations, award-winning regional and specialty magazines, a radio net-\nwork, international radio interests, and ancillary businesses in broadcast\nsales and publishing. \nEmmis was founded in 1980, and the company launched its first radio\nstation, WENS-FM, in July 1981. As Emmis (the Hebrew word for\n“truth”) acquired more radio stations across the nation, it established a\nreputation for sound operations and emerged as a radio industry leader\nand innovator. Emmis was the first broadcast company to own top-\nrated radio stations in both L.A. and New York, and it pioneered such\nconcepts as the all-sports format.\nThe company launched its magazine division in 1988 with the purchase\nof Indianapolis Monthly, and moved into the world of international radio\nin 1997, when it was awarded a license to operate a national radio \nnetwork in Hungary. In 1998, Emmis expanded into television by buying\nsix television stations in markets throughout the United States. In the last\nsix years, the company has added properties in each of its divisions.\nWith its emphasis on solid operations, integrity, community involvement\nand fun, the company’s culture has been repeatedly lauded by both its\nemployees and its peers. Trade publications have regularly cited the\ncompany’s leaders as being among the best in the business. \nEmmis became a public company in 1994. It maintains its worldwide\nheadquarters in Indianapolis, where the company was founded.\nThis annual report contains certain non-GAAP measures. For a presen-\ntation of the directly comparable GAAP measure and a reconciliation of\nthe non-GAAP measures to the GAAP measures, see the attachment to\nthe back of our Form 10-K in this Annual Report.", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "emmis entities\nRADIO\nAustin\nKDHT-FM (93.3), Rhythmic CHR\nKEYI-FM (103.5), Oldies\nKGSR-FM (107.1), Adult Alternative\nKLBJ-AM (590), News/Talk\nKLBJ-FM (93.7), Album Oriented Rock\nKROX-FM (101.5), Alternative Rock\nChicago\nWKQX-FM (101.1), Alternative Rock\nIndianapolis\nWENS-FM (97.1), Adult Contemporary\nWIBC-AM (1070), News/Talk/Sports\nWNOU-FM (93.1), CHR\nWYXB-FM (105.7), Soft Adult Contemporary\nNetwork Indiana, Statewide news network\nLos Angeles\nKPWR-FM (105.9), Hip-Hop/R&B\nKZLA-FM (93.9), Country \nNew York\nWQCD-FM (101.9), Smooth Jazz\nWQHT-FM (97.7), Hip-Hop\nWRKS-FM(98.7), Classic Soul/Today’s R&B\nPhoenix\nKKFR-FM(92.3), Rhythmic CHR\nKKLT-FM (98.7), Adult Contemporary\nKMVP-AM (860), Sports\nKTAR-AM (620), News/Talk/Sports\nSt. Louis\nKFTK-FM (97.1), Talk\nKIHT-FM (96.3), Classic Hits\nKPNT-FM (105.7), Alternative Rock\nKSHE-FM (94.7), Album Oriented Rock\nWRDA-FM (104.1), New Standards\nTerre Haute\nWTHI-FM (99.9), Country\nWWVR-FM (105.5), Classic Rock \nTELEVISION\nAlbuquerque, N.M., KRQE-TV (Channel 13), \nCBS programming/local news\nFort Myers, Fla., WFTX-TV (Channel 4), \nFox programming/local news\nGreen Bay, Wis., WLUK-TV (Channel 11), \nFox programming/local news\nHonolulu, KHON-TV (Channel 2), \nFox programming/local news\nHonolulu, KGMB-TV (Channel 9), \nCBS programming/local news\nHuntington/Charleston, W.Va., WSAZ-TV (Channel 3), \nNBC programming/local news\nMobile, Ala./Pensacola, Fla., WALA-TV (Channel 10), \nFox programming/local news\nMobile, Ala./Pensacola, Fla., WBPG-TV (Channel\n55), WB programming\nNew Orleans, WVUE-TV (Channel 8), \nFox programming/local news\nOmaha, Neb., KMTV-TV (Channel 3), \nCBS programming/local news\nOrlando, Fla., WKCF-TV (Channel 18), \nWB programming\nPortland, Ore., KOIN-TV (Channel 6), \nCBS programming/local news\nTerre Haute, Ind., WTHI-TV (Channel 10), \nCBS programming/local news\nTopeka, Kan., KSNT-TV (Channel 27), \nNBC programming/local news\nTucson, Ariz., KGUN-TV (Channel 9), \nABC programming/local news\nWichita, Kan., KSNW-TV (Channel 3), \nNBC programming/local news\nPUBLISHING\nAtlanta\nCountry Sampler\nCincinnati\nIndianapolis Monthly\nLos Angeles\nTexas Monthly \nINTERNATIONAL \nHungary, Sláger Rádió, Classic Rock/local programming\nBelgium, nine stations serving the Flanders region\nRELATED BUSINESSES\nEmmis Books\nEmmis Interactive\nRDS", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "emmis communications\none emmis plaza\n40 monument circle\nindianapolis, indiana 46204\n®", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "In addition, we commit ourselves to creating the best content\nin our markets. Our magazines routinely dominate their\nindustry awards ceremonies – last year, Texas Monthlywon a\ncoveted National Magazine Award, and Emmis publications\nclaimed more than half of the awards at the City and\nRegional Magazine competition. Our radio stations feature\nsome of the industry’s most popular personalities – in 2003,\nEmmis people and stations were awarded three Marconi\nRadio Awards. And our television operations are regularly\nhonored by journalism organizations for their news gathering\nand community service. In short, we provide our markets\nwith reliable, high-quality content – content that helps us\nassemble the audiences our advertisers want to reach. \nWe then generate revenue by overallocating to sales. We\ngive our teams well-developed strategies, clearly defined\nbrands and solid products. We build bigger, better sales\nforces and put a greater emphasis on local dollars than our\ncompetitors. We hire aggressive managers, set ambitious\ngoals and then watch our people work harder and smarter\nthan anyone else.\nWe also seize the right opportunities and make the most \nof them. As the cost of buying radio properties has gone\nthrough the roof, we have been careful about buying.\nHowever, when we had a chance to acquire the LBJ stations\nin Austin, we knew it was the right fit: good stations, a\ntremendous heritage and a great culture, all with an opportu-\nnity for growth. And we’ve already built on that group’s track\nrecord – since we bought them, we’ve reformatted one sta-\ntion and quickly sent it to No. 1 in the market, and we’ve\npushed revenues up 9 percent for the entire group.\nFinally, we innovate. Why has Emmis, traditionally a radio\ncompany, become the company to emulate in TV? Because\nwe approached TV in a way it’s never been approached\nbefore. Why do we operate leading hip-hop stations in mar-\nkets across the nation? Because we pioneered the concept.\nWhy have we created a new “Music with Class” format in St.\nLouis’ Red 104.1? Because we believe we see a new oppor-\ntunity. We know that successful companies don’t follow the\npack. They lead it, and that’s what we’ll always do.\nThe year ahead\nThat last point – innovation – is an important one, especially\nfor the future of Emmis, because we are planning something\nthat could change the face of American TV and once again\ndemonstrate that Emmis is a company that leads the way. \nForty years ago, Americans began taking down their TV\nantennas and severing broadcasters’ direct link to television\naudiences. Since then, the cable companies—the middlemen\nwho replaced us—have created more than $300 billion of\nvalue for themselves. However, changes in technology have\ngiven broadcasters the ability to provide the American public\nwith the most popular TV channels, without the middlemen\nand at a more reasonable price. \nWe are developing an innovative model that will leverage\nthat technology to get broadcast companies back into the\ngame. I believe it has the potential to revolutionize the \ntelevision industry. I also believe it will add substantial value\nto your investment. \nWe unveiled this concept at the National Association of\nBroadcasters meeting in April. I am proud to say that 11\nother television companies joined us at that meeting to\nexpress their support for what we’re calling the Broadcasters’\nInitiative, and more are signing on each week. Once again,\nEmmis has leveraged innovation to take a leading role in our\nindustries.\nWe’ll continue to use innovation to push us forward.\nMeanwhile, we’ll also build and maintain the best teams, pro-\nduce the best media content, outhustle and outsell our com-\npetitors, seize the best opportunities and operate this com-\npany better than any other.\nIn other words, you can count on Emmis to continue to do\nwhat it has always done: Outperform.\nThank you for your belief and investment in Emmis.\nwhat it has always done: outperform.\nJeffrey H. Smulyan", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Outperform\nEmmis Communications 2004 Annual Report", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Outperform.\nemmis communications 2004 abbreviated financial highlights\nin thousands except where noted \nyear ended Feb. 28 (29) ’00 ’01 ’02 ’03 ’04\nnet revenues 325,265 473,345 539,822 562,363 591,868\nstation operating income* 125,477 174,213 185,665 213,112 220,445\nstation op income margin 38.6% 36.8% 34.4% 37.9% 37.2%\nleverage 2.5x 6.8x 9.3x 6.5x 6.7x\n*excluding noncash compensation\npublishingtvradio\n5\n4\n3\n2\n1\n0 1% 2.7% 4.5%\nINDUSTRY\nMARKETS\nEMMIS\nradio division revenue growth fiscal 2004\n$600,000\n$500,000\n$400,000\n$300,000\n$200,000\n$100,000\n$0 00 01 02 03 04\n$300,000\n$250,000\n$200,000\n$150,000\n$100,000\n$50,000\n$0 00 01 02 03 04\n325,265\n473,345\n539,822\n562,363\n591,868\n125,447\n174,213\n185,665\n213,112\n220,445\nnet revenue station operating income, \nexcluding noncash compensation\n4\n2\n0\n-2\n-4\n-6 -4.7% -2.3% 0.5%\nINDUSTRY\nMARKETS\nEMMIS\ntv division revenue growth calendar 2003", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Dear Shareholders,\nOn our year-end conference call, I said that last year was the\nbest in Emmis Communications’ history. And while that might\nhave sounded like the usual Wall Street hyperbole – like any\nother CEO bragging about his company’s performance – the\ndifference is, I believed it. And I still do.\nBut I’ve been in this business long enough to know two\nthings for sure: What I believe is not as important as what I\ncan prove, and what we did last year is only meaningful if it\nreflects on how we will do in the coming year. The good\nnews is, Emmis does have the results to back up my high\npraise, and what we did to perform last year does directly\nrelate to how we’ll perform in the year ahead.\nThe best year \nThe bottom line is this: Emmis Communications turned in a\nremarkable performance last year. Again and again, and by a\nnumber of measures, we outperformed our peers, our mar-\nkets and our own solid track record.\nAnd we did this in a year that was challenging in just about\nevery way. The economy was unstable, public companies\ncame under continuing scrutiny, indecency issues hounded\nbroadcasters, competition for tight ad dollars increased and\ntechnology continued to reshape the media world. \nBut our people refused to be slowed by those challenges.\nInstead, they worked through them. They innovated, hustled\nand focused. And they produced. \nOur radio division’s revenue growth led our markets and the\nindustry – in our fiscal year, our group was up 4.5 percent\nwhile our markets were up 2.7 percent and the industry only\n1 percent. Based on this kind of performance, we have con-\nsistently ranked among the nation’s leaders in per-station\nrevenue, and we continue to produce top-rated programming\nin markets across the nation.\nOur TV performance was even more impressive. The Emmis\ntelevision group’s revenues were up 0.5 percent in calendar\n2003, a year when our markets saw a 2.3 percent decrease\nin revenues, and the industry experienced a 4.7 percent \nrevenue decline. This industry-leading result made us one of\nthe few groups in the nation to post positive growth. In addi-\ntion, we gained revenue share at 11 of our 13 measured \nstations and held the line on expenses, giving us a 1.2 \npercent increase in fiscal-year cash flow.\nOur publishing and international divisions also posted strong\nresults. In a tough publishing market, our magazines boosted\ntheir division’s revenues by 4.6 percent over last year and\nincreased cash flow by 3.3 percent. Our international division\nturned in a revenue increase of 27 percent and a cash flow\nincrease of 31 percent.\nIn addition to boosting performance in our divisions, we\nhoned our corporate operations by continuing to build one \nof the most adept and hardest-working corporate groups in\nAmerican media. With this team in place, we’ve brought\nour leverage and cost of capital down to more manageable\nlevels, found ways to combat the continually increasing\ncosts of health insurance and, in a truly top-notch effort,\nsmoothly integrated our new Austin radio properties – in just\nunder a year as a part of Emmis, the Austin properties are\nenjoying significant ratings and revenue increases. \nOf course, for you, the real bottom line on our performance is\nits impact on your investment. I’m proud to say that we saw\na 27 percent increase in our share price over the course of\nthe last fiscal year – we ended fiscal ’03 at 19.79, and closed\nthe book on fiscal ’04 at 25.17.\nHow we did it\nOperationally, we were on top of our game last year. However,\nas I said, I know that the past year’s performance really only\nmatters if it reflects on what we’ll do in the coming year. The\ngood news is, it does. We performed at these high levels not\nby doing something unusual, but by operating the way Emmis\nhas always operated, and the way we always will.\nFirst of all, we focus on assembling and maintaining the best\nteams in our markets. We have traditionally had the top\nsalespeople, creative and technical professionals, news", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "what it has always done: Outperform.\nThank you for your belief and investment in Emmis.\nwhat it has always done: outperform.\nJeffrey H. Smulyan\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Executive Officers\nJeffrey H. Smulyan\nChairman of the Board, \nPresident and Chief Executive Officer\nWalter Z. Berger\nExecutive Vice President, \nChief Financial Officer and Treasurer\nRandall Bongarten\nTelevision Division President\nRichard F. Cummings\nRadio Division President\nGary L. Kaseff\nExecutive Vice President, \nGeneral Counsel\nPaul W. Fiddick\nInternational Division President\nMichael Levitan\nSenior Vice President, \nHuman Resources\nGary Thoe\nPublishing Division President\nBoard of Directors\nJeffrey H. Smulyan\nChairman of the Board, \nPresident and Chief Executive Officer\nSusan B. Bayh\nFormer Commissioner of the International Joint\nCommission of the United States and Canada\nWalter Z. Berger\nExecutive Vice President, \nChief Financial Officer and Treasurer\nGary L. Kaseff\nExecutive Vice President, \nGeneral Counsel\nRichard A. Leventhal\nPresident and Majority Owner, \nLMCS, LLC\nPeter A. Lund\nMedia consultant and former \nPresident of CBS Inc.\nGreg A. Nathanson\nMedia consultant and former\nPresident of Fox Television Stations and\nEmmis Television \nFrank V. Sica \nSenior Advisor \nSoros Fund Management LLC\nLawrence B. Sorrel\nManaging Partner and Co-CEO\nTailwind Capital Partners\nCorporate Office\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n317.266.0100.\nBusiness\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with award-\nwinning radio broadcasting, television broadcasting and magazine publishing \noperations. Emmis’ 23 FM and 4 AM domestic radio stations serve the nation’s largest\nmarkets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin,\nIndianapolis and Terre Haute, Ind. The company’s 16 television stations are located in\nAlbuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.;\nMobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.;\nTerre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes\nIndianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angelesand Country\nSampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio \nnetwork in Hungary; operates nine FM radio stations serving more than 50 percent of\nthe population in the Flanders region of Belgium; and has ancillary businesses in\nbroadcast sales, publishing and interactive products. \nTransfer Agent Register\nWachovia Bank N.A., Shareholder Services Group, \n1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\nAnnual Meeting\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on\nWednesday, June 30, 2004, at Emmis’ Corporate office.\nForm 10-K\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29,\n2004, which was filed with the Securities and Exchange Commission, will be sent \nto shareholders without charge upon written request to Kate Healey, Emmis\nCommunications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700,\nIndianapolis, Indiana 46204, or ir@emmis.com.\nMarket and Dividend Information\nThe Company’s Class A Common Stock is traded in the over-the-counter market\nand is quoted on the National Association of Securities Dealers Automated\nQuotation (NASDAQ) National Market System under the symbol EMMS. \nThe following table sets forth the high and low bid prices of the Class A Common\nStock for the periods indicated. No dividends were paid during any such periods.\nQuarter Ended High Low\nMay 2002 31.85 26.15\nAugust 2002 30.15 11.65\nNovember 2002 24.05 14.25\nFebruary 2003 24.86 17.82\nMay 2003 21.24 14.84\nAugust 2003 23.87 18.68\nNovember 2003 24.06 18.00\nFebruary 2004 28.65 22.74\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A\nCommon Stock and one record holder of the Class B Common Stock.\nEmmis intends to retain future earnings for use in its business and does not anticipate\npaying any dividends on shares of its common stock in the foreseeable future.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "First of all, we focus on assembling and maintaining the best\nteams in our markets. We have traditionally had the top\nsalespeople, creative and technical professionals, news\nstaffs, managers and support staff in every city where we\noperate. Their peers turn to them for industry leadership,\nhonor them with awards and copy them at every opportunity.\nWe invest in these people, giving them industry-leading ben-\nefits packages, great opportunities and the tools they need to\nsucceed. This has always been a hallmark of Emmis, and it\nwon’t change.\nyou can count on emmis to continue to do", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "What are the two components considered in the expected free energy?", - "target_page": 4, - "target_passage": "The former (utilitarian) objective is to realize one’s preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensa- tions (encoded as “priors over observations” in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one’s estimated state", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. How-\never, after re-writing the interaction terms employing gradient operators [78] one finally obtains\nthe free energy functional for a continuous system\nF[ρl,ρn] =\n∫\ndr\n[\nf(ρl,ρn) + εll\n2 (∇ρl)2 + εnn\n2 (∇ρn)2 + εnl(∇ρn) ·(∇ρl) −µρl\n]\n, (4)\nwhere\nf(ρl,ρn) = kT[ρl ln ρl + (1 −ρl) ln(1−ρl)]\n+ kT[ρn ln ρn + (1 −ρn) ln(1−ρn)]\n−2εllρ2\nl −2εnnρ2\nn −4εnlρnρl. (5)\nSince the liquid may evaporate from the surface into the vapour above the surface, µis the (true)\nchemical potential of this reservoir and determines the rate of evaporation [condensation] from\n[to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a\ngradient expansion of the free energy functional of a continuous system [84]. However, here we\nhave made the mapping from the free energy of the lattice KMC system.\nThe chemical potential for the nanoparticles may be determined from the functional derivative\nµn = δF[ρn,ρl]/δρn(r). In equilibrium it is constant throughout the system, but it may vary\nspatially in a non-equilibrium system, i.e., µn = µn(r,t). We assume that the dynamics of the\nnanoparticles is governed by the thermodynamic force ∇µn – i.e. that the nanoparticle current\nis j = −Mnρn∇µn, where Mn(ρl) is a mobility coefficient that depends on the local density of\nthe liquid. Combining this expression for the current with the continuity equation, we obtain the\nfollowing evolution equation for the nanoparticle density profile\n∂ρn\n∂t = ∇·\n[\nMnρn∇δF[ρn,ρl]\nδρn\n]\n. (6)\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have\nover-damped stochastic equations of motion [80–83]. Here, we assume that Mn(ρl) = αΘs(ρl −\n0.5), where Θs(x) is a continuous function that switches smoothly from the value 0 to the value\n1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that\nthe nanoparticles are immobile when the local liquid density is small (dry substrate) and have a\nmobility coefficient αwhen ρl is high (wet substrate).\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate\nfrom the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may\n15", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "3\nr (Å)\n0\n1\n2\n3\nβ V~\n12\nSR\n(r)\nβ V 12\nSR\n(r)\nβ V~\n33\nSR\n(r)\n4 6 8 10\n0\n1\n2\n3 β V~\n13\nSR\n(r)\n4 6 8 10\nβ V~\n23\nSR\n(r)\n(a)\n(b) (c)\n(d)\nFIG. 3: Effective pair potentials derived for MSA3 and\nBIMSA3. (a) Cation anion (dashed line: without taking the\npair into account), (b) pair cation, (c) pair anion, and (d) pair\npair. The internal potential of the pair β ˜Vint(r) is set equal\nto βV eff\nij (r) for distances less than 4 ˚\nA.\ntrapolating the original potential at the barrier separat-\ning pairs from free ions (as shown in Fig.\n3). We assume\nthat the interaction potential is averaged over the rota-\ntional degrees of freedom of the CIP and thus pairwise\nadditive. Hereafter, the quantities referring to such a\nthree-component model are written with a tilda symbol.\nThe short-range potentials involving the pair can be de-\nrived, in the infinite dilution limit, from an average of\nthe contributing ion interactions. In Fourier space,\n˜V SR\n3i (k) = ˜w(k/ 2)\n[\nV SR\n1i + V SR\n2i\n]\n(k), i = 1 , 2 (2a)\n˜V SR\n33 (k) = ˜w(k/ 2)2[\nV SR\n11 + V SR\n22 + 2V SR\n12\n]\n(k) (2b)\nwhere ˜w(r) is the pair probability distribution\n˜w(r) = K− 1\n0 e− β ˜Vint(r) (2c)\n˜Vint(r) is the internal part of the pair potential (see\nFig.\n3), and K0 is the association constant, defined as:\nK0 =\n∫ ∞\n0\ndr 4πr2e− β ˜Vint(r) = 0 . 43 L . mol− 1 (3)\nThe excess free-energy density of the original system\nβf ex\nv is that of the three component mixture β ˜fex\nv plus a\ncorrection term\nβf ex\nv = β ˜fex\nv − ˜ρ3 ln K0, (4)\nwhich is due to the change in standard chemical potential\nbetween the two component and three component mod-\nels. It should be noted that the fraction of pairs is now an\nadditional parameter in the minimization scheme, which\nserves to ensure chemical equilibrium. Within this rep-\nresentation, the pair can be modeled as a hard sphere\n(MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n-1.5\n-1\n-0.5\n0\nβ f v\nex\n (mol.L\n-1\n)\nMC\nMSA2\nMSA3\nBIMSA3\nDHLL\nExp\n0 0.5 1\n0.1\n0.2\nPair Fraction\nFIG. 4: (Color online) Excess free-energy density βf ex\nv as\na function of the square root of the concentration √ c. (dia-\nmond) MC simulations, (dot dashed) MSA2, (dashed) MSA3,\n(solid) BIMSA3, (dot) DHLL, and (cross) experiments. The\ninset gives the fraction of pairs (MSA3, BIMSA3) as a func-\ntion of√\nc.\nwe have no additional information, we consider only sym-\nmetric dumbbells. Furthermore, since analytic expres-\nsions for the RDF within BIMSA are not known, we ap-\nproximate the dumbbell as a hard sphere when comput-\ning the perturbation term (this is not necessary for the\nreference term, since an expression for the free energy\nis available). Let˜σc be the diameter of the cation (an-\nion) within the dumbbell, the diameter of the hard sphere\nrepresenting this dumbbell is taken to be˜σ3 = 4\n√\n2\nπ ˜σc[21].\nUsing these two reference systems, the three-\ncomponent MSA3 and BIMSA3, we obtain results in\nmuch better agreement with the MC simulations, as\nshown in Fig.\n4. The diameters obtained for species 1,\n2, and 3 are 3.65, 4.79, and 5.76 ˚\nA for MSA3 and 3.69,\n4.75 and 6.19 ˚\nA for BIMSA3. The free ion diameters are\nsimilar for MSA2, MSA3, and BIMSA3. The pair diam-\neter is smaller when modeled as a hard sphere (MSA3)\nthan when modeled as a dumbbell (BIMSA3). At high\nconcentration (about 1 mol l− 1), the MSA3 overestimates\nthe free energy, because the excluded volume repulsion\nbecomes too important for the pairs to be represented as\nhard spheres. The BIMSA3 model is the closest to the\nMC simulation results. It is worth noting that even at\nthe lowest concentration considered, the fraction of pairs\n(shown in the insert of Fig.\n4), although less then 5%,\nhas a non-negligible effect on the thermodynamics of the\nsystem.\nThis procedure also provides an accurate description of\nthe structure over the whole range of concentrations. A\ndevelopment similar to the one that leads to Eq. (\n2) de-\nrives the average unpaired RDF from the corresponding\npaired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "2\nr (Å)\n0\n1\n2\n3 β V 12\nSR\n(r)\n2\n4\n6\n8\ng 12\nMC\n(r)\ng 12\nMD\n(r)\n4 6 8\n0\n1\n2\n3 β V 11\nSR\n(r)\n4 6 8\n0\n1\n2\n3β V 22\nSR\n(r)\n(a)\n(b)\n(d)\n(c)\nFIG. 1: Effective McMillan-Mayer short-range pair potentia ls\nextracted from explicit solvent simulations using the HNC\nclosure. (a) Cation anion, (b) cation cation, (c) anion anion,\n(d) cation anion RDF obtained from explicit solvent MD and\nimplicit solvent MC simulations.\npute all ion thermodynamic properties through implicit\nsolvent MC simulations.\nThe second stage of our coarse-graining procedure con-\nsists in applying LPT, in order to deduce the best ana-\nlytical model of electrolyte solutions which reproduces\nthis molecular description. The principle of LPT is to\ndescribe the properties of a given system in terms of\nthose of a well known reference system, with the differ-\nence between them treated as a perturbation in the ref-\nerence potential. Assuming pairwise additive potentials,\nVij = V (0)\nij + ∆V ij , a first-order truncated expression for\nthe free energy density of the system βfv is obtained,\nβfv ≲ βf (0)\nv + 1\n2β\n∑\ni,j\nρiρj\n∫\ndr g(0)\nij (r)∆V ij (r) (1)\nwhich depends only on the free-energy density f(0)\nv and\nRDF g(0) of the reference fluid, with β = ( kBT )− 1 and\nρi the concentration of species i. The Gibbs-Bogoliubov\ninequality [15] ensures that the right-hand side of Eq. ( 1)\nis actually a strict upper bound. Once a reference system\nhas been chosen, the expression on the right-hand side of\nEq. (\n1) must be minimized with respect to the parameters\ndefining the reference. This procedure yields the best\nfirst-order approximation to the free energy of the system\nunder consideration.\nFor a system of charged particles in solution, the nat-\nural reference is the PM, defined in terms of the charge\nand diameter (σi) of each species. In this case, the per-\nturbing potentials are just the short-range effective po-\ntentials computed above (∆Vij = V SR\nij ). We use the\nMSA [3] solution to the PM, since it provides analyti-\ncal expressions for both the free energy and the RDF.\nThe perturbation term is evaluated using an exponential\napproximation to the RDF obtained within the MSA,\ng(r) = exp [ gMSA(r) − 1], which removes any unphysical\nnegative regions and improves the comparison with HNC\ncalculations.\n0.9\n1\n1.1\n1.2\n1.3Φ\nMC\nMSA2\nDHLL\nExp\n0 0.5 1 1.5\nc\n1/2\n (mol.L\n-1\n)\n1/2\n3\n4\n5σ (Å)\nσ 1 (MSA-fit)\nσ 2 (MSA-fit)\nσ 1 (MSA2)\nσ 2 (MSA2)\n(a)\n(b)\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the\nMcMillan-Mayer frame of reference. (diamond) MC simula-\ntions, (dot dashed) MSA2, (dot) Debye H¨ uckel Limiting law\n(DHLL), (cross) experiments (Ref. [18] with the McMillan-\nMayer to Lewis Randall conversion). (b) Minimization diam-\neters. (dot dashed) MSA2 and (diamond) MSA-fit.\nWe first used LPT for a two-component system (Na +\nand Cl − free ions) within the MSA (model MSA2), for\nconcentrations ranging from 0.1 to 2 . 0 mol l− 1. The mini-\nmization leads to almost constant diameters on the whole\nrange of concentration:σ1 = 3 . 67 ˚\nA and σ2 = 4 . 78 ˚\nA.\nAs shown in Fig.\n2, these parameters yield osmotic co-\nefficients close to MC calculations only at very low con-\ncentration, i.e.,c ≤ 0. 1 mol l− 1 (experimental values are\ngiven for indicative purposes only, since a perfect model\nwill exactly match the MC results). For molar solutions,\nthe LPT results differ considerably from MC calculations.\nThis discrepancy can easily be understood by comparing\nthe diameters found within the MSA2 calculation with\nthe effective potentials given in Fig.\n1. The anion/cation\ncontact distance obtained within the MSA2 calculation\nis 4. 2 ˚\nA, which is in the region of the second minimum of\nthe effective potential and corresponds to the situation\nwhere there is a single layer of water molecules between\nthe ions. The first minimum of the potential, which cor-\nresponds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "K[X] = exp\n[\n−Eads[X] + TS [X]\nkBT\n]\n. (5)\nIn these expressions C[X] is the concentration of species X,\nS[X] is its gas phase entropy and T is the temperature. Ex-\nperimental values for the gas phase entropies have been taken\nfrom Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "Entropy 2025, 27, 62 5 of 33\nquantities as its target: the variational free energy (VFE) in the case of perception and the\nexpected free energy (EFE) in the case of action. The VFE is the free energy associated with\na given sensory observation and is resolved perceptually by updating beliefs about the\nenvironment. The EFE is the free energy that is expected in the future, contingent on a\ngiven policy or course of action. Choosing action policies associated with a low EFE lead\nto reducing uncertainty about the environment, as well as making preferred observations\nmore likely.\n2.1. POMDPs in Active Inference\nIn AIF, the POMDP is one of the most common families of generative models used\nto make inferences about the environment. It is a Markovian discrete state-space model,\nwhere employing it means representing the environment and observations as inhabiting\none among a set of possible (possibly multidimensional) states, and that the changes\nin these states can only depend on the system’s previous state and the agent’s actions.\nEnvironmental states are not directly observable, so they have to be inferred based on\nincoming sensory observations. In AIF for POMDPs and other generative models in general,\nboth perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well\nas the learning of parameters of the generative model (see Section 2.4). Crucially, an agent’s\ngenerative model does not a priori have to be isomorphic to the true environment (i.e.,\nthe data-generating process), although this will generally lead to a successful inference,\nand that the generative model will therefore often come to resemble the environment\nthrough learning.\nA discrete state-space POMDP in AIF is conventionally defined by five main sets of\nparameters: A, B, C, D and E [1,33], see Figure 1. Together, these parametrise the agent’s\nprior beliefs about the prior probability of different states in the environment, how states\nof the environment change and how they generate observations. Typically, they will be\nvectors, matrices or tensors; however, henceforth we denote them by their corresponding\nletter in bold. These make up the components needed for the agent to perform AIF.\nA, also called the observation model, represents the state-to-observation likelihood model.\nThis describes how observations depend on or are generated by states of the environment.\nIt is structured as a matrix with a column for each possible environmental states, and a row\nfor each possible observation o. Each column is then a categorical probability distribution\nover the observations that will occur given the environmental state (meaning that each\ncolumn must contain non-negative values that sum to 1). If the observations are multidi-\nmensional (i.e., multiple observations are made at each time point), there is a matrix for\neach observation modality. If two or more states determine the observation, the likelihood\nmodel then becomes a tensor. IfA is imprecise (i.e., the probabilities are highly entropic and\nevenly distributed), observations are taken to carry less information about the environment,\nin many cases leading to more uncertain inferences, and vice versa.\nB, also called the transition model, describes the state-to-state transition probabilities of\nenvironmental states s. B encodes the agent’s assumptions about how the environment\nchanges over time, depending on its actions. It has a column and a row for each environ-\nmental state s, where each column is a categorical probability distribution over the states\nthe environment will take on the next time step, given the state it is currently in. If the envi-\nronment is modelled as multidimensional, there will be a matrix for each environmental\nstate factor. Additionally, there is a separate matrix for each possible action (making each\nfactor in B a tensor). This means that for every factor in the model, there may be one or", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "4\nr (Å)\n2\n4\n6\n8\n4 6 8\n0.5\n1\n1.5\n4 6 8\n0.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 12 (r)\n1.5 mol.L\n-1\ng 11 (r)\n1.5 mol.L\n-1\ng 22 (r)\nFIG. 5: (Color online) RDF obtained from MC simulations\n(diamond), BIMSA3 (solid line), and MSA-fit (dot dashed)\nat two concentrations.\nThe RDF obtained within BIMSA3 are compared with\nthe MC and MSA-fit results in Fig.\n5. Our BIMSA3\nmodel accounts for the strong molecular peak of the CIP\nand provides the correct distances of minimal approach;\nwhereas the naive MSA-fit procedure ignores the former\nand gives poor estimates for the latter. At larger sep-\narations, the BIMSA3 results do not reproduce the os-\ncillations observed in the MC simulations, but the cor-\nresponding energy oscillations in the effective potentials\nare less thankBT . In addition, the perturbation term\nof the BIMSA3 appears to be negligible compared to the\nreference term for concentrations less than 1 mol l− 1. The\nperturbation can then be omitted to obtain a fully ana-\nlytical theory, determined by the hard sphere diameters\nand the pair fraction given by LPT; with the free energy\nand the RDF given in terms of the BIMSA and MSA so-\nlutions, as described above. While the procedure we have\nfollowed uses two different approximations for the refer-\nence and perturbation terms (MSA vs BIMSA), these are\nknown to be accurate for the systems under consideration\nand do not appear to be inconsistent with each other.\nTo conclude, we have combined MD simulations with\nLPT to construct simple models of electrolyte solutions\nwhich account for the molecular nature of the solvent.\nThe final result is fully analytical and it yields the ther-\nmodynamic and structural properties of the solution, in\nagreement with the original molecular description. The\nmethodology can in principle be adapted to any molecu-\nlar description of the system (MD simulations involving\ninteraction potentials accounting for polarization effects\nor Car-Parrinello MD simulations for example) as long\nas the ion-ion RDF are known. It can also be generalized\nto study interfaces. The method appears to be a promis-\ning approach toward the description of the specific effects\nof ions, especially for complex systems whose modeling\nrequires an analytic solution.\nThe authors are particularly grateful to Werner Kunz\nfor fruitful discussions.\n[1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13,\n276 (1945).\n[2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical\nChemistry of Electrolyte Solutions (Springer, 1998).\n[3] L. Blum, in Theoretical Chemistry: Advances and Per-\nspectives, edited by H. Eyring and D. Henderson (Aca-\ndemic Press, 1980), vol. 5, pp. 1–66.\n[4] L. Blum and O. Bernard, J. Stat. Phys. 79, 569 (1995).\n[5] J.-F. Dufrˆ eche et al., J. Phys. Chem. B 109, 9873 (2005).\n[6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106, 1259\n(2006).\n[7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin.\nColloid Interface Sci.9, 1 (2004).\n[8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett.\n96, 147801 (2006).\n[9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130, 134507\n(2009).\n[10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110,\n10878 (2006)\n[11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52,\n3730 (1995).\n[12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99, 226104\n(2007).\n[13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev.\nLett.100, 258105 (2008).\n[14] S. Van Damme et al., J. Phys. Chem. B 113, 3105 (2009).\n[15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liq-\nuids (Academic Press, 1986).\n[16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R.\nSoc. London, Ser. A359, 1545 (2001).\n[17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65,\n041202 (2002).\n[18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermo-\ndynamic and Transport Properties , vol. I-II (Coimbra Ed-\nitora, Lisbon, Portugal, 1984).\n[19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88,\n333 (1984).\n[20] J.-F. Dufrˆ eche, T. O. White, and J.-P. Hansen, Mol.\nPhys.101, 1741 (2003).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B\nwe show how one may develop a dynamical density functional theory (DDFT) that describes the\nsystem at a similar level to the KMC. However, the DDFT may also be easily extended to include\nother effects such as fluid diffusion, that the KMC does not incorporate.\nA. Kinetic Monte Carlo model\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed\nin Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key\nassumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice\ngas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii)\nall relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided\nup into a regular array of lattice sites whose size is dictated by the nanoparticles. One then con-\nsiders each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively\nmaps the system onto a two-dimensional two-component lattice gas having two fieldsnand l. The\nresulting three possible states of a cell are: liquid ( l = 1 ,n = 0 ), nanoparticle ( l = 0 ,n = 1 ),\nand vapour (l = 0,n = 0, i.e., cell empty). The energy of an overall configuration is given by the\nhamiltonian\nE = −εnn\n2\n∑\n\nninj −εnl\n2\n∑\n\nnilj −εll\n2\n∑\n\nlilj −µ\n∑\ni\nli (3)\nwhere ∑\n denotes a sum over nearest neighbour pairs andεll, εnn and εnl are the liquid-liquid,\nparticle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction\nstrength parameters εll, εnn, εnl and the effective chemical potential µdetermines the equilibrium\nstate of the system. We choose εll as unit of energy – i.e. we set εll = 1.\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. How-\never, as the system ‘dries in’ during the course of the solvent evaporation, the final nanoparticle\nconfigurations do not necessarily represent equilibrium structures. This implies that the system\ndynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their\nrelative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i)\nevaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility\nM corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of\n9", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "arXiv:1001.2648v1 [physics.chem-ph] 15 Jan 2010\nModels of electrolyte solutions from molecular descriptions: The example of NaCl\nsolutions\nJohn Jairo Molina 1, 2, 3,∗ Jean-Fran¸ cois Dufrˆ eche1, 2, 3,† Mathieu\nSalanne1, 2, Olivier Bernard 1, 2, Marie Jardat 1, 2, and Pierre Turq 1, 2\n1 UPMC-Universit´ e Paris 06, UMR 7195, PECSA, F-75005 Paris, France\n2 CNRS, UMR 7195, PECSA, F-75005 Paris, France\n3 Institut de Chimie S´ eparative de Marcoule (ICSM),\nUMR 5257 CEA–CNRS–Universit´ e Montpellier 2, Site de Marco ule,\nBˆ atiment 426, BP 17171, 30207 Bagnols-sur-C` eze Cedex, Fr ance\nWe present a method to derive implicit solvent models of elec trolyte solutions from all-atom\ndescriptions; providing analytical expressions of the the rmodynamic and structural properties of\nthe ions consistent with the underlying explicit solvent re presentation. Effective potentials between\nions in solution are calculated to perform perturbation the ory calculations, in order to derive the\nbest possible description in terms of charged hard spheres. Applying this method to NaCl solutions\nyields excellent agreement with the all-atom model, provid ed ion association is taken into account.\nSince the pioneering works of Debye, H¨ uckel, and\nOnsager, electrolyte solutions have been commonly\ndescribed by continuous solvent models, for which\nthe McMillan-Mayer theory [1] provides a rigorous\nstatistical-mechanical foundation. Within that level of\ndescription, simple phenomenological models such as the\nprimitive model (PM), for which the ions are assimi-\nlated to charged hard spheres [2], can lead to explicit\nformulas for the thermodynamic and structural proper-\nties (e.g., with the help of the mean spherical approxima-\ntion (MSA) [3] or the binding MSA (BIMSA) [4]). These\nmodels are the most practical to use [5], since they allow\nfor a direct link between the experimental measurements\nand the microscopic parameters of the system. Never-\ntheless, they ignore the molecular structure of the sol-\nvent. Consequently, they cannot properly account for\nthe complex specific effects of the ions, which appear in\nnumerous biological, chemical, and physical interfacial\nphenomena [6, 7], without further developments.\nAn alternative procedure consists in carrying out\nmolecular simulations, where both the solvent and solute\nare treated explicitly. After a rigorous averaging over\nthe solvent configurations, a coarse-grained description\nof the ions, which still includes the effect of the solvent\nstructure, can be obtained [8–11]. However, this set of\nmethods is purely numeric; they do not provide any an-\nalytical expression for thermodynamic quantities. They\nare therefore restricted to simple geometries [12, 13] (bulk\nsolutions or planar interfaces). The description of com-\nplex systems, such as porous or electrochemical materi-\nals, is still based on continuous solvent models [14].\nIn this letter we present a method aimed at bridging\nthe gap between analytical and numerical approaches. It\nis based on the application of liquid perturbation theory\n(LPT) [15] to effective ion-ion potentials extracted from\n∗ Electronic address: john.molina@etu.upmc.fr\n† Electronic address: jean-francois.dufreche@upmc.fr\nmolecular dynamics (MD) results. Different approxima-\ntions of the PM are employed for the case of NaCl elec-\ntrolyte solutions: a two component model (MSA2), that\nonly takes free ions into account, and two different three\ncomponent models (MSA3 and BIMSA3), which include\na third species (the contact ion pair). As we proceed\nto show, LPT allows us to select the best simple model\nwhich accurately accounts for the thermodynamics and\nthe physical-chemistry of the system.\nThe first stage consists in calculating the McMillan-\nMayer effective ion-ion interaction potentials V eff\nij (r), by\ninverting the radial distribution functions (RDF) gij(r)\nobtained by MD. The simulations were carried out on\na box of 2000 water molecules and 48 NaCl pairs us-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "responds to the contact ion pair (CIP) is thus completely\nignored by the MSA2 calculation. If the MSA diameters\nare directly fitted to reproduce the MC osmotic pres-\nsure, much smaller values are obtained. These MSA-fit\nhydrated diameters, which are compared to the MSA2\ndiameters in the bottom part of Fig.\n2, are averages of\nthe CIP and the solvent-separated ion pair.\nTo overcome this difficulty, we have explicitly intro-\nduced the CIP in our model (species 3). Straightforward\ncalculations, based on a characteristic-function formal-\nism, allow us to define an equivalent model in which\nthe free ions and the CIP are explicitly taken into ac-\ncount [19, 20]. We apply this formalism by defining a\npair as an anion and a cation at a distance less than\n4˚\nA, which corresponds to the position of the effective\npotential maximum. The interaction between free, like\ncharges in this new system remains unchanged, and the\ncation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "[81] A. J. Archer and M. Rauscher, “Dynamical density functional theory for interacting brownian parti-\ncles: Stochastic or deterministic?” J. Phys. A-Math. Gen. 37, 9325–9333 (2004).\n[82] A. J. Archer and R. Evans, “Dynamical density functional theory and its application to spinodal\ndecomposition,” J. Chem. Phys.121, 4246–4254 (2004).\n[83] P. A. Monson, “Mean field kinetic theory for a lattice gas model of fluids confined in porous materi-\nals,” J. Chem. Phys.128, 084701 (2008).\n[84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics , Cambridge University\nPress (1997).\n[85] J. S. Langer, “An introduction to the kinetics of first-order phase transitions,” in C. Godreche, editor,\n“Solids far from Equilibrium,” pages 297–363, Cambridge University Press (1992).\n[86] M. A. Spaid and G. M. Homsy, “Stability of Newtonian and viscoelastic dynamic contact lines,”\nPhys. Fluids 8, 460–478 (1996).\n[87] U. Thiele and E. Knobloch, “Front and back instability of a liquid film on a slightly inclined plate,”\nPhys. Fluids 15, 892–907 (2003).\n[88] M. R. E. Warner, R. V . Craster, and O. K. Matar, “Surface patterning via evaporation of ultrathin\nfilms containing nanoparticles,” J. Colloid Interface Sci. 267, 92–110 (2003).\n[89] O. K. Matar, R. V . Craster, and K. Sefiane, “Dynamic spreading of droplets containing nanoparticles,”\nPhys. Rev. E 76, 056315 (2007).\n[90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, “Theory for shock dynamics in particle-laden\nthin films,” Phys. Rev. Lett.94, 117803 (2005).\n[91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, “Shock solutions for particle-laden thin films,” SIAM J.\nAppl. Math. 68, 760–783 (2008).\n[92] R. V . Craster, O. K. Matar, and K. Sefiane, “Pinning, retraction, and terracing of evaporating droplets\ncontaining nanoparticles,” Langmuir (2009), online available.\n[93] D. Quemada, “Rheology of concentrated disperse systems and minimum energy-dissipation principle\nI. Viscosity-concentration relationship,” Rheol. Acta16, 82–94 (1977).\n[94] D. Quemada and C. Berli, “Energy of interaction in colloids and its implications in rheological\nmodeling,” Adv. Colloid Interface Sci.98, 51–85 (2002).\n[95] J. J. Stickel and R. L. Powell, “Fluid mechanics and rheology of dense suspensions,” Annu. Rev.\nFluid Mech. 37, 129–149 (2005).\n[96] J. K. G. Dhont, An Introduction to Dynamics of Colloids, Elsevier, Amsterdam (1996).\n31", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "How could the heart rate be estimated by means of an active inference paradigm?", - "target_page": 6, - "target_passage": "The second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The for- mer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor- mal” heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likeli- hood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "et al. 2021), symptom perception \n(Pezzulo et al. 2019), depression (Barrett et al. 2016), and many \nothers (Khalsa et al. 2018, Paulus et al. 2019). Intuitively, assign-\ning excessively high weight to noisy sensations yields an incorrect \ninference that tracks the noise rather than the correct state of \nthe estimated variable system (i.e. overfitting), whereas assigning \nexcessively low weight to sensations (or excessively high weight to \nprior knowledge) makes the system poorly responsive to incom-\ning observations that might signal a change in the state of the \nsystem—and both are examples of aberrant inference (Friston \net al. 2014).\nFigure 2 provides a formal illustration of the above by plot-\nting some examples of Bayesian inference using generative models \nunder various levels of precision of the model components. For \nsimplicity, we focus on a simplified example of inference of an \ninteroceptive variable: one’s heart rate. Heart rate is a “hidden \nvariable” in Bayesian parlance since it is not directly observable \nbut needs to be inferred through two sources of information: \nprior knowledge about the most likely heart rate and sensory \n(heartbeat) observations. The top panel of Fig. 2 shows a series \nof (noisy) heartbeat observations. In the beginning, they are \nin the normal range for an adult (time steps 1–10), then they \nincrease significantly, simulating tachycardia (time steps 11–20), \nthen they go back to the normal range (time steps 21–30), then \nthey decrease significantly, simulating bradycardia (time steps \n31–40), and finally, they go back to the normal range (time steps \n41–50).\nThe second panel of Fig. 2 shows the Shannon surprise of \nan inference model that estimates the current heart rate using \nthe two standard components of a generative model. The for-\nmer component is the prior, which encodes the person’s a priori \nprobabilistic belief (i.e. probability distribution) about her “nor-\nmal” heart rate range; here, the prior is a Gaussian centered on \n67 and has a precision of 0.11. The latter component is the likeli-\nhood, which encodes the probabilistic mapping between sensory \n(heartbeat) observations and the hidden state (heart rate); here, \nthe likelihood is a Gaussian centered on the current heart rate \nwith an additional bias of 15 pulses, and the panel shows the \nresults for 10 values for precision obtained by subdividing the \nrange [0.1,10] into equal intervals. The results shown in the second \npanel of Fig. 2 show that Shannon surprise increases dramatically \nduring episodes of tachycardia and bradycardia, which are far \nfrom the normal range. The pattern of results is the same across \nall levels of likelihood precision. However, the inference with a \nvery high precision (a precision of 10) tracks more closely the noise \nsensory signals and can therefore lead to more extreme results.\nThe third panel shows the Bayesian surprise (or the Kullback-\nLeibler divergence between posterior and prior probability distri-\nbutions) over time. This is a measure of how much dissimilar the \nposterior and the prior are, and it always decreases as a result of \ninference, but note that it decreases much more rapidly when the \nprecision of the likelihood is 10, which is another indication that \nthe posterior is “overfitting,” meaning that the inference result is \nexcessively biased by the likelihood distribution.\nFinally, the two bottom series of panels are organized in two \n(left and right) columns, which show the first five time steps of \ninference for the two cases with high precision (of 10) and low pre-\ncision (of 0.1) of the likelihood, respectively. In these plots, the prior \ndistributions are in blue, the posterior distributions are in green, \nand the likelihoods are in red. It is possible to note that in the left \n(high precision) panels, the posterior inference closely follows the \nlikelihood (it “overfits”) after five time steps and the inferred heart", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed1.pdf" - }, - { - "text": "Modeling and controlling the body in maladaptive ways 7\nFigure 2. A simplified example of (Bayesian) inference of one’s heart rate. First panel: simulated time series of heartbeat observations. Second panel: \nShannon surprise of a generative model composed of a fixed prior about heart rate (a Gaussian with a mean of 67 and a precision of 0.11) and a \nlikelihood (a Gaussian centered on the current heart rate with an additional bias of 15 pulses, with various precisions that vary between 0.47 and 10, \nsee the legend). Third panel: Bayesian surprise, which measures the discrepancy between posterior and prior probabilities over time. Bottom panels: \nthe two series of panels are organized in two (left and right) columns, which show the first five time steps of inference for the two cases with high \nprecision (of 10) and low precision (of 0.1) of the likelihood, respectively. See the main text for an explanation and online article for colored version of \nthis figure.\nthe current model generate significant surprise, and sometimes, \nthe surprise can remain relatively high for long periods before the \nmodel adapts (or the world changes), especially with some param-\neterizations of the generative model. This is particularly relevant \nin this context since active inference agents strive to minimize \ntheir surprise (and the long-term average of surprise, entropy, \nwhich is a measure of uncertainty) by changing their model, or \nchanging the world, or both.\nSecond, these examples illustrate the importance of precision \ncontrol and the appropriate setting of precision parameters in \nguiding inference. Remarkably, the inference can be more or less \naccurate or fast using the same data, depending on the precision \nparameters. Note that in Fig. 2, we manipulated only the precision \nof the likelihood. However, it would also be possible to manipulate \nthe precision of the prior, together or in alternative to the precision \nof the likelihood. Generally speaking, when the precision of the", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed1.pdf" - }, - { - "text": "Academic Editor: Astero Provata\nReceived: 25 October 2024\nRevised: 2 January 2025\nAccepted: 7 January 2025\nPublished: 12 January 2025\nCitation: Nehrer, S.W.; Ehrenreich\nLaursen, J.; Heins, C.; Friston, K.;\nMathys, C.; Thestrup Waade, P .\nIntroducing ActiveInference.jl: A\nJulia Library for Simulation and\nParameter Estimation with Active\nInference Models. Entropy 2025, 27, 62.\nhttps://doi.org/10.3390/e27010062\nCopyright: © 2025 by the authors.\nLicensee MDPI, Basel, Switzerland.\nThis article is an open access article\ndistributed under the terms and\nconditions of the Creative Commons\nAttribution (CC BY) license\n(https://creativecommons.org/\nlicenses/by/4.0/).\nArticle\nIntroducing ActiveInference.jl: A Julia Library for Simulation\nand Parameter Estimation with Active Inference Models\nSamuel William Nehrer 1,†\n , Jonathan Ehrenreich Laursen 1,†\n , Conor Heins 2,3,*\n , Karl Friston 3,4\n ,\nChristoph Mathys 5\n and Peter Thestrup Waade 5\n1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark;\n202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.);\nptw@cas.au.dk (P .T.W.)\n* Correspondence: cheins@ab.mpg.de\n† These authors contributed equally to this work.\nAbstract: We introduce a new software package for the Julia programming language,\nthe library ActiveInference.jl. To make active inference agents with Partially Ob-\nservable Markov Decision Process (POMDP) generative models available to the grow-\ning research community using Julia, we re-implemented the pymdp library for Python.\nActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive\nand behavioural modelling, as it is used in computational psychiatry, cognitive science\nand neuroscience. This means that POMDP active inference models can now be easily\nfit to empirically observed behaviour using sampling, as well as variational methods. In\nthis article, we show how ActiveInference.jl makes building POMDP active inference\nmodels straightforward, and how it enables researchers to use them for simulation, as well\nas fitting them to data or performing a model comparison.\nKeywords: active inference; free energy principle; predictive processing; Markov decision\nprocess; cognitive modelling; Julia\nPACS: 87.15.Aa\nMSC: 91-08\nJEL Classification: C63\n1. Introduction\nWe introduce a novel software library for Julia, ActiveInference, which lets users\nproduce the simulated behaviour of agents and their internal belief states with active\ninference (AIF) models, as well as fit such models to empirically observed behaviour.\nAIF [1–3] is a generally applicable formal framework for understanding and simulating\nintelligent behaviour that is based in neurobiology and first principles from statistical\nphysics [4–8]. AIF treats action and perception as unified under a joint imperative: to\nminimise the variational free energy (VFE), which quantifies how well the agent’s internal\ngenerative model explains incoming sensory observations. It is an upper bound on the\nthe surprise from sensory observations, making AIF formally related to prediction error\nEntropy 2025, 27, 62 https://doi.org/10.3390/e27010062", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "an active inference agent can continuously infer (and act upon) \nthe state of the world and of the body, including the internal \nmilieu, at multiple time scales. Of particular interest, here are \nmultimodal inferences that unite exteroceptive and interocep-\ntive sources of evidence. One example of this is the percep-\ntion of faces expressing emotions. T wo studies reported that", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed1.pdf" - }, - { - "text": "and current sensations in different modalities (e.g. interoceptive \nor exteroceptive). The latter (epistemic) objective is to reduce \nuncertainty about one’s estimated state. This means that active \ninference agents tend to avoid ambiguous states, encompass-\ning the avoidance of ambiguous places where self-localization is \nchallenging, ambiguous social situations where safety is uncer-\ntain, and ambiguous bodily states, such as unsure feelings of \nfatigue. However, one apparent exception to this aversion to ambi-\nguity arises when exploring novel states implies the opportunity \nto learn new things and enhance one’s model; see Friston et al. \n(2017) for a discussion. Furthermore, and importantly, active infer-\nence agents will actively operate in the environment to reduce \ntheir ambiguity; for example, by actively seeking informative sen-\nsations that disambiguate in which location they are (e.g. by \nlooking for traffic signs), whether their social context is safe \nor unsafe (e.g. by trying to understand other’s intentions from \ntheir facial expressions and actions), or whether they are cur-\nrently fatigued (e.g. by putting attention to one’s heart), happy,\nor sad.\nThe last examples—disambiguating one’s fatigue and emo-\ntional states—may seem strange if one assumes that we do have \ndirect access to the body- and allostasis-related states (e.g. states \nof satiation, thirst, and fatigue) and to our emotions (e.g. we \nautomatically know whether we are happy or sad). However, one \nassumption of active inference is that one’s bodily and emotional \nstates are not necessarily observable but, instead, “hidden states” \nthat need to be inferred on the basis of sensations (especially, \nbut not exclusively, of interoceptive sensations from the inside \nof the body) and of an implicit, unconscious model of how the \nbody functions (Barrett and Simmons 2015, Pezzulo et al. 2015, \nSeth and Friston 2016). In other words, the same inferential pro-\ncess that allows active inference agents to estimate the hidden \nstate of the external environment (e.g. the presence or absence of \nan object in the environment) is also used to estimate other hid-\nden states, such as fatigue, happiness, or sadness. This implies \nthat one can also be wrong, or be fooled, about these states; for \nexample, we could experience the “interoceptive illusion” of feel-\ning more fatigued than our physiological parameters would afford \n(Iodice et al. 2019).\nExtending this idea even further, one can assume that cer-\ntain emotional states, as well as self-awareness and the (embod-\nied) sense of self—and the feeling of continually being the same \nperson—could be constructed similarly: it would be the result of \nan inferential process that integrates bodily sensations and other \nexperiences over time (Gu et al. 2013, Seth 2013, Stephan et al. \n2016, Barr\nett 2017). Figure 1 illustrates graphically this perspective \nby showing a (schematic) hierarchical generative model that links \n(exteroceptive, interoceptive, and proprioceptive) sensations at \nlower levels with multimodal models of hidden bodily states, such \nas fatigue and hunger at intermediate layers, and, finally, with \ntemporally extended, integrative models of the emotional and \nembodied self at the higher hierarchical level. The hierarchical \ngenerative model recapitulates a simple predictive coding archi-\ntecture, which includes various putative brain areas or networks \n(gray ovals) arranged hierarchically. In the schematic, networks for \nunimodal (exteroceptive, proprioceptive, and interoceptive) pro-\ncessing are situated at the lowest hierarchical level, multimodal \nnetworks are at an intermediate level, and networks for process-\ning a persistent model of the self are at the highest level. Note \nthat this simple schematic is not supposed to recapitulate brain \nanatomy but to illustrate the basic principles of hierarchical gen-\nerative models and predictive coding; (for a discussion of the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "Entropy 2025, 27, 62 4 of 33\nCore Concepts\nAIF Active inference is a formal framework for modelling behaviour and cog-\nnition. Perception and action are cast as minimising free energy—the VFE\nand EFE, respectively—given a generative model of the environment.\nVFE The variational free energy F quantifies how well a generative model\nexplains incoming sensory observations. It can be rewritten as the negative\nlog model evidence (called surprise) upper-bounded by the divergence\nfrom the optimal posterior p(s|o). Perception as inference is accomplished\nby selecting the approximate posterior q(s) with the lowest associated\nVFE.\nF[q(s), o] ≜ DKL[q(s)∥p(o, s)] =DKL[q(s)∥p(s|o)]| {z }\nDivergence\n−ln p(o)| {z }\nSurprise\nEFE The expected free energy G quantifies the expected future free energy\nunder an action policy π. It consists of an information gain term and a\npragmatic value term that provide a natural balance between exploratory\nand goal-seeking behaviour. Action as inference is accomplished by select-\ning the action policy with the lowest associated EFE.\nGπ = −Eq(˜o,˜s|π)[ln q(˜s|˜o, π) − ln q(˜s|π)]\n| {z }\nInformation gain\n−Eq(˜o|π)[ln p(˜o|C)]\n| {z }\nPragmatic value\nGenerative\nmodel\nThe generative model is an agent’s formal assumptions about the structure\nand dynamics of its environment, based on which perceptual and active\ninferences are carried out. Many types of generative models exist that are\nsuitable for different environments and tasks.\nPOMDP The Partially Observable Markov Decision Process is a type of flexible\ngenerative model that is widely used in the AIF literature. In discrete time\nand usually a discrete state space, this model type is parametrised to fit a\ngiven task by a set matrices containing probability distributions.\n2. Active Inference with POMDPs\nIn this section, we briefly describe the core concepts of AIF and POMDPs. This\nshould familiarise the reader with the vernacular used in the later sections regarding\nthe functionalities of the package. While various extensions, such as structure learning,\nwhich enables an agent to learn the structure or shape of its environment through model\ncomparison [44–47], or hierarchical and temporally deep POMDPs [48,49], are relevant for\nfuture work, describing these in detail is beyond the scope of this foundational paper.\nAt the core of AIF lies the minimisation of a variational free energy upper bound on\nsurprise for perception, as well as action. This is motivated by the free energy principle[4–8],\nwhich states that self-organising systems can be described as minimising the variational\nfree energy of their sensory states. The minimisation of free energy generally takes two", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "6 Barca et al.\nparticipants processed faces expressing fear (but not neutral \nfaces or faces expressing other emotions) when their heart rate \nwas high—hence congruent with the fearful expression (Pez-\nzulo et al. 2018, Yu et al. 2021). The generative model shown \nin Fig. 1 could support this kind of inference by using interocep-\ntive information from the heart (i.e. high heart rate) as evidence \nthat “there might be something fearful out there” (Pezzulo 2013). \nAnother more complex example regards emotional awareness \nand self-awareness—which significantly engage the brain regions \ninvolved in interoception and the representation of physiologi-\ncal processes (Garfinkel et al. 2013). The generative model shown \nin Fig. 1 might support processes of emotional awareness in a \nway that is neither purely bottom-up (i.e. as if interoceptive sig-\nnals cause emotional awareness) nor top-down (i.e. as if emotional \nawareness causes interoceptive signals), but rather through a \ncircular causality between central predictions about bodily state—\nthat engage autonomic reflexes—and interoceptive streams—that \nupdate the predictions (Seth and Friston 2016). In this perspec-\ntive, any representation that induces interoceptive predictions \ncould be associated with emotional or affective content; cru-\ncially, this is also the case with some aspects of self-awareness \n(e.g. recognizing one’s own face) that require integrating intero-\nceptive streams with concurrent exteroceptive (e.g. visual) and \nproprioceptive cues. These examples illustrate that the genera-\ntive model of Fig. 1 natively implements both the multisensory \nintegration required to unite (for example) interoceptive and exte-\nroceptive streams and the active aspects that are supposed to \nsupport emotional and self-processing—and the construction of \nan “embodied self” (i.e. the circular causality between engag-\ning autonomic reflexes and capturing the ensuing interoceptive\nsignals).\nIn general, the accuracy of the inference of hidden bodily \nstates, the “embodied self,” or other aspects of the model depends \non the signal-to-noise ratio of the sensations and on the quality of \nthe model. For example, it is difficult to self-localize in a city if it \nis dark (low signal-to-noise ratio) or if one does not know the city \nwell (poor model). The inference of hidden bodily and emotional \nstates might function in an analogous manner. If the quality of \nthe afferent interoceptive (e.g. cardiac) signals is low, or if one has \na poor model of how one’s body functions, then it would estimate \none’s bodily states such as fatigue incorrectly (which in turn would \nalso impair its adaptive regulation of the same bodily states). Inte-\nroceptive signals could be “too noisy” for various reasons, which \nmight be related to physiology, inflammation, or stress. The body \nmodel can be poor in various ways, too. For example, it could \npoorly characterize the statistical relations between interoceptive \nsensations and hidden bodily states (e.g. systematically mischar-\nacterize high heart rate as caused by hunger but not fatigue\nor joy).\nFinally, there is a third essential element that determines the \naccuracy of the inference: precision control. In predictive cod-\ning, the influence of prediction errors on inference is weighted \nby their precision, i.e. inverse variance (pink triangles in Fig. 1). \nThis weighting would ensure that very reliable sensations have \nmore impact on inference than unreliable sensations. However, \nprecision (like all other variables) needs to be estimated, but this \nmight be incorrect. An incorrect setting of precisions has been \nassociated with various psychopathological conditions, such as \npsychosis (Adams et al. 2013), eating disorders (Barca and Pezzulo \n2020), panic disorders ( Maisto \n et al. 2021), symptom perception \n(Pezzulo et al. 2019), depression (Barrett et al. 2016), and many \nothers (Khalsa et al. 2018, Paulus et al. 2019). Intuitively, assign-", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed1.pdf" - }, - { - "text": "8 Barca et al.\nprior is very high, the posterior will closely reflect the prior, ren-\ndering the inference rigid and incapable of adapting to changing \nenvironmental conditions—which might be especially problem-\natic in periods of significant changes, such as adolescence or more \nsimply when one changes city, working environment, and friends. \nFurthermore, as shown in Fig. 1, hierarchical predictive coding \narchitectures have precision values associated with every hierar-\nchical level (whereas, for simplicity, the inference shown in Fig. 2 \nis not hierarchical). The correct balance of precision parameters \nwithin and across layers is crucial for accurate inference, as it \nensures that the correct levels of confidence are assigned to data \nand prior information.\nFinally, and importantly, aberrant precision control (as well \nas various combinations of other factors discussed earlier, such \nas noisy bodily sensations and poor bodily mode) can render \ninference not just incorrect but also highly ambiguous, leaving a \nperson in a permanent condition of uncertainty about whether \none is fatigued (when considering the bodily state), happy, or sad \n(when considering the emotional state), what kind of person one \nis or what are one’s desires (when considering self-models), etc. \nImportantly, this condition of uncertainty is not limited to percep-\ntual inference but has a cascade effect on decision-making and \naction selection. Indeed, an uncertain estimate of one’s state auto-\nmatically implies that one has low confidence in the effects of \none’s plans; for example, it renders more difficult the prediction \nof whether a run would be too fatiguing or a party too stressful. \nIt is exactly this kind of uncertainty (about the present and the \nfuture, the body state or the outcomes of social interactions, etc.) \nthat active inference agents strive to avoid.\nAvoiding excessive uncertainty in maladaptive \nways\nOur previous discussion clarified that active inference agents have \nsophisticated (hierarchically deep, temporally extended) models \nof themselves that permit making inferences at multiple levels \nabout hidden bodily states (which comprise both the classical \n“body schema” and other states that are relevant for allostasis, \nsuch as hunger, thirst, and fatigue) and other states related to \nthe emotional and embodied self. These models are essential for \nensuring effective regulation and control at multiple levels, from \nsimple reflexes to sophisticated goal-directed behaviors (Tschantz \net al. 2022). However, in some cases, the aforementioned inferen-\ntial process might not work properly (e.g. if the sensory channels \nare too noisy or are assigned excessively high or low precision). \nAs a consequence, a person could experience an excessive or \nirreducible uncertainty about her bodily and emotional states or \nabout the self, which in turn translates into a loss of confidence \nabout which future courses of action could produce desired out-\ncomes. Crucially, active inference agents follow the imperative \nto avoid such an uncertainty about the present or the future. \nNormally, uncertainty minimization strategies are adaptive (e.g. \nseeking advice if one is uncertain about the direction of the pre-\nferred restaurant). However, in some conditions, such as when \na person experiences excessive and irreducible uncertainty and \nwhen the uncertainty is particularly distressing or related to fun-\ndamental life concerns, she might potentially seek “maladaptive” \nways to reduce it—or methods that reduce uncertainty at the cost \nof hindering fundamental imperatives of well-being and survival \n(see also Linson et al. 2020).\nIn this perspective, apparently paradoxical actions, such as \nfood restriction and self-injurious behaviors, might be pursued \nbecause they could contribute to reducing the (otherwise unman-\nageable) uncertainty about bodily and emotional states or the self. \nIn other words, in some conditions, the self-injuring pain could be", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed1.pdf" - }, - { - "text": "(variational Laplace), instead of the sampling-based methods that currently predominate in\nthe field of cognitive modelling [34,35].\nIn this paper, we introduce ActiveInference.jl, a new software library for Julia [28]\nthat aims to provide easy-to-use tools for model fitting with AIF models and to introduce\nAIF to the growing community of researchers using Julia for computational psychiatry and\ncognitive modelling. Julia is a free and open-source high-level programming language that\nretains an easy user interface reminiscent of that in MATLAB and Python. Simultaneously,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Entropy 2025, 27, 62 30 of 33\ngenerative models, or even (deep learning-based) amortised inference models. These vari-\nous extensions could provide valuable tools for using AIF models in both theoretical and\napplied research.\nAuthor Contributions: Conceptualisation, S.W.N., J.E.L. and P .T.W.; methodology, S.W.N., J.E.L. and\nP .T.W.; software, S.W.N., J.E.L. and P .T.W.; formal analysis, S.W.N. and J.E.L.; writing—original draft\npreparation, S.W.N. and J.E.L.; writing—review and editing, C.H., K.F., C.M. and P .T.W.; visualisation,\nS.W.N. and J.E.L.; supervision, C.M. and P .T.W.; project administration, P .T.W. All authors read and\nagreed to the published version of this manuscript.\nFunding: C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFF-\nE-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439).\nInstitutional Review Board Statement: Not applicable.\nInformed Consent Statement: Not applicable.\nData Availability Statement: The original data presented in this study are openly available in\nActiveInferenceJuliaPaper at URL: https://osf.io/j3k5q/.\nConflicts of Interest: The authors declare no conflicts of interest. The funders had no role in the design\nof this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or\nin the decision to publish the results.\nAbbreviations\nThe following abbreviations are used in this manuscript:\nAIF Active inference\nFEP Free energy principle\nVFE Variational free energy\nEFE Expected free energy\nMCMC Markov Chain Monte Carlo\nPOMDP Partially Observed Markov Decision Process\nReferences\n1. Parr, T.; Pezzulo, G.; Friston, K.J. Active Inference: The Free Energy Principle in Mind, Brain, and Behavior; The MIT Press: Cambridge,\nMA, USA, 2022. [CrossRef]\n2. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P .; O’Doherty, J.; Pezzulo, G. Active inference and learning. Neurosci.\nBiobehav. Rev.2016, 68, 862–879. [CrossRef]\n3. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P .; Pezzulo, G. Active inference: A process theory. Neural Comput.2017,\n29, 1–49. [CrossRef]\n4. Friston, K.J.; Stephan, K.E. Free-energy and the brain. Synthese 2007, 159, 417–458. [CrossRef] [PubMed]\n5. Friston, K. The free-energy principle: A unified brain theory? Nat. Rev. Neurosci.2010, 11, 127–138. [CrossRef] [PubMed]\n6. Friston, K. The free-energy principle: A rough guide to the brain? Trends Cogn. Sci.2009, 13, 293–301. [CrossRef] [PubMed]\n7. Friston, K. A free energy principle for a particular physics. arXiv 2019, arXiv:1906.10184. [CrossRef]\n8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but\nnot too simple. Phys. Rep.2023, 1024, 1–29. [CrossRef]\n9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. Philos. Trans. R. Soc. B Biol. Sci.2009, 364, 1211–1221.\n[CrossRef] [PubMed]\n10. Karl, F. A Free Energy Principle for Biological Systems. Entropy 2012, 14, 2100–2121. [CrossRef]\n11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation,\nand the origins of cognition. Biol. Philos.2020, 35, 32. [CrossRef]\n12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P .; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. Proc.\nNatl. Acad. Sci. USA2024, 121, e2320239121. [CrossRef] [PubMed]\n13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in\nPersonality, Development, and Mental Illness. Personal. Neurosci.2018, 1, e18. [CrossRef] [PubMed]", - "page_start": 29, - "page_end": 29, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "At what stage of childhood does the construction of narrative identity take place?", - "target_page": 3, - "target_passage": "Among the challenges that adolescents have to face are the structuring of a “narrative identity” or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "4 Barca et al.\nreciprocity with caregivers and peers. Thus, in parallel to the \nnegotiation of identity with caregivers (through a relative detach-\nment from them, a renegotiation of intimacy, and the questioning \nof their confirmatory authority), the modifications of friendship \nstructures—from childhood to adolescence—lay the ground for \nthe progressive recognition of social contexts and peer relation-\nships as the elite territories for the modulation and exploration \nof personal identity. The redefinition that the adolescent has to \nface in these territories of exploration (of the self as an individ-\nual separated from the other and of the self with the other) might \npass through a phase of reduced coherence in the narration of \nthe self and hence an increased level of uncertainty. Coherence \nin the self’s narrative is considered a measure of well-being and \nhas been associated with psychopathology in adulthood (Klim-\nstra and Denissen 2017) and adolescence (Lind et al. 2020, Shiner \net al. 2021). For example, narrative incoherence has been found \nto be associated with personality disorders in adolescents (Lind \net al. 2019), where “identity diffusion” (e.g. feelings of emptiness \nand being fragmented and lack of a sense of continuity over time) \nmight be considered an expression of high levels of uncertainty of \nthe self.\nEmotion-wise, a developmental trend toward an increased\nspecificity of emotion-related maps of bodily sensations (Barca \net al. 2023)—a proxy of interoceptive representations of\nemotions—has been reported from children aged 6 years to adult-\nhood (Hietanen et al. 2016). Pubertal changes encompass dramatic \nbodily and neuroendocrine system changes, comprising—but not \nreduced to—changes in the reproductive, adrenal, and growth \naxes (Cameron 2004). Thus, adolescents might face at least four \nsources of uncertainty: (i) the uncertainty due to physiological \nalterations related to bodily changes and to modification in hor-\nmonal levels leading to sexual maturity; (ii) the uncertainty in self-\nidentity (i.e. the structure of self-awareness) and personal identity \n(i.e, the narrative diachronic self) (Drummond 2021), which might \nbe coupled with changes in body image and the development of \ngender identity; (iii) the uncertainty in affect regulation, with the \nemergence of new forms of affectivity as feelings of love and sex-\nual attraction toward a partner; and (iv) uncertainty in the social \ncontext, with respect to their social status and role expectations \nin the adult society. Such high levels of uncertainty might lead \nto a poorly defined sense of self, with unclear boundaries and a \nsense of emptiness. In this context, pain becomes a possible way \nto recover a bodily sense of self, and self-injurious behavior might \nbe instantiated as an attempt to reduce the rise in the levels of \nuncertainty in these (and potentially other) domains, toward the \ntransition to adulthood (see Miller et al. 2020 for a closely related \napproach on addiction).\nActive inference, interoceptive processing, \nand uncertainty reduction\nActive inference is based on the idea that in order to engage in \nadaptive allostatic regulation and goal-directed behavior, living \norganisms continuously strive to minimize the surprise of their \nsensations or, more formally, an upper bound to surprise: varia-\ntional free energy (Parr et al. 2022). Notably, the (expected) free \nenergy minimization processes that drive active inference jointly \nconsider two complementary objectives. The former (utilitarian) \nobjective is to realize one’s preferences, such as being satiated \nor safe, by minimizing the discrepancy between preferred sensa-\ntions (encoded as “priors over observations” in active inference) \nand current sensations in different modalities (e.g. interoceptive \nor exteroceptive). The latter (epistemic) objective is to reduce \nuncertainty about one’s estimated state. This means that active", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "and rephrased and asked follow-up questions to clarify and confirm\nthe correct understanding of participants’answers.\nAs similar themes arose repeatedly and no new themes\nemerged in thefinal interviews, data saturation was achieved (23).\n2.7 Analysis\nThe transcribed material was analyzed using systematic text\ncondensation (STC) ( 30) and was organized utilizing NVivo\n(version 1.7.1). STC is a method for cross-case analysis inspired\nby phenomenology. It involves four-steps: (1) identi fication\noverall themes from the empirical material, (2) extraction of\nmeaning units from the text which were then coded into groups,\n(3) condensation of all meaning units within the subgroups into\nan arti ficial quotation, that summarize and represents\nparticipants’ voices, (4) recontextualization of the material into\ncategories, presented as analytical texts. The process is iterative,\nresulting in continuous movement between the transcripts and\nwithin different steps of the analysis. An example of the STC\nprocess is illustrated inFigure 1.\nThe first author (SSHD) transcribed the interviews and read\nall material several times, while BN and ECA read most of the\ninterviews before preliminary themes were agreed on. SSHD\nidentified meaning units adhering to these themes and\ncoded them into groups. Condensates of the subgroups were\nwritten by SSHD and discussed by all researchers. SSHD then\nrecontextualized the material by forming categories\ndescribed as analytical texts supplemented by quotes, a process\nthat was discussed and revised several times by all authors.\nAll authors contributed to writing the manuscript.\nEnactive theory was used to interpret the results, aiming at\nextracting new knowledge beyond what the informants\nh a dp r o v i d e d(28).\n3 Results\nParticipants were interviewed one-on-one by thefirst author\n(SSHD) in November and December 2021 (mean = 14 days post-\noutdoor group). The time and place of the interviews were\nagreed upon according to participants’ preferences (undisturbed\noffice (n = 14), participant’s home (n = 1)). None dropped out.\nThe interviews lasted between 40 and 70 min (mean = 54, total =\n822) and were audio-recorded.\nThe results are presented as four categories summarized in\nFigure 2 and described below as analytic texts and illustrative\nquotes referenced with the participant ID and EDSS score.\nFIGURE 1\nExample of the analysis process (excerpts).\nDahl et al. 10.3389/fresc.2024.1303094\nFrontiers in Rehabilitation Sciences 05 frontiersin.org", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed13.pdf" - }, - { - "text": "awareness. J Comp Neurol 2013;521:3371–88.\nGuidano VF. Complexity of the Self: A Developmental Approach to Psy-\nchopathology and Therapy. New York, United States: Guilford Press, \n1987.\nHietanen JK, Glerean E, Hari R et al. Bodily maps of emotions across \nchild development. Dev Sci 2016;19:1111–8.\nIlyka D, Johnson MH, Lloyd-Fox S. Infant social interactions \nand brain development: a systematic review. Neurosci Biobehav Rev\n2021;130:448–69.\nIodice P, Porciello G, Bufalari I et al. An interoceptive illusion of effort \ninduced by false heart-rate feedback. Proc Natl Acad Sci U S A\n2019;116:13897–902.\nKesby A, Maguire S, Brownlow R et al. Intolerance of uncertainty \nin eating disorders: an update on the field. Clin Psychol Rev\n2017;56:94–105.\nKhalsa SS, Adolphs R, Cameron OG et al. Interoception Summit 2016 \nparticipants. Interoception and mental health: a roadmap. Biol \nPsychiatry Cogn Neurosci Neuroimaging 2018;3:501–13.\nKhanipour H, Shooshtari MH, Bidaki R. Suicide probability in ado-\nlescents with a history of childhood maltreatment: the role \nof non-suicidal self-injury, emotion regulation difficulties, \nand forms of self-criticism. Int J High Risk Behav Addict 2016;5:\ne2367.\nKirtley OJ, O’Carroll RE, O’Connor RC. Pain and self-harm: a system-\natic review. J Affect Disord 2016;203:347–63.\nKlimstra TA, Denissen JJ. A theoretical framework for the asso-\nciations between identity and psychopathology. Dev Psychol\n2017;53:2052–65.\nKlonsky ED, Oltmanns TF, Turkheimer E. Deliberate self-harm in a \nnonclinical population: prevalence and psychological correlates. \nAm J Psychiatry 2003;160:1501–8.\nLadouceur R, Gosselin P, Dugas MJ. Experimental manipulation \nof intolerance of uncertainty: a study of a theoretical model \nof worry. Behav Res Ther 2000;38:933–41.\nLalouni M, Fust J, Bjureberg J et al. Augmented pain inhibition \nand higher integration of pain modulatory brain networks \nin women with self-injury behavior. Mol Psychiatry 2022;27:\n3452–9.\nLaugesen N, Dugas MJ, Bukowski WM. Understanding adolescent \nworry: the application of a cognitive model. J Abnorm Child Psychol\n2003;31:55–64.\nLauriola M, Iannattone S, Bottesi G. Intolerance of uncertainty \nand emotional processing in adolescence: separating between-\nperson stability and within-person change. Res Child Adolesc Psy-\nchopathol 2023;51:871–84.\nLeone C, Galosi S, Mollica C et al. Dissecting pain processing in adoles-\ncents with non-suicidal self injury: could suicide risk lurk among \nthe electrodes?. Eur J Pain 2021;25:1815–28.\nLind M, Vanwoerden S, Penner F et al. Inpatient adolescents \nwith borderline personality disorder features: identity diffusion \nand narrative incoherence.. Pers Disord Theory Res Treat 2019;10:\n389–93.\nLind M, Vanwoerden S, Penner F et al. Narrative coherence in ado-\nlescence: relations with attachment, mentalization, and psy-\nchopathology. J Pers Assess 2020;102:380–9.\nLinson A, Parr T, Friston KJ. Active inference, stressors, and psy-\nchological trauma: a neuroethological model of (mal)adaptive \nexplore-exploit dynamics in ecological context. Behav Brain Res\n2020;380:112421.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed1.pdf" - }, - { - "text": "12 Barca et al.\nLiotti G. Trauma, dissociation, and disorganized attachment: \nthree strands of a single braid.. Psychother Theory Res Pract\n2004;41:472–86.\nLiotti G. A model of dissociation based on attachment theory \nand research. J Trauma Dissocn 2006;7:55–73.\nMagerl W , Burkart D, Fernandez A, Schmidt LG, Treede R. Persis-\ntent antinociception through repeated self-injury in patients with \nborderline personality disorder. Pain 2012;153:575–84.\nMaisto D, Barca L, Van den Bergh O et al. Perception and misperception \nof bodily symptoms from an active inference perspective: mod-\nelling the case of panic disorder.. Psychol Rev 2021;128:690–710.\nMalter Cohen M, Jing D, Yang RR et al. Early-life stress has \npersistent effects on amygdala function and development \nin mice and humans. Proc Natl Acad Sci U S A 2013;110:\n18274–8.\nMcAdams DP, McLean KC. Narrative identity. Curr Dir Psychol Sci\n2013;22:233–8.\nMcEvoy PM, Mahoney AE. To be sure, to be sure: intolerance \nof uncertainty mediates symptoms of various anxiety disorders \nand depression. Behav Ther 2012;43:533–45.\nMcLean KC, Lilgendahl JP. Narrative identity in adolescence and \nadulthood: pathways of development. In: Handbook of Personality \nDevelopment. New York, United States: The Guilford Press, 2019, \n418–32.\nMiller M, Kiverstein J, Rietveld E. Embodying addiction: a predictive \nprocessing account. Brain Cogn 2020;138:105495.\nMoeller FG, Barratt ES, Dougherty DM et al. Psychiatric aspects \nof impulsivity. Am J Psychiatry 2001;158:1783–93.\nMurphy J, Viding E, Bird G. Does atypical interoception following phys-\nical change contribute to sex differences in mental illness? Psychol \nRev 2019;126:787–9.\nNock MK. Self-injury. Annu Rev Clin Psychol 2010;6:339–63.\nNock MK, Joiner TE, Gordon KH et al. Non-suicidal self-injury \namong adolescents: diagnostic correlates and relation to suicide \nattempts. Psychiatry Res 2006;144:65–72.\nNock MK, Mendes WB. Physiological arousal, distress tolerance, \nand social problem-solving deficits among adolescent self-\ninjurers.. J Consult Clin Psychol 2008a;76:28–38.\nNock MK, Mendes WB. Physiological arousal, distress tolerance, \nand social problem-solving deficits among adolescent self-\ninjurers. J Consult Clin Psychol 2008b;76:28–38.\nNock MK, Prinstein MJ. A functional approach to the assessment \nof self-mutilative behavior. J Consult Clin Psychol 2004;72:885–90.\nNock MK, Prinstein MJ, Sterba SK. Revealing the form and function \nof self-injurious thoughts and behaviors: a real-time ecological \nassessment study among adolescents and young adults. J Abnorm \nPsychol 2009;118:816–27.\nOgawa JR, Sroufe LA, Weinfield NS et al. Development and the \nfragmented self: longitudinal study of dissociative symp-\ntomatology in a nonclinical sample. Dev Psychopathol 1997;9:\n855–79.\nOsmana ̆gao ̆glu N, Creswell C, Dodd HF. Intolerance of uncertainty, \nanxiety, and worry in children and adolescents: a meta-analysis. \nJ Affect Disord 2018;225:80–90.\nPaluska SA, Schwenk TL. Physical activity and mental health: current \nconcepts. Sports Med 2000;29:167–80.\nParr T, Pezzulo G, Friston KJ. Active Inference. The Free Energy Principle \nin Mind, Body, and Behaviour . Cambridge, Massachusetts, United \nStates: The MIT Press, 2022. \nPatton GC, Olsson CA, Skirbekk V et al. Adolescence and the next \ngeneration. Nature 2018;554:458–466.\nPaulus MP, Feinstein JS, Khalsa SS. An active inference approach \nto interoceptive psychopathology. Annu Rev Clin Psychol\n2019;15:97–122.\nPezzulo G. Why do you fear the Bogeyman? An embodied predictive \ncoding model of perceptual inference. Cogn Affect Behav Neurosci\n2013;14:902–11.\nPezzulo G, Barca L, Friston KJ. Active inference and cognitive-\nemotional interactions in the brain. Behav Brain Sci 2015;38:e85.\nPezzulo G, Iodice P, Barca L et al. Increased heart rate after exercise \nfacilitates the processing of fearful but not disgusted faces. Sci Rep\n2018;8:398.\nPezzulo G, Maisto D, Barca L et al. Symptom perception from a", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed1.pdf" - }, - { - "text": "1997, Liotti 2004\n , 2006, F onagy et al. 2023).\nDuring infancy, a child starts making sense of her internal \nexperiences through the information she gets from the external \nworld, most notably from caregivers whose behavior has a fun-\ndamental regulatory function shaping emotional development, \nstress physiology, and refinement of limbic circuitry (Gee 2016). \nIn addition to the quality of caregivers’ response to the infant’s \nneed for proximity, its “predictability” supports the development \nof emotions’ regulatory capacity (Gee and Cohodes 2021; Wu and \nFeng 2020) and a cohesive sense of self (Arciero and Bondolfi \n2009), increases prosociality (Deneault \n et al. 2023), and influ-\nences the development of social brain structure (see Ilyka et al. \n2021 for a review). Self-report assessment of exposure to unpre-\ndictability \nduring early life appears to predict symptoms of anx-\niety, depression, and anhedonia in adulthood (Glynn et al. 2019). \nEvidence from cross-species studies indicates that the predictabil-\nity of caregivers’ behavior in rodents may specifically influence \nthe offspring’s development of corticolimbic circuitry involved in \nemotion-related functioning (Glynn and Baram 2019). Rodents \nexposed to unpredictable maternal care exhibit atypical amygdala \nfunctioning (Malter Cohen et al. 2013) and weaker connectivity \nwith the medial prefrontal cortex (Guadagno et al. 2018).\nAbraham et al. (2019) evaluated a number of features of the \nneurobiological interoceptive circuit (e.g. the functionality of the \namygdala, insula, and oxytocinergic system) in parents and chil-\ndren over the first 6 years of parenthood. Results revealed a critical \nassociation between parental interoceptive sensitivity—indexed, \ne.g. by increased bilateral activation of the anterior insula in \nresponse to a video of his/her interacting with his/her infant—\nthe consolidation of the child’s interoceptive circuit and mental \nhealth. Taken together, thus, consistent evidence indicates that \nparental ability to respond appropriately to the children’s needs \nand bodily signals supports the child’s ability to adequately repre-\nsent his/her internal bodily states, concurring in the development \nof self-processes (Fotopoulou and Tsakiris 2017 , Ciaunica et al. \n2021a, 2021b). The degree of predictability of caregivers’ response \nappears to be critical for the development of affect regulation \nand a cohesive sense of the self (Ilyka et al. 2021). When care-\ngivers’ behavior is less reliable, children have more difficulties in \ndistinguishing their own internal states, making self-other dis-\ntinctions (Ogawa et al. 1997, Dutra et al. 2009), and—in the most \nsevere cases—developing an integrated sense of the self (Liotti \n2004, 2006).\nAs \na consequence of these or other deficits in developing \nappropriate models of emotional and self-models, a person might \nexperience significant interoceptive uncertainty and perceive her \nown internal states in confused and uncomfortable ways later \nin life. Suppose that the interoceptive channels are unreliable \nand the internal models rooted in bodily experiences are poor. \nIn that case, a person might construe a sense of personal stabil-\nity through external, non-interoceptive signals, such as feedback \nfrom others and from the world, rather than via interoceptive \nsignals. Engaging in social interactions, in which we experience \naffective states relevant to our self-confirmation (e.g. a sense \nof acceptance and kindness), might be particularly challenging \nfor this person ( Guidano 1987, Arciero and Bondolfi 2009 ). While \ninteracting with others, she might experience ambiguous bodily \nand emotional states. She might be unable to reduce this uncer-\ntainty using the other as an external point of reference since", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed1.pdf" - }, - { - "text": "Modeling and controlling the body in maladaptive ways 11\nCameron JL. Interrelationships between hormones, behavior, \nand affect during adolescence: complex relationships exist \nbetween reproductive hormones, stress-related hormones, \nand the activity of neural systems that regulate behavioral \naffect. comments on part III. Ann N Y Acad Sci 2004;1021:134–42.\nChapman AL, Gratz KL, Brown MZ. Solving the puzzle of deliber-\nate self-harm: the experiential avoidance model. Behav Res Ther\n2006;44:371–94.\nCiaunica A, Constant A, Preissl H et al. The first prior: from \nco-embodiment to co-homeostasis in early life. Conscious Cogn\n2021a;91:103117.\nCiaunica A, Safron A, Delafield-Butt J. Back to square one: the bod-\nily roots of conscious experiences in early life. Neurosci Conscious\n2021b;2021:niab037.\nConradt E, Ablow J. Infant physiological response to the still-face \nparadigm: contributions of maternal sensitivity and infants’ early \nregulatory behavior. Infant Behav Dev 2010;33:251–65.\nCraig AD. How do you feel? Interoception: the sense of the physiolog-\nical condition of the body. Nat Rev Neurosci 2002;3:655–66.\nCrucianelli L, Krahé C, Jenkinson PM et al. Interoceptive ingredients \nof body ownership: affective touch and cardiac awareness in the \nrubber hand illusion. Cortex; a Journal Devoted to the Study of the \nNervous System and Behavior 2018;104:180–92.\nDeeks AA. Psychological aspects of menopause management. Best \nPract Res Clin Endocrinol Metab 2003;17:17–31.\nDeneault A, Hammond SI, Madigan S. A meta-analysis of child–\nparent attachment in early childhood and prosociality. Develop-\nmental Psychology 2023;59:236–55\nDieguez S, Lopez C. The bodily self: insights from clinical and exper-\nimental research. Ann Phys Rehabil Med 2017;60:198–207.\nDrummond JJ. Self-identity and personal identity. Phenomenol Cogn Sci\n2021;20:235–47.\nDutra L, Bureau J-F, Holmes B et al. Quality of early care and child-\nhood trauma: a prospective study of developmental pathways to \ndissociation. J Nerv Ment Dis 2009;197:383–90.\nFonagy P, Campbell C, Luyten P. Attachment, mentalizing \nand trauma: then (1992) and now (2022). Brain Sci 2023;13:459.\nFotopoulou A, Tsakiris M. Mentalizing homeostasis: the social origins \nof interoceptive inference. Neuropsychoanalysis 2017;19:3–28.\nFriston K. A theory of cortical responses. Philos Trans R Soc Lond B Biol \nSci 2005;360:815–36.\nFriston K, Lin M, Frith CD et al. Active inference, curiosity and insight. \nNeural Comput 2017;29:2633–83.\nFriston KJ, Stephan KE, Montague R et al. Computational psychiatry: \nthe brain as a phantastic organ. Lancet Psychiatry 2014;1:148–58.\nGarfinkel SN, Nagai Y , Seth AK et al. Neuroimaging studies of inte-\nroception and self-awareness. In: Neuroimaging of Consciousness . \nSpringer Berlin, Heidelberg: Springer, 2013, 207–24.\nGee DG. Sensitive periods of emotion regulation: influences \nof parental care on frontoamygdala circuitry and plasticity. New \nDir Child Adolesc Dev 2016;2016:87–110.\nGee DG and Cohodes EM. Influences of Caregiving on Development: \nA Sensitive Period for Biological Embedding of Predictability and \nSafety Cues. Curr Dir Psychol Sci 2021;30:376–83.\nGlynn LM, Baram TZ. The influence of unpredictable, fragmented \nparental signals on the developing brain. Front Neuroendocrinol\n2019;53:100736.\nGlynn LM, Stern HS, Howland MA et al. Measuring novel antecedents \nof mental illness: the questionnaire of unpredictability in child-\nhood. Neuropsychopharmacol 2019;44:876–82.\nGuadagno A, Kang MS, Devenyi GA et al. Reduced resting-state func-\ntional connectivity of the basolateral amygdala to the medial \nprefrontal cortex in preweaning rats exposed to chronic early-life \nstress. Brain Struct Funct 2018;223:3711–29.\nGu X, Hof PR, Friston KJ et al. Anterior insular cortex and emotional \nawareness. J Comp Neurol 2013;521:3371–88.\nGuidano VF. Complexity of the Self: A Developmental Approach to Psy-\nchopathology and Therapy. New York, United States: Guilford Press, \n1987.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed1.pdf" - }, - { - "text": "21. Buhrmann T, Di Paolo E. The sense of agency — a phenomenological\nconsequence of enacting sensorimotor schemes. Phenomenol Cogn Sci. (2017) 16\n(2):207–36. doi: 10.1007/s11097-015-9446-7\n22. De Jaegher H, Di Paolo E. Participatory sense-making: an enactive approach to\nsocial cognition.Phenomenol Cogni Sci. (2007) 6(4):485–507. doi: 10.1007/s1197-007-\n9076-9\n23. DiCicco-Bloom B, Crabtree BF. The qualitative research interview.Med Educ.\n(2006) 40(4):314–21. doi: 10.1111/j.1365-2929.2006.02418.x\n24. Malterud K. The art and science of clinical knowledge: evidence beyond\nmeasures and numbers. Lancet. (2001) 358(9279):397–400. doi: 10.1016/s0140-6736\n(01)05548-9\n25. Tong A, Sainsbury P, Craig J. Consolidated criteria for reporting qualitative\nresearch (COREQ): a 32-item checklist for interviews and focus groups.Int J Qual\nHealth Care. (2007) 19(6):349–57. doi: 10.1093/intqhc/mzm042\n26. Arntzen EC, Braaten T, Fikke HK, Normann B. Feasibility of a new\nintervention addressing group-based balance and high-intensity training,\nphysical activity, and employment in individuals with multiple sclerosis: a pilot\nrandomized controlled trial.Front Rehabil Sci. (2024) 4:1–17. doi: 10.3389/fresc.\n2023.1258737\n27. Paulgaard G. Feltarbeid i egen kultur: innenfra, utenfra eller begge deler? /\nfieldwork in their own culture: from within, outside or both? In: Fossaskåret E,\nFuglestad OL, Aase TH, editors. Metodisk Feltarbeid. Produksjon og Tolkning av\nKvalitative Data/ Methodical Fieldwork. Production and Interpretation of Qualitative\nData. Oslo: Universitetsforlaget (1997). p. 70–93.\n28. Malterud K. Theory and interpretation in qualitative studies from general\npractice: why and how? Scand J Public Health. (2016) 44(2):120–9. doi: 10.1177/\n1403494815621181\n29. Kurtzke JF. Rating neurologic impairment in multiple sclerosis: an expanded\ndisability status scale (EDSS). Neurology. (1983) 33(11):1444–52. doi: 10.1212/wnl.\n33.11.1444\n30. Malterud K. Systematic text condensation: a strategy for qualitative analysis.\nScand J Public Health. (2012) 40(8):795–805. doi: 10.1177/1403494812465030\n31. Russell N, Gallagher S, Msetfi RM, Hayes S, Motl RW, Coote S. Experiences of\npeople with multiple sclerosis participating in a social cognitive behavior change\nphysical activity intervention.Physiother Theory Pract. (2022) 39(5):1–9. doi: 10.\n1080/09593985.2022.2030828\n32. Smith M, Neibling B, Williams G, Birks M, Barker R. Consumer experience\nof a flexible exercise participation program (FEPP) for individuals with multiple\nsclerosis: a mixed-methods study. Physiother Res Int. (2021) 26(4):e1922. doi: 10.\n1002/pri1922\n33. Shumway-Cook A, Woollacott MH, Rachwani J, Santamaria V.Motor Control:\nTranslating Research into Clinical Practice . 6th ed. Philadelphia: Wolters Kluwer\nHealth (2023).\n34. Gallagher S, Bower M. Making enactivism even more embodied. AVANT:\nJ Philos Interdiscip Vanguard. (2014) 5(2):232–47. doi: 10.26913/50202014.0109.0011\n35. Di Paolo E, Cuffari E, Jaegher H.Linguistic Bodies: The Continuity between Life\nand Language. Cambridge: MIT press (2018).\n36. Colombetti G. The embodied and situated nature of moods.Philosophia (Ramat\nGan). (2017) 45(4):1437–51. doi: 10.1007/s11406-017-9817-0\n37. Bandura A. Health promotion by social cognitive means.Health Educ Behav.\n(2004) 31(2):143–64. doi: 10.1177/1090198104263660\n38. Casey B, Coote S, Hayes S, Gallagher S. Changing physical activity behavior in\npeople with multiple sclerosis: a systematic review and meta-analysis.Arch Phys Med\nRehabil. (2018) 99(10):2059–75. doi: 10.1016/j.apmr.2017.12.013\n39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do\nphysical activity and social cognitive theory variable scores differ across symptom\ncluser severity groups in multiple sclerosis?Disabil Health J. (2021) 14(4):101163.\ndoi: 10.1016/j.dhjo.2021.101163\n40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "Modeling and controlling the body in maladaptive ways 3\nthe affectivity attributed to the others might also be perceived \nas vague and misinterpreted (e.g. “Is he/she interested in me or \nnot?” “Am I a person worthy of attention and love from oth-\ners?”). Bodily illusions, such as the “rubber hand illusion” (Suzuki \net al. 2013, Crucianelli et al. 2018) and the “enfacement illu-\nsion” (Sforza et al. 2010, Tajadura-Jiménez et al. 2012), provide \ncompelling evidence for the malleability of self-other bound-\naries as a function of bodily information and of interoceptive\nsensibility.\nDealing with these ambiguous situations could be particu-\nlarly challenging and distressing for a person with no adaptive \nstrategies to reduce uncertainty. Therefore, in these (admittedly \nextreme) conditions, even maladaptive strategies such as star-\nvation that reduce uncertainty and render bodily and interocep-\ntive stimuli more salient might become more appealing (see also\nLinson et al. 2020). In other words, while starvation would still be \nconsidered paradoxical—in the sense that it runs against the “util-\nitarian” imperative of ensuring well-being and survival—it might \nplay a functional role for an organism that simultaneously tries \nto “maximize utility and minimize uncertainty,” as assumed by \nactive inference.\nIn this article, we propose that NSSI and other kinds of paradox-\nical behaviors might also be conceptualized in similar ways, i.e. as \nother cases in which a person intentionally changes her bodily \nand interoceptive sensations, in order to reduce excessive bodily \nand interoceptive uncertainty (but also more broadly to modulate \naffective and physiological states that are otherwise dysregulated, \ne.g. to decrease the excessive intensity of bodily sensations in \nhyperarousal).\nIn the next sections, we first discuss NSSI behaviors by focusing \non the fact that they might occur in non-clinical individuals. We \nwill highlight that this could be not only especially the case dur-\ning adolescence—a period of life during which people experience \nvarious kinds of uncertainties (e.g. their bodies, the self, their \nsocial status, and interpersonal relationships), but also more spec-\nulatively during other periods of life associated with substantial \nchanges and uncertainty, such as the perimenopause–menopause \ntransition period in women. Then, in the subsequent section, \nwe introduce the main tenets of active inference by focusing on \nits proposed mechanisms for interoceptive processing and uncer-\ntainty reduction. Finally, we discuss how the active inference \nframework might help conceptualize NSSI as a possible strategy \nto reduce uncertainty; for example, the uncertainty that some \n(non-clinical populations of) adolescents might strive to cope with \nduring their transition to adulthood.\nParadoxical behaviors: the case of NSSI\n“Self-injury behaviors” is an umbrella term that includes a wide \nrange of behaviors (and intentions), including suicide attempts, \nsuperficial cuts, and medication withdrawals (Skegg 2005, Nock \n2010). We focus on NSSI behaviors as the direct, deliberate \ndestruction \nof body tissue without lethal intent (e.g. cutting one-\nself). A distinction is also made between NSSI performed stereo-\ntypically in the context of developmental disabilities (e.g. head \nbanging) and major injuries often observed in psychotic disorders. \nThe most frequent examples of NSSI include cutting the skin with \na sharp object (e.g. a knife, razor blade, or needle) and skin burn, \nusually with a cigarette (Khanipour et al. 2016). Patients often \ninjure themselves, in a single act, by inflicting multiple injuries \nat the same body site, usually in areas that are easily hidden \nbut accessible (e.g. forearms and anterior thighs). The behavior \nis often repeated, resulting in extensive scarring patterns. The age \nof onset of NSSI tends to be early adolescence, between 12 and \n14 years of age, and the behavior appears to decline after young", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed1.pdf" - }, - { - "text": "Special Issue: Experiencing Well-Being\nModeling and controlling the body in maladaptive ways: \nan active inference perspective on non-suicidal \nself-injury behaviors\nBarca Laura *, Domenico Maisto, Giovani Pezzulo\nInstitute of Cognitive Sciences and Technologies, National Research Council, Via San Martino della Battaglia 44, Rome 00185, Italy\n*Corresponding author. Institute of Cognitive Sciences and Technologies, National Research Council, Via San Martino della Battaglia 44, Rome 00185, Italy.\nE-mail: laura.barca@istc.cnr.it\nAbstract \nA significant number of persons engage in paradoxical behaviors, such as extreme food restriction (up to starvation) and non-suicidal \nself-injuries, especially during periods of rapid changes, such as adolescence. Here, we contextualize these and related paradoxical \nbehavior within an active inference view of brain functions, which assumes that the brain forms predictive models of bodily variables, \nemotional experiences, and the embodied self and continuously strives to reduce the uncertainty of such models. We propose that not \nonly in conditions of excessive or prolonged uncertainty, such as in clinical conditions, but also during pivotal periods of developmental \ntransition, paradoxical behaviors might emerge as maladaptive strategies to reduce uncertainty—by “acting on the body”— soliciting \nsalient perceptual and interoceptive sensations, such as pain or excessive levels of hunger. Although such strategies are maladaptive \nand run against our basic homeostatic imperatives, they might be functional not only to provide some short-term reward (e.g. relief \nfrom emotional distress)—as previously proposed—but also to reduce uncertainty and possibly to restore a coherent model of one’s \nbodily experience and the self, affording greater confidence in who we are and what course of actions we should pursue.\nKeywords: non-suicidal self-injuries; intolerance of uncertainty; interoception; adolescence; active inference\n© The Author(s) 2023. Published by Oxford University Press.\nThis is an Open Access article distributed under the terms of the Creative Commons Attribution License (https://creativecommons.org/licenses/by/4.0/), which \npermits unrestricted reuse, distribution, and reproduction in any medium, provided the original work is properly cited.\nIntroduction\nWhy do some persons engage in paradoxical behaviors, such \nas extreme food restriction (up to starvation) and non-suicidal \nself-injuries (NSSIs)? These and other pathological behaviors \nare transversal to various psychopathological conditions. Self-\ndestructive actions including self-harm have been associated \nwith post-traumatic stress disorder (Moeller et al. 2001, Yehuda \n2002, Weiss et al. 2015 , Zelkowitz et al. 2023 ), eating disor-\nders (Sagiv and Gvion 2020 ), and borderline personality disorder \n(\nReichl and Kaesset, 2021). Whether paradoxical behaviors as NSSI \nhave a common origin across such and other conditions remains \nto be systematically tested, which is particularly challenging \nas—in most cases—they can only be assessed using retrospec-\ntive measures, rather than measured during their occurrence or \ninduced experimentally. Although they are typically associated \nwith some form of psychopathology, they are not exclusive to\nclinical conditions but might also be transiently acted by non-\nclinical individuals. For example, self-injury behaviors are not \nuncommon during adolescence and progressively decrease in \nadulthood (\nLaugesen et al. 2003, Nock et al. 2009, Thielsch et al. \n2015, Osmanagaoglu et al. 2018).\nScholars from a variety of disciplines have questioned why peo-\nple intentionally harm themselves (either by starving or cutting), \nproposing various theoretical models empirically tested over time \n(Chapman et al. 2006, Nock and Mendes 2008a, Nock et\n al. 2009, \nWolff et al. 2019), but we still lack a mechanistic understanding \nof such behaviors. Here, we propose that despite starvation and", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed1.pdf" - }, - { - "text": "926–933 (2010).\n42. Lövdén, M. et al. Experience-dependent plasticity of white-matter \nmicrostructure extends into old age. Neuropsychologia 48, \n3878–3883 (2010).\n43. Bethlehem, R. A. et al. Brain charts for the human lifespan. Nature \n604, 525–533 (2022).\n44. Tooley, U. A., Bassett, D. S. & Mackey, A. P. Environmental \ninfluences on the pace of brain development. Nat. Rev. Neurosci. \n22, 372–384 (2021).\n45. Wang, Z. et al. Mapping global prevalence of depression among \npostpartum women. Transl. Psychiatry 11, 543 (2021).\n46. Deligiannidis, K. M. et al. Zuranolone for the treatment of \npostpartum depression. Am. J. Psychiatry 180, 668–675 (2023).\n47. Shehata, H. A. & Okosun, H. Neurological disorders in pregnancy. \nCurr. Opin. Obstet. Gynecol. 16, 117–122 (2004).\n48. Mowinckel, A. M. & Vidal-Piñeiro, D. Visualization of brain statistics \nwith R packages ggseg and ggseg3d. Adv. Methods Pract. \nPsychol. Sci. 3, 466–483 (2020).\nPublisher’s note Springer Nature remains neutral with regard to \njurisdictional claims in published maps and institutional affiliations.\nOpen Access This article is licensed under a Creative Commons \nAttribution 4.0 International License, which permits use, sharing, \nadaptation, distribution and reproduction in any medium or format, \nas long as you give appropriate credit to the original author(s) and the \nsource, provide a link to the Creative Commons licence, and indicate \nif changes were made. The images or other third party material in this \narticle are included in the article’s Creative Commons licence, unless \nindicated otherwise in a credit line to the material. If material is not \nincluded in the article’s Creative Commons licence and your intended \nuse is not permitted by statutory regulation or exceeds the permitted \nuse, you will need to obtain permission directly from the copyright \nholder. To view a copy of this licence, visit http://creativecommons.\norg/licenses/by/4.0/.\n© The Author(s) 2024", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was the indicator related to increasing Nissan's research and development activities in terms of publication of scientific articles in 2004?", - "target_page": 46, - "target_passage": "And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Nissan Annual Report 200444\nPursuing Value Through \nTechnological Excellence\nMITSUHIKO YAMASHITA\nExecutive Vice President\nTECHNOLOGY\nOUR WORK\nRear active steering Intelligent cruise control Shock-absorbing body, to reduce pedestrian injuries\n“I have two prime objectives. The first is to realize our\ncorporate vision, ‘Enriching people’s lives,’ from an\nengineering standpoint. The second is to create a\nfuture vision for people working in R&D. Research and\ndevelopment is all about providing practical value to\nthe customer via technological excellence, which in\nturn creates value for our shareholders. Nissan has\nmade a major commitment to technological excellence\nso that we can accomplish these objectives. \nResearch and Development\nNissan’s investment in R&D has been rising. In fiscal 2004\nwe devoted approximately ¥400 billion to it, equivalent to\n4.6 percent of our turnover. We estimate that our financial\ncommitment to R&D will continue to range between 4.5\nand 5 percent. R&D investments take a lot of time to pay\noff, of course, so it’s difficult to evaluate our evolution \nover the short term. Given our expanded output, however, \nI believe that we are headed in the right direction. \nFor example, the number of patents we have generated\nis growing quickly, exceeding 4,000 in fiscal 2003—more\nthan twice the fiscal 1999 figure. And the number of\nresearch papers we present at societies such as The Japan\nSociety of Mechanical Engineers rose dramatically in fiscal\n2004. These are direct results of our commitment to\nresearch. We are also generating more new technologies\nrelated to safety and the environment, such as the Around\nView Monitor and the lane-keeping system.\nWe have succeeded in shortening our production\npipeline, too, using a new vehicle development process\ncalled V3P that our engineers devised over the past three\nyears. V3P, which stands for Value-up innovation of\nProduct, Process, and Program, has helped us cut our\ndevelopment time almost in half, from 20 months to just\n10.5 months. I believe this makes Nissan the world\nbenchmark in development. That improvement is having a\nmajor effect on the flexibility and execution of R&D at\nNissan, and will ultimately boost the company’s profitability. \nThe number of new products we have brought to\nmarket over the past three years is equally significant—\nmore than thirty new vehicles. That’s an impressive\nengineering achievement, and the reason you are seeing\nso many new Nissan models on the road.\nOur R&D infrastructure, however, is still in need of\nexpansion. We’ve therefore begun building new facilities at\nthe Nissan Technical Center, NTC, and at the Nissan\nAdvanced Technical Center, NATC, both of which are in\nJapan. These additions represent a major investment, and\nshow Nissan’s dedication to maintaining and enhancing its\ntechnological skills. \nOur technology base is in Japan, where we have some\nten thousand people involved in R&D, but we also have two\nmajor centers in North America and Europe, and smaller\noperations in Taiwan, China, Thailand, South Africa and\nBrazil. In the past, these entities were mostly standalone\noperations, but today there are many more joint projects", - "page_start": 45, - "page_end": 45, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 3\nLETTER FROM CEO\nVolume:Nissan will achieve global sales of 4.2 million\nunits in fiscal 2008—an increase of 812,000 units over\nfiscal 2004.\nROIC:Nissan will achieve a 20 percent or higher\nreturn on invested capital on average over the course\nof the plan, excluding cash on hand.\nTo meet this commitment, over the NISSAN Value-Up\nperiod we will launch 28 new products, including 10 models\nthat are highly innovative in their concept and benefits.\nOur investment in advanced technology continues.\nFrom fiscal 2002 to 2005 we have increased spending \non research and development by 50 percent. Over the next\nthree years we will invest a further 5 percent of net sales\nannually, creating new and exciting technologies to benefit \nour customers.\nDuring NISSAN Value-Up we will pursue several key\nbusiness opportunities:\n• Our Infiniti luxury brand will extend its reach into new\nmarkets such as China and Russia and continue to\nestablish its credibility as a Tier-1 luxury player.\n• We will develop our Light Commercial Vehicle\nbusiness into a fully competitive global operation\nthrough new market and product entries.\n• We will take a more efficient global sourcing\napproach to maximize our opportunities and minimize\nour overall costs as we grow. Our engineering,\nproduction and purchasing functions will continue\ntheir acceleration towards being fully integrated\nglobal operations.\n• We will continue to invest in new and emerging\nmarkets, including China, India and Russia.\nNISSAN Value-Up also delivers increased value for our\nshareholders through a clear and well-defined dividend\nstrategy. By the end of the plan period, we will pay an\nannual dividend of no less than ¥40 per share, a 66\npercent increase over fiscal 2004.\nShare price performance\nWhat should investors expect from Nissan’s share price? \nOver the long-term, share prices reflect fundamentals.\nBut in the short-term share prices are driven by\nperformance against expectations.\nIn Nissan’s case, recent share price trends signal\nmarket expectations that greater uncertainty will result in\nlower growth. So our challenge is to both manage those\nexpectations and to exceed them. This supports our belief\nin a high level of disclosure and transparency.\nOur business plans and commitments, and our ability \nto communicate our strategy clearly, are the most effective\nmeans to convey transparency. But we recognize that\nfinancial announcements alone are no longer sufficient\ncommunication for the markets. We need to provide more\nforward-looking information and to avoid surprises that\ncreate uncertainty for shareholders and investors. \nWe intend to serve the professional investment\ncommunity better in fiscal 2005. We will also extend \nour welcome to individual investors—whose numbers \ngrew by 51,323 in fiscal 2004, increasing our list to\n193,000 shareholders. \nThat growing interest in Nissan was apparent in the\nturnout of more than 1,800 people at our June 21\nshareholders’ meeting in Yokohama. Questions from the\nshareholders were many and varied, but it was encouraging\nto hear in each one a passionate commitment to Nissan. \nThis year, and in the future, I hope we merit such\nsupport from all our shareholders as we create lasting\nvalue in a transparent way.\nCarlos Ghosn\nPresident and Chief Executive Officer", - "page_start": 4, - "page_end": 4, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 20048\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume\nof 61 million units globally, Nissan’s sales are forecast to come to 3,618,000 units, a 6.8 percent\nincrease over the prior year.\nWorldwide, we will launch six all-new models—five in Japan, one in Europe—leading to\ntwenty regional product events.\nOur sales objectives\n• Japan: 933,000 units, a 10 percent increase over last year\n• U.S.: 1,047,000 units, an increase of 3.3 percent\n• Europe: 550,000 units, a 1.1 percent increase over last year\n• General Overseas Markets: 1,088,000 units, a 10.7 percent increase\nOur financial outlook\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of\nuncertainty and risks—volatility in exchange rates, higher interest rates, higher commodity prices,\nhigher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The\nopportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign\nexchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n• Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n• Operating profit is expected to be ¥870 billion, up 1 percent. \n• Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n• Net income is predicted to be ¥517 billion, up 0.9 percent. \n• Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n• R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent. \n• ROIC is expected to remain at or above 20 percent.\nPERFORMANCE\nLooking to the New Fiscal Year", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200412\nFISCAL YEAR 2004 FINANCIAL REVIEW\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, \nSALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS\nFOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. \nTHE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. \nAT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO\nREACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\nPERFORMANCE\nNet Sales\nConsolidated net sales came to ¥8,576.3 billion, up 15.4\npercent from last year. A higher volume and mix had a\npositive impact of ¥707.0 billion. Movements in foreign\nexchange rates produced a negative impact of ¥173.0\nbillion. Changes in the scope of consolidation, including\nDongfeng Motor and Yulon Nissan Motor, raised revenues\nby ¥432.0 billion.\nOperating Income\nConsolidated operating profit improved by 4.4 percent from\nlast year to a record ¥861.2 billion. This resulted in an\noperating profit margin of 10.0 percent. Operating profit\nwas affected by the following factors:\n• The effect of foreign exchange rates produced a ¥78\nbillion negative impact for the full year. The\ndepreciation of the U.S. dollar against the yen resulted\nin a negative impact of ¥74 billion, with an additional\n¥13 billion from other currencies. The appreciation of\nthe euro resulted in a positive impact of ¥9 billion.\n• The change in the scope of consolidation produced \na positive impact of ¥31 billion. This was primarily\nfrom the consolidation of Dongfeng Motor and Yulon\nNissan Motor.\n• The impact of the higher volume and mix contributed\n¥284 billion. This was mainly driven by an increase in\nU.S. sales volume.\n• Selling expenses increased by ¥114 billion, also\nmainly due to the increase of sales in the U.S.\n• The improvement in purchasing costs amounted to\n¥131 billion.\n• Product enrichment and the cost of regulations had \na negative impact of ¥92 billion.\n• An additional ¥44 billion was allocated to R&D to\nreinforce product and technology development.\n• Cost reductions from manufacturing efficiencies were\noffset by costs associated with expanding the Canton\nplant’s capacity, which resulted in a ¥15 billion\nincrease in manufacturing and logistics expenses.\n• Warranty costs increased by ¥41 billion, partly due to\ngreater volume.\n• General, administrative and other expenses increased\nby ¥25.7 billion.\nBy region, operating profits in Japan came to ¥341.1\nbillion, a decrease of 3.2 percent compared to last year.\nThis was mainly due to unfavorable exchange rate\nfluctuations and an increase in R&D expenses, which\nreached a record level. \nDue to higher volumes, profitability in the U.S. and\nCanada increased 7.9 percent from last year and totaled \n¥379.7 billion. \nOperating profit in Europe was ¥56 billion, an increase\nof 13.8 percent compared to last year, owing to a better\nmix and higher contributions from Russia. \nIn General Overseas Markets, including Mexico,\noperating profits came to ¥84.8 billion, an increase of 28.5\npercent compared to last year. This was primarily due to the\nconsolidation of Dongfeng Motor and Yulon Nissan Motor.\nInter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 45\nOUR WORK\nTesting at Nissan Advanced Crash Laboratory CARWINGS telematics system Aluminum parts\n500\n400\n(Billion yen) (% of net revenue)\n300\n200\n100\n0\n5\n4\n3\n2\n1\n0’00 ’01 ’02 ’03 ’04\n232 262 300\n354 3983.8% 4.2% 4.4%\n4.8%\n4.6%\nR&D Investment\n5,000\n4,000\n(xxxxxxx)\n3,000\n2,000\n1,000\n0 ’99 ’00 ’01 ’02 ’03\nPatent\n120\n100\n80\n60\n40\n20\n0 ’00 ’01 ’02 ’03 ’04\nResearch Paper\nThe number of research papers presented at JSME (The Japan Society of\nMechanical Engineers), JSAE (The Society of Automotive Engineers of Japan), SAE\n(The Society of Automotive Engineers), FISITA (The International Federation of\nAutomotive Engineering Societies)\nand much more collaboration. The core engineering is\ncommon to all—that’s why the different organizations can\nwork together so closely, and why we’re more efficient\ntoday. While each engineering center remains responsible\nfor meeting the specific tastes or specifications that its\nlocal market demands, we have global oversight to ensure\nconsistency, with NTC supervising overall resource\nmanagement and facility investment.\nWe are building on these strengths through greater\ncollaboration with our suppliers—our project partners—and\ndoing it much further upstream. For example, we are\ncreating a facility at the NATC where we can disclose our\nplans to suppliers during the very early planning stages.\nThis means we have to be much more open than before,\nbut in return we will gain a great deal from the ideas our\npartners bring. \nThe Alliance with Renault is another major strength for\nNissan R&D. We identify areas of mutual interest and\ndecide which party will develop specific projects. Our basic\noperating principle is to avoid duplicated efforts. We can\nwork separately, or together if there is mutual interest in\nthe development. For example, we have studied fuel-cell\nvehicles—FCVs—as well as, advanced materials, safety,\nand other areas together. Our shared goal is to maximize\nthe benefits so we will rank among the top three entities in\ntechnology worldwide.", - "page_start": 46, - "page_end": 46, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200414\nMoody’s\nS&P\nR&I\nA+\nAA–\nA\nA–\nBBB+\nBBB\nBBB–\nBB+\nAa3\nA1\nA2\nA3\nBaa1\nBaa2\nBaa3\nBa1\n9/01 4/02 9/02 4/03 9/03 4/04 9/04 4/05 5/05\nCorporate Rating\nCanton plant investment included from fiscal year 2001\n239244 232\n206\n262\n326\n300\n378\n354\n427\n398\n478\n4.0% 3.8%\n5.3%\n5.5%\n5.8%\n5.6%\n4.2% 4.4%\n4.8%\n4.6%\n3.4%\n4.1%\n500\n400\n300\n200\n6\n5\n4\n3’99 ’00 ’01 ’02 ’03 ’04\nInvestment in Our Future\n(Billion Yen) (% of net revenue)\n40\n30\n20\n10\n0 ’00 ’01 ’02 ’03 ’04 ’05* ’06* ’07*’99\n*Forecast\n0\n8\n14\n19\n24\n29\n34\n40\n7\nDividend Policy\n(Dividend per share, in yen)\nPERFORMANCE\nAutomotive Debt:\nDespite higher levels incurred for capital expenditures and\nR&D, cash generated from operating activities in the\nautomotive division eliminated net automotive debt. Nissan\nheld a ¥205.8 billion yen net cash position at the close of\nfiscal 2004 in this division.\nRating\nRegarding Nissan’s long-term credit rating, R&I upgraded\nNissan from A- to A on May 11, 2005. S&P upgraded their\nrating from BBB to BBB+ on July 20, 2004, and Moody’s\nupgraded from Baa3 to Baa1 on January 29, 2004.\nInvestment Policy\nCapital expenditures increased by ¥50.2 billion to ¥477.5\nbillion, representing 5.6 percent of net revenue. This\nincrease included the Canton plant expansion. R&D\nexpenditures increased by ¥43.8 billion to ¥398.1 billion.\nThis increase went to fund new technologies and product\ndevelopment. Our R&D resources are focused on projects\nthat add value to our customers and that will deliver an\nexpected return, in both the short and long term.\nDividend\nAt the annual general meeting of shareholders on June 21,\n2005, the company proposed increasing its dividend to\n¥24 per share in 2004, up from ¥19 in 2003. In the first\nyear of the NISSAN Value-up dividend policy, the \nCompany plans to increase the per-share dividend to ¥29\nin 2005. By the end of NISSAN Value-up in March 2008,\nNissan plans to pay an annual dividend of no less than \n¥40 per share. \nReturn on Invested Capital (ROIC)\nNissan’s investments are made within the strict guidelines\nof its automotive operating ROIC. Based on these\nguidelines, Nissan reached 20.1 percent of ROIC on a\nconsistent basis as of fiscal 2003.", - "page_start": 15, - "page_end": 15, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200460\ndeclining sales as a result. Still, we do see potential in new\nareas within the market. For example, we increased the\nnumber of women employed as “carlife” advisors and\ntechnical advisors. We did this to put both women and older\ncustomers at ease when they have sales and service\nissues. Both types of advisors are important to our sales\nand service at a dealership because they make the process\nmore transparent and understandable. Service is a very\nprofitable part of business in Japan, so taking ours to the\nnext level is crucial. \nWe have two plans to expand sales in a flat market.\nThe first is to develop a more efficient marketing strategy\nthat is aligned with our quality products. The second is to\nbuild a more efficient dealership network, which will boost\ncustomer satisfaction. If we succeed at these, we can raise\nboth our sales and our customer retention rate.\nOur dealers are reporting that the quality of our\nvehicles has improved greatly. We knew this from the\nupstream side, but it means a great deal to get\nconfirmation from the market. Quality is always a risk factor\nin Japan; consumers here are unforgiving about quality\nproblems. The Internet has accelerated the ability to share\ninformation, both good and bad, so the level and rate of\ninformation from dealers and consumers have gone up\naccordingly. Meanwhile, even prices for used Nissan\nvehicles are improving steadily, a major indication that the\nNissan brand is recognized and valued. \nOur home market is of prime importance to Nissan.\nJapan is a major contributor to our total profit, and we will\ncontinue to make the upgrades in quality, products and\nservice needed to drive sales and profit higher.”\nJAPAN\n“Nissan’s performance in\nJapan in 2004 was solid.\nProfit rose 1.4 percent and\nour market share went up\n0.4 percent to 14.6 percent.\nLaunching six new models in\nthe second half boosted our\nresults dramatically: we\nregistered a 1.1 percent\nincrease in market share\nover the previous period.\nAnd for the first time in 19\nyears we had four cars—the Tiida, Note, March and\nCube—in the top ten. \nOur steady growth has continued into 2005,\npowered by positive customer response to both the\nMurano and Tiida. These are the kinds of attractive,\nunique products that have an immediate impact on\nconsumers. We’ve also strengthened our position \nin the important small car market, and plan to\naugment that with the launch of the Otti, an OEM\nproject with Mitsubishi, and the Moco, an OEM\nproduct with Suzuki. While we do need to raise our\ngame in the SUV market, our overall coverage has\nimproved recently.\nWe’ve set an ambitious sales target of 933,000 vehicles\nfor 2005, which represents an increase of 10 percent. I’m\nconfident that we can achieve this because of the strength\nof our product lineup. The recently released Serena\nunderwent a full model change, for example, which should\ngive us more muscle in the minivan market. We also\nrecently decided to offer our entire lineup through both our\nblue and red sales channels, so customers will be able to\nsee every model at any outlet they visit. This is in stark\ncontrast to the traditional dealership system in Japan,\nwhich has many different sales channels. \nThe aging of the population has made the automotive\nmarket in Japan much tougher, and we expect flat or even\nDriving Ahead in a Flat Market\nKAZUHIKO TOIDA\nSenior Vice President\nOUR WORLD\nTIIDA SERENA", - "page_start": 61, - "page_end": 61, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 20046\nPERFORMANCE\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up\nto all the challenges. We had a record year in revenues, operating profit, net income, sales\nvolume and production.\nSales performance\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine\nall-new models globally.\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing\nplants turned out 3,378,000 units, or 293,000 units more than the previous record.\nFinancial performance\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a\npercentage of net revenue, our operating profit margin came to 10.0 percent.\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\nNissan 180 commitments\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot\nbe closed completely until the end of September 2005, but we know that we have already\ndelivered two of the plan’s three critical commitments.\n• We committed to an 8 percent operating profit margin, and our margin has been at or above\n10 percent for every year of NISSAN 180. \n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the\nnew and more demanding accounting standards.\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units,\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of\nSeptember 2005.\nPERFORMANCE\nThe recovery story is complete", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200422\nAt the center of everything we do stands the Nissan automobile. Our vehicles are the most\ntangible expression of our brand and the values of our company. We make cars that both inspire\npassion and exceed the expectations of our customers. Through bold and thoughtful designs,\ninnovative technologies, and a richer and more rewarding driving experience, we are defining \nour unique place in the auto industry.\nOur product development philosophy differs from that which many of our competitors follow.\nRather than focus on what the competition is providing, we concentrate on what they do not. \nWe listen to drivers to discover their unmet needs and desires, and follow the most promising\nthreads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little\npoint in building vehicles that please everyone but excite no one. \nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of \nits paint. We make some of the world’s most advanced high-performance engines and\ntransmissions. From our renowned VQ engine series to the latest in high technology,\ncontinuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency,\nand real-world environmental solutions.\nNissan has a long history of leadership and innovation in the automotive industry. We began\nour quest to create the best cars in the world in 1933, when the company was founded in\nYokohama. The first Datsun passenger car rolled off the assembly line two years later. In the\nyears since, we have fashioned a reputation for bold and innovative products. We were the first\ncompany to design, manufacture and export a small pickup truck from Japan to the United\nStates, and to build and export a sports sedan, the Datsun 510. And we were the first to\nproduce a true sports car that was also affordable, the Z. Today, we build equally exceptional\nvehicles in factories throughout the world that consistently rank in the top tier for efficiency,\nproductivity and quality. \nIn the future, we will take the Nissan brand into new segments and markets. We will\naccelerate the pace of automotive evolution. And our products will continue to define our brand\nwith clarity and consistency that brings lasting value to all our stakeholders.\nAUTOMOBILES\nNissan\nWHO WE ARE\nExceeding expectations\n—the Nissan automobile", - "page_start": 23, - "page_end": 23, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 41\nOUR WORK\nYUSUKE SEKIGUCHI\nVice President\nSales & Marketing\n“In 2003, I was the “pilot”—essentially the project\nleader—of a cross-functional team that redefined the\ntraditional sales function as a marketing function.\nNow I cover car sales as well as traditional marketing\nactivities such as advertising and sales promotion.\nThis is part of our effort to address one of the most\ncompetitive auto markets in the world—Japan.\nOur dealers conduct sales activities in the\nmarketplace, and our role is to ensure that what they\ndo reflects Nissan’s plans. We also gather customer\nfeedback from the showroom to see how we can\nimprove processes. Direct communication through online\noutlets is another new way of reaching out to customers.\nAlthough the total market in Japan was down in 2004, we\nmanaged to pick up market share. The two halves of the\nyear were completely different, however. The first half was\nthe ‘dry season’—where we didn’t have any new model\nintroduction for over 12 months. We underestimated the\nimpact that would have on our business, and the dealers\nhad a tough time because of it. Then we organized the\nSHIFT_ event in the second half of the year, and for the\nfirst time ever introduced six new models simultaneously.\nThis completely changed the playing field. While it was \na challenge for the dealers to launch six models in five\nmonths, it had a significant and positive impact.\nJapan’s population peaks in 2006, and automobile\ndemand is expected to decline thereafter. With this in mind,\nwe’ve been focusing intensively for the past three years on\nbuilding customer relationships. We realize we must\nincrease and enrich our contact points with customers to\nraise our market presence. To this end, we decided to retail\nthe full lineup through both our Red and Blue dealer\nchannels, which formerly offered different products. \nOur next task is to improve the quality of the sales and\nservice process. We have already upgraded the\nmanagement of our brand identity through various\nmethods. For example, individual dealers used to handle\nnewspaper insert production. We moved all insert\nproduction to headquarters, which not only reduced costs\nbut also created a more powerful, uniform communication\nto customers. Today, 15 percent of our showroom traffic is\ngenerated from these inserts, an increase from 6 percent\nprior to centralization. \nThe introduction of the Tiida provided an interesting\ntest case in interactive communications for us. Not long\nbefore we launched the car, blogging became very popular\nin Japan, as it has been elsewhere. There are many car-\nrelated blogs where people share information about their\nfavorite cars. As an experiment, we started a blog about the\nTiida and encouraged people to comment on the car. This\nwas the first proactive usage of automotive blog in Japan\nand brought a tremendous response—it actually became\nthe market leader in terms of unique visits. The blog proved\nto be an amazingly effective way to generate word-of-mouth\nand communication between Nissan and its customers, and\nwe will continue to utilize this channel in various ways.\nAnother positive change in our division is a more \ncross-functional way of doing business. We communicate\nfrequently with upstream functions such as Design,\nProduct Planning and Communication through V-up and\ncross-functional activities. This is an essential exchange,\nbecause when Nissan creates a new product or service, \nwe are responsible for communicating the unique value we\nprovide to the customer through ‘SHIFT_ points.’ We are\ndemand creators, and that is how we create value for \nthe company.”", - "page_start": 42, - "page_end": 42, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was Nissan's vehicle production in Mexico in 2003?", - "target_page": 72, - "target_passage": "308,322", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Nissan Annual Report 2004 9\nPERFORMANCE\nEurope\n350Z Roadster\nMurano\nPathfinder\nNavara\nMicra C+C\nJapan\nSerena\nOtti\nCompact wagon\nM-class sedan\nMinicar\nGOM*/Mexico\nQuest\nPathfinder\nNavara\nInfiniti M\nTiida hatchback\nTiida sedan\nLafesta\nInterstar\nXterra\n*General Overseas Markets\nUS/Canada\nNew Models for Fiscal Year 2005\n’01 ’02 ’03 ’04 ’05\nForecast\n2,597\n2,771\n3,057\n3,388\n3,618\n+6.8%\n816\n837\n848\n933\n+10%\n’02’03’04 ’05\nForecast\n726\n859\n1,013\n1,047\n+3.3%\n’02’03’04 ’05\nForecast\n474\n542\n544\n550\n+1.1%\n’02’03’04 ’05\nForecast\n755\n822\n983\n1,088\n+10.7%\n’02’03’04 ’05\nForecast\nGlobal Retail Sales Volume\n(Units: 1000s)\nRetail Sales by Region\n(Units: 1000s)\nJapan U.S. Europe GOM*\n*Including Mexico \nand Canada", - "page_start": 10, - "page_end": 10, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 67\n“Within the General\nOverseas Markets, or GOM,\nI’m responsible for Nissan\nbusiness in nearly 110\ncountries, about 90 of which\nhave Nissan national sales\ncompanies. It’s a very\ndiverse composition of small\nand large nations, and many\nlanguages and cultures. \nIn fiscal 2004 we met all\nour targets for sales and\nprofit. Out of Nissan’s total unit sales of\napproximately 3.4 million vehicles, for example, GOM\naccounted for 678,000 units. We contribute to\nNissan’s performance in both volume expansion and\nprofitability. And the operating profit margin for GOM\nis better than the corporate average. \nThe strongest regions in my territory were several African\nnations, such as South Africa, and Latin America. Our\nsuccess was due in part to general market strength, but the\ncontinuing appeal of the Nissan Pickup in South Africa and\nLatin America was also a key. Aside from the Middle East,\nwhere larger vehicles like the Armada are preferred, sales\nfor the Pickup and the X-TRAIL have been consistently\nstrong in all markets. We produce the Pickup in South\nAfrica and currently sell over 40,000 vehicles there every\nyear; our market share is around 9 percent. In addition to\nAfrica, the vehicles produced here will be sold in Europe,\nAustralia and New Zealand starting at the beginning of\n2006. In 2005, in the Middle East, we are already seeing\nsignificant increases in volume due to the launch of Infiniti\nand the introduction of new Nissan models in the latter \nhalf of 2004. \nThere are several risks associated with a diverse\nterritory like ours, including political issues, economic\nissues, and a range of other external factors. At Nissan, \nour policy is to stay flexible and adapt to the situation. For\nexample, we had initially planned to supply Pathfinder\nvehicles to the Middle East from Spain. However, the rise in\nthe euro raised costs, so we quickly shifted production to\nthe U.S. Because our job is so diversified, we felt we\nneeded more strategic thinking within GOM. For this\nreason we established the GOM Plan Department, which is\na cross-functional unit comprised of various departments,\nsuch as Manufacturing, Purchasing, and Engineering. This\ndepartment is responsible for functions formerly performed\nby Marketing and Sales. \nSince we did not roll out many new models in our\nregion, we had to upgrade our network structure to\nincrease sales. The next new core model for us is the Tiida,\nwhich enjoyed a successful launch in China. It’s a critical\nlaunch for us; through 2005 and 2006 we will complete\nthe introduction of the model in all markets. The new model\nintroductions will give us added strength in the markets\nduring the NISSAN Value-Up period.\nAnother important development this year was the start\nof production of the Nissan Pickup in Egypt. Many in the\nindustry doubted we would succeed, but we achieved our\ntargets for quality. Vehicles produced here will also be\nexported to other countries in the region.\nEurope is a tough market, as is Japan. If Nissan\nbecomes too dependent on its major markets like North\nAmerica, there is an inherent risk, and GOM helps minimize\nthat risk. The markets we represent will contribute\nsubstantially to Nissan’s total profit. Our focus now is on\ndeepening the foundations of our business. A few years\nago, for instance, we designed six activities that all the\nnational sales companies are required to carry out. In 2005,\nwe’ll establish even more advanced activities. We constantly\nreview their performance and, if necessary, take aggressive\nactions, including replacing companies whose performance\nis consistently unsatisfactory. That is why our activities will\nexpand with profit, not at its expense. The General Overseas\nMarkets are where Nissan will really be growing.”\nGrowing with Profit, not at Its Expense\nMiddle East, Africa, Latin America and the Caribbean\nSHOICHI MIYATANI\nVice President\nOUR WORLD", - "page_start": 68, - "page_end": 68, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200422\nAt the center of everything we do stands the Nissan automobile. Our vehicles are the most\ntangible expression of our brand and the values of our company. We make cars that both inspire\npassion and exceed the expectations of our customers. Through bold and thoughtful designs,\ninnovative technologies, and a richer and more rewarding driving experience, we are defining \nour unique place in the auto industry.\nOur product development philosophy differs from that which many of our competitors follow.\nRather than focus on what the competition is providing, we concentrate on what they do not. \nWe listen to drivers to discover their unmet needs and desires, and follow the most promising\nthreads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little\npoint in building vehicles that please everyone but excite no one. \nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of \nits paint. We make some of the world’s most advanced high-performance engines and\ntransmissions. From our renowned VQ engine series to the latest in high technology,\ncontinuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency,\nand real-world environmental solutions.\nNissan has a long history of leadership and innovation in the automotive industry. We began\nour quest to create the best cars in the world in 1933, when the company was founded in\nYokohama. The first Datsun passenger car rolled off the assembly line two years later. In the\nyears since, we have fashioned a reputation for bold and innovative products. We were the first\ncompany to design, manufacture and export a small pickup truck from Japan to the United\nStates, and to build and export a sports sedan, the Datsun 510. And we were the first to\nproduce a true sports car that was also affordable, the Z. Today, we build equally exceptional\nvehicles in factories throughout the world that consistently rank in the top tier for efficiency,\nproductivity and quality. \nIn the future, we will take the Nissan brand into new segments and markets. We will\naccelerate the pace of automotive evolution. And our products will continue to define our brand\nwith clarity and consistency that brings lasting value to all our stakeholders.\nAUTOMOBILES\nNissan\nWHO WE ARE\nExceeding expectations\n—the Nissan automobile", - "page_start": 23, - "page_end": 23, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200458\nOUR WORLD\nOUR WORLD\nNISSAN HAS A GLOBAL PRESENCE. BORN IN JAPAN, WE ARE PERFECTLY \nAT HOME IN THE U.S., THE UK, SPAIN, THAILAND, CHINA, EGYPT, BRAZIL \nAND WELL OVER 150 OTHER NATIONS WHERE NISSAN CARS AND \nTHEIR COMPONENT PARTS ARE PRODUCED, SOLD AND DRIVEN. \nWITH NISSAN, DRIVING PLEASURE IS A SENSATION THAT KNOWS NO BORDERS.\nTHIS IS THE NISSAN SHIFT_", - "page_start": 59, - "page_end": 59, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004 11\nPERFORMANCE\nFOUR MAJOR BREAKTHROUGHS\nInfiniti Global Tier-1 bBrand Light Commercial Vehicles (LCV)\nLeading Competitive Countries (LCCs) Geographic Expansion\n2,597\n3,388\n4,200\n’01 ’04 ’08\nCommitment\n+791\n+812\nNISSAN Value-Up Sales Volume\n(Units: 1000s)\nTHREE CRITICAL COMMITMENTS\nConsolidated Operating Profit Margin\nCOP margin (%)\nTop level \noperating profit margin \namong global automakers\n1.4%\n4.75%\n7.9%\n10.8%\n10.0%\n11.1%\nNRP NISSAN\n180\nNISSAN \nValue-Up\n’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07\nReturn on Invested Capital (auto)\n(%)\nROIC\naverage of 20%\n1.3%\n7.5%\n12.7%\n19.8% 20.1%*\n21.3%\nNRP NISSAN\n180\nNISSAN \nValue-Up\n’99 ’00 ’01 ’02 ’03 ’04 ’05 ’06 ’07\n*Same scope pf consolidation as P&L, excluding \nchange of cash compared to fiscal year 2003\n750\n600\n450\n300\n150\n0\n(Thousand units)\n10\n8\n6\n4\n2\n0\n(% of consolidated operating margin)\n187 203\n182 234 312\n434\n+40%\n-0.5%\n3.3%\n1.4%\n3.6%\n8.0%\n4.0%\n’00 ’01 ’02 ’03 ’04 ’07\nRussia\nMiddle\nEast\nJapan*China\nKorea\nTaiwan\nNorth America\n*Japan launch after NISSAN Value-Up\nRussia\nChina\nEgypt\nIndia Thailand\nPakistan\nEasternEurope\nGulfCountrles\nHungary\nRomania\nEgypt India\nChina\nThailand\nVietnam Mexico\nMercosur", - "page_start": 12, - "page_end": 12, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200430\nWHO WE ARE\nINDUSTRIAL MACHINERY AND MARINE BUSINESS\n“We are the only forklift manufacturer directly owned by an automotive company, and\nthat has created a number of synergies for our division. There’s a natural link with the\ncore business, for instance, given the powertrain of a forklift. However, we also benefit\nfrom other assets within Nissan, such as brand, quality, cost management, and\nmarketing activities.\nThe bottom line is that we contribute to the Company’s total profitability. We had our\nhighest sales and profit in fiscal 2004. We now lead the industry in profitability, in fact,\nwhich I believe reflects the market’s awareness of our superior quality. In this business,\nquality is everything, because our customers are investing in tools for their business. \nAs we upgrade our customer service, I think we will be in a position to become the\nmarket leader.\nProducing forklifts is the heart of our business, although we also build marine products, mostly\nfiberglass boats and outboard motors. During the year a major issue for our forklift division was\nthe rising price of steel, which seriously affects forklift production. We increased our selling price\nin response, as did the rest of the industry. Fortunately, we met or surpassed our targets in\nJapan and in Europe, where we have a plant in Spain. We were slightly below our target for the\nU.S., however, the result of a slight delay in the start of production on a new model, which\nreduced volume for the year. We have since recovered our strength in that market, which we see\nas key to our continued growth.\nA major contributor to our expansion was the release of a new forklift in Japan two years\nago. At the time we had not released a new model in over seven years. Over the coming years\nwe plan to introduce a new battery-powered model in major markets and enhance our service\nnetwork. Since forklifts are production equipment, their sales are highly influenced by business\ncycles. To help maintain our profitability, we need to ramp up our parts and service businesses,\nwhich can be a significant source of income. \nWe have made a tough commitment for the NISSAN Value-Up period, and that is to\nincrease our profitability until it is in line with Nissan’s other operations. This will require some\nbold steps, but doing so will make us the industry leader. We are currently expanding into\nproducing other material handling and warehousing equipment. We also see opportunities for\nquality forklifts in China, despite the competitive market there. Used forklifts can also be a\nprofitable business as well, and we are looking to increase our involvement in that area. \nOur marine-related business has been profitable since 2000, when we restructured the\nbusiness by expanding the marine product line-up and strengthening marina operations. \nNow we are focusing on larger boats and investigating the possibility of manufacturing in China.\nWe are also researching the recycling of plastic and fiberglass boats, which is a major\nenvironmental concern.”\nTOSHIO AOKI\nVice President\nBuilding on the Core", - "page_start": 31, - "page_end": 31, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Thousands of\nMillions of yen U.S. dollars (Note 3)\n2004 2003 2002 2004\nFor the years ended Mar. 31, 2005 Mar. 31, 2004 Mar. 31, 2003 Mar. 31, 2005\nNet sales ¥8,576,277 ¥7,429,219 ¥6,828,588 $80,152,121\nCost of sales (Notes 6 and 11) 6,351,269 5,310,172 4,872,324 59,357,654\nGross profit 2,225,008 2,119,047 1,956,264 20,794,467\nSelling, general and administrative \nexpenses (Notes 6 and 11) 1,363,848 1,294,192 1,219,034 12,746,243\nOperating income 861,160 824,855 737,230 8,048,224\nOther income (expenses):\nInterest income 14,934 10,321 7,566 139,570\nInterest expense (26,656) (27,290) (25,060) (249,121)\nEquity in earnings of unconsolidated \nsubsidiaries and affiliates 36,790 11,623 11,395 343,832\nOther, net (Note 12) (92,995) (83,012) (36,507) (869,112)\n(67,927) (88,358) (42,606) (634,831)\nIncome before income taxes and \nminority interests 793,233 736,497 694,624 7,413,393\nIncome taxes (Note 13):\nCurrent 179,226 137,745 113,185 1,675,009\nDeferred 78,837 81,295 85,513 736,794\n258,063 219,040 198,698 2,411,803\nMinority interests (22,889) (13,790) (761) (213,917)\nNet income (Note 18) ¥ 512,281 ¥ 503,667 ¥ 495,165 $ 4,787,673\nSee notes to consolidated financial statements.\nCONSOLIDATED STATEMENTS OF INCOME\nNissan Motor Co., Ltd. and Consolidated Subsidiaries\nFiscal years 2004, 2003 and 2002\nFINANCIAL SECTION\nNissan Annual Report 200474", - "page_start": 75, - "page_end": 75, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 20046\nPERFORMANCE\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up\nto all the challenges. We had a record year in revenues, operating profit, net income, sales\nvolume and production.\nSales performance\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This\nrecord level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is\n281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine\nall-new models globally.\nAlong with record sales, we achieved a global production record. Nissan’s manufacturing\nplants turned out 3,378,000 units, or 293,000 units more than the previous record.\nFinancial performance\n• Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n• Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a\npercentage of net revenue, our operating profit margin came to 10.0 percent.\n• Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\nNissan 180 commitments\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot\nbe closed completely until the end of September 2005, but we know that we have already\ndelivered two of the plan’s three critical commitments.\n• We committed to an 8 percent operating profit margin, and our margin has been at or above\n10 percent for every year of NISSAN 180. \n• We committed to zero debt, and today we have more than ¥200 billion in net cash under the\nnew and more demanding accounting standards.\n• Our only remaining commitment is to achieve one million additional sales. Even here we are in\nreasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units,\nwhich is a slight advance compared to our commitment to reach 3,597,000 units by the end of\nSeptember 2005.\nPERFORMANCE\nThe recovery story is complete", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 200466\nto export parts and components from Thailand worldwide,\nwhich will result in a great cost advantage. We see more\nopportunities in Malaysia and Indonesia as well.\nTwo other interesting countries for us are India and\nPakistan, which NISSAN Value-Up identifies as next steps\nin our global expansion. Currently, Pakistan’s auto market\ntotals just 100,000 vehicles a year, while in India annual\nsales are 1.2 million. Both markets are expected to grow.\nThis year, we will determine our strategies for India and\nPakistan based on feasibility studies. We’ve already\nestablished a wholly owned subsidiary in Mumbai that will\nfirst focus on imports and later serve as a base camp to\nlearn more about the market in India.\nPerhaps the biggest news for GOM in Asia was the\nsummer 2005 launch of the Infiniti in Korea. This is the\nfirst-ever launch of the full brand independent of Nissan’s\nsales network and outside of the U.S. Korea is a good-\nsized market and a good first step in Infiniti’s development\nas a globally recognized luxury brand. Although we have set\na modest annual sales target of just 5,000 vehicles within\nthree years, Korea will be a strategic market for\nestablishing the Infiniti brand before the scheduled\nlaunches in Russia, China, and eventually Japan. \nSoutheast Asia is also a major emerging market for\nNissan. We have reinforced our strength with a solid\nstrategy in the region, and are now ready to invest.”\nGENERAL OVERSEAS MARKETS\n“General Overseas Markets\noversees a huge territory,\nincluding countries as\ndiverse and geographically\nseparated as Pakistan and\nTahiti. Fiscal 2004 was a\ngood year for us in GOM,\nwith retail sales going up\nmore than 10 percent. All our\nmajor markets exhibited\ngrowth. Taiwan and Australia\nwere the biggest contributors\nwith sales of 70,000 and 63,000 units, respectively.\nAustralia’s auto market was particularly good for us—\nwe’re now the number-four automaker there. Strong\ndemand for the Nissan Pickup and X-TRAIL was\nresponsible for the jump in sales. Although there\nwere no new passenger car releases, the dealers did\nan excellent job selling the current lineup. \nIn the past, we left local sales up to our sales\naffiliates in each market. However, we’ve recently\naltered our strategy in an effort to unify the brand and\nservice level. Emphasizing the importance of\nconsistency to the sales companies has made it\nmuch easier to promote the Nissan way of doing\nbusiness. We have also increased our shares in local\ncompanies, such as in Thailand and Taiwan, to\nstrengthen management control. \nFiscal 2005 will be challenging because we have no major\nmodel launches planned. We’re committed to growth,\nhowever, and I believe that having a clear strategy for each\nmarket and a targeted approach to the customer will boost\nour market position throughout the region. \nThailand is an important market for Nissan’s future.\nAlthough we sell just over 50,000 vehicles a year there, \nwe plan to increase sales volume under NISSAN Value-Up.\nWe’re also expanding production capacity and planning to\nlocalize Thailand as an export base for Pickups. We intend\nA Solid Strategy for Growth\nAsia/Oceania\nYASUAKI HASHIMOTO\nVice President\nOUR WORLD\nPICKUP Infiniti in Korea", - "page_start": 67, - "page_end": 67, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Europe\nNissan Europe S.A.S. Trappes, France Management of European manufacturing and sales €1,626 100.00\nNissan International Finance Amsterdam, Financing for group companies €13 100.00\n(Netherlands) B.V. The Netherlands\nNissan France S.A. Trappes, France Sales of automobiles and parts €4 94.77\nNissan Motor (GB) Ltd. Rickmansworth, UK Sales of automobiles and parts £136 100.00\nNissan Holding (UK) Ltd. Sunderland, UK Holding company for English subsidiaries €870 100.00\nNissan Italia S.p.A. Rome, Italy Sales of automobiles and parts €5 100.00\nNissan Motor Manufacturing Sunderland, UK Manufacture and sales of automobiles and parts £250 100.00\n(UK) Ltd.\nNissan Technical Center Granfield, UK Research and development, testing £15 100.00\nEurope Ltd.\nNissan Forklift Europe B.V. Amsterdam, Sales of forklifts and parts €6 100.00\nThe Netherlands\nNissan Motor Iberica, S.A. Barcelona, Spain Manufacture and sales of automobiles and parts €725 99.76\nNissan Motor Espana, S.A. Barcelona, Spain Sales of automobiles and parts €12 100.00\nNissan Forklift Espana, S.A. Noain, Spain Manufacture and sales of forklifts and parts €9 100.00\nAustralia\nNissan Motor Co. (Australia) Pty. Ltd. Dandenong, Victoria Sales of automobiles and parts A$290 100.00\nNew Zealand\nNissan New Zealand Ltd. Auckland Managing New Zealand subsidiaries; NZ$51 100.00\nautomobile sales\nSouth Africa\nNissan Motor Company Rosslyn Managing South African subsidiaries; R39 100.00\nSouth Africa (Pty) Ltd. automobile manufacturing and sales\nMiddle East\nNissan Middle East F.Z.E. Dubai, UAE Automobile sales Dh2 100.00\nChina\nNissan Motor (China) Ltd. Hong Kong Automobile sales HK$16 100.00\nDongfeng Motor Co., Ltd. Hubei Manufacture and sales of automobiles and parts RMB16,700 50.00 \nTaiwan\nYulon Nissan Motor Co., Ltd. Miao Li Hsien Manufacture and sales of automobiles and parts NT$3,000 40.00\nThailand\nSiam Nissan Automobile Co., Ltd. Samuthprakarn Manufacture and sales of automobiles and parts THB1,931 75.00\nOther consolidated subsidiaries 156 companies\nTotal consolidated subsidiaries 200 companies\nNissan Annual Report 2004 107\nCORPORATE DATA", - "page_start": 108, - "page_end": 108, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "Why did Sundance Energy's oil sales improve in 2014?", - "target_page": 18, - "target_passage": "The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a decrease in product pricing ($15.7 million). ", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "D ear Fellow Shareholders, \nI am pleased to present Sundance Energy Australia Lim ited’ s \nAnnual Report for the 1 2 m onths ended 3 1 D ecem ber 201 4. It \nhas been another year of significant progress for Sundance \nacross our portfolio of liquids rich oil and gas assets in the U S. \nThe C om pany’s strategic focus on grow ing production, cash flow s and reserves from \nlarge, repeatable resource plays in N orth A m erica continues to deliver positive results \nw ith grow th in production, cash flow s, and reserves. \nD uring late 20 13 and 20 14, w e com pleted the divestm ent of our interest in the W illiston \nB asin in N orth D akota for $51 m illion w hich realised an internal rate of return of 45 percent; \nand also opportunistically divested our interest in the D enver-Julesburg B asin in C olorado \nfor $114 m illion w hich realised an internal rate of return of 10 4 percent. These divestitures \nof sm aller, less scalable positions enabled us to focus on developing and grow ing our \nassets in the E agle F ord in Texas and our M ississippian/W oodford assets in O klahom a. \nD espite the reduction in crude oil and liquids prices tow ards the end of the year \nand continuing into 20 15, the operational perform ance and focused, value-adding \ntransactions during the past year have positioned the C om pany very favourably for \nfuture grow th in net asset value and shareholder returns. \nA year of grow ing production, cash flow and reserves \nIn line w ith our strategy w e continued to increase the level of com pany operated assets, \nand successfully m aintained a very strong focus on optim ising our operations and reducing \ncosts. This resulted in an im pressive im provem ent in w ell perform ance com bined w ith a \ntop tier cost structure. \nThrough our operated developm ent program , w e ended 20 14 w ith record production \nof 9,434 barrels of oil equivalent per day (B O E PD ) com pared w ith an exit rate of 5,0 28 \nB O E PD in D ecem ber 20 13 and an average annual production of 6,635 B O E PD com pared \nto 3,0 15 B O E PD in 20 13. D uring 20 14 w e drilled and com pleted 42.7 net w ells, prim arily \nin the E agle F ord, bringing our total w ell count to 8 1.3 by 31 D ecem ber 20 14. H igh \nvalue oil com prised approxim ately 69 percent of our total 20 14 annual production \nand production from Sundance-operated projects accounted for 8 9 percent of total \nproduction for the year. \nC orresponding w ith the grow th in annual production, the C om pany’s full year revenues \nincreased to $159.8 m illion and A djusted E B ITD A X increased to $126.4 m illion. \nThe C om pany’s developm ent program also generated significant grow th in C onstant C ase \nreserves during the year. M ore details are contained elsew here in this A nnual Report, \nbut in sum m ary our 1P Reserves at the end of 20 14 w ere 26.0 M B O E , 2P Reserves 54.1 \nM B O E , and 3P Reserves 147.7 M B O E . This com pares w ith Reserves of 20 .7 M B O E , 34.6 \nM B O E , and 92.8 M B O E , respectively , at the end of 20 13. \nIn the current price environm ent, w e have elected to scale back our drilling program to \nm ainly concentrate on lim ited drilling obligations to hold E agle F ord acreage. This w ill \nenable us to m aintain our low leverage profile, w hich w as approxim ately 1.0 3x debt to \nA djusted E B ITD A X at year end, and focus on grow ing our drilling inventory in an environ -\nm ent w ith less com petition for leases and sm all acquisitions. Liquidity w as $84 m illion at \nyear end, w ith a borrow ing base redeterm ination in 20 15 expected to m aterially increase \ndebt availability if the use of such funds is justified in line w ith our strategy . \nThe Eagle Ford – driving value and production grow th \nSundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Sundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14 \nw hich includes the acquisition of approxim ately 18,0 0 0 net acreage in 20 14. B y the end of \nthe first quarter 20 15 this had grow n to 38,70 1 net m ineral acres. O ur grow ing presence \nin this prolific oil and gas region has been driving significant value for the C om pany and \nour shareholders, and continues to form our priority focus for developm ent and acreage \ngrow th in the com ing years. \nC H A IRM A N ’S LETTER \n2\nD espite the reduction in \ncrude oil and liquids \nprices tow ards the end of \nthe year and continuing \ninto 201 5, the opertional \nperform ance and focused, \nvalue-adding transactions \nduring the past year have \npositioned the C om pany \nvery favourably for future \ngrow th in net asset value \nand shareholder returns.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "3\nA t year end, w e had 197 gross 3P Reserves drilling locations across our E agle F ord \nacreage w here w e continue to pursue operational and drilling efficiencies, opportunities \nto further im prove w ell econom ics by im proving recoveries and reducing costs. In 20 14 \nthis included a sw itch to pad drilling w ith zipper fracs and new com pletion techniques \nthat have provided significant upside in production. \nD espite our current scaling back of drilling activity , w e have set 20 15 production guidance \nat 7 ,8 5 0 – 8 ,50 0 B O E PD , an increase from the previous year of som e 1 3 – 17 percent, \nbut a target that w e believe is achievable w hile m aintaining acceptable levels of liquidity \ngiven our dem onstrated abilities and grow ing footprint in the E agle F ord. \nSafety and Environm ent \nSundance has a strong culture throughout the organisation of ensuring that high standards \nof safety are m aintained and that our operations are conducted in an environm entally \nresponsible w ay. D uring 20 14 our com prehensive safety program w as enhanced and \nfurther im provem ents w ill be a strong focus throughout 20 15. \nA strong financial position \nSundance is w ell placed for future grow th in the E agle F ord. The C om pany has a strong \nbalance sheet to w ithstand the current low oil price environm ent, and our sound financial \nm anagem ent strategy has seen the C om pany w ell supported by both new and existing \ninvestors in A ustralia and internationally . \nW e expect that Sundance w ill grow organically and also through further leasing or \nbolt-on acquisitions in our core E agle F ord focus area w ithin our current, conservative \nbalance sheet param eters. \nPositive outlook for 2015 \nD espite the current oil pricing scenario, Sundance’s m edium -to-long term grow th \ntrajectory looks very positive. \nW e can dem onstrate this through: \n• A track record of capital efficient grow th \n• A track record of value creation \n• B eing a low cost/high m argin operator \n• H aving top tier E agle F ord assets w ith an extensive drilling inventory \n• H aving a clean balance sheet \nA s a m id-tier oil and gas producer and explorer in the S& P/A SX A ll A ustralian 20 0 index, \nand w ith the increasing interest and support from institutional and retail investors. I believe \nthat Sundance w ill deliver significant long-term value from our assets for our shareholders. \nThank you for your support \nW e have had a busy year at Sundance and I w ould like to recognise the efforts and valued \ncontribution of the B oard of D irectors, m anagem ent team and all staff and contractors of \nthe C om pany in helping us achieve our strategic goals. I am confident that w e have the \nright team and excellent assets in place to execute our clear and focused strategy that w e \nexpect to deliver significant value for our shareholders. \nO n behalf of the B oard and C om pany , I w ould like to thank our shareholders for your \nstrong support of the C om pany throughout the year. W e are com m itted to delivering \nlong-term value for our shareholders and I look forw ard to reporting over the rest of the \ncom ing year on the continued value creation and grow th of Sundance. \nYours sincerely , \nM IKE H AN N ELL \nC hairm an \nThe C om pany has a \nstrong balance sheet to \nw ithstand the current low \noil price environm ent, \nand our sound financial \nm anagem ent strategy \nhas seen the C om pany \nw ell supported by \nboth new and existing \ninvestors in Australia \nand internationally .", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "EA G LE FO RD \nThe Eagle Ford continues to have one of the highest internal \nrates of return of any of the U S unconventional resource plays. \nB ecause of its relatively low operating costs, \nthe E agle F ord to rem ains profitable during \ncurrent oil com m odity pricing conditions. \nSundance has quickly transform ed the E agle \nF ord position acquired in its m erger w ith \nTexon Petroleum Ltd to its m ost valuable \nasset in its portfolio through developm ent \nand grow ing its drilling inventory . \nIn 20 14, the C om pany \nbrought 35 gross (26.1 \nnet) E agle F ord w ells into \nproduction by D & P investm ents of $244 m illion. Through $26 \nm illion of direct m ineral leases and $36 m illion of acquisitions \nin 20 14, the C om pany increased its E agle F ord acreage position \nto 20 ,7 42 net acres, w hich represents 153.7 net undrilled \n3P Reserves locations. \nSince its entrance into the E agle F ord in M arch 20 13, the C om pany has: \n• increased its production over 10 x to a 20 14 exit rate of 8 ,17 7 B O E PD (a 290 \npercent C A G R); \n• increased 1P C onstant C ase Reserves by 10 x to 18,132 M B O E (PV 10 of $449.3 m illion \n(an 18x increase)); \n• increased its acreage to approxim ately 33,0 0 0 net acres, prim arily in the volatile oil \nand condensate w indow of the E agle F ord (includes 14,180 net acres acquired in January \n20 15 and excludes 5,418 net acres targeting the G eorgetow n F orm ation in neighboring \nM averick C ounty); \n• increased its producing w ell count to 77 \ngross (53.8 net), w ith an additional 19 gross \n(10 .6 net) w ells in progress at year-end; \n• increased its undrilled 3P Reserves drilling \nlocations to 153.7 net; w hich represents a \n4.3 year drilling inventory (assum ing tw o rig \nprogram drilling 36 net w ells per year and \n40 -80 acre spacing) \nEAG LE FO RD \nA s at and for the Year Ended 31 D ecem ber 2014 \nProduction (boe) 1 ,6 96 ,5 49 \nProduction (BO EPD ) 4,6 48 \nLiquids % of sales 91 % \nExit Rate (BO EPD ) 8,1 77 \nD & P Capital Invested $ 244,1 3 4 \nE& E Capital Invested and A cquisitions $ 5 9,90 3 \nG ross producing w ells 77 \nN et Producing w ells 5 3 .8 \nG ross W ells in Progress 1 9 \nN et W ells in Progress 1 0 .6 \nN et A cres 26 ,1 6 0 \nEAG LE FO RD CO N STAN T CASE RESERVES \nA s at and for the Year Ended 31 D ecem ber 2014 \n1 P Reserves (m boe) 1 8,1 3 1.9 \n3 P Reserves (m boe) 1 0 0 ,40 4.1 \n1 P Reserves (PV1 0 ($0 0 0 s)) $ 449,287 .5 \n3 P Reserves (PV1 0 ($0 0 0 s)) $ 1 ,20 2,3 1 3 .1 \nN et 1 P Reserves D rilling Locations 42.6 \nN et 3 P Reserves D rilling Locations 1 5 3 .7 \n1 0 \n50 \n100 \n150 \n200 \n1.0 \n2.0\n3.0\n4.0\n5.0\nNET EAGLE FORD DRILLING LOCATIONS \n(excluding contingent resources)\n JAN-13 JAN-14 JAN-15 \nI PROVED \nI PROBABLE AND POSSIBLE \n—— DRILLING INVENTORY (YEARS)", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "D ear Fellow Shareholders, \n2014 R evie w — 201 4 w as a year of stark econom ic contrasts \nin our industry . D uring the first half as in the past several years, \nhistorically volatile W est T exas Interm ediate oil prices seem ed \nrange bound betw een $ 8 0 and $ 1 1 0 w ith geopolitical events \ndriving prices tow ards the ceiling and dem and risks pushing \nprices tow ards the floor of the range. \nIn the U S, E & P com panies w ere spending record am ounts of capital, fueled by cheap \nand plentiful debt, on horizontal drilling and com pletions to drive production grow th \nw hile m aking m aterial strategic acquisitions in order to increase their long-term \nexposure to oil prices. \nThe easy credit environm ent caused asset prices to increase significantly to the point \nw here, in our view , risk adjusted returns on new acquisitions w ere threatening cyclical \nlow s. In line w ith our strategy , Sundance had m onetized several m ature assets realizing \n~$50 m illion in current period gains w hile freeing up \n~$165 m illion in invested capital. \nW e prim arily reinvested this capital in production grow th \nand cash flow w ith only about $75 m illion reinvested in \nacquiring oil and gas leases and producing properties. This \nresulted in our production increasing from 5,0 28 B O E PD \nto 9,434 B O E PD by D ecem ber 20 14 and full year E B ITD A X \nincreasing $73.8 m illion to $126.4 m illion in 20 14. H ad \nprices stayed steady , w e likely w ould have generated \nearnings before incom e taxes of over $8 5 m illion and a \nreturn on capital in excess of 20 %. \nO ur second capital priority for the year w as to conclude the appraisal of the W oodford \nform ation in our Logan C ounty , O klahom a assets. W e view ed this relatively m odest, but \nhigher risk, investm ent as having a 25% chance of success w ith a 15x upside. U nfortunately , \nw e m et w ith m ixed success in our appraisal activities proving that in today’s onshore \nU S oil and gas industry that the best absolute returns are generated by drilling in proved \nregions. There are plenty of solid opportunities to efficiently grow the business w ithout \nexposure to undue geologic risk. \nLike m any prior bubbles driven by new technologies, the second half of the year saw the \npricing environm ent com e crashing dow n around us. The m arket becam e fundam entally \nunbalanced, driving prices dow n alm ost 50 % and rendering m aterial portions of global \noil and gas developm ent uneconom ic. \nO ur peers w ent from talking about their grow th prospects to fretting about cash costs \nand liquidity , a stark contrast from the go-go grow th tim es w hich existed in the first half \nof the year. This shift in industry strategy has now com e in line w ith our general business \nphilosoph y — in the resource space, low -cost, low debt businesses w ill survive and thrive \nacross cycles; and, relative to our U S onshore peer group, Sundance boasts a top 15% \ncost structure and balance sheet. \nO ur position as a cost and balance sheet leader is underpinned by tw o key philosophies: \n1) investm ent in a leading technical team that is encouraged to take reasonable risks to \nim prove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as \ndem onstrated by our consistent track record of divesting assets that don’t fit our strategic \nobjectives or prom ise low er forw ard return profiles. \nO ur high quality E agle F ord acreage produces strong recoveries at reasonable costs and \nthus generates good returns, even in a low price environm ent. B ecause of these character -\nistics, the m ajority of our forw ard capital is expected to be invested generating strong \ngrow th and shareholder returns in the E agle F ord. \nW ith m ixed appraisal results in the W oodford, Sundance’s M ississippian/W oodford \nposition generally requires higher prices to m eet our hurdle rates. B ecause of the m ixed", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Natural gas liquids sales (NGL). NGL sales increased by $5.4 million (169.5%) to $8.6 million for the year ended 31 December \n2014 from $3.2 million for the same period in prior year. The increase in NGL revenues was primarily the result of increased \nproduction volumes in the Eagle Ford and Anardarko Basins. NGL production volumes increased 172,131 Bbls (179.6%) to \n267,952 Bbls for the year ended 31 December 2014 compared to 95,821 Bbls for the prior year. The average price we realised \non the sale of our natural gas liquids decreased by 3.6% to $32.24 per Bbl for the year ended 31 December 2014 from $33.45 \nper Bbl for the prior year. \n \n Year ended 31 December \nSelected per Boe metrics (US$) 2014 2013 \nChange in \n$ \nChange as \n% \nTotal oil, natural gas and NGL revenue ................................... 71.22 79.10 (7.88) (10.0) \nLease operating expense ......................................................... (6.03) (11.23) (5.21) (46.4) \nProduction tax expense ........................................................... (3.10) (5.80) (2.70) (46.5) \nDepreciation and amortisation expense ................................. (38.15) (33.57) 4.58 13.6 \nGeneral and administrative expense ....................................... (6.92) (14.18) (7.26) (51.2) \nTotal Profit Margin .................................................................. 17.02 14.32 2.70 18.9 \n \nLease operating expenses. Our lease operating expenses (LOE) increased by $1.4 million (11.6%) to $13.5 million for the year \nended 31 December 2014 from $12.1 million for the same period in prior year but decreased $ 5.21 per Boe to $6.03 per Boe \nfrom $11.23 per Boe. The decrease in LOE per Boe is primarily due to the implementation of several cost saving initiatives in \nour field operations such as replacing contract lease operators with Company employees and reducing total field head count \nper well. \nProduction taxes. Our producti on taxes increased by $ 0.7 million (11.2%) to $ 7.0 million for the year ended 31 December \n2014 from $6.3 million for the prior year but as a percent of revenue decreased 290 basis points to 4.4% from 7.3%. The \ndecrease in production taxes as a percent of revenue is the result of exiting North Dakota and Colorado, both higher production \ntax rate jurisdictions, and increasing our investment in Texas and Oklahoma, which are lower production tax rate jurisdictions, \nas well as an adjustment for lower than anticipated ad valorem taxes. \nDepreciation and amortisation expense, including depletion. Our depreciation and amortisation expense increased by \n$49.4 million ( 136.3%) to $ 85.6 million for the year ended 31 December 2014 from $36.2 million for the prior year and \nincreased $4.58 per Boe to $38.15 per Boe from $33.57 per Boe. The increase reflects our increase in production (107.9%), an \nincrease in our asset base subject to amortisation as a result of our acqui sition and development activity , and increased \ncompletion costs caused by high -demand for completion services and a shortage of trucks able to transport frac sand and \nresultant higher trucking rates. \n \nGeneral and administrative expenses. General and administrative expenses per Boe decreased by 51.2% to $6.92 for the year \nended 31 December 2014 as compared to $14.18 per Boe for the prior year. The decrease in general and administrative \nexpenses per Boe is driven by increased production levels diluting fixed general and administrative costs. \nImpairment expense. The Company recorded impairment expense of $71.2 million for the year ended 31 December 2014 on \nthe Company’s development and production assets that are located in Greater Anadarko and the Eagle Ford as the recoverable \namount was less than the carrying value primarily as a result of lower commodity pricing . No impairment was necessary on \nthe Company’s exploration and evaluation assets. See Note 17 of the Notes to the Consolidated Financial Statements for \nfurther discussion.", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "W ith m ixed appraisal results in the W oodford, Sundance’s M ississippian/W oodford \nposition generally requires higher prices to m eet our hurdle rates. B ecause of the m ixed \nW oodford results, higher overall unit costs, and depressed pricing at year end, w e \nrecognized an im pairm ent charge of ~$60 m illion on these assets at year 20 14. H ad \nprices m aintained their strength, w e likely w ould have been in a position to recover our \ninvestm ent from these assets. \nC EO ’S REPO RT \n4\nSundance’s Perform ance versus the ASX 20 0 \nA N N UA L PERCEN TA G E CHA N G E \nIN 2P PV10 \n(N ET A SSET VA LU E) IN SU N D A N CE \nYEAR PER D EB T A D JU STED SH A RE PRICE PER SH A RE IN A SX20 0 \n20 1 4 21.6 % -48.0 % 1.1 % \n20 1 3 6 3 .3 % 29.9% 1 5 .1 % \n20 1 2 -1 5 .6 % 87 .8% 1 4.6 % \n20 1 1 5 9.7% -44.6 % -1 4.5 %", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "In addition to the significantly im proved operating profitability , the C om pany exited tw o \nnon-core basins w hich resulted in a gain on sales of non-current assets of $50 .3 m illion. \nThe D J and B akken dispositions that occurred in 20 14 are further proving the C om pany’s \ntrack-record of large opportunistic dispositions that result in a high internal rate of \nreturn; allow ing the C om pany to reinvest proceeds in basins w ith higher risk-adjusted \nreturns. Since 20 0 7 , the C om pany disposed of six \nprospects or basins w ith an aggregate transaction \nvalue of nearly $40 0 m illion. These dispositions had a \ntransaction value w eighted return of 83 percent. The \n20 14 D J disposition (transaction value of $113 m illion) \nyielded the C om pany’s highest internal rate of return \nto date of 10 4 percent. \nA s a result of the increased revenue, cost controlled \noperating and G & A expenses and gain on sales, offset \nby the C om pany’s non-cash im pairm ent of $7 1.2 \nm illion (due to the depressed oil com m odity pricing \nat year-end), the C om pany reported profits before \nincom e tax for the year of $14.5 m illion. \nA s m entioned above, the C om pany’s A djusted E B ITD A X for the period ($126.4 m illion) \napproxim ates its operating cash flow of $128 .1 m illion. This operating cash flow , along \nw ith i) net proceeds from the disposition of the D J and B akken basins ($118.8 m illion), \nii) net proceeds from issuance of equity ($68.7 m illion) and iii) net debt draw s ($10 0 .0 \nm illion) w ere the C om pany’s prim ary sources of cash (collectively $415.6 m illion), fund -\ning $437.2 m illion of cash uses including, i) developm ent expenditures ($362.0 m illion), \nii) exploration expenditures ($39.6 m illion) and iii) an acquisition of prim arily undevel -\noped acreage in the E agle F ord ($35.6 m illion). \nD espite the C om pany’s robust 20 14 drilling and com pletion program , it continued to \npreserve liquidity w ith $69.2 m illion of cash and equivalents and $15.0 m illion of \nundraw n borrow ing capacity at year-end. The C om pany also m aintains a low -leverage \nm odel w ith outstanding principal of $130 .0 m illion at year-end, w hich represents \n1.0 x the C om pany’s 20 14 A djusted E B ITD A X . The C om pany ranks am ong the low est \nof its peers in this leverage m etric, a full 272 absolute basis points below the m ean of \nits peers (3.8x). \n$5 \n$10 \n$15 \n$20\n$25\n$30\n$35\n$40 $39.26\n$33.41 $34.66\n$29.70\n$25.20\n$19.87 \n$18.27 \n$1 1.03 \n Q1-13 Q2-13 Q3-13 Q4-13 Q1-14 Q2-14 Q3-14 Q4-14 \nCOSTS PER BARREL OF OIL EQUIVALENT \nI LOE/BOE I PRODUCTION TAXES/BOE I CASH G&A/BOE \n140% \n120% \n100% \n80%\n60%\n40%\n20%\nINTERNAL RATE OF RETURN AND TRANSACTION VALUES \n(in millions)\n• ASHLAND • NIOBRARA • SOUTH ANTELOPE • PHOENIX • DJ • GOLIATH \n DEC 07 DEC 08 DEC 09 DEC 10 DEC 11 DEC 12 DEC 13 DEC 14 \n$46.4\n$10.5 \n$172.0 $39.5 $14.0 \n$1 13.0 \n7", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "The C om pany and offset operators continue to have success in \nthe G reater Anadarko Basin. \nD uring 20 14, the C om pany increased its production to 1,460 B O E PD ; a 957 B O E PD \n(190 percent) increase com pared to 50 3 B O E PD of production in 20 13. \nIn 20 14, the C om pany brought 40 gross \n(16.6 net) G reater A nadarko w ells into \nproduction by D & P investm ents of $7 9.9 \nm illion. The C om pany m aintained a strong \nacreage position of 40 ,937 net acres, w ith \n259.3 net 3P Reserves drilling locations (over \nsix years of drilling inventory assum ing a \ntw o-rig program drilling 18 w ells/year). \nA s at 31 D ecem ber \n20 14, the C om pany’s \nG reater A nadarko 1P \nReserves increased to 7,849 M B O E (PV 10 of $82.4 m illion); a 3,445 \nM B O E (78 percent) increase com pared to 4,40 4 M B O E (PV 10 of \n$66.7 m illion) at 31 D ecem ber 20 13. \nG REATER A N A D A RKO G REATER AN ADARKO \nA s at and for the Year Ended 31 D ecem ber 2014 \nProduction (boe) 5 3 2,91 6 \nProduction (BO EPD ) 1 ,46 0 \nLiquids % of sales 78% \nExit Rate (BO EPD ) 1 ,25 7 \nD & P Capital Invested $ 79,85 1 \nE& E Capital Invested $ 1 2,5 6 1 \nG ross producing w ells 6 5 \nN et Producing w ells 27 .5 \nG ross W ells in Progress 5 \nN et W ells in Progress 3 .1 \nN et A cres 40 ,93 7 \nG REATER AN ADARKO CO N STAN T \nCARE RESERVES \nA s at and for the Year Ended 31 D ecem ber 2014 \n1 P Reserves (m boe) 7 ,849.4 \n3 P Reserves (m boe) 47 ,3 1 8.7 \n1 P Reserves (PV1 0 ($0 0 0 s)) $ 82,447 .5 \n3 P Reserves (PV1 0 ($0 0 0 s)) $ 282,91 3 .8 \nN et 1 P Reserves D rilling Locations 41.8 \nN et 3 P Reserves D rilling Locations 25 9.3 \n50 \n100 \n150 \n200 \n250\n300 \n1.0 \n2.0\n3.0\n4.0\n5.0\n6.0\n7 .0 \n8.0\nNET GREATER ANADARKO DRILLING LOCATIONS \n(excluding contingent resources)\n JAN-13 JAN-14 JAN-15 \nI PROVED \nI PROBABLE AND POSSIBLE \n—— DRILLING INVENTORY (YEARS) \n1 2", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Opinion \nIn our opinion: \na. the financial report of Sundance Energy Australia is in accordance with the Corporations Act 2001, \nincluding: \n \ni giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and \nof its performance for the year ended on that date; and \n \nii complying with Australian Accounting Standards and the Corporations Regulations 2001; and \n \nb. the financial report also complies with International Financial Reporting Standards issued by the IASB \nas disclosed in Note 1. \n \nReport on the remuneration report \nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 \nDecember 2014. The directors of the company are responsible for the preparation and presentation of the \nRemuneration Report in accordance with section 300A of the Corporations Act 2001. Our responsibility is to express \nan opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing \nStandards. \n \nOpinion \nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December \n2014, complies with section 300A of the Corporations Act 2001. \n \n \nErnst & Young \n \n \nMichael Elliott \nPartner Sydney \n31 March 2015 \n \n \n \n \n \n \n \n \nA member firm of Ernst & Young Global Limited \nLiability limited by a scheme approved under Professional Standards Legislation \n- 108 -", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I heard that Sundance Energy has acquired land in South Texas in July 2014, where is it?", - "target_page": 21, - "target_passage": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Sundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14 \nw hich includes the acquisition of approxim ately 18,0 0 0 net acreage in 20 14. B y the end of \nthe first quarter 20 15 this had grow n to 38,70 1 net m ineral acres. O ur grow ing presence \nin this prolific oil and gas region has been driving significant value for the C om pany and \nour shareholders, and continues to form our priority focus for developm ent and acreage \ngrow th in the com ing years. \nC H A IRM A N ’S LETTER \n2\nD espite the reduction in \ncrude oil and liquids \nprices tow ards the end of \nthe year and continuing \ninto 201 5, the opertional \nperform ance and focused, \nvalue-adding transactions \nduring the past year have \npositioned the C om pany \nvery favourably for future \ngrow th in net asset value \nand shareholder returns.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "D ear Fellow Shareholders, \nI am pleased to present Sundance Energy Australia Lim ited’ s \nAnnual Report for the 1 2 m onths ended 3 1 D ecem ber 201 4. It \nhas been another year of significant progress for Sundance \nacross our portfolio of liquids rich oil and gas assets in the U S. \nThe C om pany’s strategic focus on grow ing production, cash flow s and reserves from \nlarge, repeatable resource plays in N orth A m erica continues to deliver positive results \nw ith grow th in production, cash flow s, and reserves. \nD uring late 20 13 and 20 14, w e com pleted the divestm ent of our interest in the W illiston \nB asin in N orth D akota for $51 m illion w hich realised an internal rate of return of 45 percent; \nand also opportunistically divested our interest in the D enver-Julesburg B asin in C olorado \nfor $114 m illion w hich realised an internal rate of return of 10 4 percent. These divestitures \nof sm aller, less scalable positions enabled us to focus on developing and grow ing our \nassets in the E agle F ord in Texas and our M ississippian/W oodford assets in O klahom a. \nD espite the reduction in crude oil and liquids prices tow ards the end of the year \nand continuing into 20 15, the operational perform ance and focused, value-adding \ntransactions during the past year have positioned the C om pany very favourably for \nfuture grow th in net asset value and shareholder returns. \nA year of grow ing production, cash flow and reserves \nIn line w ith our strategy w e continued to increase the level of com pany operated assets, \nand successfully m aintained a very strong focus on optim ising our operations and reducing \ncosts. This resulted in an im pressive im provem ent in w ell perform ance com bined w ith a \ntop tier cost structure. \nThrough our operated developm ent program , w e ended 20 14 w ith record production \nof 9,434 barrels of oil equivalent per day (B O E PD ) com pared w ith an exit rate of 5,0 28 \nB O E PD in D ecem ber 20 13 and an average annual production of 6,635 B O E PD com pared \nto 3,0 15 B O E PD in 20 13. D uring 20 14 w e drilled and com pleted 42.7 net w ells, prim arily \nin the E agle F ord, bringing our total w ell count to 8 1.3 by 31 D ecem ber 20 14. H igh \nvalue oil com prised approxim ately 69 percent of our total 20 14 annual production \nand production from Sundance-operated projects accounted for 8 9 percent of total \nproduction for the year. \nC orresponding w ith the grow th in annual production, the C om pany’s full year revenues \nincreased to $159.8 m illion and A djusted E B ITD A X increased to $126.4 m illion. \nThe C om pany’s developm ent program also generated significant grow th in C onstant C ase \nreserves during the year. M ore details are contained elsew here in this A nnual Report, \nbut in sum m ary our 1P Reserves at the end of 20 14 w ere 26.0 M B O E , 2P Reserves 54.1 \nM B O E , and 3P Reserves 147.7 M B O E . This com pares w ith Reserves of 20 .7 M B O E , 34.6 \nM B O E , and 92.8 M B O E , respectively , at the end of 20 13. \nIn the current price environm ent, w e have elected to scale back our drilling program to \nm ainly concentrate on lim ited drilling obligations to hold E agle F ord acreage. This w ill \nenable us to m aintain our low leverage profile, w hich w as approxim ately 1.0 3x debt to \nA djusted E B ITD A X at year end, and focus on grow ing our drilling inventory in an environ -\nm ent w ith less com petition for leases and sm all acquisitions. Liquidity w as $84 m illion at \nyear end, w ith a borrow ing base redeterm ination in 20 15 expected to m aterially increase \ndebt availability if the use of such funds is justified in line w ith our strategy . \nThe Eagle Ford – driving value and production grow th \nSundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Corporate O verview and Strategy \nSundance E nergy A ustralia Lim ited (A SX : SE A ) is an \nonshore oil and natural gas com pany focused on the \nexploration, developm ent and production of large, \nrepeatable resource plays in N orth A m erica. The C om pany’s \noil and natural gas properties are located in prem ier U .S. \noil and natural gas basins, and its current operational \nactivities are focused in south Texas targeting the E agle \nF ord form ation (‘‘E agle F ord’’) and north central O klahom a \ntargeting the M ississippian and W oodford form ations \n(‘‘M ississippian/W oodford’’). \nThe C om pany utilises its U .S.-based m anagem ent and \ntechnical team to appraise, develop, produce and grow its \nportfolio of assets. The C om pany’s strategy focuses on \ngenerating cash flow from its existing production base, \ndeveloping assets w here it is the operator and has high \nw orking interests, exploring for additional resources \nw ithin its existing basins and pursuing strategic m erger \nand acquisition opportunities, w hich positions it to \ncontrol the pace of its developm ent and the allocation \nof capital resources. \nContents \nPerform ance Sum m ary .......................................................1\nC hairm an’s Letter ................................................................2\nM anaging D irector’s Letter ..................................................4\nF inancial O verview .............................................................6\nO perations O verview ..........................................................8\nE agle F ord .........................................................................10 \nG reater A nadarko .............................................................12 \nD irectors’ Report ...............................................................15 \nRem uneration Report .......................................................28 \nA uditor’s Independence D eclaration .................................45 \nC orporate G overnance ......................................................46 \nF inancial Inform ation .......................................................54 \nD irectors’ D eclaration .....................................................10 6 \nA uditor’s Report ..............................................................10 7 \nA dditional Inform ation ...................................................10 9 \nC orporate Inform ation ....................................................111 \nF orw ard-Looking Statem ents .........................................111 \nC om petent Persons Statem ent ........................................111 \nAbbreviations & D efinitions \n1 P Reserve s— proved reserves w hich have at least a 90 % \nprobability that the quantities actually recovered w ill equal or \nexceed the estim ate \n2P Reserve s— proved plus probable reserves w hich have at \nleast a 5 0 % probability that the quantities actually recovered \nw ill equal or exceed the estim ate \n3P Reserve s— proved plus probable plus possible reserves \nw hich have at least a 1 0 % probability that the quantities \nactually recovered w ill equal or exceed the estim ate \nEnterprise Value or E V — m arket capitalisation less cash \nplus debt \nPV1 0 — discounted cash flow s of the Com pany’s reserves \nusing a 1 0 % discount factor \nBb l— one barrel of oil \nBO E— a barrel of oil equivalent, using the ratio of six M cf of \nnatural gas to one Bbl of crude oil \nBOEP D — barrels of oil equivalent per day \nConstant Cas e— the reserve report case using first of m onth \naverage pricing for the trailing 1 2 m onths held constant \nthroughout the life of the reserves as prescribed by the U S \nSecurities and Exchange Com m ission (SEC) \nM BO E— a thousand barrels of oil equivalent \nM M BO E— a m illion barrels of oil equivalent \nM Bb l— a thousand barrels of crude oil \nM c f— one thousand cubic feet of natural gas \nM M c f— one m illion cubic feet of natural gas \nM — w hen used w ith $ equals m illions", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "3\nA t year end, w e had 197 gross 3P Reserves drilling locations across our E agle F ord \nacreage w here w e continue to pursue operational and drilling efficiencies, opportunities \nto further im prove w ell econom ics by im proving recoveries and reducing costs. In 20 14 \nthis included a sw itch to pad drilling w ith zipper fracs and new com pletion techniques \nthat have provided significant upside in production. \nD espite our current scaling back of drilling activity , w e have set 20 15 production guidance \nat 7 ,8 5 0 – 8 ,50 0 B O E PD , an increase from the previous year of som e 1 3 – 17 percent, \nbut a target that w e believe is achievable w hile m aintaining acceptable levels of liquidity \ngiven our dem onstrated abilities and grow ing footprint in the E agle F ord. \nSafety and Environm ent \nSundance has a strong culture throughout the organisation of ensuring that high standards \nof safety are m aintained and that our operations are conducted in an environm entally \nresponsible w ay. D uring 20 14 our com prehensive safety program w as enhanced and \nfurther im provem ents w ill be a strong focus throughout 20 15. \nA strong financial position \nSundance is w ell placed for future grow th in the E agle F ord. The C om pany has a strong \nbalance sheet to w ithstand the current low oil price environm ent, and our sound financial \nm anagem ent strategy has seen the C om pany w ell supported by both new and existing \ninvestors in A ustralia and internationally . \nW e expect that Sundance w ill grow organically and also through further leasing or \nbolt-on acquisitions in our core E agle F ord focus area w ithin our current, conservative \nbalance sheet param eters. \nPositive outlook for 2015 \nD espite the current oil pricing scenario, Sundance’s m edium -to-long term grow th \ntrajectory looks very positive. \nW e can dem onstrate this through: \n• A track record of capital efficient grow th \n• A track record of value creation \n• B eing a low cost/high m argin operator \n• H aving top tier E agle F ord assets w ith an extensive drilling inventory \n• H aving a clean balance sheet \nA s a m id-tier oil and gas producer and explorer in the S& P/A SX A ll A ustralian 20 0 index, \nand w ith the increasing interest and support from institutional and retail investors. I believe \nthat Sundance w ill deliver significant long-term value from our assets for our shareholders. \nThank you for your support \nW e have had a busy year at Sundance and I w ould like to recognise the efforts and valued \ncontribution of the B oard of D irectors, m anagem ent team and all staff and contractors of \nthe C om pany in helping us achieve our strategic goals. I am confident that w e have the \nright team and excellent assets in place to execute our clear and focused strategy that w e \nexpect to deliver significant value for our shareholders. \nO n behalf of the B oard and C om pany , I w ould like to thank our shareholders for your \nstrong support of the C om pany throughout the year. W e are com m itted to delivering \nlong-term value for our shareholders and I look forw ard to reporting over the rest of the \ncom ing year on the continued value creation and grow th of Sundance. \nYours sincerely , \nM IKE H AN N ELL \nC hairm an \nThe C om pany has a \nstrong balance sheet to \nw ithstand the current low \noil price environm ent, \nand our sound financial \nm anagem ent strategy \nhas seen the C om pany \nw ell supported by \nboth new and existing \ninvestors in Australia \nand internationally .", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Sundance Energy Australia Lim ited \nA B N 7 6 112 20 2 8 8 3 \nD irectors \nM ichael D . H annel l–C hairm an \nE ric M cC rad y– M anaging D irector and C EO \nD am ien A . H anne s– N on-Executive D irector \nN eville W . M arti n– N on-Executive D irector \nW eldon H olcom b e– N on-Executive D irector \nCom pany Secretary \nD am ien C onnor \nRegistered O ffice \n32 B eulah Road \nN orw ood SA 50 67 \nPhone: (61 8 ) 8 363 0 38 8 \nF ax: (61 8 ) 8 132 0 7 66 \nW ebsite: w w w.sundanceenergy .com .au \nCorporate H eadquarters \nSundance Energy, Inc. \n633 17 th Street, Suite 1950 \nD enver, C O 8 0 20 2 U SA \nPhone: (30 3) 543-57 0 0 \nF ax: (30 3) 543-57 0 1 \nW ebsite: w w w.sundanceenergy .net \nAuditors \nE rnst & Young \nE rnst & Young C entre \n68 0 G eorge Street \nSydney N SW 20 0 0 \nAustralian Legal Advisors \nB aker & M cK enzie \nLevel 27 , A M P C entre \n50 B ridge Street \nSydney , N SW 20 0 0 \nA ustralia \nBankers \nN ational A ustralia B ank Lim ite d– A ustralia \nW ells F arg o– U nited States \nShare Registry \nC om putershare Investor Services Pty Ltd \nLevel 5, 115 G renfell Street \nA delaide SA 50 0 0 \nSecurities Exchange Listing \nA ustralian Securities E xchange (A SX ) \nA SX C ode: SE A \nForw ard-Looking Statem ents \nThis A nnual Report includes forw ard-looking statem ents. \nThese statem ents relate to Sundance’s expectations, beliefs, \nintentions or strategies regarding the future. These statem ents \ncan be identified by the use of w ords like “anticipate”, \n“believe”, “intend”, “estim ate”, “expect”, “m ay”, “plan”, \n“project”, “w ill”, “should”, “seek” and sim ilar w ords or \nexpressions containing sam e. The forw ard-looking state -\nm ents reflect the C om pany’s view s and assum ptions w ith \nrespect to future events as of the date of this presentation \nand are subject to a variety of unpredictable risks, uncertain -\nties, and other unknow ns. A ctual and future results and \ntrends could differ m aterially from those set forth in such \nstatem ents due to various factors, m any of w hich are \nbeyond our ability to control or predict. G iven these \nuncertainties, no one should place undue reliance on any \nforw ard-looking statem ents attributable to Sundance, \nor any of its affiliates or persons acting on its behalf. \nA lthough every effort has been m ade to ensure this report \nsets forth a fair and accurate view , w e do not undertake \nany obligation to update or revise any forw ard-looking \nstatem ents, w hether as a result of new inform ation, future \nevents or otherw ise. \nCom petent Persons Statem ent \nThis report contains inform ation on Sundance E nergy’s \nreserves and resources w hich has been review ed by D avid \nRam sden-W ood, Professional E ngineer, w ho is licensed in \nA lberta, C anada and is qualified in accordance w ith A SX \nListing Rule 5.11 and has consented to the inclusion of this \ninform ation in the form and context in w hich it appears. \nD ESIG N BY : \nM ark M ulvany G raphic D esign (D enver, CO ) \nPH O TO G RA PH Y BY : \nM ichael M cConnell Photography (D enver, CO )", - "page_start": 112, - "page_end": 112, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "EA G LE FO RD \nThe Eagle Ford continues to have one of the highest internal \nrates of return of any of the U S unconventional resource plays. \nB ecause of its relatively low operating costs, \nthe E agle F ord to rem ains profitable during \ncurrent oil com m odity pricing conditions. \nSundance has quickly transform ed the E agle \nF ord position acquired in its m erger w ith \nTexon Petroleum Ltd to its m ost valuable \nasset in its portfolio through developm ent \nand grow ing its drilling inventory . \nIn 20 14, the C om pany \nbrought 35 gross (26.1 \nnet) E agle F ord w ells into \nproduction by D & P investm ents of $244 m illion. Through $26 \nm illion of direct m ineral leases and $36 m illion of acquisitions \nin 20 14, the C om pany increased its E agle F ord acreage position \nto 20 ,7 42 net acres, w hich represents 153.7 net undrilled \n3P Reserves locations. \nSince its entrance into the E agle F ord in M arch 20 13, the C om pany has: \n• increased its production over 10 x to a 20 14 exit rate of 8 ,17 7 B O E PD (a 290 \npercent C A G R); \n• increased 1P C onstant C ase Reserves by 10 x to 18,132 M B O E (PV 10 of $449.3 m illion \n(an 18x increase)); \n• increased its acreage to approxim ately 33,0 0 0 net acres, prim arily in the volatile oil \nand condensate w indow of the E agle F ord (includes 14,180 net acres acquired in January \n20 15 and excludes 5,418 net acres targeting the G eorgetow n F orm ation in neighboring \nM averick C ounty); \n• increased its producing w ell count to 77 \ngross (53.8 net), w ith an additional 19 gross \n(10 .6 net) w ells in progress at year-end; \n• increased its undrilled 3P Reserves drilling \nlocations to 153.7 net; w hich represents a \n4.3 year drilling inventory (assum ing tw o rig \nprogram drilling 36 net w ells per year and \n40 -80 acre spacing) \nEAG LE FO RD \nA s at and for the Year Ended 31 D ecem ber 2014 \nProduction (boe) 1 ,6 96 ,5 49 \nProduction (BO EPD ) 4,6 48 \nLiquids % of sales 91 % \nExit Rate (BO EPD ) 8,1 77 \nD & P Capital Invested $ 244,1 3 4 \nE& E Capital Invested and A cquisitions $ 5 9,90 3 \nG ross producing w ells 77 \nN et Producing w ells 5 3 .8 \nG ross W ells in Progress 1 9 \nN et W ells in Progress 1 0 .6 \nN et A cres 26 ,1 6 0 \nEAG LE FO RD CO N STAN T CASE RESERVES \nA s at and for the Year Ended 31 D ecem ber 2014 \n1 P Reserves (m boe) 1 8,1 3 1.9 \n3 P Reserves (m boe) 1 0 0 ,40 4.1 \n1 P Reserves (PV1 0 ($0 0 0 s)) $ 449,287 .5 \n3 P Reserves (PV1 0 ($0 0 0 s)) $ 1 ,20 2,3 1 3 .1 \nN et 1 P Reserves D rilling Locations 42.6 \nN et 3 P Reserves D rilling Locations 1 5 3 .7 \n1 0 \n50 \n100 \n150 \n200 \n1.0 \n2.0\n3.0\n4.0\n5.0\nNET EAGLE FORD DRILLING LOCATIONS \n(excluding contingent resources)\n JAN-13 JAN-14 JAN-15 \nI PROVED \nI PROBABLE AND POSSIBLE \n—— DRILLING INVENTORY (YEARS)", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Information on Directors \nMichael Damer Hannell \nChairman, BSc Eng (Hons), FIEAust \n \nExperience \nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008. \nMr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in \nthe upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations, \nexploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom, \ncontinental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently \nfinished his term as the chairman of Rees Operat ions Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian \nautomotive components and transportation container manufacturer and supplier. He has also held a number of other board \nappointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry. \nMr. Hannell has also served on a number of not -for-profit boards, with appointments as president of the Adelaide- based \nChamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry), \nchairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a \nmember of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in \nEngineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia. \nInterest in Shares: \n1,059,000 ordinary shares in Sundance Energy Australia Limited \n \nSpecial Responsibilities: \n-Chairman of the Board of Directors \n-Chairman of the Remuneration and Nominations Committee \n-Member of the Audit and Risk Management Committee \n-Member of the Reserves Committee \n \nOther Directorships: \nNil \n \nEric P. McCrady \nDirector, BS in Business Administration \n \nExperience \nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November \n2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady \nhas served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was \nemployed by The Broe Group, a private investment firm, in various financial and executive management positions across a \nvariety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady \nwas employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business \nAdministration from the University of Colorado, Boulder. \n \nInterest in Shares, Restricted Share Units and Options: \n1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units \n \nSpecial Responsibilities: \nManaging Director and Chief Executive Officer of the Company \n \nOther Directorships: \nNil \n \n \n- 23 -", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "w w w .sundanceenergy.net w w w .sundanceenergy.com .au", - "page_start": 113, - "page_end": 113, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Annual Report 20048\nTHE WORLD OF SANTOS\nUnited States\nSouth Texas, Texas/\nLouisiana Gulf Coast\nDeer Creek Montana\nUnited States Egypt West Natuna Basin East Java\nHoutman Basin Duntroon Basin Otway Basin Sorell Basin\nKEY TO MAPS\nExploration\nProduction\nOil field\nGas field\nOil pipeline\nGas pipeline\nSAN165 WWW Text 30/3/05 12:06 PM Page 8", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "Transfer and Disposal Services. We own or operate 96 transfer stations. We deposit waste at these\nstations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport\nto disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had\napproximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of\napproximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based\non engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully.\nSome of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated\nsoils. See \"\"Ì Properties.''\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently\npermitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and\nevaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices,\nmarket needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand,\nwe are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be\nmade that all future expansions will be permitted as designed.\nOther Services. We have 35 materials recovery facilities and other recycling operations, which are\ngenerally required to fulÑll our obligations under long-term municipal contracts for residential collection\nservices. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable\nmaterials are internally collected by our residential collection operations. In some areas, we receive\ncommercial and industrial solid waste that is sorted at our facilities into recyclable materials and non-\nrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the non-\nrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our\nexposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby\nminimizing our recycling investment.\nWe provide remediation and other heavy construction services primarily through our subsidiary located in\nMissouri.\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is\nprocessed, packaged and sold as various products.\nSales and Marketing\nWe seek to provide quality services that will enable our company to maintain high levels of customer\nsatisfaction. We derive our business from a broad customer base which we believe will enable our company to\nexperience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing\ncustomers, as well as attracting new customers.\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to\nprovide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our\ncustomers at competitive prices. We target potential customers of all sizes, from small quantity generators to\nlarge \"\"Fortune 500'' companies and municipalities.\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts\nprogram in response to our customers' needs.\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not\noperate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the\nacquired companies' local tradenames as used in each geographic market in which we operate.\nCustomers\nWe provide services to commercial, industrial, municipal and residential customers. No one customer has\nindividually accounted for more than 10% of our consolidated revenue or of our reportable segment revenue in", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I am the CFO of Sundance Energy, will my base increase in 2015 as it did in 2014?", - "target_page": 31, - "target_passage": "No increases to Managing Director’s or KMP’s base salary", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "Sundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14 \nw hich includes the acquisition of approxim ately 18,0 0 0 net acreage in 20 14. B y the end of \nthe first quarter 20 15 this had grow n to 38,70 1 net m ineral acres. O ur grow ing presence \nin this prolific oil and gas region has been driving significant value for the C om pany and \nour shareholders, and continues to form our priority focus for developm ent and acreage \ngrow th in the com ing years. \nC H A IRM A N ’S LETTER \n2\nD espite the reduction in \ncrude oil and liquids \nprices tow ards the end of \nthe year and continuing \ninto 201 5, the opertional \nperform ance and focused, \nvalue-adding transactions \nduring the past year have \npositioned the C om pany \nvery favourably for future \ngrow th in net asset value \nand shareholder returns.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "D ear Fellow Shareholders, \nI am pleased to present Sundance Energy Australia Lim ited’ s \nAnnual Report for the 1 2 m onths ended 3 1 D ecem ber 201 4. It \nhas been another year of significant progress for Sundance \nacross our portfolio of liquids rich oil and gas assets in the U S. \nThe C om pany’s strategic focus on grow ing production, cash flow s and reserves from \nlarge, repeatable resource plays in N orth A m erica continues to deliver positive results \nw ith grow th in production, cash flow s, and reserves. \nD uring late 20 13 and 20 14, w e com pleted the divestm ent of our interest in the W illiston \nB asin in N orth D akota for $51 m illion w hich realised an internal rate of return of 45 percent; \nand also opportunistically divested our interest in the D enver-Julesburg B asin in C olorado \nfor $114 m illion w hich realised an internal rate of return of 10 4 percent. These divestitures \nof sm aller, less scalable positions enabled us to focus on developing and grow ing our \nassets in the E agle F ord in Texas and our M ississippian/W oodford assets in O klahom a. \nD espite the reduction in crude oil and liquids prices tow ards the end of the year \nand continuing into 20 15, the operational perform ance and focused, value-adding \ntransactions during the past year have positioned the C om pany very favourably for \nfuture grow th in net asset value and shareholder returns. \nA year of grow ing production, cash flow and reserves \nIn line w ith our strategy w e continued to increase the level of com pany operated assets, \nand successfully m aintained a very strong focus on optim ising our operations and reducing \ncosts. This resulted in an im pressive im provem ent in w ell perform ance com bined w ith a \ntop tier cost structure. \nThrough our operated developm ent program , w e ended 20 14 w ith record production \nof 9,434 barrels of oil equivalent per day (B O E PD ) com pared w ith an exit rate of 5,0 28 \nB O E PD in D ecem ber 20 13 and an average annual production of 6,635 B O E PD com pared \nto 3,0 15 B O E PD in 20 13. D uring 20 14 w e drilled and com pleted 42.7 net w ells, prim arily \nin the E agle F ord, bringing our total w ell count to 8 1.3 by 31 D ecem ber 20 14. H igh \nvalue oil com prised approxim ately 69 percent of our total 20 14 annual production \nand production from Sundance-operated projects accounted for 8 9 percent of total \nproduction for the year. \nC orresponding w ith the grow th in annual production, the C om pany’s full year revenues \nincreased to $159.8 m illion and A djusted E B ITD A X increased to $126.4 m illion. \nThe C om pany’s developm ent program also generated significant grow th in C onstant C ase \nreserves during the year. M ore details are contained elsew here in this A nnual Report, \nbut in sum m ary our 1P Reserves at the end of 20 14 w ere 26.0 M B O E , 2P Reserves 54.1 \nM B O E , and 3P Reserves 147.7 M B O E . This com pares w ith Reserves of 20 .7 M B O E , 34.6 \nM B O E , and 92.8 M B O E , respectively , at the end of 20 13. \nIn the current price environm ent, w e have elected to scale back our drilling program to \nm ainly concentrate on lim ited drilling obligations to hold E agle F ord acreage. This w ill \nenable us to m aintain our low leverage profile, w hich w as approxim ately 1.0 3x debt to \nA djusted E B ITD A X at year end, and focus on grow ing our drilling inventory in an environ -\nm ent w ith less com petition for leases and sm all acquisitions. Liquidity w as $84 m illion at \nyear end, w ith a borrow ing base redeterm ination in 20 15 expected to m aterially increase \ndebt availability if the use of such funds is justified in line w ith our strategy . \nThe Eagle Ford – driving value and production grow th \nSundance has grow n its E agle F ord acreage position from ~7,20 0 acres upon entering the \nbasin to approxim ately 26,160 net m ineral acres in the E agle F ord at the end of 20 14", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "3\nA t year end, w e had 197 gross 3P Reserves drilling locations across our E agle F ord \nacreage w here w e continue to pursue operational and drilling efficiencies, opportunities \nto further im prove w ell econom ics by im proving recoveries and reducing costs. In 20 14 \nthis included a sw itch to pad drilling w ith zipper fracs and new com pletion techniques \nthat have provided significant upside in production. \nD espite our current scaling back of drilling activity , w e have set 20 15 production guidance \nat 7 ,8 5 0 – 8 ,50 0 B O E PD , an increase from the previous year of som e 1 3 – 17 percent, \nbut a target that w e believe is achievable w hile m aintaining acceptable levels of liquidity \ngiven our dem onstrated abilities and grow ing footprint in the E agle F ord. \nSafety and Environm ent \nSundance has a strong culture throughout the organisation of ensuring that high standards \nof safety are m aintained and that our operations are conducted in an environm entally \nresponsible w ay. D uring 20 14 our com prehensive safety program w as enhanced and \nfurther im provem ents w ill be a strong focus throughout 20 15. \nA strong financial position \nSundance is w ell placed for future grow th in the E agle F ord. The C om pany has a strong \nbalance sheet to w ithstand the current low oil price environm ent, and our sound financial \nm anagem ent strategy has seen the C om pany w ell supported by both new and existing \ninvestors in A ustralia and internationally . \nW e expect that Sundance w ill grow organically and also through further leasing or \nbolt-on acquisitions in our core E agle F ord focus area w ithin our current, conservative \nbalance sheet param eters. \nPositive outlook for 2015 \nD espite the current oil pricing scenario, Sundance’s m edium -to-long term grow th \ntrajectory looks very positive. \nW e can dem onstrate this through: \n• A track record of capital efficient grow th \n• A track record of value creation \n• B eing a low cost/high m argin operator \n• H aving top tier E agle F ord assets w ith an extensive drilling inventory \n• H aving a clean balance sheet \nA s a m id-tier oil and gas producer and explorer in the S& P/A SX A ll A ustralian 20 0 index, \nand w ith the increasing interest and support from institutional and retail investors. I believe \nthat Sundance w ill deliver significant long-term value from our assets for our shareholders. \nThank you for your support \nW e have had a busy year at Sundance and I w ould like to recognise the efforts and valued \ncontribution of the B oard of D irectors, m anagem ent team and all staff and contractors of \nthe C om pany in helping us achieve our strategic goals. I am confident that w e have the \nright team and excellent assets in place to execute our clear and focused strategy that w e \nexpect to deliver significant value for our shareholders. \nO n behalf of the B oard and C om pany , I w ould like to thank our shareholders for your \nstrong support of the C om pany throughout the year. W e are com m itted to delivering \nlong-term value for our shareholders and I look forw ard to reporting over the rest of the \ncom ing year on the continued value creation and grow th of Sundance. \nYours sincerely , \nM IKE H AN N ELL \nC hairm an \nThe C om pany has a \nstrong balance sheet to \nw ithstand the current low \noil price environm ent, \nand our sound financial \nm anagem ent strategy \nhas seen the C om pany \nw ell supported by \nboth new and existing \ninvestors in Australia \nand internationally .", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "For the year ended 31 December 2014 (to be paid in 2015), the following metrics were adopted as targets: \nFinancial Performance Metric \nPerformance \nTarget \n \nTarget \nWeight \nProduction of oil and natural gas per 1,000 debt adjusted share 4.06 Boe 17.5% \nCash margin 72.6% 17.5% \nNet asset value per debt-adjusted share 1.02 17.5% \nPV/I (1) 1.25 17.5% \nHealth, safety and environmental Qualitative 10.0% \nAssessment of the performance of senior executives and managers Qualitative 20.0% \n(1) Increase in PV10 of proved reserves divided by the capital spent to generate that growth during the period excluding \nacquisitions and dispositions \nThe amount of any STI and LTI bonuses relative to the year ended 31 December 2014 will be determined subsequent to the filing \nof this report and included in reported remuneration in next year’s Directors’ Report. \nLong-Term Incentives \nWe have two active e quity incentive plans under the LTI component of the incentive remuneration program. These are the \nSundance Employee Option Plan (\"ESOP\") and the Sundance Energy Australia Limited Restricted Share Units available only to our \nU.S. employees under the Incent ive Remuneration Plan (the \"RSU Plan\"). Any grants made to employees that also serve as a \ndirector are subject to shareholder approval prior to issuance. \nESOP Plan \nThe ESOP provides for the issuance of stock options at an exercise price determined at the time of the issue by a committee \ndesignated by the board (the \"Plan Committee\"). Options under the ESOP may be granted to eligible employees, as determined \nby the Plan Committee, and typically include our executive officers, directors and key employees. \nHistorically, the Plan Committee has granted options in connection with attracting new employees, which grant is made once \nemployment has commenced. It is within the discretion of the Plan Committee, however, to authorize additional option grants \nduring the tenure of employment. Generally, an option vests 20 percent on the 90th day following the grant date, with an \nadditional 20 percent vesting on the first, second, th ird and fourth anniversaries thereof. Options are valued using the Black -\nScholes methodology and recognized as remuneration in accordance with their vesting conditions. In the event of a voluntary \nwinding up of the Company, unvested stock options vest immediately. We may amend the ESOP or any portion thereof, or waive \nor modify the application of the ESOP rules in relation to a participant, at any time. Certain amendments to the ESOP may require \nthe approval of the option holders. \nNo stock options were granted to any officers or directors during fiscal years 2013 or 2014. \nRSU Plan \nThe RSU Plan provides for the issuance of restricted share units (\"RSUs\") to our U.S. employees. The purpose of issuing RSUs is to \nreward senior executives and employees for achievement of financial and operational performance targets established by our \nboard. The RSU Plan is administered by our board. RSUs may be granted to eligible employees from a bonus pool established at \nthe sole discretion of our board. The bonus pool is subject to board and management review of performance metrics with respect \nto bot h our and the individual employee's performance over a measured period determined by the Remuneration and \nNominations Committee and the board. The RSUs may be settled in cash or shares at the discretion of our board. \nUnder the RSU Plan, which applies to 2014 payments earned in 2013, 25% of the RSUs vest upon satisfaction of the performance \ncriteria and share award determination, and 25% vest on each of next three anniversaries. The RSUs are based on performance \ntargets established and approved by our board. The number of RSUs awarded is calculated by dividing the value of the LTI award \nby the closing price of the Company’s shares at the end of the fiscal year for which the award is granted. \n \n- 36 -", - "page_start": 37, - "page_end": 37, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "D ear Fellow Shareholders, \n2014 R evie w — 201 4 w as a year of stark econom ic contrasts \nin our industry . D uring the first half as in the past several years, \nhistorically volatile W est T exas Interm ediate oil prices seem ed \nrange bound betw een $ 8 0 and $ 1 1 0 w ith geopolitical events \ndriving prices tow ards the ceiling and dem and risks pushing \nprices tow ards the floor of the range. \nIn the U S, E & P com panies w ere spending record am ounts of capital, fueled by cheap \nand plentiful debt, on horizontal drilling and com pletions to drive production grow th \nw hile m aking m aterial strategic acquisitions in order to increase their long-term \nexposure to oil prices. \nThe easy credit environm ent caused asset prices to increase significantly to the point \nw here, in our view , risk adjusted returns on new acquisitions w ere threatening cyclical \nlow s. In line w ith our strategy , Sundance had m onetized several m ature assets realizing \n~$50 m illion in current period gains w hile freeing up \n~$165 m illion in invested capital. \nW e prim arily reinvested this capital in production grow th \nand cash flow w ith only about $75 m illion reinvested in \nacquiring oil and gas leases and producing properties. This \nresulted in our production increasing from 5,0 28 B O E PD \nto 9,434 B O E PD by D ecem ber 20 14 and full year E B ITD A X \nincreasing $73.8 m illion to $126.4 m illion in 20 14. H ad \nprices stayed steady , w e likely w ould have generated \nearnings before incom e taxes of over $8 5 m illion and a \nreturn on capital in excess of 20 %. \nO ur second capital priority for the year w as to conclude the appraisal of the W oodford \nform ation in our Logan C ounty , O klahom a assets. W e view ed this relatively m odest, but \nhigher risk, investm ent as having a 25% chance of success w ith a 15x upside. U nfortunately , \nw e m et w ith m ixed success in our appraisal activities proving that in today’s onshore \nU S oil and gas industry that the best absolute returns are generated by drilling in proved \nregions. There are plenty of solid opportunities to efficiently grow the business w ithout \nexposure to undue geologic risk. \nLike m any prior bubbles driven by new technologies, the second half of the year saw the \npricing environm ent com e crashing dow n around us. The m arket becam e fundam entally \nunbalanced, driving prices dow n alm ost 50 % and rendering m aterial portions of global \noil and gas developm ent uneconom ic. \nO ur peers w ent from talking about their grow th prospects to fretting about cash costs \nand liquidity , a stark contrast from the go-go grow th tim es w hich existed in the first half \nof the year. This shift in industry strategy has now com e in line w ith our general business \nphilosoph y — in the resource space, low -cost, low debt businesses w ill survive and thrive \nacross cycles; and, relative to our U S onshore peer group, Sundance boasts a top 15% \ncost structure and balance sheet. \nO ur position as a cost and balance sheet leader is underpinned by tw o key philosophies: \n1) investm ent in a leading technical team that is encouraged to take reasonable risks to \nim prove recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as \ndem onstrated by our consistent track record of divesting assets that don’t fit our strategic \nobjectives or prom ise low er forw ard return profiles. \nO ur high quality E agle F ord acreage produces strong recoveries at reasonable costs and \nthus generates good returns, even in a low price environm ent. B ecause of these character -\nistics, the m ajority of our forw ard capital is expected to be invested generating strong \ngrow th and shareholder returns in the E agle F ord. \nW ith m ixed appraisal results in the W oodford, Sundance’s M ississippian/W oodford \nposition generally requires higher prices to m eet our hurdle rates. B ecause of the m ixed", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "Opinion \nIn our opinion: \na. the financial report of Sundance Energy Australia is in accordance with the Corporations Act 2001, \nincluding: \n \ni giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and \nof its performance for the year ended on that date; and \n \nii complying with Australian Accounting Standards and the Corporations Regulations 2001; and \n \nb. the financial report also complies with International Financial Reporting Standards issued by the IASB \nas disclosed in Note 1. \n \nReport on the remuneration report \nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 \nDecember 2014. The directors of the company are responsible for the preparation and presentation of the \nRemuneration Report in accordance with section 300A of the Corporations Act 2001. Our responsibility is to express \nan opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing \nStandards. \n \nOpinion \nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December \n2014, complies with section 300A of the Corporations Act 2001. \n \n \nErnst & Young \n \n \nMichael Elliott \nPartner Sydney \n31 March 2015 \n \n \n \n \n \n \n \n \nA member firm of Ernst & Young Global Limited \nLiability limited by a scheme approved under Professional Standards Legislation \n- 108 -", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "W ith m ixed appraisal results in the W oodford, Sundance’s M ississippian/W oodford \nposition generally requires higher prices to m eet our hurdle rates. B ecause of the m ixed \nW oodford results, higher overall unit costs, and depressed pricing at year end, w e \nrecognized an im pairm ent charge of ~$60 m illion on these assets at year 20 14. H ad \nprices m aintained their strength, w e likely w ould have been in a position to recover our \ninvestm ent from these assets. \nC EO ’S REPO RT \n4\nSundance’s Perform ance versus the ASX 20 0 \nA N N UA L PERCEN TA G E CHA N G E \nIN 2P PV10 \n(N ET A SSET VA LU E) IN SU N D A N CE \nYEAR PER D EB T A D JU STED SH A RE PRICE PER SH A RE IN A SX20 0 \n20 1 4 21.6 % -48.0 % 1.1 % \n20 1 3 6 3 .3 % 29.9% 1 5 .1 % \n20 1 2 -1 5 .6 % 87 .8% 1 4.6 % \n20 1 1 5 9.7% -44.6 % -1 4.5 %", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "OOUURR\n BBUUSSINEESSSS\nDDEELIVERRIING ON OUR COMMITMENTS\n IN 2013\nCOONTNTENTS\n2\n Letetterterers ts ts oo Shareh\noldoldolderserse\n4\n Stratetegicgicc ObObObjecje tives andandnd VaVaV luel Drivers\n55\n WhyW Invesvest it iti n Rn Rn Rogeog rs\n66\n ConConConnecn t Likeke NeNeeververve BeBefore\n1616\n CorCorCorporporporaate Sociai l Rl Respespesponsonson ibiib lity\n1818\n CorCorCorporporporateateate GoG vernancece\n200\n DirDirDirDi ectectectorsorsors ananand Sd Sd Senien or Executcutiveivee OfOfOfficeficefic rsrs\n2424\n Management’s Discussion and Analysis\n88\n Management’s Responsibility for \nFinancial Reporting\n88\n \n Independent Auditors’ Report of \nRegistered Public Accounting Firm\n89\n Consolidated Statements of Income\n9090\n ConConConsolsos idadated Statements of \nComComComprepreprehenhenhensivsivsive Ie Ie nconcoomeme\n9191\n Consolidated Statemennntststs of of\nFinancial Position\n92\n \nConsolidated Stateateatemenmem ts of\nChanges in SSharharharehoeheholders’ EqEquituitityyy\n93\n Consololidaidadatedtedted StS atemenentsts of of of CasCCash Fh lows\n944\n \nNotNotNotes eses to to Consolidadatedtedd FiFiFinannanciac l\nStStaStatemt ents \n126\n Corporrateate ananand Sd Sd Sharharh ehoeh lder Infonfoformarmarmatiotiotionnn\nDIVIDEND \nGROWTH\nWHAT WE SAID: Increase \ncash returns to shareholders \nconsistently over time.\nWHAT WE DID: Increased the \nannualized dividend per share \n10% from $1.58 to $1.74 in 2013. \nFurther increased the dividend \nby 5% to $1.83 in February 2014.\nHIGHER VALUE \nWIRELESS SUBSCRIBERS\nWHAT WE SAID: Continue the \ngrowth in our smartphone \nsubscriber base to drive wireless \ndata revenue and ARPU.\nWHAT WE DID: Activated nearly \n2.7 million smartphones, helping \nbring smartphone penetration \nto 75% of postpaid subscriber \nbase.\nOPERATING \nEFFICIENCIES\nWHAT WE SAID: Implement \nproductivity improvement \ninitiatives to capture sustainable \noperating efficiencies.\nWHAT WE DID: Reduced operating \nexpenses for the combined Wireless \nand Cable segments, excluding the \ncost of wireless equipment sales, by \napproximately 1% from 2012 levels.\nEVOLVE AND ENHANCE \nTELEVISION PLATFORM\nWHAT WE SAID: Invest in the \nevolution of our current TV \nplatform and extend our video \nofferings to new platforms.\nWHAT WE DID: Launched NextBox \n3.0 delivering a superior TV \nexperience and leveraged the \nsuccess of Rogers AnyPlace TV, \nour Internet and mobile \non-demand TV service.\nFAST AND RELIABLE \nNETWORKS\nWHAT WE SAID: Maintain \nRogers leadership in network \ntechnology and innovation.\nWHAT WE DID: Rogers was \nnamed both the fastest wireless \nnetwork and the fastest \nbroadband ISP in Canada \nby PCMag.com.\nENHANCE AND STRENGTHEN \nTHE CORE BUSINESS\nWHAT WE SAID: We will make \nstrategic investments to expand \nand strengthen the core \nbusiness.\nWHAT WE DID: Executed \nstrategic acquisitions including \nMountain Cable, data centre and \nhosting assets, theScore and \nvaluable, high profile sports \ncontent.\nDATA REVENUE \nGROWTH\nWHAT WE SAID: Generate \ndouble-digit wireless and \nbroadband data growth consistent \nwith our data usage monetization \nstrategy.\nWHAT WE DID: Grew wireless \nand broadband data revenues by \n17% and 16%, respectively over \n2012 levels.\nFREE CASH FLOW \nGENERATION\nWHAT WE SAID: Deliver another \nyear of significant consolidated \npre-tax free cash flow.\nWHAT WE DID: Generated \n$2.0 billion of pre-tax free cash \nflow in 2013, supporting the \nsignificant investments and cash \nwe returned to shareholders \nduring the year.\nAT A GLANCE\nRoRogegersrs CCommumuninicacations Inc..\n iiis s s aa a didiversified Canadian telecommunicationss anananddd memm dia cocompmpmpanaany.y. \nRoRoRogegegersrsrs\n Wireelelessss\n iiis s CaC nadaa’s’ss lllaarargeg st wireless voice and data telecommunications seervrvrvicicicesese provideder r r\nanananddd tht e cocoununntrtrtry’y’ss onlyy nnnatatatioioi nal carrier operating on the combined world standard GSMMM/H/H/HSPSPS A+A /LLTETE \ntetetechc nooloogygygy pplalatformsmsms... RRoRogers \nCable", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS \n \nNOTE 20 – OTHER NON-CURRENT ASSETS \n \nYear ended 31 December \n2014 \nUS$’000 \n2013 \nUS$’000 \n \nEscrow accounts 998 2,000 \nOther - 19 \n Total other non-current assets 998 2,019 \n \n \nNOTE 21 – TRADE AND OTHER PAYABLES AND ACCRUED EXPENSES \n \n 2014 2013 \nYear ended 31 December US$’000 US$’000 \n \nOil and natural gas property and operating related 117,117 123,938 \nAdministrative expenses, including salaries and wages 2,077 5,146 \nTotal trade, other payables and accrued expenses 119,194 129,084 \n \nAt 31 December 2013, the Group had payable balances of $16.7 million which was outside normal payment terms, \noffset by a receivable balance of $11.7 million to the same creditor company (see Note 12 for additional \ninformation). The Company’s remaining Bakken assets were sold to this company in July 2014, for approximately \n$14.0 million, including the settlement of the net liability. \n \nNOTE 22 – CREDIT FACILITIES \n \n 2014 2013 \nYear ended 31 December US$000 US$000 \n \nSenior Credit Facility 95,000 15,000 \nJunior Credit Facility 35,000 15,000 \nTotal credit facilities 130,000 30,000 \nDeferred financing fees (1,195) (859) \nTotal credit facilities, net of deferred financing fees 128,805 29,141 \n \nJunior Credit Facility \nIn August 2013, Sundance Energy, Inc. (“Sundance Energy”), a wholly owned subsidiary of the Company, entered \ninto a second lien credit agreement with Wells Fargo Energy Capital, Inc., as the administrative agent (the “Junior \nCredit Facility”), which provides for term loans to be made in a series of draws up to $100 million. The Junior Credit \nFacility matures in June 2018 and is secured by a second priority lien on substantially all of the Company’s assets. \nUpon entering into the Junior Credit Facility, the Company immediately borrowed $15 million pursuant to the terms \nof the Junior Credit Facility and paid down the outstanding principal of the Senior Credit Facility. In May 2014, the \nCompany’s borrowing capacity increased to $35 million. As at 31 December 2014, the borrowing capacity under the \nJunior Credit Facility remains at $35 million. \n- 86 -", - "page_start": 87, - "page_end": 87, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "2014 Remuneration \n \nAction Rationale \nNon-executive Director \nCompensation \nIncreased total director base \ncompensation during 2014 by \napproximately A$65,000 per \nDirector. \nBased on market review of director \ncompensation at peer group \ncompanies and to reflect the \nincreasing complexity of the \nCompany’s operations and therefore \nthe related time commitment and \nperformance expectations of the \ndirectors. \n \nAMED E \nKey Changes for 2015 \n \nAction \nFixed Remuneration No increases to Managing Director’s \nor KMP’s base salary. \nCash Short-Term Incentive \n \n \nShort-Term Incentive payments \nearned for 2014 will be paid out in \nRestricted Stock Units during 2015 \ninstead of cash to reflect the current \nlow commodity price environment \nand preserve liquidity. \nEquity Long-Term Incentive Long-Term Incentive RSUs to KMPs \nearned for 2014 will be paid out in \n2015 with 50% time based vesting \nand 50% vesting tied to Total \nShareholder Return compared to the \npeer group over a three year period. \nNon-executive Director \nCompensation \nNo increases to NED fees \nCOMPENSATION (cont’d) \nB. Executive Summary \n \nWhat We Do: What We Don’t Do: \n \n• Pay for Performance – STI and LTI awarded is based on \nhistorical Company performance. \n \n• Enter into Egregious Employment Contracts – The \nCompany does not enter into contracts containing multi -\nyear guarantees for salary increases, non -performance \nbased bonuses or equity compensation. \n• Utilize a Quantitative Process for Performance Cash \nBonuses – The Remuneration and Nominations \nCommittee establishes Company performance measures \nand goals at the beginning of the performance year that \nare assigned individual weightings. In considering bonus \nawards for the year, the Committee scores the Company’s \nperformance on each measure in arriving at an overall \nweighted score that determines the amount of any \nbonuses. \n• Provide Excessive Severance and/or Change in Control \nProvisions – Provisions do not require cash payments \nexceeding three times base salary plus target/average/last \npaid bonus; No liberal change in control definition in \nindividual contracts or equity plans that could result in \npayments to executives without an actual change in \ncontrol or job loss occurring. \n \n \n• Require Stock Ownership by Executive Officers – \nBoard-adopted guidelines establish robust minimum stock \nownership levels for our executive officers to ensure \nappropriate alignment with shareholders. \n• Provide Tax Gross-Ups – The Company does not include \ntax gross-up payments for any STI or LTI Plans. \n \n- 29 -", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "What are the physical requirements for installing the Storwize V7000?", - "target_page": 70, - "target_passage": "You must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics: \u0002 Meets power, cooling, and location requirements of the Storwize V7000 nodes. \u0002 Has two separate power sources. \u0002 Sufficient rack space exists for the installation of controller and disk expansion enclosures. \u0002 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "48 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\nWhen you plan deployment of Storwize V7000, identify networking technologies that you will \nuse.\n3.4 Physical planning\nYou must consider several key factors when you are planning the physical site of a Storwize \nV7000 installation. The physical site must have the following characteristics:\n/SM590000Meets power, cooling, and location requirements of the Storwize V7000 nodes.\n/SM590000Has two separate power sources.\n/SM590000Sufficient rack space exists for the installation of controller and disk expansion enclosures.\n/SM590000Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not \nexceed maximum power rating of the rack. For more information about the power and \nenvironmental requirements, see this website.\nYour Storwize V7000 2076-524 and Storwize V7000 2076-624 order includes a printed copy \nof the IBM Storwize V7000 Gen2 and Gen2+ Quick Installation Guide, which also provides \ninformation about environmental and power requirements.\n3.4.1 Cabling\nCreate a cable connection table that follows your environment’s documentation procedure to \ntrack all of the following connections that are required for the setup: \n/SM590000Power\n/SM590000Ethernet\n/SM590000SAS\n/SM590000iSCSI or Fibre Channel over Ethernet (FCoE) connections\n/SM590000Switch ports (FC, Ethernet, and FCoE)\nDistribute your disk expansion enclosures evenly between control enclosures, nodes within \ncontrol enclosures, and SAS channels within nodes. For more information, search for “SAS \ncabling guidelines” at this IBM Knowledge Center page.\nWhen planning SAN cabling make sure that your physical topology allows you to observe \nzoning rules and recommendations.\nIf the data center provides more than one power source, make sure that you use that capacity \nwhen planning power cabling for your system.\n3.5 Planning IP connectivity\nSystem management is performed through an embedded graphical user interface (GUI) that \nis running on the nodes. To access the management GUI, direct a web browser to the system \nmanagement IP address.\nNote: With Spectrum Virtualize V8.1.1.1 and later, RDMA (iSER) is supported by 25 Gb \nEthernet iSCSI adapter cards with V7000 Gen2+ only. For more information, see 3.7.4, \n“iSCSI Extensions for RDMA (iSER)” on page 62.", - "page_start": 69, - "page_end": 69, - "source_file": "sg247938.pdf" - }, - { - "text": "754 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 775, - "page_end": 775, - "source_file": "sg247938.pdf" - }, - { - "text": "792 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 813, - "page_end": 813, - "source_file": "sg247938.pdf" - }, - { - "text": "240 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 261, - "page_end": 261, - "source_file": "sg247938.pdf" - }, - { - "text": "384 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 405, - "page_end": 405, - "source_file": "sg247938.pdf" - }, - { - "text": "88 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n4.1 Prerequisites\nBefore initializing and setting up the Storwize V7000, ensure that the following prerequisites \nare met:\n/SM590000The installation of physical components is planned to fulfill all requirements and correctly \nexecuted, including:\n– Control enclosures are physically installed with the correct cabling. \n– The Ethernet and Fibre Channel connectivity are correctly configured.\n– Expansion enclosures, if available, are physic ally installed and attached to the Storwize \nV7000 nodes in the I/O group that is meant to use them.\n– The Storwize V7000 control enclosures and optional expansion enclosures are \npowered on.\n/SM590000Your web browser is supported and has the appropriate settings enabled. For more \ninformation about supported browsers and settings, see IBM Knowledge Center.\n/SM590000You have the required information available, including:\n– For IPv4 addressing (if used):\n Cluster IPv4 address, which is the address that is used for the management of the \nsystem.\n Service IPv4 addresses, which are used to access node service interfaces. You \nneed one address for each node.\n IPv4 subnet mask for each subnet used.\n IPv4 gateway for each subnet used.\n– For IPv6 addressing (if used):\n Cluster IPv6 address, which is used for the management of the system.\n Service IPv6 addresses, which are used to access node service interfaces. You \nneed one address for each node.\n IPv6 prefix for each subnet used.\n IPv6 gateway. for each subnet used.\n– The licenses that enable you to use licensed functions, which include the licenses that \nindicate your entitlement to use licensed functions:\n Remote Copy\n External Virtualization\n Real-time Compression\n Transparent Cloud Tiering\n– Physical location of the system.\n– The name, email address, and phone number of the storage administrator who IBM \ncan contact if necessary.\n– The Network Time Protocol (NTP) server IP address (optional, but recommended), \nwhich is necessary only if you want to use an NTP service instead of manually entering \ndate and time.\n– The Simple Mail Transfer Protocol (SMTP) email server IP address (optional), which is \nnecessary only if you want to enable call home.\n– The IP addresses for Remote Support Proxy Servers (optional), which are necessary \nonly if you want to enable Support Assistance.", - "page_start": 109, - "page_end": 109, - "source_file": "sg247938.pdf" - }, - { - "text": "42 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n2.8 Useful IBM Storwize V7000 websites\nSee the following IBM Storwize V7000 web pages for more information:\n/SM590000IBM Support page:\nhttps://www.ibm.com/support/home/product/5402112/IBM_Storwize_V7000_(2076)\n/SM590000IBM Storwize V7000 Unified and IBM Storwize V7000 Systems:\nhttps://www.ibm.com/support/home/product/5421300/IBM_Storwize_V7000_Unified\n/SM590000IBM Storwize V7000 page support\nhttp://www-01.ibm.com/support/docview.wss?uid=ssg1S1003741\n/SM590000Direct attachment of IBM Storwize V7000\nhttps://www-01.ibm.com/support/docview.wss?uid=ssg1S1005776\n/SM590000IBM Knowledge Center:\nhttps://www.ibm.com/support/knowledgecenter/en/ST3FR7_8.2.1/com.ibm.storwize.v7\n000.821.doc/v7000_ichome.html", - "page_start": 63, - "page_end": 63, - "source_file": "sg247938.pdf" - }, - { - "text": "738 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 759, - "page_end": 759, - "source_file": "sg247938.pdf" - }, - { - "text": "672 Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1", - "page_start": 693, - "page_end": 693, - "source_file": "sg247938.pdf" - }, - { - "text": "ISBN 0738457779\nSG24-7938-07\n(1.5” spine)\n1.5”<-> 1.998”\n789 <->1051 pages\nImplementing the IBM Storwize V7000 with \nIBM Spectrum Virtualize V8.2.1", - "page_start": 822, - "page_end": 822, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "Is '1oijizer--10108453535318919918883384---jhjjzhiuhzrh--14584joiz///KK ' valid for a pool?", - "target_page": 218, - "target_passage": "Naming rules: When you choose a name for a pool, the following rules apply: \u0002 Names must begin with a letter. \u0002 The first character cannot be numeric. \u0002 The name can be a maximum of 63 characters. \u0002 Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space. \u0002 Names must not begin or end with a space. \u0002 Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC. \u0002 The default object name is valid (object prefix with an integer). \u0002 Objects can be renamed to their current names", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "S3lWvNAaOtl3v~ mva \n08-108-00 Sd3MAQN", - "page_start": 61, - "page_end": 61, - "source_file": "00-80T-80.pdf" - }, - { - "text": "st r13,4(,r1) 00700000\n st r1,8(,r13) 00710000\n lr r13,r1 00720000\n using workarea,r13 00730000\n* 00740000\n* Determine the message length 00750005\n* 00760000\n slr r1,r1 Number of bytes 00770005\n l r15,msgtxta get starting address 00780005\nnulloop ds 0h 00790006\n cli 0(r15),x'00' Is it zero? 00800005\n je nomore Yes - quit 00810005\n la r1,1(,r1) Bump count 00820005", - "page_start": 278, - "page_end": 278, - "source_file": "sg246915.pdf" - }, - { - "text": "3~PWbWtlOdWd 3NVldUlV \n08-108-00 SdSMAVN", - "page_start": 149, - "page_end": 149, - "source_file": "00-80T-80.pdf" - }, - { - "text": "SNOllVlIWll H13N3US ONllVU3dO \n08-108-00 Sd3MAVN", - "page_start": 365, - "page_end": 365, - "source_file": "00-80T-80.pdf" - }, - { - "text": "SNOIlVlIWll HlOM3US ONllVU3dO \n08-108-00 Sd3MAVN", - "page_start": 346, - "page_end": 346, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Contents xi\n11.11.1 1920 error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 599\n11.11.2 1720 error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 601\nChapter 12. Encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 603\n12.1 Planning for encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604\n12.2 Defining encryption of data at-rest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 604\n12.2.1 Encryption methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605\n12.2.2 Encrypted data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 605\n12.2.3 Encryption keys. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 607\n12.2.4 Encryption licenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 608\n12.3 Activating encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60 9\n12.3.1 Obtaining an encryption license . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 609\n12.3.2 Start activation process during initial system setup . . . . . . . . . . . . . . . . . . . . . 610\n12.3.3 Start activation process on a running system . . . . . . . . . . . . . . . . . . . . . . . . . . 613\n12.3.4 Activate the license automatically . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614\n12.3.5 Activate the license manually . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617\n12.4 Enabling encryption. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 9\n12.4.1 Starting the Enable Encryption wizard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620\n12.4.2 Enabling encryption using USB flash drives . . . . . . . . . . . . . . . . . . . . . . . . . . . 622\n12.4.3 Enabling encryption using key servers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627\n12.4.4 Enabling encryption using both providers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 642\n12.5 Configuring more providers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647\n12.5.1 Adding key servers as a second provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648\n12.5.2 Adding USB flash drives as a second provider. . . . . . . . . . . . . . . . . . . . . . . . . 651\n12.6 Migrating between providers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653\n12.6.1 Changing from USB flash drive provider to encryption key server . . . . . . . . . . 653\n12.6.2 Changing from encryption key server to USB flash drive provider . . . . . . . . . . 653\n12.6.3 Migrating between different key server types . . . . . . . . . . . . . . . . . . . . . . . . . . 654\n12.7 Recovering from a provider loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656\n12.8 Using encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 56\n12.8.1 Encrypted pools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657\n12.8.2 Encrypted child pools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658\n12.8.3 Encrypted arrays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659\n12.8.4 Encrypted MDisks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 660", - "page_start": 12, - "page_end": 12, - "source_file": "sg247938.pdf" - }, - { - "text": "Chapter 11. Exits 255\n* Register * 00230000\n* Convention: R1 points to the Parameter list * 00240000\n* R12 base register 00250000\n* * 00260000\n* Patch Label: PSPACE * 00270000\n* * 00280000\n* Input: Parameter list pointed to by Register 1 * 00290000\n* Parameter list contains addresses of: * 00300000\n* - message length * 00310000\n* - message text * 00320000\n* * 00330000\n* Output: None * 00340000\n* * 00350000\n* Return codes: * 00360000\n* * 00370000\n* NORMAL: R15 = return code from WTO * 00380000\n* * 00390000\n* Exits: Return to caller via BR 14 * 00400000\n* * 00410000\n* External References: * 00420000\n* * 00430000\n* Change Activity: See below * 00440000\n* * 00450000\n* Ver Rel Mod Date Description of Change * 00460000\n* ___________ ________ _______________________________________ * 00470000\n* 0? 0? 00 04/05/00 Release ?.? * 00480000\n* * 00490000\n******************** END OF MODULE SPECIFICATIONS ******************* 00500000\nARSLOG csect 00510000\nARSLOG rmode any 00520000\nARSLOG amode 31 00530000\n using *,r15 00540000\n b pastcopy 00550000\n dc C'ARSLOG &sysdate' 00560000\n dc C'5622-662 (C) COPYRIGHT IBM CORP. 2013' 00570000\n dc C'ALL RIGHTS RESERVED' 00580000\n dc C'LICENSED MATERIALS-PROPERTY OF IBM' 00590000\npastcopy ds 0h 00600000\n stm 14,12,12(r13) 00610001\n lr r12,r15 00620000\n lr r2,r1 00630000\n using plist,r2 00640000\n drop r15 00650000\n using ARSLOG,r12 00660000\n storage OBTAIN,length=workl,loc=ANY,cond=YES 00670000\n ltr r15,r15 00680000\n jnz bagit 00690000\n st r13,4(,r1) 00700000\n st r1,8(,r13) 00710000", - "page_start": 278, - "page_end": 278, - "source_file": "sg246915.pdf" - }, - { - "text": "7tsla-20240930https://www.sec.gov/Archives/edgar/data/1318605/00016282802404...\n10 sur 4910/01/2025, 14:33", - "page_start": 9, - "page_end": 9, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Chapter 11. Exits 277\nHEAPCHK=(OFF,1,0,0,0), +\nHEAPPOOLS=(OFF,8,10,32,10,128,10,156,10,1024,10,2048, +\n10,0,10,0,10,0,10,0,10,0,10,0,10), +\nINFOMSGFILTER=(OFF,,,,), +\nINQPCOPN=(ON), +\nINTERRUPT=(OFF), +\nLIBSTACK=(4K,4K,FREE), +\nMSGFILE=(SYSOUT,FBA,121,0,NOENQ), +\nMSGQ=(15), +\nNATLANG=(ENU), +\nNOAUTOTASK=, +\nNOTEST=(ALL,*,PROMPT,INSPPREF), +\nNOUSRHDLR=(’’), +\nOCSTATUS=(ON), +\nPC=(OFF), +\nPLITASKCOUNT=(20), +\nPOSIX=(OFF), +\nPROFILE=(OFF,’’), +\nPRTUNIT=(6), +\nPUNUNIT=(7), +\nRDRUNIT=(5), +\nRECPAD=(OFF), +\nRPTOPTS=(OFF), +\nRPTSTG=(OFF), +\nRTEREUS=(ON), + <====ATTENTION\nSIMVRD=(OFF), +\nSTACK=(128K,128K,ANYWHERE,KEEP,512K,128K), +\nSTORAGE=(NONE,NONE,NONE,OK), +\nTERMTHDACT=(TRACE,,96), +\nTHREADHEAP=(4K,4K,ANYWHERE,KEEP), +\nTHREADSTACK=(OFF,4K,4K,ANYWHERE,KEEP,128K,128K), +\nTRACE=(OFF,4KDUMP,LE=0), +\nTRAP=(ON,SPIE), +\nUPSI=(00000000), +\nVCTRSAVE=(OFF), +\nXPLINK=(OFF), +\nXUFLOW=(AUTO) +\nEND, \nActivating the exit\nTo activate the exit, you must add the executable file to a loadlib in the Steplib (ARSLOAD) \nprocedure. Y ou must also supply the ACIF control statement INPEXIT = ARSSPVIN to the \nindexing parameters. Y ou can perform this task when you add an application in the Indexer \nInformation window.", - "page_start": 300, - "page_end": 300, - "source_file": "sg246915.pdf" - }, - { - "text": "256 IBM Content Manager OnDemand Guide\n la r15,1(,r15) bump address 00830005\n j nulloop And try next 00840005\nnomore ds 0h 00850005\n lr r3,r1 Save length of message 00860005\n mvc msgtxt+2(3),=c'XXX' Set the prefix 00870007\n la r14,msgtxt+5 Start to place number 00880005\n l r15,msgnum Get start of message number 00890005\nnumloop ds 0h 00900005\n cli 0(r15),x'00' Null? 00910005\n je nomove 00920005\n mvc 0(0,r14),0(15) move it 00930005\n la r14,1(,r14) next destination 00940005\n la r15,1(,r15) next source 00950005\n j numloop go do next 00960005\nnomove ds 0h 00970005\n l r15,sev Get severity 00980005\n cli 0(r15),c'1' Is it Alert 00990005\n jne tryerror No skip 01000005\n mvi 0(r14),c'E' Set error severity 01010006\n j donesev 01020005\ntryerror ds 0h 01030005\n cli 0(r15),c'2' \"Error\" severity? 01040005\n jne trywarn No - skip 01050005\n mvi 0(r14),c'E' Set error 01060005\n j donesev 01070006\ntrywarn ds 0h 01080005\n cli 0(r15),c'3' Is it Warning 01090006\n jne setinfo 01100005\n mvi 0(r14),C'W' Set Warning 01110005\n j donesev 01120005\nsetinfo ds 0h 01130005\n mvi 0(r14),c'I' Indicate info 01140005\ndonesev ds 0h 01150005\n mvi 1(r14),c' ' Put in blank 01160005\n la r14,2(,r14) Skip 01170005\n 01180005\n c r3,=f'60' More than 60 chars 01190005\n jnh singlwto No - issue it 01200005\n lhi r3,60 Only first 60 chars 01210005\n 01220005\n* We only need to issue a single WTO 01230005\n 01240005\nsinglwto ds 0h 01250005\n la r4,msgtxt+2 Get start of text 01260005\n lr r15,r14 Get where we stopped 01270005\n sr r15,r4 Get how much we've done 01280005\n ar r15,r3 add length of text 01290005\n stcm r15,b'0011',msgtxt Set the length 01300005", - "page_start": 279, - "page_end": 279, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to start a company that automates kitchen tasks, does that sound like a good idea for 2025?", - "target_page": 1, - "target_passage": "Smart home automation Smart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "ISSUE\nDecember 2024\nCATEGORIES\nTechnology & Cybersecurity\nEditor's Picks\nFinance - Personal\nHome - Interior\n    \nThe top AI-powered tech trends in 2025\nwww.newscanada.com\nWord Count: 346\nMedia Attachments\nView\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\npersonalization.\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n– also known as the brain of the computer – which optimizes performance, enhances security and\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\nmeans faster, smarter and more secure computing tailored to your individual needs.\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\nsecurity and entertainment, making your home smarter and more responsive than ever before.\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\nhelping individuals make informed decisions about their well-being.\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\ntrends and make more informed financial decisions.\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\ntasks and providing insights into student performance, allowing for more focused and effective\nteaching.\nLearn more at intel.com/aipc.\n− \nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "Have your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\n The top AI-powered tech trends\nin 2025\nRelated Posts\nTerms of Use\nEDITOR'S PICKS\n+ \n+ \nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada\nInc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "processesing business. And, I get excited about \nthe opportunity to expand our transaction base with \nour mobile banking, bill payment and mobile operator\nsolutions.\nThe real value of our company is in our transaction \nprocessing. Because of the low incremental cost of \nconnecting to a new customer, anytime we sign a new\ncontract most of the incremental revenue will now be\nflowing to our bottom line. The infrastructure is in place\nto leverage additional growth and bring us closer to\nbeing EBITDA and cash flow positive in the near term.\nWhat role will strategic alliances play in extending \nyour reach into new markets?\nAlliances are an important part of our strategic direc-\ntion. Recently, we announced several partnerships that\nhelp us expand sales channels and distribution of our\nproducts and services. Our partners were looking for\nwireless transaction solutions to complement their own\nofferings, and they selected Euronet’s products, proving\nthat our solutions are rock solid.\nGemplus, the world’s number one provider of smart\ncard-based solutions, chose us as their global partner to\nprovide electronic recharge solutions to mobile opera-\ntors. W e also have agreements with Sila Communications\nto help us market our suite of mobile banking solutions\nthroughout Europe, the Middle East and Asia Pacific\nand with Aether Systems which is offering our mobile\nbanking solutions in the United States.\nWhy did you change your corporate name to Euronet \nWorldwide last year?\nW e became Euronet Worldwide to more\naccurately reflect the company’s grow-\ning presence in the global marketplace.\nW e are no longer focused solely on\nEurope, and today, deliver comprehen-\nsive solutions to more than 200 \ncustomers in over 60 countries. \nWhat was your biggest \nchallenge in 2000?\nI think it was restructuring our software business late in\nthe year. When Euronet purchased Arkansas Systems,\nInc. over two years ago, the division was expected to\n4\nachieve high growth. As banks began moving to out-\nsourcing rather than purchasing software to manage\ntheir transactions, we realized that this high growth\nwould not materialize. W e’ve basically downsized to\nreduce expenses to better correspond to revenue expec-\ntations, so we\nexpect this division\nto be an EBITDA\ncontributor from\nthis point forward.\nThe trend towards\noutsourcing nega-\ntively impacted our\nsoftware business,\nbut positively ben-\nefits our network\nservices division.\nIt’s important to\npoint out that our\nsoftware is an asset\nto our business of\nselling transactions. For example, our software \nsales doubled in the Asia Pacific region over 1999.\nRelationships with large financial institutions like\nW estpac Banking Corporation have cemented our \nposition in Asia Pacific as a leading supplier of \ntransaction processing solutions.\nWhy is ATM outsourcing important?\nIncreasingly, financial institutions are choosing to \noutsource their ATM operations to free up resources \nand concentrate on their core banking\nbusiness. Some analysts predict that\noutsourcing by the European banking\nand finance sector will total $91 bil-\nlion by 2003. W e are expanding our\noutsourcing business with wireless\nand Internet banking services.\nOur outsourcing business is thriving.\nCurrently we provide ATM outsourc-\ning for some of the biggest banks in\nthe world – banks like Citibank, ABN\nAMRO, Deutsche Bank, Millennium\nand Raiffeisenbank – as they expand into emerging\nmarkets. W e have contracts with Citibank in five coun-\ntries, most recently in Greece and the Czech Republic.\nUSA\n31%\nCentral Europe\n25%\nCentral & South\nAmerica\n16%\nAsia\n12%\nM. East \n& Africa\n9%\nW.\nEurope\n7%\nCustomers by Region", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "335. Russell & Norvig (2021), p. 24.\n336. Nilsson (1998), p. 7.\n337. McCorduck (2004), pp. 454–462.\n338. Moravec (1988).\n339. Brooks (1990).\n340. Developmental robotics: Weng et al. (2001), Lungarella et al. (2003), Asada et al. (2009),\nOudeyer (2010)\n341. Russell & Norvig (2021), p. 25.\n342. Crevier (1993, pp. 214–215), Russell & Norvig (2021, pp. 24, 26)\n343. Russell & Norvig (2021), p. 26.\n344. Formal and narrow methods adopted in the 1990s: Russell & Norvig (2021, pp. 24–26),\nMcCorduck (2004, pp. 486–487)\n345. AI widely used in the late 1990s: Kurzweil (2005, p. 265), NRC (1999, pp. 216–222),\nNewquist (1994, pp. 189–201)\n346. Wong (2023).\n347. Moore's Law and AI: Russell & Norvig (2021, pp. 14, 27)\n348. Clark (2015b).\n349. Big data: Russell & Norvig (2021, p. 26)\n350. Sagar, Ram (3 June 2020). \"OpenAI Releases GPT-3, The Largest Model So Far\" (https://a\nnalyticsindiamag.com/open-ai-gpt-3-language-model). Analytics India Magazine. Archived (h\nttps://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-la\nnguage-model) from the original on 4 August 2020. Retrieved 15 March 2023.\n351. Milmo, Dan (2 February 2023). \"ChatGPT reaches 100 million users two months after\nlaunch\" (https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-op\nen-ai-fastest-growing-app). The Guardian. ISSN 0261-3077 (https://search.worldcat.org/iss\nn/0261-3077). Retrieved 31 December 2024.\n352. Gorichanaz, Tim (29 November 2023). \"ChatGPT turns 1: AI chatbot's success says as\nmuch about humans as technology\" (https://theconversation.com/chatgpt-turns-1-ai-chatbot\ns-success-says-as-much-about-humans-as-technology-218704). The Conversation.\nRetrieved 31 December 2024.\n353. DiFeliciantonio (2023).\n354. Goswami (2023).\n355. \"Nearly 1 in 4 new startups is an AI company\" (https://pitchbook.com/news/articles/nearly-1-i\nn-4-new-startups-is-an-ai-company). PitchBook. 24 December 2024. Retrieved 3 January\n2025.\n356. Grayling, Anthony; Ball, Brian (1 August 2024). \"Philosophy is crucial in the age of AI\" (http\ns://theconversation.com/philosophy-is-crucial-in-the-age-of-ai-235907). The Conversation.\nArchived (https://web.archive.org/web/20241005170243/https://theconversation.com/philoso\nphy-is-crucial-in-the-age-of-ai-235907) from the original on 5 October 2024. Retrieved\n4 October 2024.\n357. Jarow, Oshan (15 June 2024). \"Will AI ever become conscious? It depends on how you\nthink about biology\" (https://www.vox.com/future-perfect/351893/consciousness-ai-machines\n-neuroscience-mind). Vox. Archived (https://web.archive.org/web/20240921035218/https://w\nww.vox.com/future-perfect/351893/consciousness-ai-machines-neuroscience-mind) from\nthe original on 21 September 2024. Retrieved 4 October 2024.\n358. McCarthy, John. \"The Philosophy of AI and the AI of Philosophy\" (https://web.archive.org/we\nb/20181023181725/http://jmc.stanford.edu/articles/aiphil2.html). jmc.stanford.edu. Archived\nfrom the original (http://jmc.stanford.edu/articles/aiphil2.html) on 23 October 2018. Retrieved\n3 October 2024.\n359. Turing (1950), p. 1.", - "page_start": 48, - "page_end": 48, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "on the Company’s ATM network. In addition, the Company continues to invest in the on-going development of products that were r e c e n t l y\ni n t roduced to the market. The Company’s r e s e a rch and development costs incurred for computer products to be sold, leased or other w i s e\nmarketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total\nf i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, r e s p e c t i v e l y, in conjunction with the Company’s\naccounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established.\nTechnological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and\ntesting activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s ,\nand technical perf o rmance re q u i rements. \nOperating Loss The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1\nmillion for the year ended December 31, 1999 as a result of the factors discussed above\nCorporate Services Segment \nOperating Expenses Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000\nf rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31,\n2000 and 1999 were: \n(in thousands) Years ending December 31,\n2 0 0 0 1 9 9 9\nSalaries and benefits $ 3 , 8 1 3 $ 3 , 3 3 5\nSelling, general and administrative 3 , 8 4 1 3 , 2 7 0\nD e p reciation and amort i z a t i o n 2 0 8 1 4 5\nTotal direct operating expenses $ 7 , 8 6 2 $ 6 , 7 5 0\nThe Company’s expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these\ni n c reased expenditures. \nNon-Operating Results for the Years Ended December 31, 2000 and 1999 \nInterest Income I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December\n31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash\nas a result of negative cash flow from operations and capital expenditure s .\nInterest Expense I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended\nDecember 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange\nrate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the\nC o m p a n y ’s Notes Payable for a full year in 1999 in comparison to 6 months’ accretion in 1998. \nForeign Exchange Gain/Loss The Company had a net foreign exchange loss of $3.2 million for the year ended December 31, 2000, as\nc o m p a red to $2.1 million for the year ended December 31, 1999, and $1.9 million for the year ended December 31, 1998. Exchange gains and\nlosses that result from re - m e a s u rement of certain Company assets and liabilities are re c o rded in determining net loss. A portion of the assets and\nliabilities of the Company are denominated in Euros, including capital lease obligations, notes payable (including the Notes issued in the\nC o m p a n y ’s public bond offering), cash and cash equivalents, investments, and forw a rd foreign exchange contracts. It is the Company’s policy to\nattempt to match local currency receivables and payables. The foreign currency denominated assets and liabilities give rise to foreign exchange\ngains and losses as a result of U.S. dollar to local currency exchange movements.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h\nttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), Global Catastrophic Risks, Oxford\nUniversity Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20\n08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc\ne.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved\n24 September 2021\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace\nAutomation\" (2015) 29(3) Journal of Economic Perspectives 3.\nBerlinski, David (2000). The Advent of the Algorithm (https://archive.org/details/adventofalgorith\n0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world\ncat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch\nive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved\n22 August 2020.\nBoyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585\n9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.\nCukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", Foreign Affairs, vol.\n98, no. 4 (July/August 2019), pp. 192–198. George Dyson, historian of computing, writes (in\nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable\nwill not be complicated enough to behave intelligently, while any system complicated\nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer\nscientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core,\ndead simple stupid. They work, but they work by brute force.\" (p. 198.)\nEvans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/\n10.5209%2Frev_TK.2015.v12.n2.49072). Teknokultura. 12 (2).\ndoi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49\n072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).\nFrank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the\n21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order). The Diplomat. Archived (https://web.archiv\ne.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024.\nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of\ndominance that the rest of the world views with a mixture of awe, envy, and resentment:\nartificial intelligence... From AI models and research to cloud computing and venture capital,\nU.S. companies, universities, and research labs – and their affiliates in allied countries –\nappear to have an enormous lead in both developing cutting-edge AI and commercializing it.\nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the\nworld combined.\"\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I.\nchatbots to get their facts right — without destroying itself in the process?\" New York Times\nMagazine (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia-\nai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime\ns.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback\nMachine\nFurther reading", - "page_start": 66, - "page_end": 66, - "source_file": "wikipedia3.pdf" - }, - { - "text": "operations throughout the world. These actions are key to\nreaching this goal of profitability. The optical fiber and cable\nbusiness remains challenging for the short term, but there is\nstill a great deal of long-term value to be realized in this\nbusiness. We believe our cost structure is coming in line with\nour current reduced revenue expectations.\nThe optical components market remains very weak and as\na result our photonic technologies business will need to take\nfurther action to reduce costs. In this challenging environment,\nwe have narrowed our product focus and continue to explore\nseveral strategic options.\nLastly, we are continuing to drive down costs in our adminis-\ntrative and staff functions by standardizing processes and\ncentralizing activities wherever possible. \nAnd as we reach that goal of profitability — as a smaller, more\nfocused, yet highly diverse and balanced company — we are\nconfident that you, our shareholders, will experience greater\nreturns on your investments.\nI NVESTING IN OUR FUTURE\nI continue to be extremely excited about the future opportunities\nemerging from our 152-year legacy of scientific innovations.\nWe are concentrating our efforts on high-impact, near-term\ngrowth initiatives with emphasis on our liquid-crystal display,\ndiesel filter, and chemical processing projects. \nAnd we are certainly not giving up on optical communica-\ntions. We have the biggest share of the optical fiber market,\nby far, and continue to be the low-cost producer for anyone\nneeding to move information from place to place. So while\nwe’ve scaled back on production of fiber and other optical\nproducts, we certainly believe that they will continue to be\nan important part of our product mix again in the future. The\noptical communications industry is still in its infancy and we\nwill capitalize on our leadership position to grow both our\nearnings and return on shareholder equity.\nY es, we have trimmed our investment in research to a level\nappropriate with our lowered revenues. But we’re committed\nto research today even more than we have been in the past. \nWe are applying more than 10 percent of our revenues toward\nresearch. Some may question this high level of commitment in\nthese times … but we simply will not back away from it. We\nhave more than 1,000 scientists and researchers in our\nlaboratories. They are at the heart of our innovation engine,\nand they’re going to stay that way!\nAnd in investing in our future, we are talking about more than\njust our scientific labs. We are continuing to invest in our\npeople — all 23,200 of them, in plants and offices throughout\nthe world — who are continuing to move us forward toward\nour goals. They have been through a lot during this downturn,\nand we have done our best to set a tone of open, honest\ncommunication, even when the news hasn’t been good. In the\nyear ahead, I’ve told our managers to place special emphasis\non our V alue of The Individual … knowing that, in the end,\nthe commitment and contribution of all our employees will\ndetermine our success.\nL OOKING AHEAD\nAs a company, we have been through an extraordinarily diffi-\ncult time. We continue to face some formidable challenges.\nBut we are facing them with some equally formidable strengths.\nCorning Incorporated is more than the sum of its parts—much\nmore than a commercial enterprise.\nWe are one company with a proud history of innovation\nspanning more than 150 years. That legacy has created a\ndiverse business portfolio and strong market leadership.\nWe have a time-tested set of V alues and we rely on them\nto guide our every action. We also hold dear the pride of\nassociation that all who touch our corporation feel.\nShareholders, customers and employees understand that your\ncorporation has, for more than 150 years, produced useful\nand industry-creating products that have changed the lives\nof mankind.\nIn our long history, we’ve always come together in the face\nof a tough challenge — and you can count on us to continue", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "During 2001, we also implemented a customer relationship management system. This system improves\nthe productivity of our sales force by helping to establish marketing priorities and track sales leads. It\nalso tracks renewal periods for potential commercial, industrial and franchise contracts. During 2005,\nwe will continue to ensure our sales force is properly trained on this system and is using it as intended.\n‚ Improve the productivity of our operations. We use a grid productivity program that enables us to\nbenchmark the performance of our drivers. In addition, in our larger markets, we use a route\noptimization program to minimize drive times and improve operational density. During 2005, we will\ncontinue to update our disposal optimization metrics. These metrics identify which local disposal\noption maximizes our return on invested capital and cash Öow.\n‚ Improve Öeet management and procurement. In February 2002, we selected Dossier as our Öeet\nmanagement and parts procurement system. During 2003, we implemented Dossier at all of our\nsigniÑcant hauling and landÑll operations. Among other features, this system tracks parts inventories,\ngenerates automatic quantity order points and logs all maintenance work. It allows us to capture and\nreview information to ensure our preventive maintenance programs comply with manufacturers'\nwarranties and governmental regulations. In addition, the purchase order module within this system\nallows us to cross-reference purchasing information with our inventory. During 2005, we intend to\nfurther utilize this purchase order module to take advantage of volume discounts.\n‚ Enhance operational and Ñnancial reporting systems. We have several initiatives aimed at improving\nour operational and Ñnancial reporting systems. The overall goal of these initiatives is to provide us with\ndetailed information, prepared in a consistent manner, that will allow us to quickly analyze and act\nupon trends in our business.\nOne of our most signiÑcant systems is our enterprise-wide general ledger package. We successfully\nconverted all of our locations to Lawson general ledger software in 2002 and in 2003 successfully\nconverted all of our locations to Lawson Ñxed asset software.\nAll of the system initiatives mentioned above will provide us with more consistent and detailed\ninformation, thus allowing us to make quicker and more informed business decisions. In addition,\nduring 2001, all of our signiÑcant software applications were standardized and centralized at our data\ncenter in Fort Lauderdale, Florida. This standardization and centralization provides us with consoli-\ndated information concerning our operations across a variety of operational and Ñnancial disciplines. It\nalso signiÑcantly enhances our ability to execute our disaster recovery plan, if necessary.\n‚ Expand our safety training programs. As part of our ongoing emphasis on safe work practices and in\nlight of increasing insurance costs, we expanded our safety training programs in 2002. During 2004, we\ndistributed to all of our locations a comprehensive training and safety manual. Safety will continue to\nbe a key area of focus during 2005.\n‚ Develop and implement performance strategies. Develop and implement strategies to improve the\nperformance of locations and lines of business that are performing below the company's average.\n26", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Table of ContentsWe are focused on growing our manufacturing capacity, which includes capacity for manufacturing newer vehiclemodels such as our Cybertruck, Tesla Semi and future vehicles utilizing aspects of our next generation platform, and rampingthe production at our Gigafactories to their installed production capacities as well as increasing production rate and efficiencyat our current factories. The next phase of production growth will depend on the continued ramp at our factories and be initiatedby advances in autonomy and the introduction of new products, including those built on our next generation vehicle platform,as well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we aredeveloping to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicleperformance, decrease production costs and increase affordability and customer awareness.These plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may beexacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, anyindustry-wide component constraints, labor shortages and any future impact from events outside of our control. For example,during the first quarter of 2024, we experienced a sequential decline in production volumes partially caused by the early phaseof the production ramp of the updated Model 3 at our Fremont factory, and factory shutdowns at Gigafactory Berlin-Brandenburg resulting from shipping diversions caused by the Red Sea conflict and an arson attack. Moreover, we have setambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvementsfor our vehicles with each new factory.Automotive—Demand, Sales, Deliveries and InfrastructureOur cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key toour vehicles’ affordability and have allowed us to competitively price our vehicles. We will also continue to generate demandby improving our vehicles’ performance and functionality, including through product offerings and features based on artificialintelligence such as Autopilot, FSD (Supervised), and other software, and delivering new vehicles and vehicle options. Inaddition, we have been increasing awareness, and expanding our vehicle financing programs, including attractive leasing termsfor our customers. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector andincreasing environmental regulations and initiatives.However, we operate in a cyclical industry that is sensitive to shifting consumer trends, political and regulatoryuncertainty, including with respect to trade and the environment, all of which can be compounded by inflationary pressures,rising energy prices, interest rate fluctuations and the liquidity of enterprise customers. For example, as inflationary pressuresincreased across the markets in which we operate, central banks in developed countries raised interest rates rapidly andsubstantially, which impacted the affordability of vehicle lease and finance arrangements. Further, sales of vehicles in theautomotive industry also tend to be cyclical in many markets, which may expose us to increased volatility as we expand andadjust our operations. Moreover, as additional competitors enter the marketplace and help bring the world closer to sustainabletransportation, we will have to adjust and continue to execute well to maintain our momentum. Additionally, our suppliers’liquidity and allocation plans may be affected by current challenges in the North American automotive industry, which couldreduce our access to components or result in unfavorable changes to cost. These macroeconomic and industry trends have had,and will likely continue to have, an impact on the pricing of, and order", - "page_start": 33, - "page_end": 33, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to help my parents who are in residential care, are there any trendy AI-related devices I could help them with? ", - "target_page": 1, - "target_passage": "Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "ISSUE\nDecember 2024\nCATEGORIES\nTechnology & Cybersecurity\nEditor's Picks\nFinance - Personal\nHome - Interior\n    \nThe top AI-powered tech trends in 2025\nwww.newscanada.com\nWord Count: 346\nMedia Attachments\nView\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\npersonalization.\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n– also known as the brain of the computer – which optimizes performance, enhances security and\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\nmeans faster, smarter and more secure computing tailored to your individual needs.\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\nsecurity and entertainment, making your home smarter and more responsive than ever before.\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\nhelping individuals make informed decisions about their well-being.\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\ntrends and make more informed financial decisions.\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\ntasks and providing insights into student performance, allowing for more focused and effective\nteaching.\nLearn more at intel.com/aipc.\n− \nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with\nRLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task\nin simple text.[122][123]\nCurrent models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and\nLLaMA.[124] Multimodal GPT models can process different types of data (modalities) such as images,\nvideos, sound, and text.[125]\nIn the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific\nenhancements and used with specialized TensorFlow software had replaced previously used central\nprocessing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine\nlearning models' training.[126] Specialized programming languages such as Prolog were used in early AI\nresearch,[127] but general-purpose programming languages like Python have become predominant.[128]\nThe transistor density in integrated circuits has been observed to roughly double every 18 months—a\ntrend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it.\nImprovements in GPUs have been even faster.[129]\nAI and machine learning technology is used in most of the essential applications of the 2020s, including:\nsearch engines (such as Google Search), targeting online advertisements, recommendation systems\n(offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense,\nFacebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and\nself-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial\nrecognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used\nby Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation\nofficer (CAO).\nThe application of AI in medicine and medical research has the potential to increase patient care and\nquality of life.[130] Through the lens of the Hippocratic Oath, medical professionals are ethically\ncompelled to use AI, if applications can more accurately diagnose and treat patients.[131][132]\nFor medical research, AI is an important tool for processing and integrating big data. This is particularly\nimportant for organoid and tissue engineering development which use microscopy imaging as a key\ntechnique in fabrication.[133] It has been suggested that AI can overcome discrepancies in funding\nallocated to different fields of research.[133] New AI tools can deepen the understanding of biomedically\nrelevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours\nrather than months, the 3D structure of a protein.[134] In 2023, it was reported that AI-guided drug\ndiscovery helped find a class of antibiotics capable of killing two different types of drug-resistant\nbacteria.[135] In 2024, researchers used machine learning to accelerate the search for Parkinson's disease\nHardware and software\nApplications\nHealth and medicine", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "138. Figueiredo, Mayara Costa; Ankrah, Elizabeth; Powell, Jacquelyn E.; Epstein, Daniel A.;\nChen, Yunan (12 January 2024). \"Powered by AI: Examining How AI Descriptions Influence\nPerceptions of Fertility Tracking Applications\" (https://dl.acm.org/doi/10.1145/3631414).\nProc. ACM Interact. Mob. Wearable Ubiquitous Technol. 7 (4): 154:1–154:24.\ndoi:10.1145/3631414 (https://doi.org/10.1145%2F3631414).", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and\nSearch\" (https://doi.org/10.1145%2F360018.360022). Communications of the ACM. 19 (3):\n113–126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022).\nNicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\"\n(https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1\n518020478). The Wall Street Journal. ISSN 0099-9660 (https://search.worldcat.org/issn/009\n9-9660). Archived (https://web.archive.org/web/20241005171230/https://www.wsj.com/articl\nes/how-youtube-drives-viewers-to-the-internets-darkest-corners-1518020478) from the\noriginal on 5 October 2024. Retrieved 16 June 2018.\nNilsson, Nils (1983). \"Artificial Intelligence Prepares for 2001\" (https://ai.stanford.edu/~nilsson/O\nnlinePubs-Nils/General%20Essays/AIMag04-04-002.pdf) (PDF). 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BBC News. Archived (https://web.archive.org/web/20150129183\n607/http://www.bbc.co.uk/news/31047780) from the original on 29 January 2015. Retrieved\n30 January 2015.\nReisner, Alex (19 August 2023), \"Revealed: The Authors Whose Pirated Books are Powering\nGenerative AI\" (https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-lla\nma-pirated-books/675063/), The Atlantic, archived (https://web.archive.org/web/2024100307\n1505/https://www.theatlantic.com/technology/archive/2023/08/books3-ai-meta-llama-pirated-", - "page_start": 61, - "page_end": 61, - "source_file": "wikipedia3.pdf" - }, - { - "text": "335. Russell & Norvig (2021), p. 24.\n336. Nilsson (1998), p. 7.\n337. McCorduck (2004), pp. 454–462.\n338. Moravec (1988).\n339. Brooks (1990).\n340. Developmental robotics: Weng et al. (2001), Lungarella et al. (2003), Asada et al. (2009),\nOudeyer (2010)\n341. Russell & Norvig (2021), p. 25.\n342. Crevier (1993, pp. 214–215), Russell & Norvig (2021, pp. 24, 26)\n343. Russell & Norvig (2021), p. 26.\n344. Formal and narrow methods adopted in the 1990s: Russell & Norvig (2021, pp. 24–26),\nMcCorduck (2004, pp. 486–487)\n345. AI widely used in the late 1990s: Kurzweil (2005, p. 265), NRC (1999, pp. 216–222),\nNewquist (1994, pp. 189–201)\n346. Wong (2023).\n347. Moore's Law and AI: Russell & Norvig (2021, pp. 14, 27)\n348. Clark (2015b).\n349. Big data: Russell & Norvig (2021, p. 26)\n350. Sagar, Ram (3 June 2020). \"OpenAI Releases GPT-3, The Largest Model So Far\" (https://a\nnalyticsindiamag.com/open-ai-gpt-3-language-model). Analytics India Magazine. Archived (h\nttps://web.archive.org/web/20200804173452/https://analyticsindiamag.com/open-ai-gpt-3-la\nnguage-model) from the original on 4 August 2020. Retrieved 15 March 2023.\n351. Milmo, Dan (2 February 2023). \"ChatGPT reaches 100 million users two months after\nlaunch\" (https://www.theguardian.com/technology/2023/feb/02/chatgpt-100-million-users-op\nen-ai-fastest-growing-app). The Guardian. 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(1965), The Shape of Automation for Men and Management, New York: Harper &\nRow\nSimonite, Tom (31 March 2016). \"How Google Plans to Solve Artificial Intelligence\" (https://www.\ntechnologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligence).\nMIT Technology Review. Archived (https://web.archive.org/web/20240916003430/https://ww\nw.technologyreview.com/2016/03/31/161234/how-google-plans-to-solve-artificial-intelligenc\ne/) from the original on 16 September 2024. Retrieved 5 October 2024.\nSmith, Craig S. (15 March 2023). \"ChatGPT-4 Creator Ilya Sutskever on AI Hallucinations and\nAI Democracy\" (https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sutsk\never-on-ai-hallucinations-and-ai-democracy). Forbes. Archived (https://web.archive.org/web/\n20240918141325/https://www.forbes.com/sites/craigsmith/2023/03/15/gpt-4-creator-ilya-sut\nskever-on-ai-hallucinations-and-ai-democracy/) from the original on 18 September 2024.\nRetrieved 25 December 2023.\nSmoliar, Stephen W.; Zhang, HongJiang (1994). \"Content based video indexing and retrieval\".\nIEEE MultiMedia. 1 (2): 62–72. doi:10.1109/93.311653 (https://doi.org/10.1109%2F93.3116\n53). S2CID 32710913 (https://api.semanticscholar.org/CorpusID:32710913).\nSolomonoff, Ray (1956). An Inductive Inference Machine (http://world.std.com/~rjs/indinf56.pdf)\n(PDF). Dartmouth Summer Research Conference on Artificial Intelligence. Archived (https://\nweb.archive.org/web/20110426161749/http://world.std.com/~rjs/indinf56.pdf) (PDF) from the\noriginal on 26 April 2011. Retrieved 22 March 2011 – via std.com, pdf scanned copy of the\noriginal. Later published as\nSolomonoff, Ray (1957). \"An Inductive Inference Machine\". IRE Convention Record.\nVol. Section on Information Theory, part 2. pp. 56–62.\nStanford University (2023). \"Artificial Intelligence Index Report 2023/Chapter 6: Policy and\nGovernance\" (https://aiindex.stanford.edu/wp-content/uploads/2023/04/HAI_AI-Index-Report\n-2023_CHAPTER_6-1.pdf) (PDF). AI Index. Archived (https://web.archive.org/web/2023061\n9013609/https://aiindex.stanford.edu/wp-content/uploads/2023/04/HAI_AI-Index-Report-202\n3_CHAPTER_6-1.pdf) (PDF) from the original on 19 June 2023. Retrieved 19 June 2023.\nTao, Jianhua; Tan, Tieniu (2005). Affective Computing and Intelligent Interaction. Affective\nComputing: A Review. Lecture Notes in Computer Science. Vol. 3784. Springer. pp. 981–\n995. doi:10.1007/11573548 (https://doi.org/10.1007%2F11573548). ISBN 978-3-5402-9621-\n8.\nTaylor, Josh; Hern, Alex (2 May 2023). \"'Godfather of AI' Geoffrey Hinton quits Google and\nwarns over dangers of misinformation\" (https://www.theguardian.com/technology/2023/may/\n02/geoffrey-hinton-godfather-of-ai-quits-google-warns-dangers-of-machine-learning). The\nGuardian. Archived (https://web.archive.org/web/20241005171343/https://www.theguardian.\ncom/technology/2023/may/02/geoffrey-hinton-godfather-of-ai-quits-google-warns-dangers-of\n-machine-learning) from the original on 5 October 2024. Retrieved 5 October 2024.\nThompson, Derek (23 January 2014). \"What Jobs Will the Robots Take?\" (https://www.theatlanti\nc.com/business/archive/2014/01/what-jobs-will-the-robots-take/283239). The Atlantic.\nArchived (https://web.archive.org/web/20180424202435/https://www.theatlantic.com/busine\nss/archive/2014/01/what-jobs-will-the-robots-take/283239) from the original on 24 April\n2018. Retrieved 24 April 2018.\nThro, Ellen (1993). Robotics: The Marriage of Computers and Machines (https://archive.org/det\nails/isbn_9780816026289). New York: Facts on File. ISBN 978-0-8160-2628-9. Archived (htt\nps://web.archive.org/web/20200726131505/https://archive.org/details/isbn_9780816026289)\nfrom the original on 26 July 2020. Retrieved 22 August 2020.\nToews, Rob (3 September 2023). \"Transformers Revolutionized AI. What Will Replace Them?\"\n(https://www.forbes.com/sites/robtoews/2023/09/03/transformers-revolutionized-ai-what-will-", - "page_start": 63, - "page_end": 63, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Artificial intelligence\nArtificial intelligence (AI), in its broadest sense, is intelligence exhibited by machines, particularly\ncomputer systems. It is a field of research in computer science that develops and studies methods and\nsoftware that enable machines to perceive their environment and use learning and intelligence to take\nactions that maximize their chances of achieving defined goals.[1] Such machines may be called AIs.\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search);\nrecommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google\nAssistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g.,\nChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However,\nmany AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general\napplications, often without being called AI because once something becomes useful enough and common\nenough it's not labeled AI anymore.\"[2][3]\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The\ntraditional goals of AI research include reasoning, knowledge representation, planning, learning, natural\nlanguage processing, perception, and support for robotics.[a] General intelligence—the ability to complete\nany task performed by a human on an at least equal level—is among the field's long-term goals.[4] To\nreach these goals, AI researchers have adapted and integrated a wide range of techniques, including\nsearch and mathematical optimization, formal logic, artificial neural networks, and methods based on\nstatistics, operations research, and economics.[b] AI also draws upon psychology, linguistics, philosophy,\nneuroscience, and other fields.[5]\nArtificial intelligence was founded as an academic discipline in 1956,[6] and the field went through\nmultiple cycles of optimism throughout its history,[7][8] followed by periods of disappointment and loss of\nfunding, known as AI winters.[9][10] Funding and interest vastly increased after 2012 when deep learning\noutperformed previous AI techniques.[11] This growth accelerated further after 2017 with the transformer\narchitecture,[12] and by the early 2020s many billions of dollars were being invested in AI and the field\nexperienced rapid ongoing progress in what has become known as the AI boom. The emergence of\nadvanced generative AI in the midst of the AI boom and its ability to create and modify content exposed\nseveral unintended consequences and harms in the present and raised concerns about the risks of AI and\nits long-term effects in the future, prompting discussions about regulatory policies to ensure the safety\nand benefits of the technology.\nGoals", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia3.pdf" - }, - { - "text": "131. Lyakhova, U.A.; Lyakhov, P.A. (2024). \"Systematic review of approaches to detection and\nclassification of skin cancer using artificial intelligence: Development and prospects\" (https://\nlinkinghub.elsevier.com/retrieve/pii/S0010482524008278). Computers in Biology and\nMedicine. 178: 108742. doi:10.1016/j.compbiomed.2024.108742 (https://doi.org/10.1016%2\nFj.compbiomed.2024.108742). PMID 38875908 (https://pubmed.ncbi.nlm.nih.gov/3887590\n8).\n132. Alqudaihi, Kawther S.; Aslam, Nida; Khan, Irfan Ullah; Almuhaideb, Abdullah M.; Alsunaidi,\nShikah J.; Ibrahim, Nehad M. Abdel Rahman; Alhaidari, Fahd A.; Shaikh, Fatema S.;\nAlsenbel, Yasmine M.; Alalharith, Dima M.; Alharthi, Hajar M.; Alghamdi, Wejdan M.;\nAlshahrani, Mohammed S. (2021). \"Cough Sound Detection and Diagnosis Using Artificial\nIntelligence Techniques: Challenges and Opportunities\" (https://www.ncbi.nlm.nih.gov/pmc/a\nrticles/PMC8545201). IEEE Access. 9: 102327–102344. Bibcode:2021IEEEA...9j2327A (htt\nps://ui.adsabs.harvard.edu/abs/2021IEEEA...9j2327A). doi:10.1109/ACCESS.2021.3097559\n(https://doi.org/10.1109%2FACCESS.2021.3097559). ISSN 2169-3536 (https://search.world\ncat.org/issn/2169-3536). PMC 8545201 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC854\n5201). PMID 34786317 (https://pubmed.ncbi.nlm.nih.gov/34786317).\n133. Bax, Monique; Thorpe, Jordan; Romanov, Valentin (December 2023). \"The future of\npersonalized cardiovascular medicine demands 3D and 4D printing, stem cells, and artificial\nintelligence\" (https://doi.org/10.3389%2Ffsens.2023.1294721). Frontiers in Sensors. 4.\ndoi:10.3389/fsens.2023.1294721 (https://doi.org/10.3389%2Ffsens.2023.1294721).\nISSN 2673-5067 (https://search.worldcat.org/issn/2673-5067).\n134. Jumper, J; Evans, R; Pritzel, A (2021). \"Highly accurate protein structure prediction with\nAlphaFold\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605). Nature. 596 (7873):\n583–589. Bibcode:2021Natur.596..583J (https://ui.adsabs.harvard.edu/abs/2021Natur.596..\n583J). doi:10.1038/s41586-021-03819-2 (https://doi.org/10.1038%2Fs41586-021-03819-2).\nPMC 8371605 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8371605). PMID 34265844\n(https://pubmed.ncbi.nlm.nih.gov/34265844).\n135. \"AI discovers new class of antibiotics to kill drug-resistant bacteria\" (https://www.newscientis\nt.com/article/2409706-ai-discovers-new-class-of-antibiotics-to-kill-drug-resistant-bacteria/).\n20 December 2023. Archived (https://web.archive.org/web/20240916014421/https://www.ne\nwscientist.com/article/2409706-ai-discovers-new-class-of-antibiotics-to-kill-drug-resistant-ba\ncteria/) from the original on 16 September 2024. Retrieved 5 October 2024.\n136. \"AI speeds up drug design for Parkinson's ten-fold\" (https://www.cam.ac.uk/research/news/a\ni-speeds-up-drug-design-for-parkinsons-ten-fold). Cambridge University. 17 April 2024.\nArchived (https://web.archive.org/web/20241005165755/https://www.cam.ac.uk/research/ne\nws/ai-speeds-up-drug-design-for-parkinsons-ten-fold) from the original on 5 October 2024.\nRetrieved 5 October 2024.\n137. Horne, Robert I.; Andrzejewska, Ewa A.; Alam, Parvez; Brotzakis, Z. Faidon; Srivastava,\nAnkit; Aubert, Alice; Nowinska, Magdalena; Gregory, Rebecca C.; Staats, Roxine; Possenti,\nAndrea; Chia, Sean; Sormanni, Pietro; Ghetti, Bernardino; Caughey, Byron; Knowles,\nTuomas P. J.; Vendruscolo, Michele (17 April 2024). \"Discovery of potent inhibitors of α-\nsynuclein aggregation using structure-based iterative learning\" (https://www.ncbi.nlm.nih.go\nv/pmc/articles/PMC11062903). Nature Chemical Biology. 20 (5). Nature: 634–645.\ndoi:10.1038/s41589-024-01580-x (https://doi.org/10.1038%2Fs41589-024-01580-x).\nPMC 11062903 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC11062903).\nPMID 38632492 (https://pubmed.ncbi.nlm.nih.gov/38632492).\n138. Figueiredo, Mayara Costa; Ankrah, Elizabeth; Powell, Jacquelyn E.; Epstein, Daniel A.;\nChen, Yunan (12 January 2024). \"Powered by AI: Examining How AI Descriptions Influence", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia3.pdf" - }, - { - "text": "During the 2024 Indian elections, US$50 millions was spent on authorized AI-generated content, notably\nby creating deepfakes of allied (including sometimes deceased) politicians to better engage with voters,\nand by translating speeches to various local languages.[182]\nAI has potential benefits and potential risks.[183] AI may be able to advance science and find solutions for\nserious problems: Demis Hassabis of DeepMind hopes to \"solve intelligence, and then use that to solve\neverything else\".[184] However, as the use of AI has become widespread, several unintended\nconsequences and risks have been identified.[185] In-production systems can sometimes not factor ethics\nand bias into their AI training processes, especially when the AI algorithms are inherently unexplainable\nin deep learning.[186]\nMachine learning algorithms require large amounts of data. The techniques used to acquire this data have\nraised concerns about privacy, surveillance and copyright.\nAI-powered devices and services, such as virtual assistants and IoT products, continuously collect\npersonal information, raising concerns about intrusive data gathering and unauthorized access by third\nparties. The loss of privacy is further exacerbated by AI's ability to process and combine vast amounts of\ndata, potentially leading to a surveillance society where individual activities are constantly monitored and\nanalyzed without adequate safeguards or transparency.\nSensitive user data collected may include online activity records, geolocation data, video or audio.[187]\nFor example, in order to build speech recognition algorithms, Amazon has recorded millions of private\nconversations and allowed temporary workers to listen to and transcribe some of them.[188] Opinions\nabout this widespread surveillance range from those who see it as a necessary evil to those for whom it is\nclearly unethical and a violation of the right to privacy.[189]\nAI developers argue that this is the only way to deliver valuable applications. and have developed several\ntechniques that attempt to preserve privacy while still obtaining the data, such as data aggregation, de-\nidentification and differential privacy.[190] Since 2016, some privacy experts, such as Cynthia Dwork,\nhave begun to view privacy in terms of fairness. Brian Christian wrote that experts have pivoted \"from\nthe question of 'what they know' to the question of 'what they're doing with it'.\"[191]\nGenerative AI is often trained on unlicensed copyrighted works, including in domains such as images or\ncomputer code; the output is then used under the rationale of \"fair use\". Experts disagree about how well\nand under what circumstances this rationale will hold up in courts of law; relevant factors may include\n\"the purpose and character of the use of the copyrighted work\" and \"the effect upon the potential market\nfor the copyrighted work\".[192][193] Website owners who do not wish to have their content scraped can\nindicate it in a \"robots.txt\" file.[194] In 2023, leading authors (including John Grisham and Jonathan\nEthics\nRisks and harm\nPrivacy and copyright", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "Is the topic of finance trending among AI topics for 2015 in Canada?", - "target_page": 1, - "target_passage": "Financial services", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "ISSUE\nDecember 2024\nCATEGORIES\nTechnology & Cybersecurity\nEditor's Picks\nFinance - Personal\nHome - Interior\n    \nThe top AI-powered tech trends in 2025\nwww.newscanada.com\nWord Count: 346\nMedia Attachments\nView\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From\nenhancing our daily routines to transforming entire industries, AI’s impact is undeniable.\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and\npersonalization.\nAI-powered computing \nAI-powered computing, such as Intel-powered laptops – or AI PC – is at the forefront of technological\nadvancement. But what, exactly, is an AI PC? They’re computers that have AI built into their processors\n– also known as the brain of the computer – which optimizes performance, enhances security and\nprovides a more personalized experience as they learn from your usage patterns. For consumers, this\nmeans faster, smarter and more secure computing tailored to your individual needs.\nSmart home automation \nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a\nhome that not only follows your commands, but also anticipates your needs. Enhanced smart home\nsystems can learn your daily routines and adjust settings accordingly, from lighting and temperature to\nsecurity and entertainment, making your home smarter and more responsive than ever before.\nHealth and wellness \nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications\ncan monitor vital signs, predict potential health issues, and even provide personalized fitness and\nnutrition plans. Wearable devices equipped with this technology can offer real-time health insights,\nhelping individuals make informed decisions about their well-being.\nFinancial services \nAI is also making waves in the financial sector, offering smarter and more secure ways to manage\nmoney. From AI-driven investment platforms that provide personalized financial advice to fraud\ndetection systems that protect against cyber threats, AI can analyze vast amounts of data to identify\ntrends and make more informed financial decisions.\nEnhanced education \nIn education, enhanced learning tools provide personalized learning experiences that adapt to each\nstudent’s strengths and weaknesses. This technology can offer real-time feedback, helping students\nimprove their skills more effectively. Additionally, AI can assist educators by automating administrative\ntasks and providing insights into student performance, allowing for more focused and effective\nteaching.\nLearn more at intel.com/aipc.\n− \nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "Have your say! Complete our\n2025 Media Survey\nRetrain your way to a new job\n The top AI-powered tech trends\nin 2025\nRelated Posts\nTerms of Use\nEDITOR'S PICKS\n+ \n+ \nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada\nInc. All rights reserved.\nMENU\n SEARCH\n ARTICLES\n RADIO VIDEO\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "160. Alex McFarland: 7 Best AI for Math Tools. (https://www.unite.ai/best-ai-for-math-tools/)\nArchived (https://web.archive.org/web/20240911125615/https://www.unite.ai/best-ai-for-mat\nh-tools/) 11 September 2024 at the Wayback Machine unite.ai. Retrieved 2024-08-07\n161. Matthew Finio & Amanda Downie: IBM Think 2024 Primer, \"What is Artificial Intelligence (AI)\nin Finance?\" 8 Dec. 2023\n162. M. Nicolas, J. Firzli: Pensions Age/European Pensions magazine, \"Artificial Intelligence: Ask\nthe Industry\" May June 2024 https://videovoice.org/ai-in-finance-innovation-\nentrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence-act-wont-work-as-\nintended/ Archived (https://web.archive.org/web/20240911125502/https://videovoice.org/ai-i\nn-finance-innovation-entrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence-\nact-wont-work-as-intended/) 11 September 2024 at the Wayback Machine.\n163. Congressional Research Service (2019). Artificial Intelligence and National Security (https://f\nas.org/sgp/crs/natsec/R45178.pdf) (PDF). Washington, DC: Congressional Research\nService.PD-notice\n164. Slyusar, Vadym (2019). Artificial intelligence as the basis of future control networks\n(Preprint). doi:10.13140/RG.2.2.30247.50087 (https://doi.org/10.13140%2FRG.2.2.30247.5\n0087).\n165. Iraqi, Amjad (3 April 2024). \"'Lavender': The AI machine directing Israel's bombing spree in\nGaza\" (https://www.972mag.com/lavender-ai-israeli-army-gaza/). +972 Magazine. Retrieved\n6 April 2024.\n166. Davies, Harry; McKernan, Bethan; Sabbagh, Dan (1 December 2023). \"'The Gospel': how\nIsrael uses AI to select bombing targets in Gaza\" (https://www.theguardian.com/world/2023/\ndec/01/the-gospel-how-israel-uses-ai-to-select-bombing-targets). The Guardian. Retrieved\n4 December 2023.\n167. Marti, J Werner (10 August 2024). \"Drohnen haben den Krieg in der Ukraine revolutioniert,\ndoch sie sind empfindlich auf Störsender – deshalb sollen sie jetzt autonom operieren\" (http\ns://www.nzz.ch/international/die-ukraine-setzt-auf-drohnen-die-autonom-navigieren-und-toet\nen-koennen-ld.1838731). Neue Zürcher Zeitung (in German). Retrieved 10 August 2024.\n168. Newsom, Gavin; Weber, Shirley N. (6 September 2023). \"Executive Order N-12-23\" (https://\nwww.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-_-GGN-Signed.pdf) (PDF).\nExecutive Department, State of California. Archived (https://web.archive.org/web/202402212\n22035/https://www.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-_-GGN-Signed.pd\nf) (PDF) from the original on 21 February 2024. Retrieved 7 September 2023.\n169. Pinaya, Walter H. L.; Graham, Mark S.; Kerfoot, Eric; Tudosiu, Petru-Daniel; Dafflon,\nJessica; Fernandez, Virginia; Sanchez, Pedro; Wolleb, Julia; da Costa, Pedro F.; Patel,\nAshay (2023). \"Generative AI for Medical Imaging: extending the MONAI Framework\".\narXiv:2307.15208 (https://arxiv.org/abs/2307.15208) [eess.IV (https://arxiv.org/archive/eess.I\nV)].\n170. Griffith, Erin; Metz, Cade (27 January 2023). \"Anthropic Said to Be Closing In on $300\nMillion in New A.I. Funding\" (https://www.nytimes.com/2023/01/27/technology/anthropic-ai-fu\nnding.html). The New York Times. Archived (https://web.archive.org/web/20231209074235/h\nttps://www.nytimes.com/2023/01/27/technology/anthropic-ai-funding.html) from the original\non 9 December 2023. Retrieved 14 March 2023.\n171. Lanxon, Nate; Bass, Dina; Davalos, Jackie (10 March 2023). \"A Cheat Sheet to AI\nBuzzwords and Their Meanings\" (https://news.bloomberglaw.com/tech-and-telecom-law/a-c\nheat-sheet-to-ai-buzzwords-and-their-meanings-quicktake). Bloomberg News. Archived (http\ns://web.archive.org/web/20231117140835/https://news.bloomberglaw.com/tech-and-telecom\n-law/a-cheat-sheet-to-ai-buzzwords-and-their-meanings-quicktake) from the original on 17\nNovember 2023. Retrieved 14 March 2023.", - "page_start": 38, - "page_end": 38, - "source_file": "wikipedia3.pdf" - }, - { - "text": "MANAGEMENT’S DISCUSSION AND ANALYSIS\nINDUSTRY TRENDS\nThe telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\nCHANGING TECHNOLOGIES AND CONSUMER DEMANDS\nConsumer demand for mobile devices, digital media and on-demand\ncontent across platforms is pushing providers to build networks that can\nprovide more data faster, cheaper and more easily. Increased adoption\nof smartphones and double digit growth in our data revenue continued\nthis year, reflecting expanded use of applications, mobile video,\nmessaging and other wireless data.\nCOMPETITION\nCompetition in wireless from national and regional operators as well as\nsmaller new entrants changes how we compete for wireless services.\nThis puts downward pressure on pricing affecting profit margins and\nimpacts customer churn.\nTraditional wireline telephone and television services are now offered\nover the Internet, opening the door to more non-traditional\ncompetitors, and changing how traditional providers compete. This is\nchanging the mix of packages and pricing that service providers offer,\naffecting profit margins and customer churn.\nIn the media industry, there continues to be a shift towards on-line\nmedia consumption by consumers which in turn drives advertisers to\nspend more on-line versus traditional media. In addition, there are more\nmedia competitors as additional on-line media companies enter the\nmarket, including large global companies.\nREGULATION\nMost areas of our business are highly regulated, which affects who we\ncompete with, the programming we can offer, where and how we use\nour networks, how we build our businesses and the spectrum we\npurchase. The telecommunications industry is being affected by more\nregulation and more reviews of the current regulations.\nECONOMIC CONDITIONS\nOur businesses are affected by general economic conditions and\nconsumer confidence and spending, especially in our Media segment,\nwhere advertising revenue is directly affected by the economy.\nWIRELESS TRENDS\nMore sophisticated wireless\nnetworks, devices and\napplications are making it easier\nand faster to receive data, driving\ngrowth in wireless data services.\nWireless providers are investing in\nthe next generation of broadband\nwireless data networks, such as\nLTE, to support the growing data\ndemand.\nWireless market penetration in\nCanada is approximately 80% of\nthe population, and is expected to\ngrow at an estimated 2%\nannually.\nThe new CRTC code of conduct\nhas limited wireless term contracts\nto two years from three years.\nAlthough the code of conduct has\nonly been in place for a month,\nwe believe this is currently\nreducing churn and slowing\ngrowth in the wireless\nmarketplace.\nCABLE TRENDS\nYounger generations are\nincreasingly using the Internet and\nsocial media as a substitute for\ntraditional wireline telephone\nservices, and televised content is\nincreasingly available online, both\non wireline and on wireless\ndevices.\nWe face new competition from\ncompanies like Skype and\nVonage, who market Voice over\nInternet Protocol (VoIP) telephony\nservices, and Netflix and Apple TV,\nwho provide televised content\nover the Internet.\nNorth American cable companies\nare improving their cable\nnetworks and expanding their\nservice offerings to include\nInternet, digital cable and VoIP\ntelephony services, while\ncompetition from telco IPTV\ndeployments and non-facilities\nbased service providers continues\nto cause pricing pressures which\nnegatively impacts revenue\ngrowth.\nBUSINESS SOLUTIONS TRENDS\nCompanies are using fibre-based\naccess and cloud computing to\ncapture and share information in\nmore volume and detail. This,\ncombined with the rise of\nmultimedia and Internet-based\napplications, is driving exponential\ngrowth in data demand.\nLarge enterprises and all levels of\ngovernment are dramatically\ntransforming data centre\ninfrastructure and moving toward\nvirtual data storage and hosting.\nThis is driving demand for more\nadvanced network functionality,", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent\nmental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt\nthat this approach would be able to imitate all the processes of human cognition, especially perception,\nrobotics, learning and pattern recognition,[335] and began to look into \"sub-symbolic\" approaches.[336]\nRodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that\nmove and survive.[x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete\nand uncertain information by making reasonable guesses rather than precise logic.[86][341] But the most\nimportant development was the revival of \"connectionism\", including neural network research, by\nGeoffrey Hinton and others.[342] In 1990, Yann LeCun successfully showed that convolutional neural\nnetworks can recognize handwritten digits, the first of many successful applications of neural\nnetworks.[343]\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal\nmathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\"\nfocus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics,\neconomics and mathematics).[344] By 2000, solutions developed by AI researchers were being widely\nused, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as\nthe AI effect).[345] However, several academic researchers became concerned that AI was no longer\npursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they\nfounded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded\ninstitutions by the 2010s.[4]\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field.[11]\nFor many specific tasks, other methods were abandoned.[y] Deep learning's success was based on both\nhardware improvements (faster computers,[347] graphics processing units, cloud computing[348]) and\naccess to large amounts of data[349] (including curated datasets,[348] such as ImageNet). Deep learning's\nsuccess led to an enormous increase in interest and funding in AI.[z] The amount of machine learning\nresearch (measured by total publications) increased by 50% in the years 2015–2019.[306]\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine\nlearning conferences, publications vastly increased, funding became available, and many researchers re-\nfocussed their careers on these issues. The alignment problem became a serious field of academic\nstudy.[283]\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous\ninterest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program\ntaught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was\nreleased in 2020 by OpenAI and is capable of generating high-quality human-like text.[350] ChatGPT,\nlaunched on November 30, 2022, became the fastest-growing consumer software application in history,\ngaining over 100 million users in two months.[351] It marked what is widely regarded as AI's breakout\nyear, bringing it into the public consciousness.[352] These programs, and others, inspired an aggressive AI\nboom, where large companies began investing billions of dollars in AI research. According to AI Impacts,\nabout $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia3.pdf" - }, - { - "text": "200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2\n6/big-tech-and-the-pursuit-of-ai-dominance). The Economist. 26 March 2023. Archived (http\ns://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/\nbig-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww\nw.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). CNN Business. Archived\n(https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloud-\ncompetition-and-ai/index.html) from the original on 13 January 2024.\n202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w\nww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). The\nNew York Times. Archived (https://web.archive.org/web/20240708214644/https://www.nytim\nes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original\non 8 July 2024. Retrieved 5 October 2024.\n203. \"Electricity 2024 – Analysis\" (https://www.iea.org/reports/electricity-2024). IEA. 24 January\n2024. Retrieved 13 July 2024.\n204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's\nonly the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener\ngy-experts-expect-it-to-double-in-just-a-few-years). Vox. New York, New York. Archived (http\ns://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172\n1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original\non 3 July 2024. Retrieved 5 October 2024.\n205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech\nfirms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2\n1/artificial-intelligence-nuclear-fusion-climate/?utm_campaign=wp_post_most&utm_medium\n=email&utm_source=newsletter&wpisrc=nl_most&carta-url=https%3A%2F%2Fs2.washingto\nnpost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f\n20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). Washington Post.\n206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web.\narchive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res\nearch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf)\n(PDF). Goldman Sachs. Archived from the original (https://www.goldmansachs.com/intellige\nnce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg\ne/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http\ns://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). Wall Street\nJournal. Dow Jones.\n208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https://\nwww.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7\n5316?mod=djem10point). Wall Street Journal. Dow Jones. Archived (https://web.archive.or\ng/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc\nk-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October\n2024. Retrieved 5 October 2024.\n209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to\nFeed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s\nays-nuclear-power-an-option-to-feed-data-centers). Bloomberg.\n210. Halper, Evan (20 September 2024). \"Microsoft deal would reopen Three Mile Island nuclear\nplant to power AI\" (https://www.washingtonpost.com/business/2024/09/20/microsoft-three-mi\nle-island-nuclear-constellation). Washington Post.", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "265. Cellan-Jones (2014).\n266. Russell & Norvig 2021, p. 1001.\n267. Bostrom (2014).\n268. Russell (2019).\n269. Bostrom (2014); Müller & Bostrom (2014); Bostrom (2015).\n270. Harari (2023).\n271. Müller & Bostrom (2014).\n272. Leaders' concerns about the existential risks of AI around 2015: Rawlinson (2015), Holley\n(2015), Gibbs (2014), Sainato (2015)\n273. \"\"Godfather of artificial intelligence\" talks impact and potential of new AI\" (https://www.cbsne\nws.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai). CBS\nNews. 25 March 2023. Archived (https://web.archive.org/web/20230328225221/https://www.\ncbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai)\nfrom the original on 28 March 2023. Retrieved 28 March 2023.\n274. Pittis, Don (4 May 2023). \"Canadian artificial intelligence leader Geoffrey Hinton piles on\nfears of computer takeover\" (https://www.cbc.ca/news/business/ai-doom-column-don-pittis-\n1.6829302). CBC. Archived (https://web.archive.org/web/20240707032135/https://www.cbc.\nca/news/business/ai-doom-column-don-pittis-1.6829302) from the original on 7 July 2024.\nRetrieved 5 October 2024.\n275. \"'50–50 chance' that AI outsmarts humanity, Geoffrey Hinton says\" (https://www.bnnbloomb\nerg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394).\nBloomberg BNN. 14 June 2024. Retrieved 6 July 2024.\n276. Valance (2023).\n277. Taylor, Josh (7 May 2023). \"Rise of artificial intelligence is inevitable but should not be\nfeared, 'father of AI' says\" (https://www.theguardian.com/technology/2023/may/07/rise-of-arti\nficial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says). The Guardian.\nArchived (https://web.archive.org/web/20231023061228/https://www.theguardian.com/techn\nology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-father-\nof-ai-says) from the original on 23 October 2023. Retrieved 26 May 2023.\n278. Colton, Emma (7 May 2023). \"'Father of AI' says tech fears misplaced: 'You cannot stop it'\"\n(https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-can\nnot-stop). Fox News. Archived (https://web.archive.org/web/20230526162642/https://www.fo\nxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop) from\nthe original on 26 May 2023. Retrieved 26 May 2023.\n279. Jones, Hessie (23 May 2023). \"Juergen Schmidhuber, Renowned 'Father Of Modern AI,'\nSays His Life's Work Won't Lead To Dystopia\" (https://www.forbes.com/sites/hessiejones/20\n23/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-lead-\nto-dystopia). Forbes. Archived (https://web.archive.org/web/20230526163102/https://www.fo\nrbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai\n-says-his-lifes-work-wont-lead-to-dystopia/) from the original on 26 May 2023. Retrieved\n26 May 2023.\n280. McMorrow, Ryan (19 December 2023). \"Andrew Ng: 'Do we think the world is better off with\nmore or less intelligence?'\" (https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f93\n52be3). Financial Times. Archived (https://web.archive.org/web/20240125014121/https://ww\nw.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3) from the original on 25 January\n2024. Retrieved 30 December 2023.\n281. Levy, Steven (22 December 2023). \"How Not to Be Stupid About AI, With Yann LeCun\" (http\ns://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview). Wired. Archived (h\nttps://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligenc\ne-meta-yann-lecun-interview/) from the original on 28 December 2023. Retrieved\n30 December 2023.", - "page_start": 44, - "page_end": 44, - "source_file": "wikipedia3.pdf" - }, - { - "text": "1. Russell & Norvig (2021), pp. 1–4.\n2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr\nom/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC\nH/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the\nland? On the interpretations, illustrations, and implications of artificial intelligence\". Business\nHorizons. 62: 15–25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor.\n2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813).\nS2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n4. Artificial general intelligence: Russell & Norvig (2021, pp. 32–33, 1020–1021)\nProposal for the modern version: Pennachin & Goertzel (2007)\nWarnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy\n(2007), Beal & Winston (2009)\n5. Russell & Norvig (2021, §1.2).\n6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111–136), NRC\n(1999, pp. 200–201)\nThe proposal: McCarthy et al. (1955)\n7. Successful programs of the 1960s: McCorduck (2004, pp. 243–252), Crevier (1993, pp. 52–\n107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19–21)\n8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK),\nMicroelectronics and Computer Technology Corporation (US), Strategic Computing Initiative\n(US): McCorduck (2004, pp. 426–441), Crevier (1993, pp. 161–162, 197–203, 211, 240),\nRussell & Norvig (2021, p. 23), NRC (1999, pp. 210–211), Newquist (1994, pp. 235–248)\n9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115–117), Russell\n& Norvig (2021, pp. 21–22), NRC (1999, pp. 212–213), Howe (1994), Newquist (1994,\npp. 189–201)\n10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430–435), Crevier\n(1993, pp. 209–210), NRC (1999, pp. 214–216), Newquist (1994, pp. 301–318)\n11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26),\nMcKinsey (2018)\n12. Toews (2023).\n13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021,\nchpt. 3–5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth &\nGoebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998,\nchpt. 7–12)\n14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12–18), Poole, Mackworth & Goebel\n(1998, pp. 345–395), Luger & Stubblefield (2004, pp. 333–381), Nilsson (1998, chpt. 7–12)\n15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge:\nKahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic\n& Tversky (1982)\n17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10),\nPoole, Mackworth & Goebel (1998, pp. 23–46, 69–81, 169–233, 235–277, 281–298, 319–\n345), Luger & Stubblefield (2004, pp. 227–243), Nilsson (1998, chpt. 17.1–17.4, 18)\n18. Smoliar & Zhang (1994).\n19. Neumann & Möller (2008).\n20. Kuperman, Reichley & Bailey (2006).\nReferences", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The two most widely used textbooks in 2023 (see the Open Syllabus (https://explorer.opensyllabus.org/re\nsult/field?id=Computer+Science)):\nRussell, Stuart J.; Norvig, Peter (2021). Artificial Intelligence: A Modern Approach (4th ed.).\nHoboken: Pearson. ISBN 978-0-1346-1099-3. LCCN 20190474 (https://lccn.loc.gov/201904\n74).\nRich, Elaine; Knight, Kevin; Nair, Shivashankar B (2010). Artificial Intelligence (3rd ed.).\nNew Delhi: Tata McGraw Hill India. ISBN 978-0-0700-8770-5.\nThe four most widely used AI textbooks in 2008:\nLuger, George; Stubblefield, William (2004). Artificial Intelligence: Structures and Strategies for\nComplex Problem Solving (https://archive.org/details/artificialintell0000luge) (5th ed.).\nBenjamin/Cummings. ISBN 978-0-8053-4780-7. Archived (https://web.archive.org/web/2020\n0726220613/https://archive.org/details/artificialintell0000luge) from the original on 26 July\n2020. Retrieved 17 December 2019.\nNilsson, Nils (1998). Artificial Intelligence: A New Synthesis (https://archive.org/details/artificialin\ntell0000nils). Morgan Kaufmann. ISBN 978-1-5586-0467-4. Archived (https://web.archive.or\ng/web/20200726131654/https://archive.org/details/artificialintell0000nils) from the original on\n26 July 2020. Retrieved 18 November 2019.\nRussell, Stuart J.; Norvig, Peter (2003), Artificial Intelligence: A Modern Approach (http://aima.c\ns.berkeley.edu/) (2nd ed.), Upper Saddle River, New Jersey: Prentice Hall, ISBN 0-13-\n790395-2.\nPoole, David; Mackworth, Alan; Goebel, Randy (1998). Computational Intelligence: A Logical\nApproach (https://archive.org/details/computationalint00pool). New York: Oxford University\nPress. ISBN 978-0-1951-0270-3. Archived (https://web.archive.org/web/20200726131436/ht\ntps://archive.org/details/computationalint00pool) from the original on 26 July 2020. Retrieved\n22 August 2020. Later edition: Poole, David; Mackworth, Alan (2017). Artificial Intelligence:\nFoundations of Computational Agents (http://artint.info/index.html) (2nd ed.). Cambridge\nUniversity Press. ISBN 978-1-1071-9539-4. Archived (https://web.archive.org/web/2017120\n7013855/http://artint.info/index.html) from the original on 7 December 2017. Retrieved\n6 December 2017.\nOther textbooks:\nErtel, Wolfgang (2017). Introduction to Artificial Intelligence (2nd ed.). Springer. ISBN 978-3-\n3195-8486-7.\nCiaramella, Alberto; Ciaramella, Marco (2024). Introduction to Artificial Intelligence: from\ndata analysis to generative AI (1st ed.). Intellisemantic Editions. ISBN 978-8-8947-8760-3.\nCrevier, Daniel (1993). AI: The Tumultuous Search for Artificial Intelligence. New York, NY:\nBasicBooks. ISBN 0-465-02997-3.\nMcCorduck, Pamela (2004), Machines Who Think (2nd ed.), Natick, Massachusetts: A. K.\nPeters, ISBN 1-5688-1205-1\nNewquist, H. P. (1994). The Brain Makers: Genius, Ego, And Greed In The Quest For Machines\nThat Think. New York: Macmillan/SAMS. ISBN 978-0-6723-0412-5.\nHarmon, Paul; Sawyer, Brian (1990). Creating Expert Systems for Business and Industry. New\nYork: John Wiley & Sons. ISBN 0471614963.\nHistory of AI\nOther sources", - "page_start": 51, - "page_end": 51, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h\nttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), Global Catastrophic Risks, Oxford\nUniversity Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20\n08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc\ne.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved\n24 September 2021\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace\nAutomation\" (2015) 29(3) Journal of Economic Perspectives 3.\nBerlinski, David (2000). The Advent of the Algorithm (https://archive.org/details/adventofalgorith\n0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world\ncat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch\nive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved\n22 August 2020.\nBoyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585\n9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.\nCukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", Foreign Affairs, vol.\n98, no. 4 (July/August 2019), pp. 192–198. George Dyson, historian of computing, writes (in\nwhat might be called \"Dyson's Law\") that \"Any system simple enough to be understandable\nwill not be complicated enough to behave intelligently, while any system complicated\nenough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer\nscientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core,\ndead simple stupid. They work, but they work by brute force.\" (p. 198.)\nEvans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/\n10.5209%2Frev_TK.2015.v12.n2.49072). Teknokultura. 12 (2).\ndoi:10.5209/rev_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev_TK.2015.v12.n2.49\n072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).\nFrank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the\n21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order). The Diplomat. Archived (https://web.archiv\ne.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli\ngence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024.\nRetrieved 8 December 2023. \"Instead, the United States has developed a new area of\ndominance that the rest of the world views with a mixture of awe, envy, and resentment:\nartificial intelligence... From AI models and research to cloud computing and venture capital,\nU.S. companies, universities, and research labs – and their affiliates in allied countries –\nappear to have an enormous lead in both developing cutting-edge AI and commercializing it.\nThe value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the\nworld combined.\"\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I.\nchatbots to get their facts right — without destroying itself in the process?\" New York Times\nMagazine (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipedia-\nai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime\ns.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback\nMachine\nFurther reading", - "page_start": 66, - "page_end": 66, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Is there any chance that my cousin has been granted financial aid from Chesapeak Energy? He's studying at a college in Oklahoma.", - "target_page": 26, - "target_passage": "hat’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Lottery License # AGD231844\nmeet ezekiel and his big sister. \nHe is currently receiving medical \ncare at the iWK.\nin support of children like ezekiel, \nwe are having a \nCaring for Kids Lott ery \nto raise funds for the iWK.\nEach $20 ti cket off ers you \na chance to \nwin free rent for a year! \nPurchase ti ckets before November \n30. the draw date is monday, \nDecember 2, 2013. \nall current residents of \nKillam Properti es in Nova Scoti a \nare eligible to parti cipate.\nVisit \nkillamforkids.eventbrite.com \nor ask your Resident Manager.\nAll proceeds will benefi t the \nIWK Health Centre Foundati on \nand pati ents like Ezekiel.\nphoto: wildfl owerphoto.ca\nkillamproperti es.com | tsx: kmp\nSupport \nthe IWK and\nWin Free Rent for a Year!\nAt Killam we are investing in our communities, as \nwell as our real estate. We believe that giving back \nto the community is an important part of being a \nresponsible corporate citizen.\nSupporting Killam Families with \nScholarship program\nKillam’s Scholarship Program awards three $3,000 \nscholarships to children or grandchildren of Killam \nemployees on an annual basis. After a competitive \napplication process in 2013, Bradley Price, Hayley \nGillis and Georgia Telman were selected for \ndemonstrating an outstanding combination of \nacademic excellence and community involvement.\nHome away from Home\nOn an annual basis, Killam donates six fully furnished \napartments to hospitals in Halifax, Saint John, \nMoncton, Fredericton and Charlottetown. These \nunits are used by families of patients who need to \ntravel away from home for health care. \nred Cross\nKillam has partnered with the Red Cross in many \nof its core markets. The Red Cross is on hand to \nhelp when emergencies and disasters impact \ncommunities. Over the last six years, Killam has \nprovided the Red Cross with financial assistance to \nfund their operations. In return, the Red Cross has \nprovided emergency training to Killam staff, helping \nus react effectively to emergencies when required. \nSupporting Higher education in \natlantic Canada\nOn an annual basis, Killam’s board of directors \njoin together to support a common charity or \norganization. During 2013 the board members \ntogether donated $100,000 to establish an \nendowment at Mount Allison University in \nSackville, New Brunswick, providing an annual \nentrance scholarship to the university. Previous \n$100,000 board donations supported the Boys \nand Girls Clubs of Prince Edward Island, the YMCA \nof Greater Halifax/Dartmouth and Saint Mary’s \nUniversity in Halifax.\nCaring for Kids \nDuring 2013 Killam organized the Caring for Kids Lottery, a \nfundraiser in support of the IWK Health Centre in Halifax. The IWK \nHealth Centre provides quality medical care to women, children, \nyouth and families in the Maritime provinces. Killam tenants \nsupported the cause through the purchase of lottery tickets for the \nchance to win free rent for a year. All funds raised went directly to \nthe IWK Foundation. \nDoing the right thing\n20 Killam ProPerties inc | 2013", - "page_start": 19, - "page_end": 19, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "I am pleased to report that we have apparently finally convinced \nPresident Barack Obama and Congressional leadership to recognize that \nthe energy path America is on today is completely unsustainable. There \nappears to be growing recognition that it is spectacularly dangerous for \nAmerica to continue importing 9 million barrels of oil per day and exporting \nmore than $1 billion per day in national wealth to oil exporting countries. \nAmerica’s undiminished appetite for foreign oil has created the larg -\nest wealth transfer in the history of the world. The political leadership \nin Washington, D.C., has not seemed overly concerned about this issue \nuntil recently. However, after President Obama’s recent speech calling \n(1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling \nand net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to \ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. \n(2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated \nin accordance with generally accepted accounting principles.\n • Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage -\nment believes affect the comparability of operating results. \n • Operating cash flow is cash provided by operating activities before changes in assets and liabilities. \n • Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management \nbelieves affect the comparability of operating results.\n(3) FORTUNE 100 Best Companies to Work For ® listed in the magazine’s February 7, 2011 issue. \nRig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a \nseries of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.\n14 | LETTER TO SHAREHOLDERS", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "donations, volunteerism and scholarships. Last year, we made numerous \nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and \nsubsidized office space. These contributions provide essential operating \ntools as nonprofit organizations across the nation attempt to serve more \npeople — often with lower budgets — in tough economic times.\nFor example, in Louisiana we donated 12 vehicles in 2010, including \none to the Panola College Oil and Natural Gas Technology Program, which \nteaches students about the natural gas industry and provides them with \nhands-on technical training. Across many of the company’s operating \nareas, we’ve donated computers to deserving students, schools and \norganizations through Chesapeake’s Discovering Tomorrow’s Leaders \nprogram. In 2010 the company equipped 14 students with laptops and \ndonated 70 computers to schools or supporting nonprofit organizations.\nChesapeake partners with other companies and organizations to meet \nbasic, practical needs in hundreds of communities. An example is our \nsponsorship of the annual Day of Caring at the Ganus Center of Harding \nUniversity in White County, Arkansas. During the event, approximately \n1,200 uninsured or underinsured residents received a day of free medical, \ndental and eye screenings. \nTo help cultivate an appreciation for the great outdoors, in 2010 \nChesapeake provided $25,000 to REAL School Gardens, a Fort Worth- \nbased organization that establishes gardens at approximately 70 lower \nincome elementary schools in North Texas. At I.M. Terrell Elementary \nSchool, students, parents, teachers and volunteers from Chesapeake and \nother groups worked together to prepare vegetable gardens and flower \nbeds. In addition to teamwork skills and gardening, students learned \nabout nutrition and took home food from the garden’s bounty. \nWe supported servicemen and servicewomen by partnering with the \nShreveport Chapter of Operation Support Our Troops, Inc. Our contribution \nhelped offset the postage to send more than 100 care packages to troops \noverseas. The shipment was the largest in the organization’s history and \nincluded Christmas cards, games and nonperishable food items.\nBy investing in the communities where we operate and the people \nwhose lives we touch, we ensure a stronger today and a more hope- \nful tomorrow.\n2010 ANNUAL REPORT | 25\nPutting food on the table — Employees volunteer at the Regional Food Bank \nof Oklahoma as part of Operation Blue.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "We also hire locally whenever possible to help stimulate the local \neconomy, and we provide training when the local work force isn’t yet \nqualified for the jobs we have open. For example, when Chesapeake \nbegan operating in the Marcellus Shale of West Virginia and Pennsyl -\nvania, finding experienced rig workers was a challenge. To meet that \nneed, Chesapeake’s wholly owned subsidiary, Nomac Drilling, built \nthe 40,000-square-foot Eastern Training Center and Housing Facility in \nBradford County, near Sayre, Pennsylvania. The campus opened in 2010 \nand serves as a housing facility and training ground for 266 workers at \na time. Nomac and Chesapeake host regular job fairs in the region and \nthe lines of interested candidates often extend out the door. \nEducational Impact\nWe are also proud to help prepare tomorrow’s leaders today. In 2010 \nChesapeake supported universities, schools, academic chairs, scholarships \nand other educational programs with contributions totaling $5.4 million. \nInvesting in programs that promote technology and innovation is a \nkey to our country’s success. That’s why we gave $1.0 million to establish \nthe Chesapeake Energy dormitory for students at the Oklahoma School for \nScience and Mathematics (OSSM), a public, tuition-free, residential high \nschool located in Oklahoma City for juniors and seniors with exceptional \nabilities. The extremely competitive school is helping train the next gen- \neration of scientists and mathematicians.\nWe also established the Chesapeake Energy Presidential Scholars Pro-\ngram at the Oklahoma City University Meinders School of Business, making \na $5.0 million commitment to be distributed over the next five years. The \nChesapeake Scholars Program will provide up to $25,000 per year in tuition", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, \nmarketing, business administration, computer science and information \ntechnology. In addition, scholars will take part in a Chesapeake Presiden-\ntial Leadership Course facilitated by faculty members in coordination with \ndesignated Chesapeake leadership coaches, including a Chesapeake senior \nvice president and OCU alumni. \nIn 2007 Chesapeake launched a scholarship program in Texas with an \ninitial $1.25 million contribution, challenging the cities of Fort Worth and Dal-\nlas to match its gift within a year. The cities responded and matched the gift, \nso Chesapeake in 2008 added another $1.25 million to the fund, bringing the \ntotal to $3.75 million. The Chesapeake Scholarship Fund currently funds the \ncost of higher education for 48 minority students. The fund provides each \nstudent $20,000 a year for up to four years at the school of their choice. To \ndate more than $1.0 million has been distributed to deserving local students.\nTo help ensure the training of qualified geologists, engineers, land -\nmen and energy lawyers in the next generation, we award scholarships \nto students pursuing energy-related degrees. We also help mentor them \nthrough Chesapeake’s Peak Program. Junior- and senior-level scholarship \nrecipients are paired with Chesapeake employee mentors who help devel-\nop students’ knowledge and provide career advice. There are currently 25 \nmentors and 40 scholarship recipients participating in the Peak Program. \nOur recruiting team also initiated a strategic military recruitment \neffort during the past two years to hire former military personnel to \nwork in a variety of leadership and crew positions. This effort earned \nChesapeake an honor from G.I. JOBS magazine when we were named a \n2011 Top 100 Military-Friendly Employer. Chesapeake currently employs \n37 men and women who formerly served as junior military officers and \nmore than 100 former servicemen and servicewomen who joined the \ncompany through a program called Troops 2 Roughnecks.\nIn addition to our specific scholarship programs, one-time educational \ndonations and recruitment efforts, in 2010 we gave more than $1.8 million \nto fund higher education for nearly 400 other students in 12 states through \nour Chesapeake Scholars program. Chesapeake’s scholarships help recruit \nthe best and brightest students and provide educational opportunities in \ncommunities where we operate. In Oklahoma City, more than 400 em -\nployees volunteer for up to an hour a week on company time at four local \npublic schools. Chesapeake’s program has grown to become the largest \ncorporate mentoring program in Oklahoma.\nCommunity Impact\nChesapeake employees have been enriching their hometowns as volun -\nteers for many years. We formalized those efforts in 2009 by establishing \nan official employee volunteer program, the H.E.L.P . (Helping Energize \nLocal Progress) Initiative, wherein employees are invited to volunteer \neach month for a variety of organizations from food pantries to animal \nshelters. Through that program, employees donated more than 26,000 \nhours to their communities in 2009. \nIn the summer of 2010, Chesapeake took the H.E.L.P . Initiative to a \nhigher level through the launch of Operation Blue. From Memorial Day \nthrough Labor Day, each employee was given four hours of company time \nto complete the volunteer project of their choice. Our employees eagerly \naccepted the challenge, and in three months more than 4,900 employ -\nees donated 30,900 hours of service to 519 organizations in more than \n96 communities across the country. Operation Blue is now an annual \nvolunteer program in which employees roll up their sleeves in the com -\nmunities they call home.\nChesapeake’s contributions take many forms: financial and equipment \ndonations, volunteerism and scholarships. Last year, we made numerous \nin-kind donations of laptops, reconditioned Chesapeake fleet vehicles and", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Donation for a Japanese-language speech contest\n8\nEurope\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank \nhas supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting \nchildren and improving children and improving \nthe water-supply and the water-supply and \nsanitary environment.sanitary environment.\nUNICEF support initiatives\n9\nMozambique\nSMBC GLOBAL FOUNDATION\n10\nThe United States\n3\n6\n4\n5\n7 8\n9\n10\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\n˒˒\nSMBCSMBC’s Bangkok Branch assisted s Bangkok Branch assisted \nfarmers by donating underground farmers by donating underground \nwater storage tanks and assisting water storage tanks and assisting \nwith vegetable planting and with vegetable planting and \nharvesting.harvesting.\nHigh school students from New York\n who visited Japan on a study trip\nScholarship students at Sun Yat-sen University\nDonated furniture\nEmployee volunteers who participated in\n landscape improvement projects\nPerforming a Japanese-language drama\nBank employees helped plant\n vegetables as volunteers\nPhotographs supplied by AYO\nScholarship award ceremony for university students in Vietnam\n*Please see this website \nfor further details (in \nJapanese):\n\u0001\u0001www.smbc.co.jp/ccs/\nSumitomo Mitsui Financial Group CSR Report \nHelping build prosperity \nin Asia and the world\nSocial Contribution Activities\n\u0013\u0018 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0019\nFor further details, please see our website.\nSMBCSMBC’s Hanoi Branch provided s Hanoi Branch provided \ninternational school students international school students \nwith vocational experiences.with vocational experiences.", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "March 22, 2004\nDear Shareholder:\nI am pleased to report on an excellent year for your Company, one in\nwhich we achieved strong financial results and reached several significant\naccomplishments.\nOur financial performance was very positive in 2003. For the first time in\nour history, revenues exceeded $100 million, reaching a total of $105.9\nmillion for the year. While revenues increased by $12.9 million, our\noperating expenses only increased by $3.6 million, resulting in a $9.3 million\nimprovement in operating income which reached $18.6 million. Helped by\nthe one-time gain from the sale of our cellular partnership interest, our net\nincome was a record $32.1 million. Our net income from continuing\noperations, which excludes the cellular impact, reached $9.8 million.\nWhile the last few years have not been kind to many companies in the\ntelecommunications industry, your Company has not just survived, it has\nthrived. In addition to the operating results, our balance sheet became even\nstronger. Total debt was again reduced, decreasing by $12.2 million to $43.3 million as of the end of the year. At the\nsame time, our cash and equivalents at the end of the year was $28.7 million, while total assets were $185.4 million. With\nour total long-term debt equaling only 23.4 percent of total assets, your Company's balance sheet is envied in an industry\nwhere many companies have encountered problems just meeting their debt obligations, much less being able to invest in\ntheir future.\nAs previously announced, the Company completed the sale of our cellular partnership interest on February 28, 2003.\nWhile our participation in cellular, a subset of the wireless industry, had been very profitable, competitive pressures in the\nwireless industry were having an increasing impact. We had already lost half of our customers, and growth in revenues\nand profits had begun to slow. Exiting the cellular segment through the sale allows the Company to focus on our\nsignificantly larger digital PCS operation. It also made available a large source of cash to finance our other operating\nneeds and future growth opportunities.\nOur wireless priorities are now focused on improving results within our PCS operation. After many years of multiple-\nmillion dollar losses, our PCS business produced a slight profit in 2003. While many non-recurring factors contributed to\nthis small profit, the basic operating results within this subsidiary showed significant improvement during 2003. PCS\nrevenues grew 20.8 percent to a total of $67.0 million. Operating income in this subsidiary was $2.9 million, an $8.2\nmillion change from the previous year's loss. Despite these improvements, we still have a long way to go before we are\nearning a satisfactory return on our investment.\nThe Company continued its efforts to successfully grow revenues and profits from other lines of business and by\nfurnishing more and newer services in our enlarged footprint extending beyond Shenandoah County. Revenues from our\ninformation access services, which includes contract work on the 511Virginia Travel Project and Internet access services,\nincreased $0.6 million, to $7.0 million during 2003. The Virginia Department of Transportation has requested proposals\nto continue the 511 project for future years, as well as to expand it to cover all the interstate highways throughout the\nCommonwealth. The success of the project to date has attracted many other bidders competing against our Company to\nwin the contracts. Our recently launched regional phone book, Shentel Pages, exceeded our initial revenue expectations.\nIt is hoped that a single source of phone listings and Yellow Page advertising, in both printed and online versions, will\nincreasingly be demanded by residents and businesses in the northern Shenandoah Valley region.\nWhile our 2003 results have been good, we recognize we still have many challenges to overcome in order to continue", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "the company. We have acquired approximately 600,000 net leasehold \nacres prospective for these plays and have drilled 75 net wells to date. \nWe are currently using eight rigs and believe our leasehold could sup -\nport the drilling of up to an additional 3,700 net wells. \nThe Mississippian fractured carbonate is primarily an oil play and is \nlocated on the Anadarko Basin shelf of northern Oklahoma and southern \nKansas. We have acquired approximately 900,000 net leasehold acres \nprospective for this play and have drilled 40 net wells to date. We are \ncurrently using four rigs and believe our leasehold could support the \ndrilling of up to an additional 6,000 net wells. This is an area where we \nanticipate bringing in a joint venture partner later in 2011 or in early 2012. \nBone Spring, Avalon, Wolfcamp and Wolfberry Plays — These four \nliquids-rich plays of the Permian Basin should also become significant \ncontributors to our growth in the years ahead. To date, we have acquired \napproximately 560,000 net leasehold acres that we believe are prospec -\ntive for these plays and have drilled 155 net wells. We are currently using \neight rigs and believe our leasehold could support the drilling of up to \nan additional 4,400 net wells. \nUtica Shale — Chesapeake has high hopes for this emerging shale play \nin eastern Ohio, especially because it would become the fourth large \nunconventional play (along with the Haynesville and Bossier shales \nand the Mississippian carbonate) that Chesapeake has discovered. In \naddition, we believe the play will have three distinct components (oil, \nin cash and drilling carries. This was CNOOC’s second investment with \nChesapeake and its second investment in the U.S. onshore E&P industry. \nWe are currently drilling with five rigs in this play and expect to acceler -\nate our drilling to 15 rigs by year-end 2013. We believe our leasehold \nposition could support the drilling of up to 7,600 additional net wells.\nCleveland, Tonkawa and Mississippian Plays — These three liquids-rich \nplays of the Anadarko Basin should become significant contributors to \nour growth in the years ahead. The Cleveland and Tonkawa plays are \ntight sandstones located in western Oklahoma and the eastern Texas \nPanhandle, and they provide returns that are some of the very best in \n2010 ANNUAL REPORT | 11\nA prime example of Best Management Practices for fracture stimulation, this \nwell in Bradford County, Pennsylvania, is now producing natural gas from \nthe Marcellus Shale. A closely regulated completion technique, fracking is \nnecessary to allow natural gas or oil to freely flow into the wellbore.\nFracking Operations Transparency\nNatural gas and oil operations continue to grow and ex- \npand across the country as vast new resources are un- \nlocked through the process of hydraulic fracturing, or \n“fracking,” a proven technology that has been used safely \nand successfully in the completion of more than 1 million \nU.S. wells since 1949.\nDuring the fracking process, a mixture of approximately \n99% water and sand, combined with a small amount of \nchemical additives, is pumped at high pressure into a \ntargeted formation to create small fissures or fractures in \nthe surrounding rock or shale. These fractures are \nkept propped open by the sand to allow the natural \ngas or oil to freely flow into a wellbore.\nIn our continuing efforts to educate the public and \nalleviate common misconceptions about hydraulic \nfracturing, Chesapeake became one of the first \nenergy companies to disclose the additives used \nin the process. We are actively participating in a \nnational, publicly accessible web-based registry \ndeveloped by the Ground Water Protection Council \nand the Interstate Oil and Gas Compact Commission, \nwith support of the U.S. Department of Energy. The \nregistry allows for fracking additives to be reported \non a well-by-well basis and offers public access to \nthat material on its website. Chesapeake began", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "vs. an asset gatherer — namely, lower debt and higher returns on capi -\ntal. The market has received this plan with favor to date as our stock \nprice is already up 30% in the first quarter of 2011. In addition, having \nrecently closed the sale of our Fayetteville Shale assets to BHP Billiton \nand recently initiated tender offers for repayment of at least $2.0 billion \nof our long-term debt, we are already close to accomplishing the 25% \nlong-term debt reduction portion of our 25/25 Plan. Now we will focus \non delivering the other part of the equation, 25% growth in production \nby year-end 2012.\nBeyond the next two years, there will be many other benefits of the \nthree-way transition we began in 2010. In fact, we are increasingly con -\nfident that we can double our cash flow and net income by year-end \n2015. By accomplishing these goals and also having our historic trading \nmultiples expand a bit, we are hopeful that we can achieve a $100 stock \nprice by year-end 2015, perhaps creating the need for a “100/15” plan in \nthe process! Clearly it would be an ambitious goal, and to achieve it we \nwill need the world’s economy to continue growing, China and other \nemerging economies to continue their rapidly growing thirst for oil and \nnatural gas, our new plays to meet expectations, oil prices to remain \nstrong and natural gas prices not to weaken from where they are today. \nHowever, Chesapeake’s growth from here on will be very mechanical \nwith our “factories” (meaning both our individual wells and our large \nplays) needing only four inputs for success: land, science, people and \ncapital. We now have gathered enough of these four inputs so that our \nfactories can run in harvest mode for decades to come, which hopefully \ncan lead to a $100 stock price by year-end 2015. Again, this would be a \nvery considerable achievement, but your management team enjoys big \nchallenges and we look forward to discussing it further with you in the \nquarters ahead. \nGreat Assets = A Great Future\nThe very significant upward trajectory of value creation that Chesapeake \nis on today is primarily driven by the quality of our assets, which feature \ndominant positions in 16 of the 20 most important major unconvention -\nal natural gas and liquids plays in the U.S. — the Barnett, Haynesville, \nBossier, Marcellus, Eagle Ford, Pearsall, Niobrara and Utica shales \nand the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, \nAvalon, Wolfcamp and Wolfberry tight sands and fractured carbonates. \nHaving only missed the Bakken Shale play in the Williston Basin, having \npassed on the Cana Shale play in Oklahoma and having sold out of \nthe Woodford and Fayetteville shale plays in Oklahoma and Arkansas \n(for overall value creation of $5.4 billion), Chesapeake’s unrivaled posi -\ntion in the 16 other major U.S. unconventional plays is remarkable and \nunprecedented and should form the foundation of further substantial \nvalue creation for Chesapeake’s shareholders for decades to come. \nThe gathering of these assets has been hard work for our employ -\nees and management team, and during 2010 it stretched our balance \nsheet and tested the patience of some of our shareholders. What is \nclear now, however, is that we have created a tremen -\ndous storehouse of value and an abundance of oppor -\ntunities for bountiful harvests for years to come for our \nshareholders. \nGiven the importance of these 16 unconventional \nplays, I have provided below a brief summary of our posi -\ntion in each of them:\nBarnett Shale — Discovered in the 1990s, the Barnett is the \ngranddaddy of all U.S. shale plays. Chesapeake acquired \nits first assets in the Barnett in 2001, and in 2005 we began \naggressively leasing in the core of the play in Johnson and \nTarrant counties. Today we own approximately 220,000 \nnet leasehold acres, on which we estimate we could drill \nup to 2,300 future net wells in addition to our 965 net \nwells currently producing. We are currently using 18 rigs to", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Financial Information", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Has the Sumitomo Mitsui Financial Group offered help to the elderly?", - "target_page": 6, - "target_passage": "Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycleframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a soundplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "communication between employees.communication between employees.\nAccepting middle school students\nfor workplace experience programs\nSendai Branch\nPOINT UP MallSumitomo Mitsui\nCard staff\nBOOKOFF CORP Group\nSumitomo Mitsui \nCardholders\n*Research by Nikko Asset Management Co., Ltd. \nSumitomo Mitsui Financial Group CSR Report \nSMFG and \nits Group companies \nparticipate in neighborhood \ncleanup programs\nDonations through \n“The World Bank \nGreen Fund”\nSMBC Nikko Securities’ \n“Green Week”\nSupporting education in \ndeveloping countries, \ntogether with our customers \nand employees\nSMFG as a corporate citizen: Working to create a prosperous society for all\nSocial Contribution \nActivities\nFor further details,\n please see our website.\nMitsui Sumitomo VISA Card\n\u0013\u0016 CSR REPORT 2011 CSR REPORT 2011 \u0013\u0017", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Sumitomo Mitsui Financial Group CSR Report\nDigest version\nwww.smfg.co.jp/english", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "President\nSumitomo Mitsui Financial Group, Inc.\nINDEX\nForeword\nCommitment from the Top\nA Conversation with Tadao Ando, \nTakeshi Kunibe and Koichi Miyata\nOur Mission and CSR at SMFG\nʪSpecific Examples of CSR Activitiesʫ\nEnvironmental Activities\nSocial Contribution Activities\nTogether with Our Customers\nTogether with Our Shareholders \nand Markets\nTogether with Our Employees\n1\n3\nMeasures to Support Reconstruction \nafter the March 11 \nEarthquake and Tsunami8\n11\n21\nCorporate Outline/Editorial Policy 29\n25\n13\n17\n19\nPriority Issues for Us 9\nWhat can we do now to spur the \nreconstruction and revitalization of Japan, \nand help resolve global issues?\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and \nto the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami \nthat struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas.\nSMFG is dedicated to seamlessly responding to clients’ needs by SMFG is dedicated to seamlessly responding to clients’ needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, \noffering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of \nresponding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, \nwe will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them.\nThrough our basic policy of becoming “a globally competitive Through our basic policy of becoming “a globally competitive financial services group financial services group \nwith the highest trust of our clients, society and other stakeholders”with the highest trust of our clients, society and other stakeholders” by maximizing our core strengths of by maximizing our core strengths of \n“Spirit of Innovation,” “Speed” and “Solution & Execution,” we “Spirit of Innovation,” “Speed” and “Solution & Execution,” we will continue to stay ahead of the times, will continue to stay ahead of the times, \nno matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\u0011\u0012 CSR REPORT 2011 CSR REPORT 2011 \u0011\u0013\nToday, Tomorrow and Beyond\nKoichi Miyata", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "give the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this \ncorporate social responsibilitycorporate social responsibility DNA embedded in the business DNA embedded in the business \nphilosophies of both the Sumitomo philosophies of both the Sumitomo and Mitsui groups over the 400 and Mitsui groups over the 400 \nyears of their existence, we will years of their existence, we will continue to play our part in solving continue to play our part in solving \nproblems facing the international problems facing the international community through our financial community through our financial \nservice service operations.operations.\nPriority Issues for Us\nAs one of JapaAs one of Japan’s leading financial services groups, s leading financial services groups, \nthe SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues \nwe have identified as significantly impacting the nation.we have identified as significantly impacting the nation.\n\u0011\u001a CSR REPORT 2011 CSR REPORT 2011 \u0012\u0011", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "after the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates after the March 11 earthquake and tsunami (“the Great East Japan Earthquake”) to a shrinking and aging population, with falling birth rates \nand increasing numbers of the aged. and increasing numbers of the aged. \nWe must now find ways for people to coexist in harmony with nature, based on a global perspective.We must now find ways for people to coexist in harmony with nature, based on a global perspective.\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society \nand the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\u0011\u0014 CSR REPORT 2011 CSR REPORT 2011 \u0011\u0015", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "˔\n˔\n˔\nWide-ranging financial support for the reconstruction of infrastructureWide-ranging financial support for the reconstruction of infrastructure\nOngoing disaster recovery activities by employee volunteers Ongoing disaster recovery activities by employee volunteers \nComprehensive support for industrial recovery in partnership with local governments and Comprehensive support for industrial recovery in partnership with local governments and \nfinancial institutions in the disaster-affected areasfinancial institutions in the disaster-affected areas\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its \noperations both in Japan and overseas. Initiatives include aggressive development of advisory operations both in Japan and overseas. Initiatives include aggressive development of advisory \nservices for infrastructure upgrades in emerging economies, a cross-departmental endeavor,services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, \nas well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly \nthrough branches and representative offices overseas.through branches and representative offices overseas.\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international \ncommunity so as to build up trust internationally as a global player.community so as to build up trust internationally as a global player.\nFurther measures needed\n˔\n˔\n˔\nGive further support for businesses involved in greenhouse gas Give further support for businesses involved in greenhouse gas \nreduction, water supply, new energy and resource initiativesreduction, water supply, new energy and resource initiatives\nDo more to safeguard biodiversity, in our capacity as a Do more to safeguard biodiversity, in our capacity as a \nfinancial institution financial institution \nShare our information assets and know-how globally in the Share our information assets and know-how globally in the \nenvironmental businessenvironmental business\n*Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\nFurther measures needed\n˔\n˔\n˔\nSupport businesses involved in health, medical and Support businesses involved in health, medical and \nnursing carenursing care\nExpand range of financial products and services for the Expand range of financial products and services for the \nelderly (planning for asset management for old age)elderly (planning for asset management for old age)\nFoster a better work-life balanceFoster a better work-life balance\nFurther measures needed\n˔\n˔\n˔\nShare expertise in corporate social responsibility Share expertise in corporate social responsibility \nwith the international communitywith the international community\nImprove financial services in preparation for the Improve financial services in preparation for the \nglobalization of operations in Japan (multilingual globalization of operations in Japan (multilingual \nsupport)support)\nPromote diversityPromote diversity\nIn the past, the Sumitomo Group In the past, the Sumitomo Group undertook large-scale afforestation undertook large-scale afforestation \nprograms to solve the problem of programs to solve the problem of pollution around the Besshi copper pollution around the Besshi copper \nmine, while the Mitsui Group set up mine, while the Mitsui Group set up the Mitsui Memorial Hospital tothe Mitsui Memorial Hospital to \ngive the poorest in society access to give the poorest in society access to basic medical care. Based on this basic medical care. Based on this", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group \nis fulfilling as we work to create a sustainable society.\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is \nthe essence of business itself, and our initiatives act upon this.\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group’s \nCSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report \n2011 (digest version, with examples of activities and stat istical performance), with more detailed information on CSR \nactivities and statistical data omitted in the CSR Report 2011 (digest version).\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in \nJapanese only). It is recommended that you read it in combination with the above two digest versions in order to understand \nour CSR and other activities in greater detail.\nFrom the current fiscal year, we are including third-party opinions in the website version.\nEditorial Policy\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\nOur CSR reporting\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n* Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international \norganization (GRI) in 1997 to encourage its adoption worldwide.\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\nReference guidelines\n Sumitomo Mitsui Financial Group, Inc.\n Sumitomo Mitsui Banking Corporation\n SMFG Card & Credit, Inc.\n Sumitomo Mitsui Card Company, Limited\n Cedyna Financial Corporation\n Sumitomo Mitsui Finance and Leasing Co., Ltd.\n The Japan Research Institute, Limited\n SMBC Friend Securities Co., Ltd.\n SMBC Nikko Securities Inc.\n THE MINATO BANK, LTD.\n Kansai Urban Banking Corporation\n Other Group companies\nScope of this Report\nThroughout this report, “Sumitomo Mitsui Financial Group” or “SMFG” refers to the holding company alone. “The SMFG Group” \nrefers to the holding company and its primary domestic and international subsidiaries and affiliates.\nCompany name abbreviations and other special terminology\nAbout this Report\nCorporate Outline (as of September 30, 2011)\nCompany Name\nBusiness Description\nEstablished\nHead Office\nChairman of the Board\nPresident\nCapital\nStock Exchange Listings\nSumitomo Mitsui Financial Group, Inc.\nManagement of banking subsidiaries (under the stipulations of Japan’s Banking Act) and of \nnon-bank subsidiaries, as well as the performance of ancillary functions\nDecember 2, 2002\n1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan\nMasayuki Oku \nKoichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation)\n¥2,337.8 billion\nTokyo Stock Exchange (First Section) \nOsaka Securities Exchange (First Section) \nNagoya Stock Exchange (First Section)\nɿɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nɿ\nStructure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\nPeriod Covered \nPublication Date of \nJapanese Document\nContact\nCovers CSR baselines and CSR activities at SMFG and its Group companies,Covers CSR baselines and CSR activities at SMFG and its Group companies, \ncentered on specific examplescentered on specific examples\nThis is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of \nCSR activities at SMFGCSR activities at SMFG\nCovers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed \ninformation on CSR activitiesinformation on CSR activities\nCSR disclosure \nthrough \nspecific examples\nComprehensive \ndisclosure of \nCSR activities\nEnriched \nCSR disclosure\nɿ\nɿ\nɿ", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Miyata : : When I think about what the When I think about what the \nSMFG Group can do, through its core SMFG Group can do, through its core \nfinancial operations, to help a society that financial operations, to help a society that \nis living longer with a falling birthrate,is living longer with a falling birthrate, \nI think we can help people plan for the I think we can help people plan for the \nfuture, help them put a certain amount future, help them put a certain amount \naside for later. If this kind of service works aside for later. If this kind of service works \nwell in Japan, I think we might be able to well in Japan, I think we might be able to \nhelp China and Thailand too, where the help China and Thailand too, where the \nsame problem — a shrinking, aging same problem — a shrink ing, aging \npopulation — ispopulation — is brewing. brewing.\n— What are the key issues with regard to — What are the key issues with regard to \nenvironment protection, and living in environment protection, and living in \nharmony with nature? —harmony with nature? —\nAndo : Environmental issues are also : Environmental issues are also \nimportant. This is a global issue. People important. This is a global issue. People \nliving around the world should link hands living around the world should link hands \nand find new ways of safeguarding the and find new ways of safeguarding the \nenvironment. We need to secure stable environment. We need to secure stable \nsupplies of energy while protecting the supplies of energy while protecting the \nenvironment. With resources, energy and environment. With resources, energy and \nfood supplies dwindling around the world, food supplies dwindling around the world, \nJapan could fill quite a lot of the gaps Japan could fill quite a lot of the gaps \nthrough its world-class energy-saving through its world-class energy-saving \ntechnologies, from air-conditioning to technologies, from air-conditioning to \nrefrigeration. I think people are going to refrigeration. I think people are going to \nbe looking to Japan for such technologies.be looking to Japan for such technologies.\nKunibe : I believe that energy is the most : I believe that energy is the most \nimportant thing governing a countryimportant thing governing a country’s s \ncompetitiveness and industrial strength. competitiveness and industrial strength. \nCertainly, the timCertainly, the timeframe is an issue. We frame is an issue. We \nmust not engage in short-termism, nor be must not engage in short-termism, nor be \nself-serving, but should devise energy self-serving, but should devise energy \nstrategies for the future needs of society strategies for the future needs of society \nas a whole.as a whole.\nAndo : I agree. We need industry, : I a g r e e . We n e e d i n d u s t r y, \ngovernment and academia to really talk government and academia to really talk \nto each other and take this seriously. If to each other and take this seriously. If \ntheythey just butt heads, that won just butt heads, that won’t get us t get us \nanywhere.anywhere.\nKunibe : I see the environmental business : I see the environmental business \nas a linchpin of our CSR program, which weas a linchpin of our CSR program, which we \ncan promote through our core businesses.can promote through our core businesses. \nFor example, SMBC has created a Fo r e x a m p l e , S M B C h a s c r e a t e d a \n“Growing Industrial Cluster Project “Grow ing Industr ia l Cluster Project \nTeam” to organize projects in the fields Team” to organize projects in the fields \nof water, resources, the environment andof water, resources, the environment and \nnew energy sources, involving entities new energy sources, involving entities \nfrom different fields, not just working from different fields, not just working \nwithin one particular sector. We regard within one particular sector. We regard \nthis process of engagement as forming a this process of engagement as forming a", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "At Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths \nextracted from IC chips from expired credit extracted from IC chips from expired credit \ncards are recycled.cards are recycled.\nAs part of its core leasing operations, As part of its core leasing operations, \nSumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is \nhelping reduce customers’ environmental helping reduce customers’ environmental \nSMBC jointly organizes the “eco japan cup,” an SMBC jointly organizes the “eco japan cup,” an \nenvironmental business contest, together withenvironmental business contest, together with \nthe Ministry of the Environment, the Ministrythe Ministry of the Environment, the Ministry \nof Internal Affairs andof Internal Affairs and Communi Communications, cations, \nthe Ministry of Land, Infrastructure,he Ministry of Land, Infrastructure, Trans Trans-\nport and Tourism, Development Bank of port and Tourism, Development Bank of \nJapan Inc. and Environmental Business Japan Inc. and Environmental Business \nWomen. The competition has four major Women. The competition has four major \ncategories – business, culture, lifestyle, and categories – business, culture, lifestyle, and \npolicy-making.policy-making.\nIn eco japan cup 2010, the “SMBC Eco-BankingIn eco japan cup 2010, the “SMBC Eco-Banking \nOffice Prize” was launched in the cultural Office Prize” was launched in the cultural \ndivision. Entries were solicited on creating division. Entries were solicited on creating \neco-friendly bank branches through envieco-friendly bank branches through envi-\nronment protection measures including ronment protection measures including \nadvanced energy initiatives and reductionadvanced energy initiatives and reduction \nof carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning \nproposals (for example, efficient use of proposals (for example, efficient use of \ntimber from forest thinning) have been timber from forest thinning) have been \nadopted at environm ent-friendly model adopted at environment-friendly model \nbranches that the bank is developing.branches that the bank is developing.\n* After intermediate processing, waste materials \nother than the rare earths and the cards with \nno IC chips are both sent off for final disposal, \nin conformity with established procedures.\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each \nDecember, is one of JapanDecember, is one of Japan’s largest envis largest envi-\nronmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held \nthe SMFG Environmental Business Forum, the SMFG Environmental Business Forum, \na unique event to which the whole SMFG a unique event to which the whole SMFG \nGroup contributed.Group contributed.\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum \nenables encounters and information enables encounters and information \nexchange in the field of environmental exchange in the field of environmental \nbusiness. SMFG and its Group companies business. SMFG and its Group companies \nprovide various platforms, including businessprovide various platforms, including business \nmatching events, stands and catalogue matching events, stands and catalogue \nexhibitions, and lectures and seminars, exhibitions, and lectures and seminars, \nwith the aim of giving new business with the aim of giving new business \nopportunities to companies and otheropportunities to companies and other \norganizations that are considering entering organizations that are considering entering \nthe environmental business, expanding the environmental business, expanding \ntheir marketing channels within it, or just their marketing channels within it, or just \ngathering information.gathering information.\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare \nearth product per expired card.earth product per expired card.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "made a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech \ncontest.contest.\nDonating furniture to \nwelfare facilities\n6\nMalaysia\nSMBCS M B C ’s Labuan Branch in s L abuan Br anch in \nMalaysia, following its relocation, Malaysia, following its relocation, \ndonated desks, chairs and donated desks, chairs and \ncabinets to occupational training cabinets to occupational training \ncenters for the disabled.centers for the disabled.\nEmployees put school meals on the table \nthrough their purchases in staff canteens \nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing \nhave a program that provides donations to the nonhave a program that provides donations to the non-\nprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to \nfund school meals in developing fund school meals in developing \ncountries, for every low-calorie countries, for every low-calorie \nmeal ordered for lunch. SMBC meal ordered for lunch. SMBC \nFriend Securities has also Friend S ecurities ha s als o \ninstalled vending machines installed vending machines \nselling healthy drinks, donating selling healthy drinks, donating \npart of their sales to TABLE FOR part of their sales to TABLE FOR \nTWO International.TWO International.\nDonation boxes for foreign currency coins\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency \ncoins at the entrances of all manned branches and coins at the entrances of all manned branches and \noffices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by \ncurrency for delivery to UNICEF.currency for delivery to UNICEF.\nThe SMBC Foundation \nfor International Cooperation\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation \nstrives to assist in developing the human resources strives to assist in developing the human resources \nnecessary to achieve sustainable growth in developnecessary to achieve sustainable growth in develop-\ning economies as well as to promote international ing economies as well as to promote international \nexchange activities. The foundation has provided exchange activities. The foundation has provided \nfinancial support for students from Asian countries financial support for students from Asian countries \neach year, enabling them to attend universities in each year, enabling them to attend universities in \nJapan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to \nresearch institutes and researchers undertakingresearch institutes and researchers undertaking \nprojects related to developing countries.projects related to developing countries.\nSupporting farming \nvillages in the northeast\n5\nThailand\nProviding work \nexperience to students\n4\nVietnam\n7\nBased in the United States, SMBC Global Foundation has Based in the United States, SMBC Global Foundation has \nprovided scholarships to more than 5,000 university students provided scholarships to more than 5,000 university students \nin Asian countries since its establishment in 1994. In the in Asian countries since its establishment in 1994. In the \nUnited States, it supports educational trips to Japan United States, it supports educational trips to Japan \norganized by a high school located in Harlem, New York City, organized by a high school located in Harlem, New York City, \nand volunteer employees of SMBC and JRI to participate in and volunteer employees of SMBC and JRI to participate in \nschool beautification programs. The foundation also provides school beautification programs. The foundation also provides \nmatching gifts for SMBC employees.matching gifts for SMBC employees.\nDonation for a Japanese-language speech contest\n8\nEurope\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Does Chesapeake Energy have a project to reduce excessive water use?", - "target_page": 28, - "target_passage": "Created to meet the challenge of reducing our water usage, Chesapeake’s Aqua Renew® program uses state-of-the-art technology to recycle pro- duced water.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "26 | ENVIRONMENTAL, HEALTH & SAFETY\nAs we explore for and produce clean, affordable, abundant, American \nnatural gas, we provide an important solution to our nation’s energy \nchallenges and its quest for energy independence. With at least a 200-\nyear supply of natural gas located right here in the U.S., this versatile \nfuel can be used to not only heat homes, create electricity and meet \nAmerica’s transportation needs, but also to fuel the country’s future \nby creating jobs and stimulating local and national economies through \ninvestment and taxes. \nEnvironmentally Friendly Operations\nAt Chesapeake, we realize that the way a great product is produced is \nas important as the product itself. For example, we have helped pioneer \nthe use of multiwell padsites to drill up to 16 wells from a single loca -\ntion, greatly reducing our land and road use and overall environmental \nfootprint. We use the latest horizontal and directional drilling technology \nto place wells at a safe distance from homes, schools and businesses. In \naddition, we build and maintain access roads and work to eliminate soil \nerosion near our sites, as well as restore local vegetation. \nWe implement advanced, modern protective measures known as Best \nManagement Practices (BMPs) to help ensure energy development is con-\nducted in an environmentally responsible manner. Procedures are imple-\nmented throughout our operations to protect freshwater aquifers and \nreduce environmental impacts. BMPs protect wildlife, air quality, water and \nlandscapes as we work to develop vitally needed domestic energy sources. \nImplemented throughout the entire life cycle of a well, BMPs can be \nas simple as strategically placing a berm, or land barrier, on locations \nto control surface water runoff. Others involve cutting-edge operational \ntechnologies such as utilizing the most advanced techniques offered in \ndrilling fluids, well casing and cement design. Regardless of complex -\nity, all BMPs are based on the idea that the environmental footprint of \nenergy development should be as small and temporary as possible. \nThese practices are continually evolving and further improving as \nChesapeake and the industry develop new innovative techniques and \napproaches to business. \nIn addition to our BMPs, Chesapeake has also initiated several \ninnovative internal programs focused on water recycling and greener \nhydraulic fracturing processes. \nAqua Renew ®\nCreated to meet the challenge of reducing our water usage, Chesapeake’s \nAqua Renew ® program uses state-of-the-art technology to recycle pro -\nduced water. Since the \ncompany’s preliminary \nreclamation project in \n2006, our focus on water reuse and conservation has become a company-\nwide endeavor, stretching from the Barnett Shale of North Texas to the \nMarcellus Shale of northern Pennsylvania. \nThe Aqua Renew program has yet to find a limit to how much \nrecycled water could be used without compromising well production. \nIn fact, our Marcellus Shale operations are treating and recycling virtu -\nally 100% of produced water (more than 10 million gallons per month) \nfor reuse in our hydraulic fracturing operations. Properly conducted \nmodern fracking is a highly engineered, controlled, sophisticated and \nsafe procedure.\nWith such large volumes of recycled water, the company is see -\ning more than just environmental advantages. We estimate that this \nINVESTING IN OUR WORLD \nAND OUR PEOPLE »\nGreen operations — Chesapeake’s Best Management Practices ensure our \noperations are as environmentally friendly as possible, while protecting \nour employees, neighbors and the areas where we operate.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "What advantages does CHK’s unique vertical integration strategy provide? \nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop \naggressively over the next two decades. As a result, we know that our company will consistently utilize a tremen -\ndous (and growing) amount of oilfield services for this resource development. This high level of planned drilling \nactivity will create value for the provider of oilfield services, and Chesapeake’s strategy is to capture a portion \nof this value for our shareholders rather than transfer it to third-party vendors whose interests and investments \nare not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water manage -\nment equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and \nfracture stimulation equipment. Chesapeake’s activities require a high level of planning and project coordination \nthat is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach \ncreates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, \nincreased safety and better coordinated logistics. In addition, Chesapeake’s control of a large portion of the oilfield \nservice equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply \nput, faster development of resources maximizes the present value of leasehold. This has been a key advantage for \nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures. \nWill U.S. natural gas prices reconnect with world natural gas prices? \nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, \ndiesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. \nmarket relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This \nsurplus has been principally caused by high levels of drilling activity as producers focused on holding by produc -\ntion (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented \nU.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will \nlargely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to \nreconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices. \nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied \nnatural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital \nand ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are \nworking to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to \npremium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be \naided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the \ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it \nbe compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) \nnatural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural \ngas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Martha Burger \nSenior Vice President – \nHuman and Corporate Resources\nWhat innovations and advancements have led to CHK’s ability to produce liquids from \nshales and other tight reservoirs? \nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed \nexpertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of \nhorizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that \nwere previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight \nreservoirs has come from the company’s ability to extend the technological advances gained in the development of \ntight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich \nplay discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have ben-\nefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well \nas an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to \nbetter identify formations most likely to generate liquids-rich production, including more than a dozen new plays for \nthe company. We have subsequently improved the success of our liquids-rich plays through the use of optimal well-\nbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized \nfracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume \nin low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have \nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry’s most advanced shale core laboratory.\nIt is often said that the energy industry has an aging work force that is fast approaching \nretirement age. How is Chesapeake addressing this? \nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down-\nturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong compe-\ntition from other industries lured away many of the best and brightest science and technology graduates, and today \nmany experienced professionals who stayed in the industry through the downturn are approaching retirement age. \nAs a result, one of our industry’s greatest challenges over the past 10 years has been to develop a new generation \nof natural gas and oil professionals who have the knowledge and experience required to meet the nation’s growing \nenergy needs.\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting \nand training a new generation of energy professionals would impact the company’s future success and its ability to \ncompete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs \nand decided to create a world-class college recruiting and intern program to recruit the most promising industry \ntalent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go \non to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive \nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads \nand career counselors at the more than 31 universities where we actively recruit.\nAs a result of these efforts, young professionals in a wide range of disciplines, from scientists and engineers to land management and legal", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural \ngas is clean, affordable, abundant and American. Why shouldn’t it trade at a BTU premium in the years ahead?\nWhy is an investment grade rating on its debt securities important to CHK? \nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt \nsecurities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company’s \nborrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. \nHigher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in \norder to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts \nto sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance \nChesapeake’s ability to further attract world-class energy companies to participate in our joint venture projects, \nwhich profitably monetize a portion of our leasehold investments and also accelerate the development of our \nresource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest -\nment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.\nJeff Fisher \nSenior Vice President – Production\nNick Dell’Osso\nExecutive Vice President \nand Chief Financial Officer\nJeff Mobley\nSenior Vice President – \nInvestor Relations and Research\n2010 ANNUAL REPORT | 21", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "ON THE COVER\nMoving west, a Chesapeake rig \ndrills toward the Niobrara Shale \nin the Powder River Basin of \nsoutheastern Wyoming, one of \nseveral new liquids-rich plays \nthat are enabling the company \nto increase its profitability and \nreturn on capital.\nCONTENTS \n1 Financial Review\n4 Letter to Shareholders\n16 Operating Areas\n20 Investor Q&A\n22 Social Responsibility\n 24 Community Relations\n 26 Environmental, Health & Safety\n \n28 Board of Directors\n28 Governance\n29 Officers\n30 Employees\n45 Form 10-K\nInside Back Cover \n Corporate Information\nChesapeake Energy Corporation is the second-largest producer of \nnatural gas, a Top 15 producer of oil and natural gas liquids and \nthe most active driller of new wells in the U.S. \nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing \nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in \nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite \nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, \nNiobrara and Utica unconventional liquids-rich plays. \nThe company has also vertically integrated its oper- \nations and owns substantial midstream, compression, \ndrilling and oilfield service assets. Chesapeake’s stock \nis listed on the New York Stock Exchange under \nthe symbol CHK. Further information is available at \nwww.chk.com where Chesapeake routinely posts \nannouncements, updates, events, investor informa- \ntion, presentations and press releases.\nCORPORATE PROFILE", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "happen to manage some of the world’s largest pools of capital and have \na very long-term investment horizon. Their support is an important \nvalidation of our strategy. \nShort-Term Pain for Long-Term Gain\nDespite this all-star lineup of global partners and investors, some other \ninvestors have not yet fully recognized the benefits of our industry \nleadership in acquiring unconventional natural gas and liquids assets. \nWhether it was our leveraged balance sheet during recent tough reces -\nsionary times, our heavy focus on natural gas during a time of persistent \nmarket pessimism about natural gas prices or our large capital invest- \nments in undeveloped liquids-rich leasehold undertaken to enable \nChesapeake to remain an industry leader in the years ahead, it is clear \nthat we were less popular in the stock market in 2010 than we were in \n2009, when our stock price increased by 60%. \nWe anticipated that some market unpopularity in 2010 would \nlikely be the price we would pay as we positioned Chesapeake to be \nthe leader not only in unconventional U.S. natural gas, but also in \nunconventional U.S. liquids. However, now that we have largely com- \npleted the investments needed to accomplish this transition to a port- \nfolio balanced with liquids, the rebound in our stock price could be sharp \nas investors begin to focus more clearly on Chesapeake’s three-way \ntransition from an asset gatherer to an asset harvester, from less natural \ngas exposure to more liquids exposure and from a leveraged balance \nsheet to one worthy of an investment grade rating. \nAccordingly, in early January 2011, we announced our “25/25 Plan, ” \na two-year plan designed to reduce our long-term debt by 25% while \nstill growing the company’s production by 25%. We designed this plan \nto articulate very clearly the benefits of becoming an asset harvester \nStrong Partners \nOver the past few years, in addition to gathering the industry’s best \nassets, Chesapeake has also built the industry’s finest collection of global \nenergy partners and energy stock investors. We have now entered into \ntransactions with PXP , BP , Statoil, Total, CNOOC and BHP Billiton. Collec -\ntively, we have sold these companies certain assets for total consider -\nation of $20.5 billion in the form of cash and drilling and completion \ncarries for which our net cost was only $6.1 billion resulting in overall \nvalue creation of $14.4 billion. While these transactions have been very \nrewarding to our buyers, they have been truly outstanding for Chesapeake, \nproviding us an attractive source of capital, a reduction of risk, a quick \nrecovery of our leasehold investment in new plays and a much greater \nability to capture a large resource base with decades of highly profitable \ndrilling opportunities.\nIn addition, we are the only U.S. E&P company that has attracted \nto its stock ownership roster some of the world’s leading government-\nsponsored investors: Temasek Holdings (Singapore), China Investment \nCorporation, Korea Investment Corporation and Abu Dhabi Investment \nAuthority. Along with our largest shareholder, Memphis, Tennessee-\nbased Southeastern Asset Management (12%), these shareholders are \nsome of the world’s largest and most astute investors, and who also \n2010 ANNUAL REPORT | 5\nThrough a wide variety of transactions, \nincluding several led by Chesapeake, \nthe global energy industry made it clear \nthat the assets owned by Chesapeake and \nsome of its peers are the most attractive \nin the world.\n< < Aubrey K. McClendon, Co-Founder, Chairman and Chief Executive Officer", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Corporate Headquarters\n6100 North Western Avenue\nOklahoma City, OK 73118\n(405) 935-8000\nInternet Address\nCompany financial information, public disclo -\nsures and other information are available through \nChesapeake’s website at www.chk.com.\nCommon Stock\nChesapeake Energy Corporation’s common stock \nis listed on the New York Stock Exchange (NYSE) \nunder the symbol CHK. As of March 31, 2011, there \nwere approximately 415,000 beneficial owners \nof our common stock.\nCommon Stock Dividends\nDuring 2010 the company declared a cash div -\nidend of $0.075 per share on March 8, June 21, \nSeptember 1 and December 20 for a total div- \nidend declared of $0.30 per share.\nIndependent Public Accountants\nPricewaterhouseCoopers LLP\n6120 South Yale, Suite 1850\nTulsa, OK 74136\n(918) 524-1200\nStock Transfer Agent and Registrar\nCommunication concerning the transfer of shares, \nlost certificates, duplicate mailings or change of \naddress notifications should be directed to our \ntransfer agent: \nComputershare Trust Company, N.A.\n250 Royall Street\nCanton, MA 02021\n(800) 884-4225\nwww.computershare.com\nTrustee for the Company’s Senior Notes \nThe Bank of New York Mellon Trust Company, N.A.\n101 Barclay Street, 8th Floor\nNew York, NY 10286\nwww.bnymellon.com\nForward-looking Statements\nThis report includes “forward-looking statements” \nthat give our current expectations or forecasts \n2011 High Low Last\nFirst Quarter $ 35.95 $ 25.93 $ 33.52\n2010 High Low Last\nFourth Quarter $ 26.43 $ 20.97 $ 25.91\nThird Quarter 23.00 19.68 22.65\nSecond Quarter 25.55 19.62 20.95\nFirst Quarter 29.22 22.10 23.64\n2009 High Low Last\nFourth Quarter $ 30.00 $ 22.06 $ 25.88\nThird Quarter 29.49 16.92 28.40\nSecond Quarter 24.66 16.43 19.83\nFirst Quarter 20.13 13.27 17.06\n2008 High Low Last\nFourth Quarter $ 35.46 $ 9.84 $ 16.17\nThird Quarter 74.00 31.15 35.86\nSecond Quarter 68.10 45.25 65.96\nFirst Quarter 49.87 34.42 46.15\nof future events. They include estimates of nat -\nural gas and oil reserves, expected production, \nassumptions regarding future natural gas and \noil prices, planned drilling activity and capital \nexpenditures, and future asset sales, as well as \nstatements concerning anticipated cash flow and \nliquidity, business strategy and other plans and \nobjectives for future operations. Although we \nbelieve the expectations and forecasts reflected \nin these and other forward-looking statements \nare reasonable, we can give no assurance they \nwill prove to have been correct. They can be af -\nfected by inaccurate assumptions or by known \nor unknown risks and uncertainties.\nFactors that could cause actual results to differ \nmaterially from expected results are described \nunder “Risk Factors” in Item 1A of our 2010 Annual \nReport on Form 10-K included in this report. We \ncaution you not to place undue reliance on for -\nward-looking statements, and we undertake no \nobligation to update this information. We urge \nyou to carefully review and consider the disclo -\nsures made in this report and our other filings \nwith the Securities and Exchange Commission \n(SEC) regarding the risks and factors that may \naffect our business.\nThe SEC requires natural gas and oil companies, in \nfilings made with the SEC, to disclose proved re- \nserves and permits the optional disclosure of \nprobable and possible reserves. While Chesapeake \nhas elected not to report probable and possible \nreserves in its filings with the SEC, we have pro- \nvided estimates in this report of what we consider \nto be our “total resource base.” This term includes \nour estimated proved reserves as well as “risked \nand unrisked unproved resources,” which repre -\nsent Chesapeake’s internal estimates of volumes of \nnatural gas and oil that are not classified as proved \nreserves but are potentially recoverable through \nexploratory drilling or additional drilling or recovery \ntechniques. Our estimates of unproved resources \nare not intended to correspond to probable and", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "atmosphere of vitality and energy at Chesapeake, important ingredi -\nents of our distinctive culture. These attributes, along with a vibrant \nand attractive corporate headquarters campus, low levels of bureau -\ncracy, great assets and a well-executed corporate strategy combine to \ncreate our culture of success and innovation. \nThis has generated extremely positive external feedback as \nChesapeake was recently recognized for the fourth consecutive year \nas one of the FORTUNE 100 Best Companies to Work For ®(3) in the U.S. \nIn fact, we moved up to #32 overall and #1 in our industry — we are \nvery proud of having created and sustained what is now considered \nthe best place to work in all of the U.S. energy production industry. \nIn addition, we were honored in December 2010 at the 12th Annual \nPlatts Global Energy Awards as finalists for CEO of the Year, Community \nDevelopment Program of the Year, Deal of the Year, Energy Producer \nof the Year and the Industry Leadership Award. Chesapeake was one \nof only two companies selected as a finalist in five or more categories. \nThe company was also honored in 2010 with a Certificate of Recognition \nfor our military reserve recruiting efforts, named a 2010 Best Diversity \nCompany by Engineering & Information Technology Magazine and rec -\nognized for Best Investor Relations in Energy Sector and Best Investor \nRelations Website at the 2010 IR Magazine U.S. Awards.\nRecent Events and a Better Way Forward\nYou may be aware that I have been outspoken in attempting to persuade \nour country’s political leadership to recognize that the discovery of vast \nresources of unconventional natural gas and oil in the U.S. is a complete \ngame changer for our country from an economic, national security and \nenvironmental perspective. After two years of my best efforts and the \nefforts of many others in the industry, most notably T. Boone Pickens, \nFrom our beginning 22 years ago with 10 \nemployees in Oklahoma City to employing \nmore than 10,000 people across 15 states \ntoday, Chesapeake has always focused on \nbuilding first-class human resources within \na distinctive corporate culture. \n<< A Chesapeake rig drills in the Marcellus Shale, where the company is \nthe leading leasehold owner, largest producer and most active driller.\nwet natural gas and dry natural gas), similar to the components of the \nEagle Ford Shale. We have made a large commitment to this play and \nhave acquired approximately 1.2 million net leasehold acres and expect \nto increase this total to as much as 1.5 million net leasehold acres in the \ncoming months. We are currently using three rigs to evaluate the play \nand believe our leasehold could support the drilling of up to 12,000 net \nwells. This is an area where we anticipate bringing in a joint venture \npartner late in 2011 or early in 2012.\nOur People \nGreat assets cannot exist without great people, so we take great pride \nin hiring, training, motivating, rewarding and retaining what we regard \nas the best employees in the industry. From our beginning 22 years ago \nwith 10 employees in Oklahoma City to employing more than 10,000 \npeople across 15 states today, Chesapeake has always focused on build -\ning first-class human resources within a distinctive corporate culture. Talk \nto Chesapeake employees and you will note genuine pride and great \nenthusiasm about the company and the critical role that we play in deliv-\nering increasing quantities of clean and affordable American natural gas \nand valuable and reliable liquids to energy consumers across the country.\nChesapeake employees are distinctive in other ways as well. They \nare much younger than the industry average, with half of our almost \n4,000 Oklahoma City-based headquarters employees 33 years old \nor younger. Their enthusiasm and willingness to learn create an \n12 | LETTER TO SHAREHOLDERS", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "2010 Total Production: \n0 bcfe, NM, NM\n12/31/10 Proved Reserves: \n10 bcfe, NM, NM\n12/31/10 Net Leasehold Acres: *** \n205,000, +14%, 2%\n2010 ANNUAL REPORT | 18\nLIQUIDS-RICH AREAS\nAnadarko Basin The Anadarko Basin is home to four of Chesapeake’s liquids-rich plays, \nwhich we anticipate will become significant contributors to our growth in the years ahead. \nChesapeake was one of the first to utilize modern horizontal drilling methods and has assembled \nan unrivaled leasehold position in numerous horizontal liquids-rich plays in the basin. Chesapeake \nwill continue drilling with a focus on the Granite Wash, where rates of return are the highest in our \ncompany, and with an increasing focus on the Cleveland, Tonkawa and Mississippian liquids-rich \nunconventional plays. We estimate we could drill up to 11,400 net wells on our Anadarko Basin \nacreage in the future and plan to utilize an average of 31 operated rigs in 2011 to further develop \nour current 1.7 million net leasehold acres.\nRockies Chesapeake is the second-largest leasehold owner in the Niobrara Shale, \nFrontier and Codell plays in the Powder River and Denver Julesburg (DJ) basins of Wyoming \nand Colorado. In February 2011, Chesapeake completed a $1.3 billion joint venture agreement with \nCNOOC, whereby CNOOC acquired a 33.3% interest in Chesapeake’s approximately 800,000 net \nleasehold acres in the Powder River and DJ basins. CNOOC paid Chesapeake approximately $570 million \nin cash at closing and will pay an additional $697 million in carries by funding 66.7% of Chesapeake’s \nshare of drilling and completion expenditures, which \nChesapeake expects to occur by year-end 2014. We plan \nto utilize an average of approximately 11 rigs in 2011 to \ndevelop our current 535,000 net leasehold acres with \nour partner and estimate that we could drill up to 7,600 net wells.\n8\nPermian Basin Chesapeake has built a strong position of approx -\nimately 1.2 million net leasehold acres in the Permian Basin including \n560,000 net leasehold acres in the Bone Spring, Avalon, Wolfcamp and Wolfberry \nunconventional liquids plays. This area has the potential to deliver significant \nupside as we move toward increasing our oil production substantially in the years \nahead. We have developed multiple new horizontal oil projects in this area, where \nwe plan to utilize an average of approximately eight operated rigs in 2011 to further \ndevelop our leasehold in the Permian and Delaware basins and estimate we could drill \nup to 4,400 net wells. \n7\nEagle Ford Shale As part of a growing emphasis on increasing oil and natural gas liquids \nproduction, Chesapeake has built the industry’s second-largest leasehold position in the Eagle \nFord Shale play in South Texas. In 2010 Chesapeake increased its leasehold from 80,000 net acres at the \nbeginning of the year to more than 600,000 net acres. In November 2010, Chesapeake completed \na $2.2 billion Eagle Ford Shale joint venture agreement with Beijing-based CNOOC Limited \n(NYSE:CEO), whereby CNOOC acquired a 33.3% interest in 600,000 net leasehold acres in the Eagle \nFord Shale. CNOOC paid Chesapeake approximately $1.12 billion in cash at closing and will pay 75% \nof Chesapeake’s share of drilling and completion expenditures until the $1.08 billion carry obligation \nhas been funded, which Chesapeake expects to occur by year-end 2012. Our focus has been in the wet gas and \noil prone portions of the play. We estimate we could drill up to 5,500 net wells on our Eagle Ford acreage and plan \nto utilize an average of 23 operated rigs in 2011 to further develop our leasehold position in the Eagle Ford Shale. In addition, \nwe believe that the Pearsall Shale should be prospective for natural gas underneath approximately 75% of our Eagle Ford leasehold.\n6\n5\n2010 Total Production: \n145 bcfe, +4%, 14%\n12/31/10 Proved Reserves: \n2,440 bcfe, +21%, 14%\n12/31/10 Net Leasehold Acres: \n1,420,000, +15%, 11%\n2010 Total Production:", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "AMERICA’S PREMIER \nENERGY RESOURCE BASE »\n16 | OPERATING AREAS\n1\n2\n3\n4\n8\n7\n 6\n5\nMarcellus Shale\nBarnett Shale\nHaynesville \nShale\nBossier\nShale\nEagle Ford\nShale\nAnadarko \nBasin\nRockies\nPermian\nBasin\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has \nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays \nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica \nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise \ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of \nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of \ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion \ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end \n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the \nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling \nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position \nin our key operating areas.\nNatural Gas Shale Areas\nLiquids-Rich Areas \nOperating States", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Has the CEO of Chesapeake Energy met with the US President about America's energy production?", - "target_page": 16, - "target_passage": "I am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "I am pleased to report that we have apparently finally convinced \nPresident Barack Obama and Congressional leadership to recognize that \nthe energy path America is on today is completely unsustainable. There \nappears to be growing recognition that it is spectacularly dangerous for \nAmerica to continue importing 9 million barrels of oil per day and exporting \nmore than $1 billion per day in national wealth to oil exporting countries. \nAmerica’s undiminished appetite for foreign oil has created the larg -\nest wealth transfer in the history of the world. The political leadership \nin Washington, D.C., has not seemed overly concerned about this issue \nuntil recently. However, after President Obama’s recent speech calling \n(1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling \nand net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to \ncorporate acquisitions) by total proved reserve additions excluding price-related revisions. \n(2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated \nin accordance with generally accepted accounting principles.\n • Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage -\nment believes affect the comparability of operating results. \n • Operating cash flow is cash provided by operating activities before changes in assets and liabilities. \n • Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management \nbelieves affect the comparability of operating results.\n(3) FORTUNE 100 Best Companies to Work For ® listed in the magazine’s February 7, 2011 issue. \nRig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a \nseries of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.\n14 | LETTER TO SHAREHOLDERS", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Corporate Headquarters\n6100 North Western Avenue\nOklahoma City, OK 73118\n(405) 935-8000\nInternet Address\nCompany financial information, public disclo -\nsures and other information are available through \nChesapeake’s website at www.chk.com.\nCommon Stock\nChesapeake Energy Corporation’s common stock \nis listed on the New York Stock Exchange (NYSE) \nunder the symbol CHK. As of March 31, 2011, there \nwere approximately 415,000 beneficial owners \nof our common stock.\nCommon Stock Dividends\nDuring 2010 the company declared a cash div -\nidend of $0.075 per share on March 8, June 21, \nSeptember 1 and December 20 for a total div- \nidend declared of $0.30 per share.\nIndependent Public Accountants\nPricewaterhouseCoopers LLP\n6120 South Yale, Suite 1850\nTulsa, OK 74136\n(918) 524-1200\nStock Transfer Agent and Registrar\nCommunication concerning the transfer of shares, \nlost certificates, duplicate mailings or change of \naddress notifications should be directed to our \ntransfer agent: \nComputershare Trust Company, N.A.\n250 Royall Street\nCanton, MA 02021\n(800) 884-4225\nwww.computershare.com\nTrustee for the Company’s Senior Notes \nThe Bank of New York Mellon Trust Company, N.A.\n101 Barclay Street, 8th Floor\nNew York, NY 10286\nwww.bnymellon.com\nForward-looking Statements\nThis report includes “forward-looking statements” \nthat give our current expectations or forecasts \n2011 High Low Last\nFirst Quarter $ 35.95 $ 25.93 $ 33.52\n2010 High Low Last\nFourth Quarter $ 26.43 $ 20.97 $ 25.91\nThird Quarter 23.00 19.68 22.65\nSecond Quarter 25.55 19.62 20.95\nFirst Quarter 29.22 22.10 23.64\n2009 High Low Last\nFourth Quarter $ 30.00 $ 22.06 $ 25.88\nThird Quarter 29.49 16.92 28.40\nSecond Quarter 24.66 16.43 19.83\nFirst Quarter 20.13 13.27 17.06\n2008 High Low Last\nFourth Quarter $ 35.46 $ 9.84 $ 16.17\nThird Quarter 74.00 31.15 35.86\nSecond Quarter 68.10 45.25 65.96\nFirst Quarter 49.87 34.42 46.15\nof future events. They include estimates of nat -\nural gas and oil reserves, expected production, \nassumptions regarding future natural gas and \noil prices, planned drilling activity and capital \nexpenditures, and future asset sales, as well as \nstatements concerning anticipated cash flow and \nliquidity, business strategy and other plans and \nobjectives for future operations. Although we \nbelieve the expectations and forecasts reflected \nin these and other forward-looking statements \nare reasonable, we can give no assurance they \nwill prove to have been correct. They can be af -\nfected by inaccurate assumptions or by known \nor unknown risks and uncertainties.\nFactors that could cause actual results to differ \nmaterially from expected results are described \nunder “Risk Factors” in Item 1A of our 2010 Annual \nReport on Form 10-K included in this report. We \ncaution you not to place undue reliance on for -\nward-looking statements, and we undertake no \nobligation to update this information. We urge \nyou to carefully review and consider the disclo -\nsures made in this report and our other filings \nwith the Securities and Exchange Commission \n(SEC) regarding the risks and factors that may \naffect our business.\nThe SEC requires natural gas and oil companies, in \nfilings made with the SEC, to disclose proved re- \nserves and permits the optional disclosure of \nprobable and possible reserves. While Chesapeake \nhas elected not to report probable and possible \nreserves in its filings with the SEC, we have pro- \nvided estimates in this report of what we consider \nto be our “total resource base.” This term includes \nour estimated proved reserves as well as “risked \nand unrisked unproved resources,” which repre -\nsent Chesapeake’s internal estimates of volumes of \nnatural gas and oil that are not classified as proved \nreserves but are potentially recoverable through \nexploratory drilling or additional drilling or recovery \ntechniques. Our estimates of unproved resources \nare not intended to correspond to probable and", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "The combination of these vast new discoveries of unconventional \nnatural gas and liquids provides America with a unique future path -\nway toward greater energy independence, an industrial renaissance, \neconomic rejuvenation and greater national security. I remain fully con -\nfident that the marketplace understands this and that over time the U.S. \nwill more fully embrace and utilize clean, affordable, abundant American \nnatural gas and increased domestic oil production as the best alterna -\ntives to burning environmentally challenged coal and expensive and \ndangerous foreign oil. \nThere is now a clear road ahead toward a more sustainable, afford -\nable, dynamic and independent future if America embraces the remark -\nable gift of energy abundance that Chesapeake has helped discover in \nthe U.S. You have my commitment, and the commitment of more than \n10,000 other Chesapeake employees, that every day we are working \nhard to create shareholder value and a better future for our communi -\nties, our states and our country through the continued discovery and \ndevelopment of unconventional natural gas and liquids.\nfor a new energy future with greater natural gas usage and increased \ndomestic oil production as two of its primary attributes, it is encouraging \nto see our political leadership finally grasp that natural gas stands alone \nas the only affordable, scalable and immediately available alternative to \nforeign oil and that U.S. oil production can be increased significantly in \nthe years ahead. \nThe events of the past few months have unmistakably driven home \nthe fact that it is insanity to rely on the Middle East to provide our econ -\nomy’s lifeline of oil. This should be especially obvious when one realizes \nthat during the next 10 years, America will likely export at least another \n$4 trillion in national wealth to oil exporters around the world. Clearly, \nour country must demand from its leaders a new and more sustainable \nenergy future. \nThe good news, however, is that America can now secure a new \nenergy future thanks to Chesapeake and a handful of other leading U.S. \nE&P companies that have reinvented the process of finding natural gas \nand oil during the past five years. In doing so, we have discovered twice \nthe resources of natural gas in the U.S. that Saudi Arabia possesses in oil. \nFurthermore, these same few companies that led the unconventional \nnatural gas revolution have in just the past two years also reinvented \nthe way in which we can find large new oil resources onshore in the U.S. \nIn fact, I believe the U.S. can possibly increase its production of oil from \nthe current 5.8 million barrels per day by 30–50% during the next 5–10 \nyears, thereby potentially reaching the President’s 2025 goal of reducing \nforeign oil imports by 33%, 5–10 years earlier than hoped. \nThe combination of these vast new discoveries \nof unconventional natural gas and liquids \nprovides America with a unique future path- \nway toward greater energy independence, \nan industrial renaissance, economic rejuvenation \nand greater national security.\nBest regards,\nAubrey K. McClendon\nChairman and Chief Executive Officer\nApril 15, 2011\nAdvancing technology for cleaner operations: solar panels at a West Texas well power \ntelemetry systems that provide pumpers with real-time information on oil and water \ntank levels to alarm them when levels near capacity, preventing tank spills.\n2010 ANNUAL REPORT | 15", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "26 | ENVIRONMENTAL, HEALTH & SAFETY\nAs we explore for and produce clean, affordable, abundant, American \nnatural gas, we provide an important solution to our nation’s energy \nchallenges and its quest for energy independence. With at least a 200-\nyear supply of natural gas located right here in the U.S., this versatile \nfuel can be used to not only heat homes, create electricity and meet \nAmerica’s transportation needs, but also to fuel the country’s future \nby creating jobs and stimulating local and national economies through \ninvestment and taxes. \nEnvironmentally Friendly Operations\nAt Chesapeake, we realize that the way a great product is produced is \nas important as the product itself. For example, we have helped pioneer \nthe use of multiwell padsites to drill up to 16 wells from a single loca -\ntion, greatly reducing our land and road use and overall environmental \nfootprint. We use the latest horizontal and directional drilling technology \nto place wells at a safe distance from homes, schools and businesses. In \naddition, we build and maintain access roads and work to eliminate soil \nerosion near our sites, as well as restore local vegetation. \nWe implement advanced, modern protective measures known as Best \nManagement Practices (BMPs) to help ensure energy development is con-\nducted in an environmentally responsible manner. Procedures are imple-\nmented throughout our operations to protect freshwater aquifers and \nreduce environmental impacts. BMPs protect wildlife, air quality, water and \nlandscapes as we work to develop vitally needed domestic energy sources. \nImplemented throughout the entire life cycle of a well, BMPs can be \nas simple as strategically placing a berm, or land barrier, on locations \nto control surface water runoff. Others involve cutting-edge operational \ntechnologies such as utilizing the most advanced techniques offered in \ndrilling fluids, well casing and cement design. Regardless of complex -\nity, all BMPs are based on the idea that the environmental footprint of \nenergy development should be as small and temporary as possible. \nThese practices are continually evolving and further improving as \nChesapeake and the industry develop new innovative techniques and \napproaches to business. \nIn addition to our BMPs, Chesapeake has also initiated several \ninnovative internal programs focused on water recycling and greener \nhydraulic fracturing processes. \nAqua Renew ®\nCreated to meet the challenge of reducing our water usage, Chesapeake’s \nAqua Renew ® program uses state-of-the-art technology to recycle pro -\nduced water. Since the \ncompany’s preliminary \nreclamation project in \n2006, our focus on water reuse and conservation has become a company-\nwide endeavor, stretching from the Barnett Shale of North Texas to the \nMarcellus Shale of northern Pennsylvania. \nThe Aqua Renew program has yet to find a limit to how much \nrecycled water could be used without compromising well production. \nIn fact, our Marcellus Shale operations are treating and recycling virtu -\nally 100% of produced water (more than 10 million gallons per month) \nfor reuse in our hydraulic fracturing operations. Properly conducted \nmodern fracking is a highly engineered, controlled, sophisticated and \nsafe procedure.\nWith such large volumes of recycled water, the company is see -\ning more than just environmental advantages. We estimate that this \nINVESTING IN OUR WORLD \nAND OUR PEOPLE »\nGreen operations — Chesapeake’s Best Management Practices ensure our \noperations are as environmentally friendly as possible, while protecting \nour employees, neighbors and the areas where we operate.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "FROM PENNSYLVANIA TO NEW MEXICO,\nWE THANK EVERY MEMBER \nOF TEAM CHESAPEAKE »\nWe would like to thank each of Chesapeake’s 10,021 employees who brought a unique combination of experience, talent and \npositive attitude to the company in 2010. Last year the company was honored for the fourth consecutive year with inclusion \nin the FORTUNE 100 Best Companies to Work For ® list at #32, the highest-ranking company in the energy production industry.\n30 | EMPLOYEES\n1989 (3)\nKinney Louthan\nAubrey McClendon\nPatsy Watters\n1990 (3)\nKevin Decker\nDavid Higgins\nCindi Williams\n1991 (4)\nSteve Dixon\nMarilyn Pollard\nPatti Schlegel\nJulie Washam\n1992 (2)\nTom Price\nMelanie Weaver\n1993 (5)\nRalph Ball\nDavid Desalvo\nMike Johnson\nRandy Pierce\nDave Wittman\n1994 (16)\nBarbara Bale\nMartha Burger\nMichael Coles\nTraci Cook\nRon Goff\nGreg Knight\nDan LeDonne\nRich McClanahan\nSteve W. Miller\nTommy Morphew\nPat Pope\nDanny Rutledge\nStephanie Shedden\nRonnie Ward\nShelly White\nGerald Zgabay\n1995 (26)\nRichey Albright\nPaula Asher\nEric Ashmore\nRandy Borlaug\nShelli Butler\nMelissa Chambers\nDale Cook\nTed Davis\nMandy Duane\nSteve Gaskins\nJennifer Grigsby\nGayle Harris\nHenry Hood\nLorrie Jacobs\nBarry Langham\nCindy LeBlanc\nLeland Murray\nFred Portillo\nJohn Qualls\nPat Rolla\nHank Scheel\nCharles W. Scholz\nStan Stinnett\nBrenda Stremble\nGreg Weinschenk\nBrian Winter\n1996 (29)\nHeather Anderson\nJamie Carter\nJasen Davis\nGeorge Denny\nTim Denny\nGary Dunlap\nLaurie Eck\nJan Fair\nBarbara Frailey\nLinda Gardner\nCharlene Glover\nRandy Goben\nJim Gomez\nMelissa Gruenewald\nDoug W. Johnson\nJim Johnson\nTaylor Kemp\nMike Lebsack\nSteve Lepretre\nLarry Lunardi\nJohn Marks\nSandi Michalicka\nLiz Muskrat\nAngela Ports\nTommy Putz\nBryan Sagebiel\nKurt Schrantz\nPhyllis Trammell\nAllan Waldroup\n1997 (32)\nLinda Allen\nKarla Allford\nSara Caldwell\nSteve Cody\nKristine Conway\nRandy Cornelsen\nMichelle Cullen\nBruce Dixon\nGreg Drwenski\nMark B. Evans\nJoy Franklin\nRob Gilkes\nShane Hamilton\nMichael Horn\nEric Hughes\nDavid B. Jones\nMike Ludlow\nSarah Lumen\nLauren Matlock\nSam McCaskill\nBob Neely\nBob Pope\nErick Porter\nJolene Schur\nCarolyn Simmons\nApril Smith\nWilma Smith\nFrank Unsicker\nIvajean Wallace\nCraig White\nDori Williams\nCurtis Williford\n1998 (62)\nStephen Adams\nCrae Barr\nFrancy Beesley\nJoel Bennett\nLeonard Berry Jr.\nSusan Bradford\nMark Brown\nRandy Brown\nLori Budde\nTerry Caldwell\nBob Campbell\nTed Campbell\nSherri Childers\nTana Clark\nJennifer Copeland\nDavid Craycraft\nIris Drake\nMac Drake\nGary Egger\nSteve Emick\nDan Estes\nDennis Frick\nStacy Gilbert\nJim Gowens\nKelsey Hammit\nTresa Hammond\nJeff L. Harris\nDebbie Hulett\nJulie Ingram\nTammy Kelln\nRose Kim\nSteve King\nMike Lancaster\nChris H. Lee\nCarrie Lewis-Crawford\nCraig Madsen\nJohn Marshall\nKim Massey\nAllen May\nDennis McGee\nAllen A. Miller\nBill Miller\nCarey Milligan\nDavid Mobley\nWesley Myers\nBud Neff Jr.\nKathy Nowlin\nDon Pannell\nMichael Park\nMandy Pena\nMatt Rockers\nKelly Ruminer\nGreg Small\nBill Snyder\nGeorge Soto\nDan Sparks\nLinda Steen\nBecky Thomas\nJennifer Van Meir\nRusty Walker\nLynn Whipple\nMandy Whipple\n1999 (22)\nJonathan Ball\nMel Barker\nSue Black\nDory Douglas\nMark Edge\nJenny Ferguson\nJeanie Fuller\nSusan Green\nYamei Hou\nDoug Jacobson\nJim Kelley\nLynn Looper\nDea Mengers\nMichael Miller\nTammy Nguyen\nLaCosta Rawls\nLarry Shipley\nMichelle Smith\nConnie Turner\nCourtney Tyson\nTonya Vallerand\nTobin Yocham\n2000 (41)\nShellie Ashworth Pollard\nJohnnie Bartlett\nDoug Bellis\nJan Benton\nBobby Bolton\nJeff Brooks\nBecky Cassel\nRachel Clapp\nDebbie Curtis\nJennifer Dees\nTammy Fields\nRobin Gonzalez\nAnnie Hamilton\nTwila Hines\nEric Hoffman\nRonnie Howell\nJim Kuhlman\nDon Lee\nDebbie Lloyd\nJay May Jr.\nAndrea McCall\nCindy McClintock\nCollin McElrath\nCourtney Moad\nGeorgia Moller\nChantelle Porter\nEdward Puffinbarger\nMike Sawatzky\nCindy Schwieger\nBrent Scruggs\nVance Shires\nStuart Skelton\nDavid W. Smith\nCatherine Stairs\nJerry Townley\nNick Wavers\nBrenda Wheeler\nBob Whitman\nDavid Whitten\nBrent Williams\nBob Woodside\n2001 (98)\nJerry Aebi\nKaren Albornoz Cranford\nJeremy Allison\nTerry Ashton\nBetsy Ball\nGloria Bates\nMichelle Bender", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural \ngas is clean, affordable, abundant and American. Why shouldn’t it trade at a BTU premium in the years ahead?\nWhy is an investment grade rating on its debt securities important to CHK? \nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt \nsecurities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company’s \nborrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. \nHigher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in \norder to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts \nto sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance \nChesapeake’s ability to further attract world-class energy companies to participate in our joint venture projects, \nwhich profitably monetize a portion of our leasehold investments and also accelerate the development of our \nresource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest -\nment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.\nJeff Fisher \nSenior Vice President – Production\nNick Dell’Osso\nExecutive Vice President \nand Chief Financial Officer\nJeff Mobley\nSenior Vice President – \nInvestor Relations and Research\n2010 ANNUAL REPORT | 21", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "AMERICA’S PREMIER \nENERGY RESOURCE BASE »\n16 | OPERATING AREAS\n1\n2\n3\n4\n8\n7\n 6\n5\nMarcellus Shale\nBarnett Shale\nHaynesville \nShale\nBossier\nShale\nEagle Ford\nShale\nAnadarko \nBasin\nRockies\nPermian\nBasin\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has \nbuilt a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays \nand in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica \nunconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise \ngained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of \nnatural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of \ndivestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion \ncubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end \n2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the \nU.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities — almost 50 years worth of drilling \nopportunities — on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake’s ownership position \nin our key operating areas.\nNatural Gas Shale Areas\nLiquids-Rich Areas \nOperating States", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "atmosphere of vitality and energy at Chesapeake, important ingredi -\nents of our distinctive culture. These attributes, along with a vibrant \nand attractive corporate headquarters campus, low levels of bureau -\ncracy, great assets and a well-executed corporate strategy combine to \ncreate our culture of success and innovation. \nThis has generated extremely positive external feedback as \nChesapeake was recently recognized for the fourth consecutive year \nas one of the FORTUNE 100 Best Companies to Work For ®(3) in the U.S. \nIn fact, we moved up to #32 overall and #1 in our industry — we are \nvery proud of having created and sustained what is now considered \nthe best place to work in all of the U.S. energy production industry. \nIn addition, we were honored in December 2010 at the 12th Annual \nPlatts Global Energy Awards as finalists for CEO of the Year, Community \nDevelopment Program of the Year, Deal of the Year, Energy Producer \nof the Year and the Industry Leadership Award. Chesapeake was one \nof only two companies selected as a finalist in five or more categories. \nThe company was also honored in 2010 with a Certificate of Recognition \nfor our military reserve recruiting efforts, named a 2010 Best Diversity \nCompany by Engineering & Information Technology Magazine and rec -\nognized for Best Investor Relations in Energy Sector and Best Investor \nRelations Website at the 2010 IR Magazine U.S. Awards.\nRecent Events and a Better Way Forward\nYou may be aware that I have been outspoken in attempting to persuade \nour country’s political leadership to recognize that the discovery of vast \nresources of unconventional natural gas and oil in the U.S. is a complete \ngame changer for our country from an economic, national security and \nenvironmental perspective. After two years of my best efforts and the \nefforts of many others in the industry, most notably T. Boone Pickens, \nFrom our beginning 22 years ago with 10 \nemployees in Oklahoma City to employing \nmore than 10,000 people across 15 states \ntoday, Chesapeake has always focused on \nbuilding first-class human resources within \na distinctive corporate culture. \n<< A Chesapeake rig drills in the Marcellus Shale, where the company is \nthe leading leasehold owner, largest producer and most active driller.\nwet natural gas and dry natural gas), similar to the components of the \nEagle Ford Shale. We have made a large commitment to this play and \nhave acquired approximately 1.2 million net leasehold acres and expect \nto increase this total to as much as 1.5 million net leasehold acres in the \ncoming months. We are currently using three rigs to evaluate the play \nand believe our leasehold could support the drilling of up to 12,000 net \nwells. This is an area where we anticipate bringing in a joint venture \npartner late in 2011 or early in 2012.\nOur People \nGreat assets cannot exist without great people, so we take great pride \nin hiring, training, motivating, rewarding and retaining what we regard \nas the best employees in the industry. From our beginning 22 years ago \nwith 10 employees in Oklahoma City to employing more than 10,000 \npeople across 15 states today, Chesapeake has always focused on build -\ning first-class human resources within a distinctive corporate culture. Talk \nto Chesapeake employees and you will note genuine pride and great \nenthusiasm about the company and the critical role that we play in deliv-\nering increasing quantities of clean and affordable American natural gas \nand valuable and reliable liquids to energy consumers across the country.\nChesapeake employees are distinctive in other ways as well. They \nare much younger than the industry average, with half of our almost \n4,000 Oklahoma City-based headquarters employees 33 years old \nor younger. Their enthusiasm and willingness to learn create an \n12 | LETTER TO SHAREHOLDERS", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Martha Burger \nSenior Vice President – \nHuman and Corporate Resources\nWhat innovations and advancements have led to CHK’s ability to produce liquids from \nshales and other tight reservoirs? \nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed \nexpertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of \nhorizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that \nwere previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight \nreservoirs has come from the company’s ability to extend the technological advances gained in the development of \ntight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich \nplay discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have ben-\nefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well \nas an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to \nbetter identify formations most likely to generate liquids-rich production, including more than a dozen new plays for \nthe company. We have subsequently improved the success of our liquids-rich plays through the use of optimal well-\nbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized \nfracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume \nin low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have \nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry’s most advanced shale core laboratory.\nIt is often said that the energy industry has an aging work force that is fast approaching \nretirement age. How is Chesapeake addressing this? \nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down-\nturn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong compe-\ntition from other industries lured away many of the best and brightest science and technology graduates, and today \nmany experienced professionals who stayed in the industry through the downturn are approaching retirement age. \nAs a result, one of our industry’s greatest challenges over the past 10 years has been to develop a new generation \nof natural gas and oil professionals who have the knowledge and experience required to meet the nation’s growing \nenergy needs.\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting \nand training a new generation of energy professionals would impact the company’s future success and its ability to \ncompete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs \nand decided to create a world-class college recruiting and intern program to recruit the most promising industry \ntalent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go \non to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive \nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads \nand career counselors at the more than 31 universities where we actively recruit.\nAs a result of these efforts, young professionals in a wide range of disciplines, from scientists and engineers to land management and legal", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "ON THE COVER\nMoving west, a Chesapeake rig \ndrills toward the Niobrara Shale \nin the Powder River Basin of \nsoutheastern Wyoming, one of \nseveral new liquids-rich plays \nthat are enabling the company \nto increase its profitability and \nreturn on capital.\nCONTENTS \n1 Financial Review\n4 Letter to Shareholders\n16 Operating Areas\n20 Investor Q&A\n22 Social Responsibility\n 24 Community Relations\n 26 Environmental, Health & Safety\n \n28 Board of Directors\n28 Governance\n29 Officers\n30 Employees\n45 Form 10-K\nInside Back Cover \n Corporate Information\nChesapeake Energy Corporation is the second-largest producer of \nnatural gas, a Top 15 producer of oil and natural gas liquids and \nthe most active driller of new wells in the U.S. \nHeadquartered in Oklahoma City, the company’s operations are focused on discovering and developing \nunconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in \nthe Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite \nWash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, \nNiobrara and Utica unconventional liquids-rich plays. \nThe company has also vertically integrated its oper- \nations and owns substantial midstream, compression, \ndrilling and oilfield service assets. Chesapeake’s stock \nis listed on the New York Stock Exchange under \nthe symbol CHK. Further information is available at \nwww.chk.com where Chesapeake routinely posts \nannouncements, updates, events, investor informa- \ntion, presentations and press releases.\nCORPORATE PROFILE", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - } - ] -] \ No newline at end of file